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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
-18.46%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$174M
AUM Growth
-$135M
Cap. Flow
-$73.3M
Cap. Flow %
-42.03%
Top 10 Hldgs %
89.85%
Holding
110
New
15
Increased
4
Reduced
11
Closed
69

Top Buys

Rank Stock Value
1
SMFG icon
Sumitomo Mitsui Financial
SMFG
+$70.9M
2
HPK icon
HighPeak Energy
HPK
+$23.9M
3
HSBC icon
HSBC
HSBC
+$9.03M
4
MFG icon
Mizuho Financial
MFG
+$5.41M
5
YTRA icon
Yatra Online
YTRA
+$2.37M

Top Sells

Rank Stock Value
1
BP icon
BP
BP
+$22.7M
2
RIO icon
Rio Tinto
RIO
+$12.2M
3
CEF icon
Sprott Physical Gold and Silver Trust
CEF
+$10.1M
4
HOFV
Hall of Fame Resort & Entertainment Co
HOFV
+$6.35M
5
VVNT
Vivint Smart Home, Inc. Class A Common Stock
VVNT
+$5.66M

Sector Composition

Rank Sector Weight
1 Financials 46.79%
2 Energy 27.7%
3 Communication Services 11.58%
4 Consumer Staples 3.61%
5 Healthcare 1.29%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HYMC icon
51
Hycroft Mining Holding Corp
HYMC
$2.56B
– –
-50,000
Closed -$5.17M
IGIC icon
52
International General Insurance
IGIC
$1.13B
– –
-400,000
Closed -$4.2M
IWM icon
53
CALL
iShares Russell 2000 ETF
IWM
$82.2B
– –
-125,000
Closed -$335K
LAZR
54
DELISTED
Luminar Technologies
LAZR
– –
-16,667
Closed -$2.55M
LPRO
55
DELISTED
Open Lending Corp
LPRO
– –
-249,999
Closed -$2.63M
MVST icon
56
Microvast
MVST
$354M
– –
-100,000
Closed -$996K
RIO icon
57
Rio Tinto
RIO
$165B
– –
-205,673
Closed -$12.2M
RY icon
58
Royal Bank of Canada
RY
$297B
– –
-9,626
Closed -$762K
SJ icon
59
Scienjoy Holding
SJ
$36.9M
– –
-100,000
Closed -$1.01M
TAK icon
60
Takeda Pharmaceutical
TAK
$55.6B
– –
-103,014
Closed -$2.03M
USL icon
61
United States 12 Month Oil Fund,
USL
$45.8M
– –
-207,667
Closed -$4.77M
USO icon
62
PUT
United States Oil Fund
USO
$1.8B
– –
-45,000
Closed -$432K
UTZ icon
63
Utz Brands
UTZ
$1.25B
– –
-300,000
Closed -$3.08M
VRT icon
64
Vertiv
VRT
$111B
– –
-100,000
Closed -$1.1M
NKLA
65
DELISTED
Nikola Corporation Common Stock
NKLA
– –
-3,333
Closed -$1.03M
LSXMK
66
DELISTED
Liberty Media Corporation Series C Liberty SiriusXM Common Stock
LSXMK
– –
-74,405
Closed -$2.73M
FSR
67
DELISTED
Fisker Inc.
FSR
– –
-300,000
Closed -$3.05M
VVNT
68
DELISTED
Vivint Smart Home, Inc. Class A Common Stock
VVNT
– –
-550,000
Closed -$5.66M
PAYA
69
DELISTED
Paya Holdings Inc. Class A Common Stock
PAYA
– –
-200,000
Closed -$2.02M
BTRS
70
DELISTED
BTRS Holdings Inc. Class 1 Common Stock
BTRS
– –
-300,000
Closed -$2.96M
CHPMU
71
DELISTED
CHP Merger Corp. Unit
CHPMU
– –
-100,000
Closed -$1.02M
GLEO.U
72
DELISTED
Galileo Acquisition Corp. Units, each consisting of one Ordinary Share and one Redeemable Warrant
GLEO.U
– –
-100,000
Closed -$1.02M
AMHCU
73
DELISTED
Amplitude Healthcare Acquisition Corporation Unit
AMHCU
– –
-250,000
Closed -$2.52M
SFTW.U
74
DELISTED
Osprey Technology Acquisition Corp. Units, each consisting of one share of Class A Common Stock and
SFTW.U
– –
-550,000
Closed -$5.6M
THCBU
75
DELISTED
Tuscan Holdings Corp. Unit
THCBU
– –
-100,000
Closed -$1.05M
1 2
3
4 5

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AMG
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B
Braslyn New Providence, Bahamas $7.81M AUM 338.68% 1-Year Est. Return
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 Q1 2020 Portfolio in Review

As of Q1 2020, Cowen Investment Management held 110 positions worth $174M, down 44% from $310M the previous quarter. Its ten largest holdings account for 90% of the portfolio.

Cowen Investment Management withdrew a net $73.3M in Q1 2020, closing 69 positions and reducing 11 holdings. Its most notable exit was BP, an estimated $22.7M position sold in full.

By sector, the portfolio is most concentrated in Financials at 47% of assets, up from 14% a quarter earlier, followed by Energy and Communication Services.

Against the trend, Cowen Investment Management opened a new position in Sumitomo Mitsui Financial worth $52.7M.

  • Cowen Investment Management's largest Q1 2020 buy was Sumitomo Mitsui Financial: 11,000,000 shares worth $52.7M.
  • Cowen Investment Management added most to HighPeak Energy in Q1 2020, an estimated $23.9M increase.
  • Cowen Investment Management's biggest Q1 2020 reduction was Lloyds Banking Group, cutting an estimated $4.76M.
  • Cowen Investment Management fully exited BP in Q1 2020, selling an estimated $22.7M.
  • Cowen Investment Management's ten largest holdings make up 90% of its $174M portfolio in Q1 2020.
  • Cowen Investment Management opened 15 new positions and closed 69 in Q1 2020.
  • Cowen Investment Management's portfolio value fell 44% quarter-over-quarter to $174M.

Based on Cowen Investment Management's 13F filing for Q1 2020, filed 14 May 2020.