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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
HIGA.U
101
DELISTED
H.I.G. Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
HIGA.U
$782K 0.36%
+75,000
New +$758K
RAACU
102
DELISTED
Revolution Acceleration Acquisition Corp Unit
RAACU
$781K 0.36%
+75,000
New +$777K
DBDRU
103
DELISTED
Roman DBDR Tech Acquisition Corp. Unit
DBDRU
$780K 0.36%
+75,000
New +$775K
NSH.U
104
DELISTED
NavSight Holdings, Inc. Units, each consisting of one share of Class A Common Stock and one-half of
NSH.U
$773K 0.36%
75,000
-25,000
-25% -$254K
SCPE
105
DELISTED
SC Health Corporation
SCPE
$769K 0.36%
75,000
– –
PMVC
106
DELISTED
PMV Consumer Acquisition Corp.
PMVC
$761K 0.35%
+75,000
New +$740K
SG
107
DELISTED
Sirius International Insurance Group, Ltd. Common Share
SG
$725K 0.34%
58,000
+4,236
+8% +$49.7K
MCOM
108
DELISTED
micromobility.com Inc. Class A Common stock
MCOM
$722K 0.33%
9
– –
DSAC
109
DELISTED
Duddell Street Acquisition Corp. Class A Ordinary Shares
DSAC
$697K 0.32%
+70,000
New +$691K
QELLU
110
DELISTED
Qell Acquisition Corp. Unit
QELLU
$663K 0.31%
50,000
-100,000
-67% -$1.12M
IACA.U
111
DELISTED
ION Acquisition Corp 1 Ltd. Units, each consisting of one Class A ordinary share and one-fifth of on
IACA.U
$604K 0.28%
+50,000
New +$549K
SPNV.U
112
DELISTED
Supernova Partners Acquisition Company, Inc. Units, each consisting of one share of Class A common s
SPNV.U
$581K 0.27%
+50,000
New +$530K
RBAC.U
113
DELISTED
RedBall Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one
RBAC.U
$578K 0.27%
50,000
-200,000
-80% -$2.2M
CCAC.U
114
DELISTED
CITIC Capital Acquisition Corp. Units, each consisting of one Class A ordinary share, $0.0001 par va
CCAC.U
$571K 0.26%
50,000
-50,000
-50% -$539K
BHSEU
115
DELISTED
Bull Horn Holdings Corp. Unit
BHSEU
$569K 0.26%
+50,000
New +$507K
AONE.U
116
DELISTED
one Units, each consisting of one Class A ordinary share, and one-fourth of a Warrant to acquire one
AONE.U
$569K 0.26%
50,000
-25,000
-33% -$268K
UL icon
117
Unilever
UL
$133B
$561K 0.26%
8,263
-43,001
-84% -$2.92M
SPFR.U
118
DELISTED
JAWS Spitfire Acquisition Corp Units, each consisting of one Class A ordinary share, and one-fourth
SPFR.U
$553K 0.26%
+50,000
New +$541K
XPOA.U
119
DELISTED
DPCM Capital, Inc. Units, each consisting of one share of Class A common stock and one-third of one
XPOA.U
$551K 0.25%
+50,000
New +$516K
RBAC
120
DELISTED
RedBall Acquisition Corp.
RBAC
$545K 0.25%
+50,000
New +$521K
SPY icon
121
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$809B
$539K 0.25%
160,000
+111,900
+233% +$39.7M
TWND.U
122
DELISTED
Tailwind Acquisition Corp. Units, each consisting of one share of Class A common stock and one-half of one warrant
TWND.U
$539K 0.25%
50,000
-50,000
-50% -$513K
ITACU
123
DELISTED
Industrial Tech Acquisitions, Inc. Unit
ITACU
$538K 0.25%
50,000
– –
SNCE
124
DELISTED
Science 37 Holdings, Inc. Common Stock
SNCE
$534K 0.25%
+2,500
New +$520K
FCACU
125
DELISTED
Falcon Capital Acquisition Corp. Unit
FCACU
$534K 0.25%
+50,000
New +$518K
3 4
5
6 7

Similar funds

SFG
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
Ridgeback Capital Investments Miami Beach, Florida $560K AUM

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.