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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
+6.18%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$492M
AUM Growth
+$29.6M
Cap. Flow
+$48M
Cap. Flow %
9.75%
Top 10 Hldgs %
36.89%
Holding
301
New
48
Increased
17
Reduced
8
Closed
105

Top Buys

Rank Stock Value
1
MUFG icon
Mitsubishi UFJ Financial
MUFG
+$11.6M
2
BNAI
Brand Engagement Network
BNAI
+$11.4M
3
BZAI
Blaize Holdings
BZAI
+$11.3M
4
LHC
Leo Holdings Corp. II
LHC
+$9.52M
5
JWSM
Jaws Mustang Acquisition Corp.
JWSM
+$7.02M

Top Sells

Rank Stock Value
1
KLAQ
KL Acquisition Corp Class A Common Stock
KLAQ
+$6.08M
2
REVH
Revolution Healthcare Acquisition Corp. SAIL Class A Common Stock
REVH
+$4.17M
3
TMAC
The Music Acquisition Corporation
TMAC
+$3.94M
4
EUDA icon
EUDA Health Holdings
EUDA
+$3.51M
5
SMFG icon
Sumitomo Mitsui Financial
SMFG
+$3.5M

Sector Composition

Rank Sector Weight
1 Financials 50.08%
2 Technology 10.58%
3 Consumer Discretionary 8.1%
4 Healthcare 3.85%
5 Industrials 2.53%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ADRT
151
DELISTED
Ault Disruptive Technologies Corporation
ADRT
$513K 0.1%
50,000
– –
CNDB.U
152
DELISTED
Concord Acquisition Corp III Units, each consisting of one share of Class A Common Stock and one-half of one Warrant
CNDB.U
$511K 0.1%
531,061
+481,061
+962% +$4.87M
PCCTU
153
DELISTED
Perception Capital Corp. II Units
PCCTU
$511K 0.1%
50,000
– –
AAC.U
154
DELISTED
Ares Acquisition Corporation Units, each consisting of one Class A ordinary share, and one-fifth of one redeemable warrant
AAC.U
$509K 0.1%
50,000
– –
ADRA.U
155
DELISTED
Adara Acquisition Corp Units
ADRA.U
$505K 0.1%
50,000
– –
AEACU
156
DELISTED
Authentic Equity Acquisition Corp. Unit
AEACU
$505K 0.1%
50,000
– –
ANAC.U
157
DELISTED
Arctos NorthStar Acquisition Corp. Units, each consisting of one Class A ordinary share, and one-fourth of one redeemable warrant
ANAC.U
$505K 0.1%
50,000
– –
BETR icon
158
Better Home & Finance Holding
BETR
$280M
$505K 0.1%
1,000
– –
SVFB
159
DELISTED
SVF Investment Corp. 2 Class A Ordinary Shares
SVFB
$505K 0.1%
50,000
– –
WPCA.U
160
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
$504K 0.1%
50,000
– –
MVLA
161
DELISTED
Movella Holdings Inc. Common Stock
MVLA
$504K 0.1%
+50,000
New +$499K
DNAD
162
DELISTED
Social Capital Suvretta Holdings Corp. IV Class A Ordinary Shares
DNAD
$503K 0.1%
50,000
– –
TWLVU
163
DELISTED
Twelve Seas Investment Company II Unit
TWLVU
$503K 0.1%
50,000
– –
APGB.U
164
DELISTED
Apollo Strategic Growth Capital II Units, each consisting of one Class A ordinary share, and one-fifth of one warrant
APGB.U
$502K 0.1%
50,000
– –
HMA.U
165
DELISTED
Heartland Media Acquisition Corp. Units, each consisting of one share of Class A common stock and one-half of one redeemable warrant
HMA.U
$502K 0.1%
50,000
– –
ANZUU
166
DELISTED
Anzu Special Acquisition Corp I Units
ANZUU
$501K 0.1%
50,000
– –
ADALU
167
DELISTED
Anthemis Digital Acquisitions I Corp Unit
ADALU
$408K 0.08%
40,000
– –
DHHCU
168
DELISTED
DiamondHead Holdings Corp. Unit
DHHCU
$402K 0.08%
40,000
– –
SPNT icon
169
SiriusPoint
SPNT
$2.66B
$399K 0.08%
67,613
– –
LTRPA
170
DELISTED
Liberty TripAdvisor Holdings, Inc. Series A
LTRPA
$383K 0.08%
572,265
+337,265
+144% +$317K
BSMX
171
DELISTED
Banco Santander México, S, A., Institución de Banca Múltiple, Grupo Financiero Santander México
BSMX
$353K 0.07%
58,608
-122,112
-68% -$708K
TBLAW
172
DELISTED
Taboola.com Ltd Warrant
TBLAW
$342K 0.07%
+697,500
New +$263K
XBI icon
173
PUT
State Street SPDR S&P Biotech ETF
XBI
$10.5B
$278K 0.06%
+67,700
New +$5.48M
STCN
174
DELISTED
Steel Connect, Inc. Common Stock
STCN
$277K 0.06%
20,730
-2,497
-11% -$30.8K
NRGV icon
175
Energy Vault
NRGV
$710M
$209K 0.04%
+66,911
New +$248K
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 Q4 2022 Portfolio in Review

As of Q4 2022, Cowen Investment Management held 301 positions worth $492M, up 6.4% from $463M the previous quarter. Its ten largest holdings account for 37% of the portfolio.

Cowen Investment Management deployed $48M of net new capital in Q4 2022, opening 48 new positions and adding to 17 existing holdings. Its largest new stake was Mitsubishi UFJ Financial: 2,246,500 shares worth $15M.

By sector, the portfolio is most concentrated in Financials at 50% of assets, up from 44% a quarter earlier, followed by Technology and Consumer Discretionary.

On the sell side, the largest reduction was Sumitomo Mitsui Financial, an estimated $3.5M trimmed.

  • Cowen Investment Management's largest Q4 2022 buy was Mitsubishi UFJ Financial: 2,246,500 shares worth $15M.
  • Cowen Investment Management added most to Brand Engagement Network in Q4 2022, an estimated $11.4M increase.
  • Cowen Investment Management's biggest Q4 2022 reduction was Sumitomo Mitsui Financial, cutting an estimated $3.5M.
  • Cowen Investment Management fully exited KL Acquisition Corp Class A Common Stock in Q4 2022, selling an estimated $6.08M.
  • Cowen Investment Management's ten largest holdings make up 37% of its $492M portfolio in Q4 2022.
  • Cowen Investment Management opened 48 new positions and closed 105 in Q4 2022.
  • Cowen Investment Management's portfolio value rose 6.4% quarter-over-quarter to $492M.

Based on Cowen Investment Management's 13F filing for Q4 2022, filed 13 Feb 2023.