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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
+2.04%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$341M
AUM Growth
–
Cap. Flow
+$442M
Cap. Flow %
129.56%
Top 10 Hldgs %
49.26%
Holding
95
New
95
Increased
–
Reduced
–
Closed
–

Top Buys

Rank Stock Value
1
TD icon
Toronto Dominion Bank
TD
+$56.8M
2
LYG icon
Lloyds Banking Group
LYG
+$20.5M
3
VOD icon
Vodafone
VOD
+$18.1M
4
HPK icon
HighPeak Energy
HPK
+$17.6M
5
BRMK
Broadmark Realty Capital Inc. Common Stock
BRMK
+$15.5M

Top Sells

No sells this quarter

Sector Composition

Rank Sector Weight
1 Financials 33.75%
2 Communication Services 12.59%
3 Energy 7.8%
4 Real Estate 4.57%
5 Consumer Discretionary 4.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ALDR
76
DELISTED
Alder Biopharmaceuticals
ALDR
$472K 0.14%
+25,000
New +$286K
SINA
77
DELISTED
Sina Corp
SINA
$392K 0.11%
+10,000
New +$408K
DSX icon
78
Diana Shipping
DSX
$294M
$363K 0.11%
+153,617
New +$366K
UA icon
79
Under Armour Class C
UA
$2.23B
$350K 0.1%
+19,314
New +$381K
GB
80
DELISTED
Global Blue Group Holding
GB
$256K 0.08%
+25,000
New +$256K
IPOA.WS
81
DELISTED
Social Capital Hedosophia Holdings Corp. Warrants, each whole warrant exercisable for one Class A Or
IPOA.WS
$183K 0.05%
+73,233
New +$135K
MUDSW
82
DELISTED
Mudrick Capital Acquisition Corporation Warrant
MUDSW
$158K 0.05%
+250,000
New +$145K
ENIA
83
PUT
DELISTED
Enel Amricas S.A. American Depositary Shares (Each representing 50 shares of Common Stock)
ENIA
$154K 0.05%
+44,600
New +$376K
LGC.WS
84
DELISTED
Legacy Acquisition Corp. Warrants, exercisable for one-half of one share of Class A Common Stock for
LGC.WS
$140K 0.04%
+400,000
New +$135K
GLD icon
85
PUT
SPDR Gold Trust
GLD
$143B
$106K 0.03%
+45,000
New +$6.26M
CCH.WS
86
DELISTED
Collier Creek Holdings Warrants, each whole warrant exercisable for one Class A ordinary share at an
CCH.WS
$87K 0.03%
+66,666
New +$87.1K
SLV icon
87
PUT
iShares Silver Trust
SLV
$31.5B
$58K 0.02%
+150,000
New +$2.39M
IWM icon
88
CALL
iShares Russell 2000 ETF
IWM
$81.8B
$41K 0.01%
+125,000
New +$19.1M
MOSC.WS
89
DELISTED
Mosaic Acquisition Corp. Warrants, each exercisable for one Class A Common Stock at an exercise pric
MOSC.WS
$29K 0.01%
+25,000
New +$27.8K
LTM
90
PUT
DELISTED
LATAM Airlines Group S.A American Depositary Shares (Each representing 1 Common Share)
LTM
$17K 0.01%
+74,800
New +$688K
TKKSR
91
DELISTED
TKK Symphony Acquisition Corporation Right
TKKSR
$16K ﹤0.01%
+57,500
New +$12.3K
TKKSW
92
DELISTED
TKK Symphony Acquisition Corporation Warrant
TKKSW
$5K ﹤0.01%
+57,500
New +$5.28K
ALDR
93
PUT
DELISTED
Alder Biopharmaceuticals
ALDR
$4K ﹤0.01%
+25,000
New +$286K
QQQ icon
94
CALL
Invesco QQQ Trust
QQQ
$478B
$2K ﹤0.01%
+100,000
New +$19M
ALDR
95
CALL
DELISTED
Alder Biopharmaceuticals
ALDR
$1K ﹤0.01%
+15,100
New +$173K
1 2 3
4

Similar funds

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 Q3 2019 Portfolio in Review

Q3 2019 is the first quarter with a 13F filing on record for Cowen Investment Management, which disclosed 95 positions worth $341M. Its ten largest holdings account for 49% of the portfolio.

Its largest position is Toronto Dominion Bank: 1,000,000 shares worth $58.3M.

By sector, the portfolio is most concentrated in Financials at 34% of assets, followed by Communication Services and Energy.

  • Cowen Investment Management's largest Q3 2019 buy was Toronto Dominion Bank: 1,000,000 shares worth $58.3M.
  • Cowen Investment Management's ten largest holdings make up 49% of its $341M portfolio in Q3 2019.
  • Cowen Investment Management disclosed 95 positions in Q3 2019, its first 13F filing on record.

Based on Cowen Investment Management's 13F filing for Q3 2019, filed 15 Nov 2019.