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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
+9.88%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$216M
AUM Growth
-$21.4M
Cap. Flow
+$10.8M
Cap. Flow %
4.99%
Top 10 Hldgs %
43.61%
Holding
198
New
95
Increased
4
Reduced
39
Closed
45

Top Buys

Rank Stock Value
1
ARBGU
Aequi Acquisition Corp Unit
ARBGU
+$3.52M
2
ENPC.U
Executive Network Partnering Corporation CAPS, each consisting of one share of Class A common stock, and one-quarter of one redeemable warrant
ENPC.U
+$2.83M
3
MUDSU
Mudrick Capital Acquisition Corporation II Unit
MUDSU
+$2.29M
4
AVAN.U
Avanti Acquisition Corp. Units, each consisting of one Class A ordinary share and one-half of one redeemable warrant
AVAN.U
+$1.78M
5
EMPW.U
Empower Ltd. Units, each consisting of one Class A ordinary share and one-third of one redeemable wa
EMPW.U
+$1.76M

Top Sells

Rank Stock Value
1
MVST icon
Microvast
MVST
+$7.63M
2
CEF icon
Sprott Physical Gold and Silver Trust
CEF
+$7.06M
3
AMCX icon
AMC Global Media
AMCX
+$6.84M
4
ASLE icon
AerSale
ASLE
+$6.14M
5
UN
Unilever NV New York Registry Shares
UN
+$5.58M

Sector Composition

Rank Sector Weight
1 Financials 41.77%
2 Healthcare 1.58%
3 Industrials 1.5%
4 Consumer Discretionary 0.91%
5 Consumer Staples 0.73%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ALUS
76
DELISTED
Alussa Energy Acquisition Corp
ALUS
$1.01M 0.46%
100,000
– –
HPX
77
DELISTED
HPX Corp.
HPX
$1M 0.46%
+100,000
New +$982K
HZAC
78
DELISTED
Horizon Acquisition Corporation
HZAC
$1M 0.46%
+100,000
New +$1M
PRPB.U
79
DELISTED
CC Neuberger Principal Holdings II
PRPB.U
$995K 0.46%
100,000
-75,000
-43% -$771K
SAII
80
DELISTED
Software Acquisition Group Inc. II Class A Common Stock
SAII
$995K 0.46%
+100,000
New +$980K
ACACU
81
DELISTED
Acies Acquisition Corp Unit
ACACU
$965K 0.45%
+90,000
New +$916K
SVACU
82
DELISTED
Starboard Value Acquisition Corp. Unit
SVACU
$927K 0.43%
90,000
-160,000
-64% -$1.63M
DMYI.U
83
DELISTED
dMY Technology Group, Inc. III Units, each consisting of one share of Class A common stock and one-f
DMYI.U
$912K 0.42%
+80,000
New +$840K
LCYAU
84
DELISTED
Landcadia Holdings III, Inc. Unit
LCYAU
$894K 0.41%
+80,000
New +$815K
YTRA icon
85
Yatra Online
YTRA
$56M
$869K 0.4%
450,000
-809,037
-64% -$1.13M
NOACU
86
DELISTED
Natural Order Acquisition Corp. Unit
NOACU
$868K 0.4%
+80,000
New +$854K
TREB.U
87
DELISTED
Trebia Acquisition Corp. Units, each consisting of one Class A Ordinary Share, and one-third of one
TREB.U
$867K 0.4%
75,000
-75,000
-50% -$799K
HZON.U
88
DELISTED
Horizon Acquisition Corporation II Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
HZON.U
$859K 0.4%
+80,000
New +$825K
BTAQU
89
DELISTED
Burgundy Technology Acquisition Corporation Unit
BTAQU
$846K 0.39%
75,000
-25,000
-25% -$255K
FAII.U
90
DELISTED
Fortress Value Acquisition Corp. II Units, each consisting of one share of Class A common stock and
FAII.U
$837K 0.39%
75,000
-25,000
-25% -$260K
RMGBU
91
DELISTED
RMG Acquisition Corp. II Unit
RMGBU
$836K 0.39%
+75,000
New +$799K
BWACU
92
DELISTED
Better World Acquisition Corp. Unit
BWACU
$829K 0.38%
+75,000
New +$773K
CPSR.U
93
DELISTED
Capstar Special Purpose Acquisition Corp. Units, each consisting of one share of Class A Common Stoc
CPSR.U
$814K 0.38%
75,000
– –
NEBCU
94
DELISTED
Nebula Caravel Acquisition Corp. Unit
NEBCU
$810K 0.37%
+75,000
New +$802K
SPRQ.U
95
DELISTED
Spartan Acquisition Corp. II Units, each consisting of one share of Class A common stock, and one-ha
SPRQ.U
$810K 0.37%
+75,000
New +$793K
GRSVU
96
DELISTED
Gores Holdings V, Inc. Unit
GRSVU
$808K 0.37%
75,000
-25,000
-25% -$257K
TWCTU
97
DELISTED
TWC Tech Holdings II Corp. Unit
TWCTU
$806K 0.37%
75,000
-25,000
-25% -$256K
BOWXU
98
DELISTED
BowX Acquisition Corp. Unit
BOWXU
$803K 0.37%
75,000
-25,000
-25% -$257K
GHVIU
99
DELISTED
Gores Holdings VI, Inc. Unit
GHVIU
$795K 0.37%
+75,000
New +$793K
ACND.U
100
DELISTED
Ascendant Digital Acquisition Corp. Units, each consisting of one Class A ordinary share and one-hal
ACND.U
$788K 0.36%
75,000
-25,000
-25% -$262K
2 3
4
5 6

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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 Q4 2020 Portfolio in Review

As of Q4 2020, Cowen Investment Management held 198 positions worth $216M, down 9% from $238M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Cowen Investment Management deployed $10.8M of net new capital in Q4 2020, opening 95 new positions and adding to 4 existing holdings. Its largest new stake was Aequi Acquisition Corp Unit: 350,000 shares worth $3.54M.

By sector, the portfolio is most concentrated in Financials at 42% of assets, up from 35% a quarter earlier, followed by Healthcare and Industrials.

On the sell side, the largest reduction was Unilever, an estimated $2.92M trimmed.

  • Cowen Investment Management's largest Q4 2020 buy was Aequi Acquisition Corp Unit: 350,000 shares worth $3.54M.
  • Cowen Investment Management added most to GO Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-third of on in Q4 2020, an estimated $254K increase.
  • Cowen Investment Management's biggest Q4 2020 reduction was Unilever, cutting an estimated $2.92M.
  • Cowen Investment Management fully exited Microvast in Q4 2020, selling an estimated $7.63M.
  • Cowen Investment Management's ten largest holdings make up 44% of its $216M portfolio in Q4 2020.
  • Cowen Investment Management opened 95 new positions and closed 45 in Q4 2020.
  • Cowen Investment Management's portfolio value fell 9% quarter-over-quarter to $216M.

Based on Cowen Investment Management's 13F filing for Q4 2020, filed 12 Feb 2021.