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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
MOTV.U
176
DELISTED
Motive Capital Corp Units, each consisting of one Class A ordinary share, and one-third of one redee
MOTV.U
$101K 0.04%
10,000
-90,000
-90% -$967K
EOSE icon
177
PUT
Eos Energy Enterprises
EOSE
$1.54B
$78K 0.03%
+30,000
New +$672K
ADOCW
178
DELISTED
Edoc Acquisition Corp. Warrant
ADOCW
$35K 0.01%
100,000
– –
ADOCR
179
DELISTED
Edoc Acquisition Corp. Right
ADOCR
$29K 0.01%
75,000
-25,000
-25% -$11.8K
HYG icon
180
PUT
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$17.9B
$16K 0.01%
+44,500
New +$3.87M
ENPC.WS
181
DELISTED
Executive Network Partnering Corporation Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
ENPC.WS
$16K 0.01%
+18,750
New +$49.9K
SIRI icon
182
CALL
SiriusXM
SIRI
$9.59B
$12K ﹤0.01%
+10,000
New +$610K
SPCK
183
PUT
The SPAC and New Issue ETF
SPCK
$8.2M
$2K ﹤0.01%
+45,000
New +$1.33M
OPTU
184
CALL
Optimum Communications Inc
OPTU
$227M
– –
-75,000
Closed -$163K
BCS icon
185
Barclays
BCS
$94.4B
– –
-190,258
Closed -$1.52M
MLTX icon
186
MoonLake Immunotherapeutics
MLTX
$1.47B
– –
-22,647
Closed -$257K
PSO icon
187
Pearson
PSO
$9.7B
– –
-53,472
Closed -$491K
SPY icon
188
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$809B
– –
-20,000
Closed -$58K
SST icon
189
System1
SST
$19.8M
– –
-2,500
Closed -$270K
TALK icon
190
Talkspace
TALK
$869M
– –
-100,000
Closed -$1.08M
TALKW
191
DELISTED
Talkspace Inc Warrant
TALKW
– –
-150,000
Closed -$259K
TNGX icon
192
Tango Therapeutics
TNGX
$4.31B
– –
-25,000
Closed -$286K
YTRA icon
193
Yatra Online
YTRA
$56M
– –
-450,000
Closed -$869K
ALTUU
194
DELISTED
Altitude Acquisition Corp Unit
ALTUU
– –
-50,000
Closed -$518K
MCOM
195
DELISTED
micromobility.com Inc. Class A Common stock
MCOM
– –
-9
Closed -$722K
PTRA
196
DELISTED
Proterra Inc. Common Stock
PTRA
– –
-100,000
Closed -$1.11M
BWACU
197
DELISTED
Better World Acquisition Corp. Unit
BWACU
– –
-75,000
Closed -$829K
ERESU
198
DELISTED
East Resources Acquisition Company Unit
ERESU
– –
-275,000
Closed -$2.91M
HZON.U
199
DELISTED
Horizon Acquisition Corporation II Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
HZON.U
– –
-80,000
Closed -$859K
GLS
200
DELISTED
Gelesis Holdings, Inc.
GLS
– –
-25,000
Closed -$254K
6 7
8
9 10

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AMG
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B
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XS
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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.