CIM

Cowen Investment Management Portfolio holdings

AUM $12M
This Quarter Return
+1.33%
1 Year Return
-1.47%
3 Year Return
+1.83%
5 Year Return
-37.73%
10 Year Return
–
AUM
$236M
AUM Growth
+$236M
Cap. Flow
+$76.8M
Cap. Flow %
32.54%
Top 10 Hldgs %
48.4%
Holding
112
New
64
Increased
5
Reduced
12
Closed
10

Top Buys

1
CEF icon
Sprott Physical Gold and Silver Trust
CEF
$7.06M
2
MVST icon
Microvast
MVST
$6.87M
3
AMCX icon
AMC Networks
AMCX
$6.85M
4
ASLE icon
AerSale
ASLE
$6.14M
5
CCIV.U
Churchill Capital Corp IV Units, each consisting of one share of Class A common stock and one-fifth
CCIV.U
$4.01M

Top Sells

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
$8.34M
3
SPRU icon
Spruce Power Holding Corp
SPRU
$5.78M
4
GRNVU
GreenVision Acquisition Corp Unit
GRNVU
$3.62M
5
UL icon
Unilever
UL
$3.56M

Sector Composition

1 Financials 35.39%
2 Consumer Discretionary 6.44%
3 Industrials 3.33%
4 Communication Services 3.2%
5 Technology 2.57%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
GB
101
DELISTED
Global Blue Group Holding
GB
– – -1,050,000 Closed -$10.8M
SPRU icon
102
Spruce Power Holding Corp
SPRU
$25.9M
– – -569,204 Closed -$5.78M
SPY icon
103
SPDR S&P 500 ETF Trust
SPY
$658B
– – 0 – –
DM
104
DELISTED
Desktop Metal, Inc.
DM
– – -100,000 Closed -$1.05M
CHNGU
105
DELISTED
Change Healthcare Inc. Tangible Equity Units
CHNGU
– – -5,800 Closed -$251K
GRNVU
106
DELISTED
GreenVision Acquisition Corp Unit
GRNVU
– – -350,000 Closed -$3.62M
DMYT.U
107
DELISTED
dMY Technology Group, Inc. Units, each consisting of one share of Class A Common Stock and one-half
DMYT.U
– – -100,000 Closed -$1.06M
DPHCW
108
DELISTED
DiamondPeak Holdings Corp. Warrant
DPHCW
– – -400,000 Closed -$704K
CCH.WS
109
DELISTED
Collier Creek Holdings Warrants, each whole warrant exercisable for one Class A ordinary share at an
CCH.WS
– – -66,666 Closed -$217K
FPAC.WS
110
DELISTED
Far Point Acquisition Corporation Warrants, exercisable for one share of Class A Common Stock for $1
FPAC.WS
– – -100,000 Closed -$50K
TERP
111
DELISTED
TerraForm Power, Inc
TERP
– – -36,094 Closed -$666K
EBIX
112
DELISTED
Ebix Inc
EBIX
– – 0 – –
1 2 3 4
5