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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
PHICU
151
DELISTED
Population Health Investment Co., Inc. Unit
PHICU
$302K 0.12%
30,000
-70,000
-70% -$747K
BENEU
152
DELISTED
Benessere Capital Acquisition Corp. Unit
BENEU
$263K 0.1%
+25,000
New +$269K
AURCU
153
DELISTED
Aurora Acquisition Corp. Unit
AURCU
$259K 0.1%
+25,000
New +$253K
CONXU
154
DELISTED
CONX Corp. Unit
CONXU
$256K 0.1%
25,000
-75,000
-75% -$804K
YAC.U
155
DELISTED
Yucaipa Acquisition Corporation Units, each consisting of one Class A ordinary share and one-third o
YAC.U
$256K 0.1%
25,000
-75,000
-75% -$818K
LNFA.U
156
DELISTED
L&F Acquisition Corp. Units, each consisting of one Class A ordinary share, and one-half of one rede
LNFA.U
$255K 0.1%
25,000
-75,000
-75% -$806K
SYM icon
157
Symbotic
SYM
$5.35B
$253K 0.1%
+25,000
New +$256K
KVSA
158
DELISTED
Khosla Ventures Acquisition Co. Class A Common Stock
KVSA
$253K 0.1%
+25,000
New +$257K
XPDIU
159
DELISTED
Power & Digital Infrastructure Acquisition Corp. Unit
XPDIU
$251K 0.1%
+25,000
New +$265K
HERAU
160
DELISTED
FTAC Hera Acquisition Corp. Units
HERAU
$250K 0.1%
+25,000
New +$251K
RMGCU
161
DELISTED
RMG Acquisition Corp. III Unit
RMGCU
$249K 0.1%
+25,000
New +$260K
TRCA.U
162
DELISTED
Twin Ridge Capital Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
TRCA.U
$249K 0.1%
+25,000
New +$249K
GSEVU
163
DELISTED
Gores Holdings VII, Inc. Units
GSEVU
$249K 0.1%
+25,000
New +$255K
NGCAU
164
DELISTED
NextGen Acquisition Corp. II Units
NGCAU
$248K 0.1%
+25,000
New +$246K
FINMU
165
DELISTED
Marlin Technology Corporation Unit
FINMU
$247K 0.1%
+25,000
New +$259K
PSAGU
166
DELISTED
Property Solutions Acquisition Corporation II Units
PSAGU
$246K 0.1%
+25,000
New +$248K
RXRAU
167
DELISTED
RXR Acquisition Corp. Units
RXRAU
$246K 0.1%
+25,000
New +$248K
ACAHU
168
DELISTED
Atlantic Coastal Acquisition Corp. Unit
ACAHU
$246K 0.1%
+25,000
New +$249K
ASAQ.WS
169
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
$220K 0.09%
297,915
– –
DFPHU
170
DELISTED
DFP Healthcare Acquisitions Corp. Unit
DFPHU
$207K 0.08%
20,000
-80,000
-80% -$892K
GFX.U
171
DELISTED
Golden Falcon Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of one Warrant
GFX.U
$201K 0.08%
+20,000
New +$213K
HTPA.U
172
DELISTED
Highland Transcend Partners I Corp. Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
HTPA.U
$201K 0.08%
20,000
-80,000
-80% -$863K
TM icon
173
CALL
Toyota
TM
$223B
$137K 0.05%
+20,000
New +$3.03M
SQM icon
174
PUT
Sociedad Química y Minera de Chile
SQM
$20.4B
$122K 0.05%
+10,000
New +$548K
BSMX
175
DELISTED
Banco Santander México, S, A., Institución de Banca Múltiple, Grupo Financiero Santander México
BSMX
$112K 0.04%
+20,400
New +$103K
5 6
7
8 9

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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
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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.