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CIM

Cowen Investment Management Portfolio holdings

AUM $12M
1-Year Est. Return 1.47%
This Fund
S&P 500
This Quarter Est. Return
-40.67%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$60.7M
AUM Growth
-$325M
Cap. Flow
+$21.6M
Cap. Flow %
35.61%
Top 10 Hldgs %
99.63%
Holding
255
New
50
Increased
5
Reduced
9
Closed
32

Top Buys

Rank Stock Value
1
PTRA
Proterra Inc. Common Stock
PTRA
+$70.4M
2
AACIU
Armada Acquisition Corp. I Unit
AACIU
+$12.2M
3
YSAC
Yellowstone Acquisition Company
YSAC
+$9.96M
4
AUR icon
Aurora
AUR
+$9.89M
5
DGNS
Dragoneer Growth Opportunities Corp. II Class A Ordinary Shares
DGNS
+$4.12M

Top Sells

Rank Stock Value
1
PTRAW
Proterra Inc. Warrant
PTRAW
+$65.5M
2
AZN icon
AstraZeneca
AZN
+$44.9M
3
ALXN
Alexion Pharmaceuticals
ALXN
+$3.67M
4
SLCRU
Silver Crest Acquisition Corporation Unit
SLCRU
+$3.67M
5
SHPW
Shapeways Holdings, Inc. Common Stock
SHPW
+$2.4M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 99.43%
2 Financials 0.22%
3 Communication Services 0.02%
4 Industrials 0.02%
5 Healthcare 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SVFA
26
DELISTED
SVF Investment Corp. Class A Ordinary Shares
SVFA
$2.44K ﹤0.01%
+250,000
New +$2.44M
EVOJ
27
DELISTED
Evo Acquisition Corp. Class A Common Stock
EVOJ
$2.42K ﹤0.01%
250,000
– –
TACA
28
DELISTED
Trepont Acquisition Corp I
TACA
$2.28K ﹤0.01%
+229,000
New +$2.27M
PRST
29
DELISTED
Presto Technologies, Inc. Common Stock
PRST
$2.25K ﹤0.01%
225,000
– –
ADEX.U
30
DELISTED
Adit EdTech Acquisition Corp Units
ADEX.U
$2.25K ﹤0.01%
225,000
– –
VCKAU
31
DELISTED
Vickers Vantage Corp. I Unit
VCKAU
$2.05K ﹤0.01%
200,000
– –
THMAU
32
DELISTED
Thimble Point Acquisition Corp. Unit
THMAU
$2.02K ﹤0.01%
200,000
– –
VMAC
33
DELISTED
Vistas Media Acquisition Company Inc. Class A Common Stock
VMAC
$2.01K ﹤0.01%
+200,000
New +$2M
GSAQU
34
DELISTED
Global Synergy Acquisition Corp. Units
GSAQU
$2.01K ﹤0.01%
200,000
– –
TWCBU
35
DELISTED
Bilander Acquisition Corp. Unit
TWCBU
$2K ﹤0.01%
+200,000
New +$1.98M
VTIQU
36
DELISTED
VectoIQ Acquisition Corp. II Unit
VTIQU
$1.99K ﹤0.01%
200,000
– –
RVACU
37
DELISTED
Riverview Acquisition Corp. Unit
RVACU
$1.98K ﹤0.01%
+200,000
New +$1.98M
TMPO
38
DELISTED
Tempo Automation Holdings, Inc. Common Stock
TMPO
$1.98K ﹤0.01%
+200,000
New +$1.98M
HGAS
39
DELISTED
Global Gas Corporation Class A Common Stock
HGAS
$1.98K ﹤0.01%
200,000
– –
TBCPU
40
DELISTED
Thunder Bridge Capital Partners III Inc. Units
TBCPU
$1.98K ﹤0.01%
200,000
– –
GIIX
41
DELISTED
Gores Holdings VIII, Inc. Class A Common Stock
GIIX
$1.97K ﹤0.01%
+200,000
New +$1.97M
RBAC
42
DELISTED
RedBall Acquisition Corp.
RBAC
$1.97K ﹤0.01%
200,000
– –
SVFB
43
DELISTED
SVF Investment Corp. 2 Class A Ordinary Shares
SVFB
$1.96K ﹤0.01%
200,000
+100,000
+100% +$983K
KAHC
44
DELISTED
KKR Acquisition Holdings I Corp.
KAHC
$1.95K ﹤0.01%
+200,000
New +$1.95M
SHACU
45
DELISTED
SCP & CO Healthcare Acquisition Company Unit
SHACU
$1.74K ﹤0.01%
175,000
– –
SCVX
46
DELISTED
SCVX Corp.
SCVX
$1.74K ﹤0.01%
+175,000
New +$1.73M
MSAC
47
DELISTED
Medicus Sciences Acquisition Corp. Class A Ordinary Share
MSAC
$1.71K ﹤0.01%
175,000
+100,000
+133% +$963K
LSXMA
48
DELISTED
Liberty Media Corporation Series A Liberty SiriusXM Common Stock
LSXMA
$1.66K ﹤0.01%
+48,023
New +$1.68M
ENFAU
49
DELISTED
890 5th Avenue Partners Inc Unit
ENFAU
$1.55K ﹤0.01%
150,000
– –
GLS
50
DELISTED
Gelesis Holdings, Inc.
GLS
$1.54K ﹤0.01%
+155,000
New +$1.53M
1
2
3 4 5

