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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
EQD.U
126
DELISTED
Equity Distribution Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-third of one redeemable warrant
EQD.U
$533K 0.25%
50,000
-50,000
-50% -$515K
MAACU
127
DELISTED
Montes Archimedes Acquisition Corp. Unit
MAACU
$525K 0.24%
+50,000
New +$505K
CHFW.U
128
DELISTED
Consonance-HFW Acquisition Corp. Units, each consisting of one Class A Ordinary Share, and one-third
CHFW.U
$524K 0.24%
+50,000
New +$511K
CBAH.U
129
DELISTED
CBRE Acquisition Holdings, Inc. SAIL securities, each consisting of one share of Class A common stoc
CBAH.U
$523K 0.24%
+50,000
New +$522K
FLACU
130
DELISTED
Frazier Lifesciences Acquisition Corporation Unit
FLACU
$519K 0.24%
+50,000
New +$522K
ALTUU
131
DELISTED
Altitude Acquisition Corp Unit
ALTUU
$518K 0.24%
+50,000
New +$515K
CFIVU
132
DELISTED
CF Acquisition Corp. IV Unit
CFIVU
$515K 0.24%
+50,000
New +$516K
CAP.U
133
DELISTED
Capitol Investment Corp. V Units, each consisting of one share of Class A common stock, and one-thir
CAP.U
$515K 0.24%
+50,000
New +$510K
ZSQR
134
Z Squared Inc
ZSQR
$205M
$510K 0.24%
+2,500
New +$506K
PSO icon
135
Pearson
PSO
$9.7B
$491K 0.23%
53,472
-46,528
-47% -$373K
ASAQ.WS
136
DELISTED
Atlantic Avenue Acquisition Corp Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share
ASAQ.WS
$328K 0.15%
+297,915
New +$219K
ALUS.U
137
DELISTED
Alussa Energy Acquisition Corp
ALUS.U
$327K 0.15%
30,000
– –
FUSE.U
138
DELISTED
Fusion Acquisition Corp. Units, each consisting of one share of Class A common stock, $0.0001 par va
FUSE.U
$309K 0.14%
25,000
-75,000
-75% -$793K
SOAC.U
139
DELISTED
Sustainable Opportunities Acquisition Corp. Units, each consisting of one Class A ordinary share and
SOAC.U
$295K 0.14%
25,000
-50,000
-67% -$555K
TNGX icon
140
Tango Therapeutics
TNGX
$4.31B
$286K 0.13%
25,000
-75,000
-75% -$790K
RTPZ.U
141
DELISTED
Reinvent Technology Partners Z Units, each consisting of one Class A ordinary share and one-fifth o
RTPZ.U
$285K 0.13%
+25,000
New +$282K
PACE.U
142
DELISTED
TPG Pace Tech Opportunities Corp. Units, each consisting of one Class A ordinary share and one-fifth
PACE.U
$284K 0.13%
+25,000
New +$263K
DFNS.U
143
DELISTED
LGL Systems Acquisition Corp. Units
DFNS.U
$278K 0.13%
25,000
-75,000
-75% -$800K
HMCOU
144
DELISTED
HumanCo Acquisition Corp. Unit
HMCOU
$276K 0.13%
+25,000
New +$277K
ACEVU
145
DELISTED
ACE Convergence Acquisition Corp
ACEVU
$272K 0.13%
25,000
-25,000
-50% -$256K
SST icon
146
System1
SST
$19.8M
$270K 0.12%
+2,500
New +$254K
TALKW
147
DELISTED
Talkspace Inc Warrant
TALKW
$259K 0.12%
+150,000
New +$159K
MLTX icon
148
MoonLake Immunotherapeutics
MLTX
$1.47B
$257K 0.12%
+22,647
New +$240K
GLS
149
DELISTED
Gelesis Holdings, Inc.
GLS
$254K 0.12%
25,000
-25,000
-50% -$246K
OPTU
150
CALL
Optimum Communications Inc
OPTU
$227M
$163K 0.08%
+75,000
New +$2.35M
4 5
6
7 8

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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.