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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
+0.06%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$463M
AUM Growth
-$7.59M
Cap. Flow
+$75.3M
Cap. Flow %
16.27%
Top 10 Hldgs %
32.1%
Holding
272
New
24
Increased
8
Reduced
8
Closed
19

Top Buys

Rank Stock Value
1
LITT
Logistics Innovation Technologies Corp. Class A Common Stock
LITT
+$8.97M
2
KLAQ
KL Acquisition Corp Class A Common Stock
KLAQ
+$6.07M
3
TMAC
The Music Acquisition Corporation
TMAC
+$3.94M
4
TMX
Terminix Global Holdings, Inc.
TMX
+$3.63M
5
SCOB
ScION Tech Growth II Class A Ordinary Shares
SCOB
+$3.13M

Top Sells

Rank Stock Value
1
SMFG icon
Sumitomo Mitsui Financial
SMFG
+$16.4M
2
CPAR
Catalyst Partners Acquisition Corp. Class A Ordinary Share
CPAR
+$7.36M
3
HZON
Horizon Acquisition Corporation II
HZON
+$3.98M
4
AGCB
Altimeter Growth Corp 2
AGCB
+$2.47M
5
JWSM
Jaws Mustang Acquisition Corp.
JWSM
+$2.11M

Sector Composition

Rank Sector Weight
1 Financials 43.59%
2 Consumer Discretionary 11.81%
3 Technology 3.07%
4 Industrials 2.03%
5 Real Estate 1.7%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PEPLU
126
DELISTED
PepperLime Health Acquisition Corporation Unit
PEPLU
$997K 0.22%
100,000
– –
BHACU
127
DELISTED
Focus Impact BH3 Acquisition Company Units
BHACU
$996K 0.22%
100,000
– –
PACX
128
DELISTED
Pioneer Merger Corp. Class A Ordinary Share
PACX
$996K 0.22%
100,000
– –
GPACU
129
DELISTED
Global Partner Acquisition Corp II Unit
GPACU
$995K 0.22%
100,000
– –
GFX
130
DELISTED
Golden Falcon Acquisition Corp.
GFX
$995K 0.22%
100,000
– –
PNTM.U
131
DELISTED
Pontem Corporation Units, each consisting of one Class A ordinary share, and one-third of one redeemable warrant
PNTM.U
$995K 0.22%
100,000
– –
MCAE
132
DELISTED
Mountain Crest Acquisition Corp. III Common Stock
MCAE
$995K 0.22%
100,000
– –
FCAX.U
133
DELISTED
Fortress Capital Acquisition Corp. Units, each consisting of one Class A ordinary share and one-fifth of one Warrant
FCAX.U
$995K 0.22%
100,000
– –
RWODU
134
DELISTED
Redwoods Acquisition Corp. Unit
RWODU
$994K 0.21%
100,000
– –
ZINGU
135
DELISTED
FTAC Zeus Acquisition Corp. Unit
ZINGU
$994K 0.21%
100,000
– –
TZPSU
136
DELISTED
TZP Strategies Acquisition Corp. Unit
TZPSU
$994K 0.21%
100,000
– –
OSTRU
137
DELISTED
Oyster Enterprises Acquisition Corp. Unit
OSTRU
$994K 0.21%
100,000
– –
NVAC
138
DELISTED
NorthView Acquisition Corporation Common Stock
NVAC
$994K 0.21%
100,000
– –
AAC
139
DELISTED
Ares Acquisition Corporation
AAC
$993K 0.21%
100,000
– –
FRONU
140
DELISTED
Frontier Acquisition Corp. Units
FRONU
$993K 0.21%
100,000
– –
BLUA.U
141
DELISTED
BlueRiver Acquisition Corp. Units, each consisting of one Class A ordinary share, and one-third of a redeemable Warrant to acquire one Class A ordinary shares
BLUA.U
$992K 0.21%
100,000
– –
CIIG
142
DELISTED
CIIG Capital Partners II, Inc. Class A Common Stock
CIIG
$992K 0.21%
100,000
– –
VPCB
143
DELISTED
VPC Impact Acquisition Holdings II Class A ordinary shre
VPCB
$992K 0.21%
+100,000
New +$986K
PDOT
144
DELISTED
Peridot Acquisition Corp. II
PDOT
$992K 0.21%
+100,000
New +$987K
WPCA
145
DELISTED
Warburg Pincus Capital Corporation I-A
WPCA
$992K 0.21%
100,000
– –
LGACU
146
DELISTED
Lazard Growth Acquisition Corp. I Units
LGACU
$992K 0.21%
100,000
– –
SHQAU
147
DELISTED
Shelter Acquisition Corporation I Units
SHQAU
$991K 0.21%
100,000
– –
LDHA
148
DELISTED
LDH Growth Corp I Class A Ordinary Shares
LDHA
$990K 0.21%
100,000
– –
SSAAU
149
DELISTED
Science Strategic Acquisition Corp. Alpha Unit
SSAAU
$989K 0.21%
100,000
– –
ADEX.U
150
DELISTED
Adit EdTech Acquisition Corp Units
ADEX.U
$987K 0.21%
100,000
– –
4 5
6
7 8

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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 Q3 2022 Portfolio in Review

As of Q3 2022, Cowen Investment Management held 272 positions worth $463M, down 1.6% from $470M the previous quarter. Its ten largest holdings account for 32% of the portfolio.

Cowen Investment Management deployed $75.3M of net new capital in Q3 2022, opening 24 new positions and adding to 8 existing holdings. Its largest new stake was Logistics Innovation Technologies Corp. Class A Common Stock: 920,000 shares worth $8.99M.

By sector, the portfolio is most concentrated in Financials at 44% of assets, down from 45% a quarter earlier, followed by Consumer Discretionary and Technology.

On the sell side, the largest reduction was Sumitomo Mitsui Financial, an estimated $16.4M trimmed.

  • Cowen Investment Management's largest Q3 2022 buy was Logistics Innovation Technologies Corp. Class A Common Stock: 920,000 shares worth $8.99M.
  • Cowen Investment Management added most to Far Peak Acquisition Corporation in Q3 2022, an estimated $2.96M increase.
  • Cowen Investment Management's biggest Q3 2022 reduction was Sumitomo Mitsui Financial, cutting an estimated $16.4M.
  • Cowen Investment Management fully exited Jaws Mustang Acquisition Corp. in Q3 2022, selling an estimated $2.11M.
  • Cowen Investment Management's ten largest holdings make up 32% of its $463M portfolio in Q3 2022.
  • Cowen Investment Management opened 24 new positions and closed 19 in Q3 2022.
  • Cowen Investment Management's portfolio value fell 1.6% quarter-over-quarter to $463M.

Based on Cowen Investment Management's 13F filing for Q3 2022, filed 14 Nov 2022.