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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
-40.67%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$60.7M
AUM Growth
-$325M
Cap. Flow
+$21.6M
Cap. Flow %
35.61%
Top 10 Hldgs %
99.63%
Holding
255
New
50
Increased
5
Reduced
9
Closed
32

Top Buys

Rank Stock Value
1
PTRA
Proterra Inc. Common Stock
PTRA
+$70.4M
2
AACIU
Armada Acquisition Corp. I Unit
AACIU
+$12.2M
3
YSAC
Yellowstone Acquisition Company
YSAC
+$9.96M
4
AUR icon
Aurora
AUR
+$9.89M
5
DGNS
Dragoneer Growth Opportunities Corp. II Class A Ordinary Shares
DGNS
+$4.12M

Top Sells

Rank Stock Value
1
PTRAW
Proterra Inc. Warrant
PTRAW
+$65.5M
2
AZN icon
AstraZeneca
AZN
+$44.9M
3
ALXN
Alexion Pharmaceuticals
ALXN
+$3.67M
4
SLCRU
Silver Crest Acquisition Corporation Unit
SLCRU
+$3.67M
5
SHPW
Shapeways Holdings, Inc. Common Stock
SHPW
+$2.4M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 99.43%
2 Financials 0.22%
3 Communication Services 0.02%
4 Industrials 0.02%
5 Healthcare 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HCIIU
101
DELISTED
Hudson Executive Investment Corp. II Unit
HCIIU
$994 ﹤0.01%
100,000
– –
TZPSU
102
DELISTED
TZP Strategies Acquisition Corp. Unit
TZPSU
$993 ﹤0.01%
100,000
– –
POWRU
103
DELISTED
Powered Brands Units
POWRU
$992 ﹤0.01%
100,000
– –
OEPWU
104
DELISTED
One Equity Partners Open Water I Corp. Unit
OEPWU
$992 ﹤0.01%
100,000
– –
AAC.U
105
DELISTED
Ares Acquisition Corporation Units, each consisting of one Class A ordinary share, and one-fifth of one redeemable warrant
AAC.U
$990 ﹤0.01%
100,000
– –
VGII.U
106
DELISTED
Virgin Group Acquisition Corp. II Units, each consisting of one Class A ordinary share and one-fifth
VGII.U
$990 ﹤0.01%
100,000
– –
GPACU
107
DELISTED
Global Partner Acquisition Corp II Unit
GPACU
$989 ﹤0.01%
100,000
– –
SPTKU
108
DELISTED
SportsTek Acquisition Corp. Unit
SPTKU
$989 ﹤0.01%
100,000
– –
SCLEU
109
DELISTED
Broadscale Acquisition Corp. Units
SCLEU
$989 ﹤0.01%
100,000
– –
CVIIU
110
DELISTED
Churchill Capital Corp VII Units
CVIIU
$988 ﹤0.01%
100,000
– –
LGACU
111
DELISTED
Lazard Growth Acquisition Corp. I Units
LGACU
$988 ﹤0.01%
100,000
– –
BOAS.U
112
DELISTED
BOA Acquisition Corp. Units, each consisting of one share of Class A common stock, and one third of one redeemable warrant
BOAS.U
$988 ﹤0.01%
100,000
– –
TSPQ.U
113
DELISTED
TCW Special Purpose Acquisition Corp. Units, each consisting of one share of Class A common stock and one-third of one redeemable warrant
TSPQ.U
$985 ﹤0.01%
100,000
– –
FVIV.U
114
DELISTED
Fortress Value Acquisition Corp. IV Units, each consisting of one share of Class A common stock and one-eighth of one redeemable Warrant
FVIV.U
$985 ﹤0.01%
100,000
– –
HPX
115
DELISTED
HPX Corp.
HPX
$984 ﹤0.01%
100,000
– –
ISLE
116
DELISTED
Isleworth Healthcare Acquisition Corporation Common stock
ISLE
$983 ﹤0.01%
100,000
– –
CPTK.U
117
DELISTED
Crown PropTech Acquisitions Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
CPTK.U
$982 ﹤0.01%
100,000
– –
PRPB
118
DELISTED
CC Neuberger Principal Holdings II Class A Ordinary Shares
PRPB
$982 ﹤0.01%
100,000
– –
IPVIU
119
DELISTED
InterPrivate IV InfraTech Partners Inc. Units
IPVIU
$981 ﹤0.01%
100,000
– –
GOAC
120
DELISTED
GO Acquisition Corp. Class A Common Stock
GOAC
$981 ﹤0.01%
100,000
– –
FCAX.U
121
DELISTED
Fortress Capital Acquisition Corp. Units, each consisting of one Class A ordinary share and one-fifth of one Warrant
FCAX.U
$980 ﹤0.01%
100,000
– –
AFAQU
122
DELISTED
AF Acquisition Corp Units
AFAQU
$980 ﹤0.01%
100,000
– –
XPOA
123
DELISTED
DPCM Capital, Inc.
XPOA
$977 ﹤0.01%
100,000
– –
JWSM
124
DELISTED
Jaws Mustang Acquisition Corp.
JWSM
$976 ﹤0.01%
100,000
– –
GFX
125
DELISTED
Golden Falcon Acquisition Corp.
GFX
$975 ﹤0.01%
100,000
– –
3 4
5
6 7

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AMG
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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 2021 Portfolio in Review

As of Q3 2021, Cowen Investment Management held 255 positions worth $60.7M, down 84% from $385M the previous quarter. Its ten largest holdings account for 100% of the portfolio.

Cowen Investment Management deployed $21.6M of net new capital in Q3 2021, opening 50 new positions and adding to 5 existing holdings. Its largest new stake was Proterra Inc. Common Stock: 6,228,685 shares worth $60.3M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 99% of assets, up from 0.62% a quarter earlier, followed by Financials and Communication Services.

On the sell side, the largest reduction was Shapeways Holdings, Inc. Common Stock, an estimated $2.4M trimmed.

  • Cowen Investment Management's largest Q3 2021 buy was Proterra Inc. Common Stock: 6,228,685 shares worth $60.3M.
  • Cowen Investment Management added most to Symbotic in Q3 2021, an estimated $3.44M increase.
  • Cowen Investment Management's biggest Q3 2021 reduction was Shapeways Holdings, Inc. Common Stock, cutting an estimated $2.4M.
  • Cowen Investment Management fully exited Proterra Inc. Warrant in Q3 2021, selling an estimated $65.5M.
  • Cowen Investment Management's ten largest holdings make up 100% of its $60.7M portfolio in Q3 2021.
  • Cowen Investment Management opened 50 new positions and closed 32 in Q3 2021.
  • Cowen Investment Management's portfolio value fell 84% quarter-over-quarter to $60.7M.

Based on Cowen Investment Management's 13F filing for Q3 2021, filed 15 Nov 2021.