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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
+10.52%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$157M
AUM Growth
-$17.6M
Cap. Flow
-$8.98M
Cap. Flow %
-5.73%
Top 10 Hldgs %
73.3%
Holding
70
New
29
Increased
1
Reduced
1
Closed
22

Top Buys

Rank Stock Value
1
GB
Global Blue Group Holding
GB
+$10.7M
2
UL icon
Unilever
UL
+$6.13M
3
SPRU icon
Spruce Power Holding Corp
SPRU
+$5.68M
4
LGVW.U
Longview Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-thir
LGVW.U
+$5.02M
5
WPF.U
Foley Trasimene Acquisition Corp.
WPF.U
+$3.66M

Top Sells

Rank Stock Value
1
HPK icon
HighPeak Energy
HPK
+$48.3M
2
LBRDA icon
Liberty Broadband Class A
LBRDA
+$17.9M
3
HSBC icon
HSBC
HSBC
+$7.28M
4
TTCF
Tattooed Chef, Inc Class A Common Stock
TTCF
+$4.84M
5
MFG icon
Mizuho Financial
MFG
+$4.58M

Sector Composition

Rank Sector Weight
1 Financials 49.7%
2 Technology 12.48%
3 Consumer Staples 4.99%
4 Consumer Discretionary 1.69%
5 Healthcare 1.62%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HSBC icon
51
HSBC
HSBC
$358B
– –
-259,900
Closed -$7.28M
HYG icon
52
PUT
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$17.9B
– –
-50,000
Closed -$289K
ING icon
53
ING
ING
$102B
– –
-20,155
Closed -$104K
IWM icon
54
PUT
iShares Russell 2000 ETF
IWM
$82.3B
– –
-110,000
Closed -$899K
LBRDA icon
55
Liberty Broadband Class A
LBRDA
$5.08B
– –
-167,719
Closed -$17.9M
MFG icon
56
Mizuho Financial
MFG
$132B
– –
-1,980,850
Closed -$4.58M
MUFG icon
57
Mitsubishi UFJ Financial
MUFG
$257B
– –
-275,000
Closed -$1.01M
NOK icon
58
Nokia
NOK
$57.4B
– –
-325,356
Closed -$1.01M
QQQ icon
59
Invesco QQQ Trust
QQQ
$481B
– –
-5,000
Closed -$952K
QQQ icon
60
PUT
Invesco QQQ Trust
QQQ
$481B
– –
-10,000
Closed -$168K
RVPH
61
DELISTED
REVIVA PHARMA HLDGS INC
RVPH
– –
-3,430
Closed -$722K
SAN icon
62
Banco Santander
SAN
$212B
– –
-893,717
Closed -$2.01M
SPY icon
63
State Street SPDR S&P 500 ETF Trust
SPY
$810B
– –
-3,000
Closed -$878K
BMTX
64
DELISTED
BM Technologies, Inc.
BMTX
– –
-60,000
Closed -$617K
ID
65
DELISTED
PARTS iD, Inc.
ID
– –
-150,000
Closed -$1.56M
TTCF
66
DELISTED
Tattooed Chef, Inc Class A Common Stock
TTCF
– –
-470,000
Closed -$4.84M
LACQ
67
DELISTED
Leisure Acquisition Corp.
LACQ
– –
-137,000
Closed -$1.43M
LACQW
68
DELISTED
Leisure Acquisition Corp. Warrant
LACQW
– –
-68,500
Closed -$12K
NEBUW
69
DELISTED
Nebula Acquisition Corporation Warrant
NEBUW
– –
-33,333
Closed -$34K
MUDSW
70
DELISTED
Mudrick Capital Acquisition Corporation Warrant
MUDSW
– –
-125,000
Closed -$44K
1 2
3

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SFG
Susquehanna Financial Group Bala Cynwyd, Pennsylvania $10.9M AUM
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
Ridgeback Capital Investments Miami Beach, Florida $560K AUM

Cowen Investment Management's Q2 2020 Portfolio in Review

As of Q2 2020, Cowen Investment Management held 70 positions worth $157M, down 10% from $174M the previous quarter. Its ten largest holdings account for 73% of the portfolio.

Cowen Investment Management withdrew a net $8.98M in Q2 2020, closing 22 positions and reducing 1 holding. Its most notable exit was HighPeak Energy, an estimated $48.3M position sold in full.

By sector, the portfolio is most concentrated in Financials at 50% of assets, up from 47% a quarter earlier, followed by Technology and Consumer Staples.

Against the trend, Cowen Investment Management opened a new position in Global Blue Group Holding worth $10.8M.

  • Cowen Investment Management's largest Q2 2020 buy was Global Blue Group Holding: 1,050,000 shares worth $10.8M.
  • Cowen Investment Management's biggest Q2 2020 reduction was Yatra Online, cutting an estimated $12.9K.
  • Cowen Investment Management fully exited HighPeak Energy in Q2 2020, selling an estimated $48.3M.
  • Cowen Investment Management's ten largest holdings make up 73% of its $157M portfolio in Q2 2020.
  • Cowen Investment Management opened 29 new positions and closed 22 in Q2 2020.
  • Cowen Investment Management's portfolio value fell 10% quarter-over-quarter to $157M.

Based on Cowen Investment Management's 13F filing for Q2 2020, filed 12 Aug 2020.