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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
+3.5%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$259M
AUM Growth
+$42.1M
Cap. Flow
+$90.2M
Cap. Flow %
34.9%
Top 10 Hldgs %
47.08%
Holding
283
New
130
Increased
2
Reduced
34
Closed
100

Top Buys

Rank Stock Value
1
AZN icon
AstraZeneca
AZN
+$12.6M
2
CEF icon
Sprott Physical Gold and Silver Trust
CEF
+$4.13M
3
SLCRU
Silver Crest Acquisition Corporation Unit
SLCRU
+$3.73M
4
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$3.53M
5
THMAU
Thimble Point Acquisition Corp. Unit
THMAU
+$3.06M

Top Sells

Rank Stock Value
1
ERESU
East Resources Acquisition Company Unit
ERESU
+$2.91M
2
CCIV.U
Churchill Capital Corp IV Units, each consisting of one share of Class A common stock and one-fifth
CCIV.U
+$2.58M
3
AHACU
Alpha Healthcare Acquisition Corp Unit
AHACU
+$2.11M
4
AVAN.U
Avanti Acquisition Corp. Units, each consisting of one Class A ordinary share and one-half of one redeemable warrant
AVAN.U
+$1.9M
5
EMPW.U
Empower Ltd. Units, each consisting of one Class A ordinary share and one-third of one redeemable wa
EMPW.U
+$1.82M

Sector Composition

Rank Sector Weight
1 Financials 41.16%
2 Healthcare 6.5%
3 Communication Services 1.47%
4 Technology 1.42%
5 Materials 0.96%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
OSTRU
76
DELISTED
Oyster Enterprises Acquisition Corp. Unit
OSTRU
$989K 0.38%
+100,000
New +$1.01M
GIGGU
77
DELISTED
GigCapital4, Inc. Unit
GIGGU
$987K 0.38%
+100,000
New +$1.01M
PGRWU
78
DELISTED
Progress Acquisition Corp. Units
PGRWU
$985K 0.38%
+100,000
New +$1.01M
HPX
79
DELISTED
HPX Corp.
HPX
$982K 0.38%
100,000
– –
HCIIU
80
DELISTED
Hudson Executive Investment Corp. II Unit
HCIIU
$981K 0.38%
+100,000
New +$1.04M
LHC
81
DELISTED
Leo Holdings Corp. II
LHC
$972K 0.38%
+100,000
New +$981K
CYXT
82
DELISTED
Cyxtera Technologies, Inc. Class A Common Stock
CYXT
$941K 0.36%
+94,794
New +$994K
SNCE
83
DELISTED
Science 37 Holdings, Inc. Common Stock
SNCE
$938K 0.36%
4,625
+2,125
+85% +$462K
OTRAU
84
DELISTED
OTR Acquisition Corp. Unit
OTRAU
$937K 0.36%
90,000
-10,000
-10% -$106K
CTAQU
85
DELISTED
Carney Technology Acquisition Corp. II Units
CTAQU
$855K 0.33%
85,000
-15,000
-15% -$157K
GSQD.U
86
DELISTED
G Squared Ascend I Inc. Units, each consisting of one Class A ordinary share and one-fifth of one Warrant to acquire one Class A ordinary share
GSQD.U
$850K 0.33%
+85,000
New +$883K
BURU
87
DELISTED
NUBURU INC
BURU
$794K 0.31%
401
-351
-47% -$735K
MACUU
88
DELISTED
Mallard Acquisition Corp. Unit
MACUU
$755K 0.29%
75,000
-25,000
-25% -$269K
DMYQ.U
89
DELISTED
dMY Technology Group, Inc. IV Units, each consisting of one share of Class A common stock and one-fi
DMYQ.U
$753K 0.29%
+75,000
New +$764K
EPHYU
90
DELISTED
Epiphany Technology Acquisition Corp. Unit
EPHYU
$752K 0.29%
+75,000
New +$788K
HCARU
91
DELISTED
Healthcare Services Acquisition Corporation Unit
HCARU
$752K 0.29%
75,000
-25,000
-25% -$265K
PMGMU
92
DELISTED
Priveterra Acquisition Corp. Units
PMGMU
$746K 0.29%
+75,000
New +$759K
HIIIU
93
DELISTED
Hudson Executive Investment Corp. III Unit
HIIIU
$744K 0.29%
+75,000
New +$754K
GBTG icon
94
American Express Global Business Travel
GBTG
$4.93B
$743K 0.29%
+75,000
New +$786K
KLAQU
95
DELISTED
KL Acquisition Corp Unit
KLAQU
$743K 0.29%
+75,000
New +$769K
YAC
96
DELISTED
Yucaipa Acquisition Corporation Class A Ordinary Shares
YAC
$739K 0.29%
+75,000
New +$776K
ENPC
97
DELISTED
Executive Network Partnering Corporation
ENPC
$729K 0.28%
+75,000
New +$752K
PMVC
98
DELISTED
PMV Consumer Acquisition Corp.
PMVC
$728K 0.28%
75,000
– –
SGAMU
99
DELISTED
Seaport Global Acquisition Corp. Unit
SGAMU
$723K 0.28%
70,000
-55,000
-44% -$587K
CND.U
100
DELISTED
Concord Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of one Warrant
CND.U
$718K 0.28%
70,000
-80,000
-53% -$849K
2 3
4
5 6

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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
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Cowen Investment Management's Q1 2021 Portfolio in Review

As of Q1 2021, Cowen Investment Management held 283 positions worth $259M, up 19% from $216M the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Cowen Investment Management deployed $90.2M of net new capital in Q1 2021, opening 130 new positions and adding to 2 existing holdings. Its largest new stake was AstraZeneca: 125,200 shares worth $12.4M.

By sector, the portfolio is most concentrated in Financials at 41% of assets, down from 42% a quarter earlier, followed by Healthcare and Communication Services.

On the sell side, the largest reduction was Executive Network Partnering Corporation CAPS, each consisting of one share of Class A common stock, and one-quarter of one redeemable warrant, an estimated $1.56M trimmed.

  • Cowen Investment Management's largest Q1 2021 buy was AstraZeneca: 125,200 shares worth $12.4M.
  • Cowen Investment Management added most to CBRE Acquisition Holdings, Inc. SAIL securities, each consisting of one share of Class A common stoc in Q1 2021, an estimated $529K increase.
  • Cowen Investment Management's biggest Q1 2021 reduction was Executive Network Partnering Corporation CAPS, each consisting of one share of Class A common stock, and one-quarter of one redeemable warrant, cutting an estimated $1.56M.
  • Cowen Investment Management fully exited East Resources Acquisition Company Unit in Q1 2021, selling an estimated $2.91M.
  • Cowen Investment Management's ten largest holdings make up 47% of its $259M portfolio in Q1 2021.
  • Cowen Investment Management opened 130 new positions and closed 100 in Q1 2021.
  • Cowen Investment Management's portfolio value rose 19% quarter-over-quarter to $259M.

Based on Cowen Investment Management's 13F filing for Q1 2021, filed 14 May 2021.