CIM

Cowen Investment Management Portfolio holdings

AUM $12M
This Quarter Return
-18.29%
1 Year Return
-1.47%
3 Year Return
+1.83%
5 Year Return
-37.73%
10 Year Return
–
AUM
$173M
AUM Growth
+$173M
Cap. Flow
-$115M
Cap. Flow %
-66.78%
Top 10 Hldgs %
90.72%
Holding
106
New
12
Increased
4
Reduced
11
Closed
65

Top Buys

1
SMFG icon
Sumitomo Mitsui Financial
SMFG
$52.7M
2
HPK icon
HighPeak Energy
HPK
$23.8M
3
HSBC icon
HSBC
HSBC
$7.28M
4
MFG icon
Mizuho Financial
MFG
$4.58M
5
LBRDA icon
Liberty Broadband Class A
LBRDA
$1.9M

Top Sells

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

1 Financials 47.25%
2 Energy 27.97%
3 Communication Services 11.69%
4 Consumer Staples 3.64%
5 Healthcare 1.3%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
GLEO.U
51
DELISTED
Galileo Acquisition Corp. Units, each consisting of one Ordinary Share and one Redeemable Warrant
GLEO.U
– – -100,000 Closed -$1.02M
AMHCU
52
DELISTED
Amplitude Healthcare Acquisition Corporation Unit
AMHCU
– – -250,000 Closed -$2.52M
SFTW.U
53
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
54
DELISTED
Tuscan Holdings Corp. Unit
THCBU
– – -100,000 Closed -$1.05M
GXGXU
55
DELISTED
GX Acquisiton Corp. Unit
GXGXU
– – -300,000 Closed -$3.11M
ALUS.U
56
DELISTED
Alussa Energy Acquisition Corp.
ALUS.U
– – -200,000 Closed -$2.02M
SSPKU
57
DELISTED
Silver Spike Acquisition Corp. Units
SSPKU
– – -200,000 Closed -$2.03M
CCX.U
58
DELISTED
Churchill Capital Corp II
CCX.U
– – -200,000 Closed -$2.16M
THBR
59
DELISTED
Thunder Bridge Acquisition II, Ltd. Class A Ordinary Shares
THBR
– – -250,000 Closed -$2.47M
JIH.U
60
DELISTED
Juniper Industrial Holdings, Inc. Units, each consisting of one share of Class A common stock, $0.00
JIH.U
– – -250,000 Closed -$2.55M
LACQU
61
DELISTED
Leisure Acquisition Corp. Unit
LACQU
– – -137,000 Closed -$1.49M
CIICU
62
DELISTED
CIIG Merger Corp. Units
CIICU
– – -200,000 Closed -$2.03M
ACAMU
63
DELISTED
Acamar Partners Acquisition Corp. Units
ACAMU
– – -201,000 Closed -$2.05M
MFAC.U
64
DELISTED
Megalith Financial Acquisition Corp. Units, each consisting of one share of Class A Common Stock, an
MFAC.U
– – -328,900 Closed -$3.46M
RMG.U
65
DELISTED
RMG Acquisition Corp.
RMG.U
– – -199,000 Closed -$2.02M
LCAHU
66
DELISTED
Landcadia Holdings II, Inc. Unit
LCAHU
– – -231,300 Closed -$2.34M
PTACU
67
DELISTED
PropTech Acquisition Corporation Unit
PTACU
– – -300,000 Closed -$3.08M
HCACU
68
DELISTED
Hennessy Capital Acquisition Corp. IV Unit
HCACU
– – -85,000 Closed -$927K
GLIBA
69
DELISTED
GCI Liberty, Inc. Class A Common Stock (DE)
GLIBA
– – -72,238 Closed -$5.12M
HCCH
70
DELISTED
HL Acquisitions Corp. Ordinary Shares
HCCH
– – -150,000 Closed -$1.55M
TRNE.U
71
DELISTED
Trine Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of
TRNE.U
– – -450,000 Closed -$4.7M
GMHIU
72
DELISTED
Gores Metropoulos, Inc. Unit
GMHIU
– – -302,000 Closed -$3.21M
NFINU
73
DELISTED
Netfin Acquisition Corp. Unit
NFINU
– – -150,000 Closed -$1.53M
HCCOU
74
DELISTED
Healthcare Merger Corp. Units
HCCOU
– – -250,000 Closed -$2.59M
DPHCU
75
DELISTED
DiamondPeak Holdings Corp. Units
DPHCU
– – -520,000 Closed -$5.33M
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