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SFG
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AMG
Ace Management Global Sao Paulo, Brazil $7.88M AUM 47.04% 1-Year Est. Return
B
Braslyn New Providence, Bahamas $7.81M AUM 338.68% 1-Year Est. Return
XS
XR Securities Chicago, Illinois $5.35M AUM 26.1% 1-Year Est. Return
AH
Aviva Holdings New Providence, Bahamas $20.5M AUM 117.01% 1-Year Est. Return
MFAM
M Financial Asset Management Portland, Oregon $20.6M AUM 4.99% 1-Year Est. Return
ZIMP
Zimmermann Investment Management & Planning New Cumberland, Pennsylvania $2.27M AUM 29.81% 1-Year Est. Return
RCI
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Cowen Investment Management's Q3 2021 Portfolio in Review

As of Q3 2021, Cowen Investment Management held 255 positions worth $60.7M, down 84% from $385M the previous quarter. Its ten largest holdings account for 100% of the portfolio.

Cowen Investment Management deployed $21.6M of net new capital in Q3 2021, opening 50 new positions and adding to 5 existing holdings. Its largest new stake was Proterra Inc. Common Stock: 6,228,685 shares worth $60.3M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 99% of assets, up from 0.62% a quarter earlier, followed by Financials and Communication Services.

On the sell side, the largest reduction was Shapeways Holdings, Inc. Common Stock, an estimated $2.4M trimmed.

  • Cowen Investment Management's largest Q3 2021 buy was Proterra Inc. Common Stock: 6,228,685 shares worth $60.3M.
  • Cowen Investment Management added most to Symbotic in Q3 2021, an estimated $3.44M increase.
  • Cowen Investment Management's biggest Q3 2021 reduction was Shapeways Holdings, Inc. Common Stock, cutting an estimated $2.4M.
  • Cowen Investment Management fully exited Proterra Inc. Warrant in Q3 2021, selling an estimated $65.5M.
  • Cowen Investment Management's ten largest holdings make up 100% of its $60.7M portfolio in Q3 2021.
  • Cowen Investment Management opened 50 new positions and closed 32 in Q3 2021.
  • Cowen Investment Management's portfolio value fell 84% quarter-over-quarter to $60.7M.

Based on Cowen Investment Management's 13F filing for Q3 2021, filed 15 Nov 2021.