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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
+2.04%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$341M
AUM Growth
–
Cap. Flow
+$442M
Cap. Flow %
129.56%
Top 10 Hldgs %
49.26%
Holding
95
New
95
Increased
–
Reduced
–
Closed
–

Top Buys

Rank Stock Value
1
TD icon
Toronto Dominion Bank
TD
+$56.8M
2
LYG icon
Lloyds Banking Group
LYG
+$20.5M
3
VOD icon
Vodafone
VOD
+$18.1M
4
HPK icon
HighPeak Energy
HPK
+$17.6M
5
BRMK
Broadmark Realty Capital Inc. Common Stock
BRMK
+$15.5M

Top Sells

No sells this quarter

Sector Composition

Rank Sector Weight
1 Financials 33.75%
2 Communication Services 12.59%
3 Energy 7.8%
4 Real Estate 4.57%
5 Consumer Discretionary 4.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RVPH
51
DELISTED
REVIVA PHARMA HLDGS INC
RVPH
$1.81M 0.53%
+8,750
New +$1.8M
TAK icon
52
Takeda Pharmaceutical
TAK
$55.5B
$1.77M 0.52%
+103,014
New +$1.78M
GSK icon
53
GSK
GSK
$100B
$1.75M 0.51%
+32,722
New +$1.68M
GSAH.U
54
DELISTED
GS Acquisition Holdings Corp. Units, each consisting of one share of Class A common stock and one-th
GSAH.U
$1.6M 0.47%
+150,000
New +$1.6M
GRSHU
55
DELISTED
Gores Holdings III, Inc. Units
GRSHU
$1.58M 0.46%
+150,000
New +$1.58M
YTRA icon
56
Yatra Online
YTRA
$54.1M
$1.51M 0.44%
+365,602
New +$1.51M
LACQU
57
DELISTED
Leisure Acquisition Corp. Unit
LACQU
$1.46M 0.43%
+137,000
New +$1.44M
LTM
58
DELISTED
LATAM Airlines Group S.A American Depositary Shares (Each representing 1 Common Share)
LTM
$1.39M 0.41%
+125,000
New +$1.15M
MUDSU
59
DELISTED
Mudrick Capital Acquisition Corporation Unit
MUDSU
$1.36M 0.4%
+125,000
New +$1.34M
THCBU
60
DELISTED
Tuscan Holdings Corp. Unit
THCBU
$1.07M 0.31%
+100,000
New +$1.07M
NEBUU
61
DELISTED
Nebula Acquisition Corporation Unit
NEBUU
$1.06M 0.31%
+100,000
New +$1.06M
ACEL icon
62
Accel Entertainment
ACEL
$991M
$1.03M 0.3%
+100,000
New +$1.03M
NKLA
63
DELISTED
Nikola Corporation Common Stock
NKLA
$1.02M 0.3%
+3,333
New +$1.02M
SJ icon
64
Scienjoy Holding
SJ
$34.8M
$1.01M 0.3%
+100,000
New +$1.01M
USO icon
65
PUT
United States Oil Fund
USO
$1.79B
$989K 0.29%
+43,750
New +$4.11M
BMTX
66
DELISTED
BM Technologies, Inc.
BMTX
$914K 0.27%
+90,000
New +$911K
PSO icon
67
Pearson
PSO
$9.71B
$904K 0.26%
+100,000
New +$1.04M
HCACU
68
DELISTED
Hennessy Capital Acquisition Corp. IV Unit
HCACU
$897K 0.26%
+85,000
New +$894K
PVT.U
69
DELISTED
Pivotal Acquisition Corp.
PVT.U
$806K 0.24%
+70,000
New +$807K
CHAC.U
70
DELISTED
Chardan Healthcare Acquisition Corp.
CHAC.U
$695K 0.2%
+63,500
New +$714K
DFBHU
71
DELISTED
DFB Healthcare Acquisitions Corp. Unit
DFBHU
$679K 0.2%
+64,500
New +$686K
TMCXW
72
DELISTED
Trinity Merger Corp. Warrant
TMCXW
$667K 0.2%
+525,240
New +$299K
RWGE.U
73
DELISTED
Regalwood Global Energy Ltd. Units, each consisting of one Class A ordinary share and one-third of o
RWGE.U
$514K 0.15%
+49,000
New +$513K
STNL
74
DELISTED
Sentinel Energy Services Inc. Class A Common Stock
STNL
$514K 0.15%
+50,000
New +$511K
HCCH
75
DELISTED
HL Acquisitions Corp. Ordinary Shares
HCCH
$510K 0.15%
+50,000
New +$507K
1 2
3
4

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XS
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MFAM
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ZIMP
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RCI
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Cowen Investment Management's Q3 2019 Portfolio in Review

Q3 2019 is the first quarter with a 13F filing on record for Cowen Investment Management, which disclosed 95 positions worth $341M. Its ten largest holdings account for 49% of the portfolio.

Its largest position is Toronto Dominion Bank: 1,000,000 shares worth $58.3M.

By sector, the portfolio is most concentrated in Financials at 34% of assets, followed by Communication Services and Energy.

  • Cowen Investment Management's largest Q3 2019 buy was Toronto Dominion Bank: 1,000,000 shares worth $58.3M.
  • Cowen Investment Management's ten largest holdings make up 49% of its $341M portfolio in Q3 2019.
  • Cowen Investment Management disclosed 95 positions in Q3 2019, its first 13F filing on record.

Based on Cowen Investment Management's 13F filing for Q3 2019, filed 15 Nov 2019.