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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
AUY
176
DELISTED
Yamana Gold, Inc.
AUY
$194K 0.04%
+35,000
New +$177K
ATTO
177
DELISTED
Atento S.A.
ATTO
$63.4K 0.01%
14,977
-21,744
-59% -$93.5K
VATE icon
178
INNOVATE Corp
VATE
$105M
$46.8K 0.01%
+2,500
New +$26.3K
SNDL icon
179
Sundial Growers
SNDL
$313M
$21.5K ﹤0.01%
+10,310
New +$24.5K
AVPTW
180
DELISTED
AvePoint Inc Warrant
AVPTW
$14K ﹤0.01%
25,000
– –
APGB.WS
181
DELISTED
Apollo Strategic Growth Capital II Warrants, each exercisable for one Class A Ordinary Share at an exercise price of $11.50 per share
APGB.WS
$14K ﹤0.01%
100,000
– –
BMTX.WS
182
DELISTED
BM Technologies, Inc. Warrants, each warrant exercisable for one share of Common Stock at an exercise price of $11.50
BMTX.WS
$13K ﹤0.01%
25,000
– –
AMBP.WS
183
DELISTED
Ardagh Metal Packaging Warrants
AMBP.WS
$11K ﹤0.01%
25,000
– –
GRABW icon
184
Grab Holdings Warrant
GRABW
$546K
$10.7K ﹤0.01%
19,900
– –
ZURAW
185
DELISTED
Zura Bio Limited Warrants
ZURAW
$7.5K ﹤0.01%
+50,000
New +$4.89K
LJAQW
186
DELISTED
LightJump Acquisition Corporation Warrant
LJAQW
$7.4K ﹤0.01%
50,000
– –
BHACW
187
DELISTED
Focus Impact BH3 Acquisition Company Warrants
BHACW
$5.93K ﹤0.01%
+50,000
New +$3.85K
PIIIW icon
188
P3 Health Partners Inc Warrant
PIIIW
$199K
$3.5K ﹤0.01%
+25,000
New +$13K
ARBGW
189
DELISTED
Aequi Acquisition Corp warrants
ARBGW
$3.27K ﹤0.01%
+116,666
New +$4.97K
ADEX.WS
190
DELISTED
Adit EdTech Acquisition Corp Warrants
ADEX.WS
$3K ﹤0.01%
+50,000
New +$2.18K
FATH.WS
191
DELISTED
Fathom Digital Manufacturing Corporation Warrants, each whole warrant exercisable for one Class A Common Stock at an exercise price of $11.50 per share
FATH.WS
$2.08K ﹤0.01%
25,000
– –
CTAQW
192
DELISTED
Carney Technology Acquisition Corp. II Warrant
CTAQW
$1.9K ﹤0.01%
+28,333
New +$1.25K
EUCRW
193
DELISTED
Eucrates Biomedical Acquisition Corp. Warrant
EUCRW
$1.85K ﹤0.01%
+33,333
New +$1.19K
UWMC.WS
194
DELISTED
UWM Holdings Warrants
UWMC.WS
$1.51K ﹤0.01%
12,044
– –
AEON.WS
195
DELISTED
AEON Biopharma Inc
AEON.WS
$1.14K ﹤0.01%
+25,000
New +$1.01K
GLS.WS
196
DELISTED
Gelesis Holdings, Inc. Warrants, each whole warrant exercisable for one share of Common Stock at an exercise price of $11.50
GLS.WS
$890 ﹤0.01%
100,000
– –
CDIO icon
197
Cardio Diagnostics
CDIO
$6.39M
– –
-1,667
Closed -$502K
EUDA icon
198
EUDA Health Holdings
EUDA
$39.8M
– –
-17,500
Closed -$3.51M
NEOG icon
199
Neogen
NEOG
$2.5B
– –
-10,000
Closed -$140K
NMR icon
200
Nomura Holdings
NMR
$29B
– –
-150,000
Closed -$495K
6 7
8
9 10

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SFG
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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
M Financial Asset Management Portland, Oregon $20.6M AUM 4.99% 1-Year Est. Return
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.