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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
+0.06%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$463M
AUM Growth
-$7.59M
Cap. Flow
+$75.3M
Cap. Flow %
16.27%
Top 10 Hldgs %
32.1%
Holding
272
New
24
Increased
8
Reduced
8
Closed
19

Top Buys

Rank Stock Value
1
LITT
Logistics Innovation Technologies Corp. Class A Common Stock
LITT
+$8.97M
2
KLAQ
KL Acquisition Corp Class A Common Stock
KLAQ
+$6.07M
3
TMAC
The Music Acquisition Corporation
TMAC
+$3.94M
4
TMX
Terminix Global Holdings, Inc.
TMX
+$3.63M
5
SCOB
ScION Tech Growth II Class A Ordinary Shares
SCOB
+$3.13M

Top Sells

Rank Stock Value
1
SMFG icon
Sumitomo Mitsui Financial
SMFG
+$16.4M
2
CPAR
Catalyst Partners Acquisition Corp. Class A Ordinary Share
CPAR
+$7.36M
3
HZON
Horizon Acquisition Corporation II
HZON
+$3.98M
4
AGCB
Altimeter Growth Corp 2
AGCB
+$2.47M
5
JWSM
Jaws Mustang Acquisition Corp.
JWSM
+$2.11M

Sector Composition

Rank Sector Weight
1 Financials 43.59%
2 Consumer Discretionary 11.81%
3 Technology 3.07%
4 Industrials 2.03%
5 Real Estate 1.7%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CTAQU
176
DELISTED
Carney Technology Acquisition Corp. II Units
CTAQU
$845K 0.18%
85,000
– –
GSQD.U
177
DELISTED
G Squared Ascend I Inc. Units, each consisting of one Class A ordinary share and one-fifth of one Warrant to acquire one Class A ordinary share
GSQD.U
$844K 0.18%
85,000
– –
GVCI
178
DELISTED
Green Visor Financial Technology Acquisition Corp. I Class A Ordinary Shares
GVCI
$810K 0.18%
80,000
– –
ITQ
179
DELISTED
Itiquira Acquisition Corp. Class A Ordinary Shares
ITQ
$770K 0.17%
+77,500
New +$766K
IVCBU
180
DELISTED
Investcorp Europe Acquisition Corp I Unit
IVCBU
$760K 0.16%
75,000
– –
LHC
181
DELISTED
Leo Holdings Corp. II
LHC
$747K 0.16%
75,000
– –
DMYS
182
DELISTED
dMY Technology Group, Inc. VI
DMYS
$747K 0.16%
75,000
– –
KAIRU
183
DELISTED
Kairos Acquisition Corp. Unit
KAIRU
$746K 0.16%
75,000
– –
HERAU
184
DELISTED
FTAC Hera Acquisition Corp. Units
HERAU
$745K 0.16%
75,000
– –
HCARU
185
DELISTED
Healthcare Services Acquisition Corporation Unit
HCARU
$744K 0.16%
75,000
– –
KLAQU
186
DELISTED
KL Acquisition Corp Unit
KLAQU
$743K 0.16%
75,000
– –
EPHYU
187
DELISTED
Epiphany Technology Acquisition Corp. Unit
EPHYU
$740K 0.16%
75,000
– –
TSIB
188
DELISTED
Tishman Speyer Innovation Corp. II Class A common stock
TSIB
$739K 0.16%
75,000
– –
SOC icon
189
Sable Offshore Corp
SOC
$840M
$737K 0.16%
75,000
– –
PMGMU
190
DELISTED
Priveterra Acquisition Corp. Units
PMGMU
$737K 0.16%
75,000
– –
HIIIU
191
DELISTED
Hudson Executive Investment Corp. III Unit
HIIIU
$737K 0.16%
75,000
– –
NDACU
192
DELISTED
NightDragon Acquisition Corp. SCALE Units
NDACU
$737K 0.16%
75,000
– –
SIRI icon
193
PUT
SiriusXM
SIRI
$9.59B
$607K 0.13%
25,300
+300
+1% +$18.9K
JYAC
194
DELISTED
Jiya Acquisition Corp. Class A Common Stock
JYAC
$598K 0.13%
60,000
– –
LMACA
195
DELISTED
Liberty Media Acquisition Corporation Series A Common Stock
LMACA
$597K 0.13%
60,038
– –
PCCTU
196
DELISTED
Perception Capital Corp. II Units
PCCTU
$509K 0.11%
50,000
– –
GTI
197
DELISTED
Graphjet Technology
GTI
$507K 0.11%
833
– –
CURR
198
Currenc Group
CURR
$391M
$507K 0.11%
50,000
– –
ADRT
199
DELISTED
Ault Disruptive Technologies Corporation
ADRT
$504K 0.11%
50,000
– –
CNDB.U
200
DELISTED
Concord Acquisition Corp III Units, each consisting of one share of Class A Common Stock and one-half of one Warrant
CNDB.U
$503K 0.11%
50,000
– –
6 7
8
9 10

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SFG
Susquehanna Financial Group Bala Cynwyd, Pennsylvania $10.9M AUM
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
M Financial Asset Management Portland, Oregon $20.6M AUM 4.99% 1-Year Est. Return
ZIMP
Zimmermann Investment Management & Planning New Cumberland, Pennsylvania $2.27M AUM 29.81% 1-Year Est. Return
RCI
Ridgeback Capital Investments Miami Beach, Florida $560K AUM

Cowen Investment Management's Q3 2022 Portfolio in Review

As of Q3 2022, Cowen Investment Management held 272 positions worth $463M, down 1.6% from $470M the previous quarter. Its ten largest holdings account for 32% of the portfolio.

Cowen Investment Management deployed $75.3M of net new capital in Q3 2022, opening 24 new positions and adding to 8 existing holdings. Its largest new stake was Logistics Innovation Technologies Corp. Class A Common Stock: 920,000 shares worth $8.99M.

By sector, the portfolio is most concentrated in Financials at 44% of assets, down from 45% a quarter earlier, followed by Consumer Discretionary and Technology.

On the sell side, the largest reduction was Sumitomo Mitsui Financial, an estimated $16.4M trimmed.

  • Cowen Investment Management's largest Q3 2022 buy was Logistics Innovation Technologies Corp. Class A Common Stock: 920,000 shares worth $8.99M.
  • Cowen Investment Management added most to Far Peak Acquisition Corporation in Q3 2022, an estimated $2.96M increase.
  • Cowen Investment Management's biggest Q3 2022 reduction was Sumitomo Mitsui Financial, cutting an estimated $16.4M.
  • Cowen Investment Management fully exited Jaws Mustang Acquisition Corp. in Q3 2022, selling an estimated $2.11M.
  • Cowen Investment Management's ten largest holdings make up 32% of its $463M portfolio in Q3 2022.
  • Cowen Investment Management opened 24 new positions and closed 19 in Q3 2022.
  • Cowen Investment Management's portfolio value fell 1.6% quarter-over-quarter to $463M.

Based on Cowen Investment Management's 13F filing for Q3 2022, filed 14 Nov 2022.