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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
+5%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$310M
AUM Growth
-$31.8M
Cap. Flow
-$36.7M
Cap. Flow %
-11.85%
Top 10 Hldgs %
43.18%
Holding
127
New
32
Increased
16
Reduced
5
Closed
32

Top Buys

Rank Stock Value
1
BP icon
BP
BP
+$22.8M
2
LBRDA icon
Liberty Broadband Class A
LBRDA
+$12.4M
3
RIO icon
Rio Tinto
RIO
+$11.2M
4
HPK icon
HighPeak Energy
HPK
+$6.49M
5
SFTW.U
Osprey Technology Acquisition Corp. Units, each consisting of one share of Class A Common Stock and
SFTW.U
+$5.52M

Top Sells

Rank Stock Value
1
TD icon
Toronto Dominion Bank
TD
+$58.3M
2
VOD icon
Vodafone
VOD
+$19.9M
3
BRMK
Broadmark Realty Capital Inc. Common Stock
BRMK
+$15.6M
4
LSXMA
Liberty Media Corporation Series A Liberty SiriusXM Common Stock
LSXMA
+$7.44M
5
SEGG
Sports Entertainment Gaming Global Corp
SEGG
+$7.29M

Sector Composition

Rank Sector Weight
1 Energy 15.21%
2 Financials 14.24%
3 Communication Services 13.64%
4 Materials 5.61%
5 Industrials 4.24%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CHR icon
51
Cheer Holding
CHR
$3.58M
$2.06M 0.66%
+133
New +$2M
ACAMU
52
DELISTED
Acamar Partners Acquisition Corp Units
ACAMU
$2.05M 0.66%
201,000
– –
SSPKU
53
DELISTED
Silver Spike Acquisition Corp. Units
SSPKU
$2.03M 0.66%
200,000
– –
TAK icon
54
Takeda Pharmaceutical
TAK
$55.8B
$2.03M 0.66%
103,014
– –
CIICU
55
DELISTED
CIIG Merger Corp. Units
CIICU
$2.03M 0.66%
+200,000
New +$2.03M
PAYA
56
DELISTED
Paya Holdings Inc. Class A Common Stock
PAYA
$2.02M 0.65%
200,000
– –
RMG.U
57
DELISTED
RMG Acquisition Corp.
RMG.U
$2.02M 0.65%
199,000
– –
ALUS.U
58
DELISTED
Alussa Energy Acquisition Corp
ALUS.U
$2.02M 0.65%
+200,000
New +$2.01M
GRSHU
59
DELISTED
Gores Holdings III, Inc. Units
GRSHU
$1.65M 0.53%
150,000
– –
HCCH
60
DELISTED
HL Acquisitions Corp. Ordinary Shares
HCCH
$1.55M 0.5%
150,000
+100,000
+200% +$1.03M
NFINU
61
DELISTED
Netfin Acquisition Corp. Unit
NFINU
$1.53M 0.49%
+150,000
New +$1.52M
LACQU
62
DELISTED
Leisure Acquisition Corp. Unit
LACQU
$1.49M 0.48%
137,000
– –
YTRA icon
63
Yatra Online
YTRA
$54.1M
$1.39M 0.45%
440,189
+74,587
+20% +$275K
LTM
64
DELISTED
LATAM Airlines Group S.A American Depositary Shares (Each representing 1 Common Share)
LTM
$1.34M 0.43%
132,084
+7,084
+6% +$79.2K
MUDSU
65
DELISTED
Mudrick Capital Acquisition Corporation Unit
MUDSU
$1.33M 0.43%
125,000
– –
VRT icon
66
Vertiv
VRT
$108B
$1.1M 0.36%
+100,000
New +$1.04M
THCBU
67
DELISTED
Tuscan Holdings Corp. Unit
THCBU
$1.05M 0.34%
100,000
– –
NKLA
68
DELISTED
Nikola Corporation Common Stock
NKLA
$1.03M 0.33%
3,333
– –
GLEO.U
69
DELISTED
Galileo Acquisition Corp. Units, each consisting of one Ordinary Share and one Redeemable Warrant
GLEO.U
$1.02M 0.33%
+100,000
New +$1.01M
CHPMU
70
DELISTED
CHP Merger Corp. Unit
CHPMU
$1.02M 0.33%
+100,000
New +$1.01M
SJ icon
71
Scienjoy Holding
SJ
$34.8M
$1.01M 0.33%
100,000
– –
MVST icon
72
Microvast
MVST
$288M
$996K 0.32%
+100,000
New +$992K
HCACU
73
DELISTED
Hennessy Capital Acquisition Corp. IV Unit
HCACU
$927K 0.3%
85,000
– –
BMTX
74
DELISTED
BM Technologies, Inc.
BMTX
$923K 0.3%
90,000
– –
PSO icon
75
Pearson
PSO
$9.72B
$843K 0.27%
100,000
– –
1 2
3
4 5

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AMG
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B
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XS
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AH
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MFAM
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ZIMP
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RCI
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Cowen Investment Management's Q4 2019 Portfolio in Review

As of Q4 2019, Cowen Investment Management held 127 positions worth $310M, down 9.3% from $341M the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Cowen Investment Management withdrew a net $36.7M in Q4 2019, closing 32 positions and reducing 5 holdings. Its most notable exit was Toronto Dominion Bank, an estimated $58.3M position sold in full.

By sector, the portfolio is most concentrated in Energy at 15% of assets, up from 7.8% a quarter earlier, followed by Financials and Communication Services.

Against the trend, Cowen Investment Management opened a new position in BP worth $22.7M.

  • Cowen Investment Management's largest Q4 2019 buy was BP: 600,187 shares worth $22.7M.
  • Cowen Investment Management added most to Liberty Broadband Class A in Q4 2019, an estimated $12.4M increase.
  • Cowen Investment Management's biggest Q4 2019 reduction was Lloyds Banking Group, cutting an estimated $3.31M.
  • Cowen Investment Management fully exited Toronto Dominion Bank in Q4 2019, selling an estimated $58.3M.
  • Cowen Investment Management's ten largest holdings make up 43% of its $310M portfolio in Q4 2019.
  • Cowen Investment Management opened 32 new positions and closed 32 in Q4 2019.
  • Cowen Investment Management's portfolio value fell 9.3% quarter-over-quarter to $310M.

Based on Cowen Investment Management's 13F filing for Q4 2019, filed 14 Feb 2020.