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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
+1.39%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$238M
AUM Growth
+$81M
Cap. Flow
+$70.3M
Cap. Flow %
29.56%
Top 10 Hldgs %
48.01%
Holding
113
New
65
Increased
6
Reduced
13
Closed
10

Top Buys

Rank Stock Value
1
CEF icon
Sprott Physical Gold and Silver Trust
CEF
+$7.39M
2
MVST icon
Microvast
MVST
+$6.86M
3
AMCX icon
AMC Global Media
AMCX
+$6.65M
4
ASLE icon
AerSale
ASLE
+$6.17M
5
CCIV.U
Churchill Capital Corp IV Units, each consisting of one share of Class A common stock and one-fifth
CCIV.U
+$4M

Top Sells

Rank Stock Value
1
GB
Global Blue Group Holding
GB
+$10.8M
2
SPAQ.U
Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of
SPAQ.U
+$7.72M
3
SPRU icon
Spruce Power Holding Corp
SPRU
+$5.78M
4
GRNVU
GreenVision Acquisition Corp Unit
GRNVU
+$3.62M
5
UL icon
Unilever
UL
+$3.42M

Sector Composition

Rank Sector Weight
1 Financials 35.11%
2 Consumer Discretionary 6.39%
3 Industrials 3.3%
4 Communication Services 3.18%
5 Technology 2.55%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GRSVU
51
DELISTED
Gores Holdings V, Inc. Unit
GRSVU
$1.03M 0.44%
+100,000
New +$1.02M
GIK.U
52
DELISTED
GigCapital3, Inc. Units, each consisting of one share of Common Stock and three-fourths of one Redee
GIK.U
$1.03M 0.44%
100,000
-100,000
-50% -$1.02M
EQD.U
53
DELISTED
Equity Distribution Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-third of one redeemable warrant
EQD.U
$1.03M 0.43%
+100,000
New +$1.04M
FUSE.U
54
DELISTED
Fusion Acquisition Corp. Units, each consisting of one share of Class A common stock, $0.0001 par va
FUSE.U
$1.03M 0.43%
+100,000
New +$1.01M
FAII.U
55
DELISTED
Fortress Value Acquisition Corp. II Units, each consisting of one share of Class A common stock and
FAII.U
$1.03M 0.43%
+100,000
New +$1.03M
CCAC.U
56
DELISTED
CITIC Capital Acquisition Corp. Units, each consisting of one Class A ordinary share, $0.0001 par va
CCAC.U
$1.03M 0.43%
100,000
– –
BOWXU
57
DELISTED
BowX Acquisition Corp. Unit
BOWXU
$1.03M 0.43%
+100,000
New +$1.02M
VSPRU
58
DELISTED
Vesper Healthcare Acquisition Corp. Unit
VSPRU
$1.03M 0.43%
+100,000
New +$1.03M
STPK.U
59
DELISTED
Star Peak Energy Transition Corp. Units, each consisting of one share of Class A common stock, and o
STPK.U
$1.02M 0.43%
+100,000
New +$1.01M
NMMCU
60
DELISTED
North Mountain Merger Corp. Unit
NMMCU
$1.02M 0.43%
+100,000
New +$1.02M
YAC.U
61
DELISTED
Yucaipa Acquisition Corporation Units, each consisting of one Class A ordinary share and one-third o
YAC.U
$1.02M 0.43%
+100,000
New +$1.01M
BFT.U
62
DELISTED
Foley Trasimene Acquisition Corp. II Units, each consisting of one share of Class A common stock, an
BFT.U
$1.02M 0.43%
+100,000
New +$1.02M
TWCTU
63
DELISTED
TWC Tech Holdings II Corp. Unit
TWCTU
$1.01M 0.43%
+100,000
New +$1.01M
MNTS icon
64
Momentus
MNTS
$91.5M
$1.01M 0.42%
+8
New +$995K
GOAC.U
65
DELISTED
GO Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-third of on
GOAC.U
$1.01M 0.42%
+100,000
New +$1M
DEH.U
66
DELISTED
D8 Holdings Corp. Units, each consisting of one Class A ordinary share and one-half of one redeemabl
DEH.U
$1.01M 0.42%
+100,000
New +$1M
NSH.U
67
DELISTED
NavSight Holdings, Inc. Units, each consisting of one share of Class A Common Stock and one-half of
NSH.U
$1.01M 0.42%
+100,000
New +$1M
NHICU
68
DELISTED
NewHold Investment Corp. Unit
NHICU
$1.01M 0.42%
+100,000
New +$996K
TWND.U
69
DELISTED
Tailwind Acquisition Corp. Units, each consisting of one share of Class A common stock and one-half of one warrant
TWND.U
$1M 0.42%
+100,000
New +$1M
STWOU
70
DELISTED
ACON S2 Acquisition Corp Unit
STWOU
$1M 0.42%
+100,000
New +$1M
AEVA
71
Aeva Technologies
AEVA
$1.75B
$1M 0.42%
+20,000
New +$995K
KSMTU
72
DELISTED
Kismet Acquisition One Corp Unit
KSMTU
$1M 0.42%
+100,000
New +$1M
NGA.U
73
DELISTED
Northern Genesis Acquisition Corp. Units, each consisting of one share of common stock and one-half
NGA.U
$999K 0.42%
+100,000
New +$997K
BTAQU
74
DELISTED
Burgundy Technology Acquisition Corporation Unit
BTAQU
$996K 0.42%
+100,000
New +$998K
LATN
75
DELISTED
Union Acquisition Corp. II Ordinary Shares
LATN
$993K 0.42%
100,000
– –
1 2
3
4 5

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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
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RCI
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Cowen Investment Management's Q3 2020 Portfolio in Review

As of Q3 2020, Cowen Investment Management held 113 positions worth $238M, up 52% from $157M the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Cowen Investment Management deployed $70.3M of net new capital in Q3 2020, opening 65 new positions and adding to 6 existing holdings. Its largest new stake was Sprott Physical Gold and Silver Trust: 384,900 shares worth $7.06M.

By sector, the portfolio is most concentrated in Financials at 35% of assets, down from 50% a quarter earlier, followed by Consumer Discretionary and Industrials.

On the sell side, the largest reduction was Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of, an estimated $7.72M trimmed.

  • Cowen Investment Management's largest Q3 2020 buy was Sprott Physical Gold and Silver Trust: 384,900 shares worth $7.06M.
  • Cowen Investment Management added most to Microvast in Q3 2020, an estimated $6.86M increase.
  • Cowen Investment Management's biggest Q3 2020 reduction was Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of, cutting an estimated $7.72M.
  • Cowen Investment Management fully exited Global Blue Group Holding in Q3 2020, selling an estimated $10.8M.
  • Cowen Investment Management's ten largest holdings make up 48% of its $238M portfolio in Q3 2020.
  • Cowen Investment Management opened 65 new positions and closed 10 in Q3 2020.
  • Cowen Investment Management's portfolio value rose 52% quarter-over-quarter to $238M.

Based on Cowen Investment Management's 13F filing for Q3 2020, filed 12 Nov 2020.