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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
ALUS
76
DELISTED
Alussa Energy Acquisition Corp
ALUS
$993K 0.42%
100,000
– –
YTRA icon
77
Yatra Online
YTRA
$56M
$944K 0.4%
1,259,037
-9,855
-0.8% -$7.03K
SOAC.U
78
DELISTED
Sustainable Opportunities Acquisition Corp. Units, each consisting of one Class A ordinary share and
SOAC.U
$829K 0.35%
75,000
-25,000
-25% -$264K
AONE.U
79
DELISTED
one Units, each consisting of one Class A ordinary share, and one-fourth of a Warrant to acquire one
AONE.U
$818K 0.34%
+75,000
New +$784K
PCPL.U
80
DELISTED
CC Neuberger Principal Holdings I Units, each consisting of one Class A ordinary share and one-third
PCPL.U
$813K 0.34%
75,000
-50,000
-40% -$537K
CPSR.U
81
DELISTED
Capstar Special Purpose Acquisition Corp. Units, each consisting of one share of Class A Common Stoc
CPSR.U
$765K 0.32%
+75,000
New +$764K
SCPE
82
DELISTED
SC Health Corporation
SCPE
$756K 0.32%
+75,000
New +$758K
PSO icon
83
Pearson
PSO
$9.7B
$711K 0.3%
100,000
– –
MCOM
84
DELISTED
micromobility.com Inc. Class A Common stock
MCOM
$703K 0.3%
+9
New +$681K
SG
85
DELISTED
Sirius International Insurance Group, Ltd. Common Share
SG
$622K 0.26%
+53,764
New +$534K
DGNR.U
86
DELISTED
Dragoneer Growth Opportunities Corp. Units, each consisting of one Class A ordinary share, and one-f
DGNR.U
$613K 0.26%
+50,000
New +$593K
RTP.U
87
DELISTED
Reinvent Technology Partners Units, each consisting of one Class A ordinary share and one-fourth of
RTP.U
$574K 0.24%
+50,000
New +$574K
SPY icon
88
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$809B
$559K 0.24%
48,100
-41,900
-47% -$13.9M
DFHTU
89
DELISTED
Deerfield Healthcare Technology Acquisitions Corp. Unit
DFHTU
$532K 0.22%
+50,000
New +$527K
ACEVU
90
DELISTED
ACE Convergence Acquisition Corp
ACEVU
$513K 0.22%
+50,000
New +$503K
ITACU
91
DELISTED
Industrial Tech Acquisitions, Inc. Unit
ITACU
$500K 0.21%
+50,000
New +$500K
THCA
92
DELISTED
Tuscan Holdings Corp. II Common Stock
THCA
$499K 0.21%
50,000
– –
CLA.U
93
DELISTED
Colonnade Acquisition Corp. Units, each consisting of one Class A ordinary share and one-half of one
CLA.U
$498K 0.21%
+50,000
New +$496K
GLS
94
DELISTED
Gelesis Holdings, Inc.
GLS
$492K 0.21%
+50,000
New +$492K
ALUS.U
95
DELISTED
Alussa Energy Acquisition Corp
ALUS.U
$308K 0.13%
+30,000
New +$308K
NTP
96
DELISTED
Nam Tai Property Inc.
NTP
$289K 0.12%
+30,916
New +$267K
BTRSW
97
DELISTED
BTRS Holdings Inc. Warrants
BTRSW
$210K 0.09%
150,000
– –
PTACW
98
DELISTED
PropTech Acquisition Corporation Warrant
PTACW
$164K 0.07%
100,000
-50,000
-33% -$81.2K
SPAQ.U
99
DELISTED
Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of
SPAQ.U
$162K 0.07%
10,000
-515,000
-98% -$7.72M
EBIX
100
PUT
DELISTED
Ebix Inc
EBIX
$96K 0.04%
118,500
+93,500
+374% +$2.08M
1 2 3
4
5

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AMG
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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 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.