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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
BTMD icon
126
Biote Corp
BTMD
$43.1M
$974 ﹤0.01%
+100,000
New +$969K
LHC
127
DELISTED
Leo Holdings Corp. II
LHC
$974 ﹤0.01%
100,000
– –
LGAC
128
DELISTED
Lazard Growth Acquisition Corp. I Ordinary Shares
LGAC
$973 ﹤0.01%
100,000
– –
VTIQ
129
DELISTED
VectoIQ Acquisition Corp. II Class A Common Stock
VTIQ
$971 ﹤0.01%
+100,000
New +$975K
TRCA
130
DELISTED
Twin Ridge Capital Acquisition Corp.
TRCA
$970 ﹤0.01%
100,000
– –
GSQD.U
131
DELISTED
G Squared Ascend I Inc. Units, each consisting of one Class A ordinary share and one-fifth of one Warrant to acquire one Class A ordinary share
GSQD.U
$855 ﹤0.01%
85,000
– –
CTAQU
132
DELISTED
Carney Technology Acquisition Corp. II Units
CTAQU
$847 ﹤0.01%
85,000
– –
XBI icon
133
PUT
State Street SPDR S&P Biotech ETF
XBI
$10.5B
$818 ﹤0.01%
100,000
-75,000
-43% -$9.66M
OTRAU
134
DELISTED
OTR Acquisition Corp. Unit
OTRAU
$784 ﹤0.01%
75,000
– –
MACUU
135
DELISTED
Mallard Acquisition Corp. Unit
MACUU
$769 ﹤0.01%
75,000
– –
ACKIU
136
DELISTED
Ackrell SPAC Partners I Co Units
ACKIU
$767 ﹤0.01%
75,000
– –
LGV.U
137
DELISTED
Longview Acquisition Corp. II Units, each consisting of one share of Class A Common Stock and one-fifth of one redeemable Warrant
LGV.U
$761 ﹤0.01%
75,000
-75,000
-50% -$758K
EPHYU
138
DELISTED
Epiphany Technology Acquisition Corp. Unit
EPHYU
$752 ﹤0.01%
75,000
– –
KAIRU
139
DELISTED
Kairos Acquisition Corp. Unit
KAIRU
$752 ﹤0.01%
75,000
– –
SEAH
140
DELISTED
Sports Entertainment Acquisition Corp.
SEAH
$752 ﹤0.01%
75,000
– –
PMGMU
141
DELISTED
Priveterra Acquisition Corp. Units
PMGMU
$745 ﹤0.01%
75,000
– –
NDACU
142
DELISTED
NightDragon Acquisition Corp. SCALE Units
NDACU
$745 ﹤0.01%
75,000
– –
HCARU
143
DELISTED
Healthcare Services Acquisition Corporation Unit
HCARU
$744 ﹤0.01%
75,000
– –
KLAQU
144
DELISTED
KL Acquisition Corp Unit
KLAQU
$742 ﹤0.01%
75,000
– –
GSEVU
145
DELISTED
Gores Holdings VII, Inc. Units
GSEVU
$740 ﹤0.01%
75,000
– –
HIIIU
146
DELISTED
Hudson Executive Investment Corp. III Unit
HIIIU
$739 ﹤0.01%
75,000
– –
MCAE
147
DELISTED
Mountain Crest Acquisition Corp. III Common Stock
MCAE
$737 ﹤0.01%
+75,000
New +$731K
PMVC
148
DELISTED
PMV Consumer Acquisition Corp.
PMVC
$736 ﹤0.01%
75,000
– –
GBTG icon
149
American Express Global Business Travel
GBTG
$4.93B
$732 ﹤0.01%
75,000
– –
OMEG
150
DELISTED
Omega Alpha SPAC Class A Ordinary Shares
OMEG
$730 ﹤0.01%
75,000
– –
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 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.