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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
-18.46%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$174M
AUM Growth
-$135M
Cap. Flow
-$73.3M
Cap. Flow %
-42.03%
Top 10 Hldgs %
89.85%
Holding
110
New
15
Increased
4
Reduced
11
Closed
69

Top Buys

Rank Stock Value
1
SMFG icon
Sumitomo Mitsui Financial
SMFG
+$70.9M
2
HPK icon
HighPeak Energy
HPK
+$23.9M
3
HSBC icon
HSBC
HSBC
+$9.03M
4
MFG icon
Mizuho Financial
MFG
+$5.41M
5
YTRA icon
Yatra Online
YTRA
+$2.37M

Top Sells

Rank Stock Value
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

Rank Sector Weight
1 Financials 46.79%
2 Energy 27.7%
3 Communication Services 11.58%
4 Consumer Staples 3.61%
5 Healthcare 1.29%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GXGXU
76
DELISTED
GX Acquisiton Corp. Unit
GXGXU
– –
-300,000
Closed -$3.11M
ALUS.U
77
DELISTED
Alussa Energy Acquisition Corp
ALUS.U
– –
-200,000
Closed -$2.02M
SSPKU
78
DELISTED
Silver Spike Acquisition Corp. Units
SSPKU
– –
-200,000
Closed -$2.03M
CCX.U
79
DELISTED
Churchill Capital Corp II
CCX.U
– –
-200,000
Closed -$2.16M
THBR
80
DELISTED
Thunder Bridge Acquisition II, Ltd. Class A Ordinary Shares
THBR
– –
-250,000
Closed -$2.47M
JIH.U
81
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
82
DELISTED
Leisure Acquisition Corp. Unit
LACQU
– –
-137,000
Closed -$1.49M
CIICU
83
DELISTED
CIIG Merger Corp. Units
CIICU
– –
-200,000
Closed -$2.03M
ACAMU
84
DELISTED
Acamar Partners Acquisition Corp Units
ACAMU
– –
-201,000
Closed -$2.05M
MFAC.U
85
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
86
DELISTED
RMG Acquisition Corp.
RMG.U
– –
-199,000
Closed -$2.02M
LCAHU
87
DELISTED
Landcadia Holdings II, Inc. Unit
LCAHU
– –
-231,300
Closed -$2.34M
PTACU
88
DELISTED
PropTech Acquisition Corporation Unit
PTACU
– –
-300,000
Closed -$3.08M
HCACU
89
DELISTED
Hennessy Capital Acquisition Corp. IV Unit
HCACU
– –
-85,000
Closed -$927K
GLIBA
90
DELISTED
GCI Liberty, Inc. Class A Common Stock (DE)
GLIBA
– –
-72,238
Closed -$5.12M
HCCH
91
DELISTED
HL Acquisitions Corp. Ordinary Shares
HCCH
– –
-150,000
Closed -$1.55M
TRNE.U
92
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
93
DELISTED
Gores Metropoulos, Inc. Unit
GMHIU
– –
-302,000
Closed -$3.21M
NFINU
94
DELISTED
Netfin Acquisition Corp. Unit
NFINU
– –
-150,000
Closed -$1.53M
HCCOU
95
DELISTED
Healthcare Merger Corp. Units
HCCOU
– –
-250,000
Closed -$2.59M
DPHCU
96
DELISTED
DiamondPeak Holdings Corp. Units
DPHCU
– –
-520,000
Closed -$5.33M
FTACU
97
DELISTED
FinTech Acquisition Corp. III Unit
FTACU
– –
-260,000
Closed -$2.81M
FMCIU
98
DELISTED
Forum Merger II Corporation Unit
FMCIU
– –
-369,052
Closed -$3.96M
SAQNU
99
DELISTED
Software Acquisition Group Inc. Unit
SAQNU
– –
-250,000
Closed -$2.54M
SHLL.U
100
DELISTED
Tortoise Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half
SHLL.U
– –
-300,000
Closed -$3.05M
1 2 3
4
5

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B
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XS
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AH
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MFAM
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ZIMP
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RCI
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Cowen Investment Management's Q1 2020 Portfolio in Review

As of Q1 2020, Cowen Investment Management held 110 positions worth $174M, down 44% from $310M the previous quarter. Its ten largest holdings account for 90% of the portfolio.

Cowen Investment Management withdrew a net $73.3M in Q1 2020, closing 69 positions and reducing 11 holdings. Its most notable exit was BP, an estimated $22.7M position sold in full.

By sector, the portfolio is most concentrated in Financials at 47% of assets, up from 14% a quarter earlier, followed by Energy and Communication Services.

Against the trend, Cowen Investment Management opened a new position in Sumitomo Mitsui Financial worth $52.7M.

  • Cowen Investment Management's largest Q1 2020 buy was Sumitomo Mitsui Financial: 11,000,000 shares worth $52.7M.
  • Cowen Investment Management added most to HighPeak Energy in Q1 2020, an estimated $23.9M increase.
  • Cowen Investment Management's biggest Q1 2020 reduction was Lloyds Banking Group, cutting an estimated $4.76M.
  • Cowen Investment Management fully exited BP in Q1 2020, selling an estimated $22.7M.
  • Cowen Investment Management's ten largest holdings make up 90% of its $174M portfolio in Q1 2020.
  • Cowen Investment Management opened 15 new positions and closed 69 in Q1 2020.
  • Cowen Investment Management's portfolio value fell 44% quarter-over-quarter to $174M.

Based on Cowen Investment Management's 13F filing for Q1 2020, filed 14 May 2020.