CIM

Cowen Investment Management Portfolio holdings

AUM $12M
1-Year Return 1.47%
This Quarter Return
+2.12%
1 Year Return
-1.47%
3 Year Return
+1.83%
5 Year Return
-37.73%
10 Year Return
–
AUM
$383M
AUM Growth
+$127M
Cap. Flow
+$125M
Cap. Flow %
32.72%
Top 10 Hldgs %
56.41%
Holding
233
New
52
Increased
13
Reduced
18
Closed
28

Top Buys

1
PTRAW
Proterra Inc. Warrant
PTRAW
$65.5M
2
AZN icon
AstraZeneca
AZN
$30M
3
ALXN
Alexion Pharmaceuticals Inc
ALXN
$3.67M
4
TRCA.U
Twin Ridge Capital Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
TRCA.U
$3.25M
5
SHPW
Shapeways Holdings, Inc. Common Stock
SHPW
$2.5M

Top Sells

1
CEF icon
Sprott Physical Gold and Silver Trust
CEF
$3.3M
2
FOREU
Foresight Acquisition Corp. Units
FOREU
$2.97M
3
VOSOU
Virtuoso Acquisition Corp. Unit
VOSOU
$1.73M
4
SPCX icon
The SPAC and New Issue ETF
SPCX
$1.43M
5
THMAU
Thimble Point Acquisition Corp. Unit
THMAU
$1.04M

Sector Composition

1 Financials 29.72%
2 Healthcare 13.63%
3 Communication Services 1.85%
4 Industrials 1.24%
5 Technology 0.92%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
HYG icon
201
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$17.8B
– –
0
– –
IWM icon
202
iShares Russell 2000 ETF
IWM
$67.4B
– –
0
– –
SIRI icon
203
SiriusXM
SIRI
$7.94B
– –
0
– –
SPCX icon
204
The SPAC and New Issue ETF
SPCX
$9.22M
– –
-50,000
Closed -$1.43M
SPY icon
205
SPDR S&P 500 ETF Trust
SPY
$662B
– –
0
– –
SQM icon
206
Sociedad Química y Minera de Chile
SQM
$12.6B
– –
-10,000
Closed -$531K
TM icon
207
Toyota
TM
$258B
– –
0
– –
XBI icon
208
SPDR S&P Biotech ETF
XBI
$5.28B
– –
0
– –
ADOCR
209
DELISTED
Edoc Acquisition Corp. Right
ADOCR
– –
-75,000
Closed -$29K
SNCE
210
DELISTED
Science 37 Holdings, Inc. Common Stock
SNCE
– –
-4,625
Closed -$938K
KVSA
211
DELISTED
Khosla Ventures Acquisition Co. Class A Common Stock
KVSA
– –
-25,000
Closed -$253K
BSMX
212
DELISTED
Banco Santander México, S, A., Institución de Banca Múltiple, Grupo Financiero Santander México
BSMX
– –
-20,400
Closed -$112K
ATA.U
213
DELISTED
Americas Technology Acquisition Corp. Units, each consisting of one Ordinary Share and one half of Redeemable Warrant
ATA.U
– –
-100,000
Closed -$1.01M
VENAU
214
DELISTED
Venus Acquisition Corporation Units
VENAU
– –
-50,000
Closed -$500K
BENEU
215
DELISTED
Benessere Capital Acquisition Corp. Unit
BENEU
– –
-25,000
Closed -$263K
ENPC.U
216
DELISTED
Executive Network Partnering Corporation CAPS, each consisting of one share of Class A common stock, and one-quarter of one redeemable warrant
ENPC.U
– –
-50,000
Closed -$499K
MUDSU
217
DELISTED
Mudrick Capital Acquisition Corporation II Unit
MUDSU
– –
-100,000
Closed -$1M
LNFA.U
218
DELISTED
L&F Acquisition Corp. Units, each consisting of one Class A ordinary share, and one-half of one rede
LNFA.U
– –
-25,000
Closed -$255K
MOTV.U
219
DELISTED
Motive Capital Corp Units, each consisting of one Class A ordinary share, and one-third of one redee
MOTV.U
– –
-10,000
Closed -$101K
TVACU
220
DELISTED
Thayer Ventures Acquisition Corporation Units
TVACU
– –
-55,000
Closed -$560K
NGCAU
221
DELISTED
NextGen Acquisition Corp. II Units
NGCAU
– –
-25,000
Closed -$248K
DBDRU
222
DELISTED
Roman DBDR Tech Acquisition Corp. Unit
DBDRU
– –
-65,000
Closed -$663K
BSN.U
223
DELISTED
Broadstone Acquisition Corp. Units, each consisting of one Class A ordinary share and one-half of on
BSN.U
– –
-50,000
Closed -$505K
YAC
224
DELISTED
Yucaipa Acquisition Corporation Class A Ordinary Shares
YAC
– –
-75,000
Closed -$739K
YAC.U
225
DELISTED
Yucaipa Acquisition Corporation Units, each consisting of one Class A ordinary share and one-third o
YAC.U
– –
-25,000
Closed -$256K
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