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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
VEDL
151
DELISTED
Vedanta Limited American Depostary Shares (Each representing four equity shares)
VEDL
$730 ﹤0.01%
+47,777
New +$751K
LFLY
152
DELISTED
Leafly Holdings, Inc. Common Stock
LFLY
$699 ﹤0.01%
+3,500
New +$698K
FVAM
153
DELISTED
5:01 Acquisition Corp
FVAM
$687 ﹤0.01%
70,000
– –
SPNT icon
154
SiriusPoint
SPNT
$2.66B
$626 ﹤0.01%
67,613
– –
JYAC
155
DELISTED
Jiya Acquisition Corp. Class A Common Stock
JYAC
$585 ﹤0.01%
60,000
– –
PSTH
156
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$579 ﹤0.01%
29,400
-95,600
-76% -$1.94M
EUSGU
157
DELISTED
European Sustainable Growth Acquisition Corp. Unit
EUSGU
$524 ﹤0.01%
50,000
-50,000
-50% -$516K
BSGAU
158
DELISTED
Blue Safari Group Acquisition Corp. Unit
BSGAU
$511 ﹤0.01%
50,000
– –
RAMMU
159
DELISTED
Aries I Acquisition Corporation Unit
RAMMU
$509 ﹤0.01%
50,000
– –
GMBTU
160
DELISTED
Pivotal Holdings Corp Unit
GMBTU
$505 ﹤0.01%
50,000
– –
AGAC.U
161
DELISTED
African Gold Acquisition Corp Units
AGAC.U
$505 ﹤0.01%
50,000
– –
AEACU
162
DELISTED
Authentic Equity Acquisition Corp. Unit
AEACU
$502 ﹤0.01%
50,000
– –
ADRA.U
163
DELISTED
Adara Acquisition Corp Units
ADRA.U
$501 ﹤0.01%
50,000
– –
MONCU
164
DELISTED
Monument Circle Acquisition Corp. Unit
MONCU
$501 ﹤0.01%
50,000
– –
WARR.U
165
DELISTED
Warrior Technologies Acquisition Company Units,eachconsistingofoneshare ofClassAcommonstockandone-halfofone warrant
WARR.U
$501 ﹤0.01%
50,000
– –
WPCA.U
166
DELISTED
Warburg Pincus Capital Corporation I-A Units, each consisting of one Class A ordinary share, and one-fifth of one redeemable warrant
WPCA.U
$500 ﹤0.01%
50,000
– –
TSIBU
167
DELISTED
Tishman Speyer Innovation Corp. II Unit
TSIBU
$500 ﹤0.01%
50,000
– –
SCOAU
168
DELISTED
ScION Tech Growth I Unit
SCOAU
$499 ﹤0.01%
50,000
– –
ZSQR
169
Z Squared Inc
ZSQR
$205M
$498 ﹤0.01%
2,500
– –
APGB.U
170
DELISTED
Apollo Strategic Growth Capital II Units, each consisting of one Class A ordinary share, and one-fifth of one warrant
APGB.U
$498 ﹤0.01%
50,000
– –
ATSPU
171
DELISTED
Archimedes Tech SPAC Partners Co. Unit
ATSPU
$498 ﹤0.01%
50,000
– –
BTAQ
172
DELISTED
Burgundy Technology Acquisition Corporation Class A Ordinary shares
BTAQ
$498 ﹤0.01%
50,000
– –
WPCB.U
173
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
$496 ﹤0.01%
50,000
– –
PTOCU
174
DELISTED
Pine TechnologYES Acquisition Corp. Unit
PTOCU
$496 ﹤0.01%
50,000
– –
ANZUU
175
DELISTED
Anzu Special Acquisition Corp I Units
ANZUU
$495 ﹤0.01%
50,000
– –
5 6
7
8 9

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AMG
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XS
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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.