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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
ADOCW
151
DELISTED
Edoc Acquisition Corp. Warrant
ADOCW
$69K 0.03%
+100,000
New +$54.1K
ADOCR
152
DELISTED
Edoc Acquisition Corp. Right
ADOCR
$60K 0.03%
+100,000
New +$37.1K
SPY icon
153
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$809B
$58K 0.03%
+20,000
New +$7.1M
AEVA
154
Aeva Technologies
AEVA
$1.75B
– –
-20,000
Closed -$1M
AMCX icon
155
AMC Global Media
AMCX
$485M
– –
-277,000
Closed -$6.84M
AMCX icon
156
PUT
AMC Global Media
AMCX
$485M
– –
-210,000
Closed -$1.26M
ASLE icon
157
AerSale
ASLE
$269M
– –
-600,000
Closed -$6.14M
CEF icon
158
Sprott Physical Gold and Silver Trust
CEF
$8.32B
– –
-384,900
Closed -$7.06M
CLNN icon
159
Clene
CLNN
$52M
– –
-6,940
Closed -$1.51M
LCID icon
160
Lucid Motors
LCID
$2.58B
– –
-17,500
Closed -$1.71M
LTRYW icon
161
Sports Entertainment Gaming Global Corp Warrants
LTRYW
$735
– –
-154,300
Closed -$57K
MAPSW
162
DELISTED
WM TECHNOLOGY INC WTS
MAPSW
– –
-100,000
Closed -$61K
MAPS
163
DELISTED
WM TECHNOLOGY INC A
MAPS
– –
-500,000
Closed -$5.07M
MNTS icon
164
Momentus
MNTS
$91.5M
– –
-8
Closed -$1.01M
MVST icon
165
Microvast
MVST
$354M
– –
-750,000
Closed -$7.63M
ORGN
166
DELISTED
Origin Materials
ORGN
– –
-4,667
Closed -$1.39M
LOTZ
167
DELISTED
CarLotz, Inc. Class A Common Stock
LOTZ
– –
-480,000
Closed -$4.91M
UPH
168
DELISTED
UpHealth, Inc.
UPH
– –
-25,000
Closed -$2.54M
EQOS
169
DELISTED
EQONEX LIMITED Ordinary Shares
EQOS
– –
-425,000
Closed -$4.38M
THCA
170
DELISTED
Tuscan Holdings Corp. II Common Stock
THCA
– –
-50,000
Closed -$499K
PSTH
171
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
– –
-50,000
Closed -$1.14M
BTRSW
172
DELISTED
BTRS Holdings Inc. Warrants
BTRSW
– –
-150,000
Closed -$210K
RTP.U
173
DELISTED
Reinvent Technology Partners Units, each consisting of one Class A ordinary share and one-fourth of
RTP.U
– –
-50,000
Closed -$574K
DGNR.U
174
DELISTED
Dragoneer Growth Opportunities Corp. Units, each consisting of one Class A ordinary share, and one-f
DGNR.U
– –
-50,000
Closed -$613K
WPF.U
175
DELISTED
Foley Trasimene Acquisition Corp.
WPF.U
– –
-100,000
Closed -$1.13M
4 5 6
7
8

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AMG
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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
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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.