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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
-40.67%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$60.7M
AUM Growth
-$325M
Cap. Flow
+$21.6M
Cap. Flow %
35.61%
Top 10 Hldgs %
99.63%
Holding
255
New
50
Increased
5
Reduced
9
Closed
32

Top Buys

Rank Stock Value
1
PTRA
Proterra Inc. Common Stock
PTRA
+$70.4M
2
AACIU
Armada Acquisition Corp. I Unit
AACIU
+$12.2M
3
YSAC
Yellowstone Acquisition Company
YSAC
+$9.96M
4
AUR icon
Aurora
AUR
+$9.89M
5
DGNS
Dragoneer Growth Opportunities Corp. II Class A Ordinary Shares
DGNS
+$4.12M

Top Sells

Rank Stock Value
1
PTRAW
Proterra Inc. Warrant
PTRAW
+$65.5M
2
AZN icon
AstraZeneca
AZN
+$44.9M
3
ALXN
Alexion Pharmaceuticals
ALXN
+$3.67M
4
SLCRU
Silver Crest Acquisition Corporation Unit
SLCRU
+$3.67M
5
SHPW
Shapeways Holdings, Inc. Common Stock
SHPW
+$2.4M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 99.43%
2 Financials 0.22%
3 Communication Services 0.02%
4 Industrials 0.02%
5 Healthcare 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FLME.U
51
DELISTED
Flame Acquisition Corp. Units, each consisting of one share of Class A Common Stock, and one-half of one Warrant
FLME.U
$1.51K ﹤0.01%
150,000
– –
FSSIU
52
DELISTED
Fortistar Sustainable Solutions Corp. Unit
FSSIU
$1.51K ﹤0.01%
150,000
– –
JCICU
53
DELISTED
Jack Creek Investment Corp. Units
JCICU
$1.51K ﹤0.01%
150,000
– –
TCACU
54
DELISTED
Tuatara Capital Acquisition Corporation Unit
TCACU
$1.5K ﹤0.01%
150,000
– –
CHPM
55
DELISTED
CHP Merger Corp. Class A Common Stock
CHPM
$1.5K ﹤0.01%
+150,000
New +$1.5M
MAQC
56
DELISTED
Maquia Capital Acquisition Corporation Class A Common Stock
MAQC
$1.5K ﹤0.01%
+150,000
New +$1.49M
BITE.U
57
DELISTED
Bite Acquisition Corp. Units, each consisting of one share of common stock, and one-half of one redeemable warrant
BITE.U
$1.5K ﹤0.01%
150,000
– –
TRTL.U
58
DELISTED
TortoiseEcofin Acquisition Corp. III Units each consisting of one Class A Ordinary Share, and one-fourth of one redeemable warrant
TRTL.U
$1.49K ﹤0.01%
+150,000
New +$1.5M
FPAC
59
DELISTED
Far Peak Acquisition Corporation
FPAC
$1.49K ﹤0.01%
150,000
-25,000
-14% -$249K
AMCIU
60
DELISTED
AMCI Acquisition Corp II Units
AMCIU
$1.49K ﹤0.01%
+150,000
New +$1.48M
DWIN.U
61
DELISTED
Delwinds Insurance Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-half of one redeemable warrant
DWIN.U
$1.48K ﹤0.01%
150,000
– –
LHC.U
62
DELISTED
Leo Holdings Corp. II Units, each consisting of one Class A ordinary share and one-quarter of one redeemable warrant
LHC.U
$1.48K ﹤0.01%
150,000
– –
EQD
63
DELISTED
Equity Distribution Acquisition Corp.
EQD
$1.47K ﹤0.01%
150,000
– –
FSNB.U
64
DELISTED
Fusion Acquisition Corp. II Units, each consisting of one share of Class A common stock and one-third of one redeemable warrant
FSNB.U
$1.46K ﹤0.01%
150,000
– –
BIOTU
65
DELISTED
Biotech Acquisition Company Unit
BIOTU
$1.25K ﹤0.01%
125,000
– –
EQRX
66
DELISTED
EQRx, Inc. Common Stock
EQRX
$1.24K ﹤0.01%
+125,000
New +$1.25M
RCHG
67
DELISTED
Recharge Acquisition Corp. Class A Common Stock
RCHG
$1.24K ﹤0.01%
125,000
– –
FACA
68
DELISTED
Figure Acquisition Corp. I
FACA
$1.23K ﹤0.01%
+125,000
New +$1.23M
ENPC
69
DELISTED
Executive Network Partnering Corporation
ENPC
$1.23K ﹤0.01%
125,000
– –
AISP
70
Airship AI Holdings
AISP
$70.9M
$1.21K ﹤0.01%
+125,000
New +$1.21M
BCYPU
71
DELISTED
Big Cypress Acquisition Corp. Unit
BCYPU
$1.11K ﹤0.01%
100,000
– –
LMAOU
72
DELISTED
LMF Acquisition Opportunities Inc. Unit
LMAOU
$1.05K ﹤0.01%
100,000
– –
PPGHU
73
DELISTED
Poema Global Holdings Corp. Unit
PPGHU
$1.03K ﹤0.01%
100,000
– –
EDTXU
74
DELISTED
EdtechX Holdings Acquisition Corp. II Unit
EDTXU
$1.02K ﹤0.01%
100,000
– –
GIGGU
75
DELISTED
GigCapital4, Inc. Unit
GIGGU
$1.02K ﹤0.01%
100,000
– –
1 2
3
4 5

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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 2021 Portfolio in Review

As of Q3 2021, Cowen Investment Management held 255 positions worth $60.7M, down 84% from $385M the previous quarter. Its ten largest holdings account for 100% of the portfolio.

Cowen Investment Management deployed $21.6M of net new capital in Q3 2021, opening 50 new positions and adding to 5 existing holdings. Its largest new stake was Proterra Inc. Common Stock: 6,228,685 shares worth $60.3M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 99% of assets, up from 0.62% a quarter earlier, followed by Financials and Communication Services.

On the sell side, the largest reduction was Shapeways Holdings, Inc. Common Stock, an estimated $2.4M trimmed.

  • Cowen Investment Management's largest Q3 2021 buy was Proterra Inc. Common Stock: 6,228,685 shares worth $60.3M.
  • Cowen Investment Management added most to Symbotic in Q3 2021, an estimated $3.44M increase.
  • Cowen Investment Management's biggest Q3 2021 reduction was Shapeways Holdings, Inc. Common Stock, cutting an estimated $2.4M.
  • Cowen Investment Management fully exited Proterra Inc. Warrant in Q3 2021, selling an estimated $65.5M.
  • Cowen Investment Management's ten largest holdings make up 100% of its $60.7M portfolio in Q3 2021.
  • Cowen Investment Management opened 50 new positions and closed 32 in Q3 2021.
  • Cowen Investment Management's portfolio value fell 84% quarter-over-quarter to $60.7M.

Based on Cowen Investment Management's 13F filing for Q3 2021, filed 15 Nov 2021.