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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
EUCR
126
DELISTED
Eucrates Biomedical Acquisition Corp. Ordinary Shares
EUCR
$499K 0.19%
+50,000
New +$513K
WPCB.U
127
DELISTED
Warburg Pincus Capital Corporation I-B Units, each consisting of one Class A ordinary share, and one-fifth of one redeemable warrant
WPCB.U
$499K 0.19%
+50,000
New +$503K
ENPC.U
128
DELISTED
Executive Network Partnering Corporation CAPS, each consisting of one share of Class A common stock, and one-quarter of one redeemable warrant
ENPC.U
$499K 0.19%
50,000
-63,000
-56% -$1.56M
RBAC
129
DELISTED
RedBall Acquisition Corp.
RBAC
$498K 0.19%
50,000
– –
SLAMU
130
DELISTED
Slam Corp. Unit
SLAMU
$496K 0.19%
+50,000
New +$504K
ADRA.U
131
DELISTED
Adara Acquisition Corp Units
ADRA.U
$496K 0.19%
+50,000
New +$506K
PTOCU
132
DELISTED
Pine TechnologYES Acquisition Corp. Unit
PTOCU
$496K 0.19%
+50,000
New +$496K
AEACU
133
DELISTED
Authentic Equity Acquisition Corp. Unit
AEACU
$495K 0.19%
+50,000
New +$512K
WARR.U
134
DELISTED
Warrior Technologies Acquisition Company Units,eachconsistingofoneshare ofClassAcommonstockandone-halfofone warrant
WARR.U
$495K 0.19%
+50,000
New +$499K
ATSPU
135
DELISTED
Archimedes Tech SPAC Partners Co. Unit
ATSPU
$495K 0.19%
+50,000
New +$494K
BTAQ
136
DELISTED
Burgundy Technology Acquisition Corporation Class A Ordinary shares
BTAQ
$495K 0.19%
+50,000
New +$531K
BITE.U
137
DELISTED
Bite Acquisition Corp. Units, each consisting of one share of common stock, and one-half of one redeemable warrant
BITE.U
$494K 0.19%
+50,000
New +$502K
AGAC.U
138
DELISTED
African Gold Acquisition Corp Units
AGAC.U
$494K 0.19%
+50,000
New +$498K
MONCU
139
DELISTED
Monument Circle Acquisition Corp. Unit
MONCU
$493K 0.19%
+50,000
New +$510K
TWLVU
140
DELISTED
Twelve Seas Investment Company II Unit
TWLVU
$493K 0.19%
+50,000
New +$498K
ZSQR
141
Z Squared Inc
ZSQR
$205M
$489K 0.19%
2,500
– –
CHFW.U
142
DELISTED
Consonance-HFW Acquisition Corp. Units, each consisting of one Class A Ordinary Share, and one-third
CHFW.U
$488K 0.19%
50,000
– –
DSAC
143
DELISTED
Duddell Street Acquisition Corp. Class A Ordinary Shares
DSAC
$487K 0.19%
50,000
-20,000
-29% -$204K
GRDI
144
DELISTED
GRIID Infrastructure Inc. Common Stock
GRDI
$482K 0.19%
+50,000
New +$484K
GOAC.U
145
DELISTED
GO Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-third of on
GOAC.U
$456K 0.18%
45,000
-80,000
-64% -$859K
PIAI.U
146
DELISTED
Prime Impact Acquisition I Units, each consisting of one Class A ordinary share, and one-third of a redeemable Warrant to acquire one Class A ordinary share
PIAI.U
$446K 0.17%
45,000
-55,000
-55% -$583K
FLACU
147
DELISTED
Frazier Lifesciences Acquisition Corporation Unit
FLACU
$406K 0.16%
40,000
-10,000
-20% -$107K
CFIVU
148
DELISTED
CF Acquisition Corp. IV Unit
CFIVU
$401K 0.16%
40,000
-10,000
-20% -$105K
DHHCU
149
DELISTED
DiamondHead Holdings Corp. Unit
DHHCU
$396K 0.15%
+40,000
New +$419K
KINZU
150
DELISTED
KINS Technology Group Inc. Unit
KINZU
$354K 0.14%
35,000
-115,000
-77% -$1.22M
4 5
6
7 8

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AMG
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B
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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
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ZIMP
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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.