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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
+2.15%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$385M
AUM Growth
+$127M
Cap. Flow
+$34.3M
Cap. Flow %
8.91%
Top 10 Hldgs %
56.04%
Holding
237
New
54
Increased
16
Reduced
20
Closed
32

Top Buys

Rank Stock Value
1
AZN icon
AstraZeneca
AZN
+$27.4M
2
PTRAW
Proterra Inc. Warrant
PTRAW
+$18M
3
ALXN
Alexion Pharmaceuticals
ALXN
+$3.43M
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
+$2.51M

Top Sells

Rank Stock Value
1
CEF icon
Sprott Physical Gold and Silver Trust
CEF
+$3.36M
2
FOREU
Foresight Acquisition Corp. Units
FOREU
+$2.97M
3
VOSOU
Virtuoso Acquisition Corp. Unit
VOSOU
+$1.73M
4
SPCK
The SPAC and New Issue ETF
SPCK
+$1.43M
5
ATA.U
Americas Technology Acquisition Corp. Units, each consisting of one Ordinary Share and one half of Redeemable Warrant
ATA.U
+$1.01M

Sector Composition

Rank Sector Weight
1 Financials 29.53%
2 Healthcare 13.42%
3 Communication Services 1.79%
4 Industrials 1.23%
5 Technology 1.09%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ENPC.WS
201
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
$31K 0.01%
31,250
+12,500
+67% +$11.7K
HYG icon
202
PUT
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$17.9B
$27K 0.01%
50,000
+5,500
+12% +$480K
ADOCW
203
DELISTED
Edoc Acquisition Corp. Warrant
ADOCW
$23K 0.01%
65,000
-35,000
-35% -$10.8K
SIRI icon
204
CALL
SiriusXM
SIRI
$9.54B
$21K 0.01%
10,570
+570
+6% +$35.7K
SIRI icon
205
PUT
SiriusXM
SIRI
$9.54B
$8K ﹤0.01%
+1,060
New +$66.5K
BURU
206
DELISTED
NUBURU INC
BURU
– –
-401
Closed -$794K
EOSE icon
207
PUT
Eos Energy Enterprises
EOSE
$1.54B
– –
-30,000
Closed -$78K
SPCK
208
The SPAC and New Issue ETF
SPCK
$8.24M
– –
-50,000
Closed -$1.43M
SPCK
209
PUT
The SPAC and New Issue ETF
SPCK
$8.24M
– –
-45,000
Closed -$2K
SQM icon
210
Sociedad Química y Minera de Chile
SQM
$20.4B
– –
-10,000
Closed -$531K
SQM icon
211
PUT
Sociedad Química y Minera de Chile
SQM
$20.4B
– –
-10,000
Closed -$122K
TM icon
212
CALL
Toyota
TM
$223B
– –
-20,000
Closed -$137K
ADOCR
213
DELISTED
Edoc Acquisition Corp. Right
ADOCR
– –
-75,000
Closed -$29K
SNCE
214
DELISTED
Science 37 Holdings, Inc. Common Stock
SNCE
– –
-4,625
Closed -$938K
KVSA
215
DELISTED
Khosla Ventures Acquisition Co. Class A Common Stock
KVSA
– –
-25,000
Closed -$253K
BSMX
216
DELISTED
Banco Santander México, S, A., Institución de Banca Múltiple, Grupo Financiero Santander México
BSMX
– –
-20,400
Closed -$112K
ATA.U
217
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
218
DELISTED
Venus Acquisition Corporation Units
VENAU
– –
-50,000
Closed -$500K
BENEU
219
DELISTED
Benessere Capital Acquisition Corp. Unit
BENEU
– –
-25,000
Closed -$263K
ENPC.U
220
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
221
DELISTED
Mudrick Capital Acquisition Corporation II Unit
MUDSU
– –
-100,000
Closed -$1M
LNFA.U
222
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
223
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
224
DELISTED
Thayer Ventures Acquisition Corporation Units
TVACU
– –
-55,000
Closed -$560K
NGCAU
225
DELISTED
NextGen Acquisition Corp. II Units
NGCAU
– –
-25,000
Closed -$248K
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
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MFAM
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ZIMP
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RCI
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Cowen Investment Management's Q2 2021 Portfolio in Review

As of Q2 2021, Cowen Investment Management held 237 positions worth $385M, up 49% from $259M the previous quarter. Its ten largest holdings account for 56% of the portfolio.

Cowen Investment Management deployed $34.3M of net new capital in Q2 2021, opening 54 new positions and adding to 16 existing holdings. Its largest new stake was Proterra Inc. Warrant: 3,427,607 shares worth $65.5M.

By sector, the portfolio is most concentrated in Financials at 30% of assets, down from 41% a quarter earlier, followed by Healthcare and Communication Services.

On the sell side, the largest reduction was Sprott Physical Gold and Silver Trust, an estimated $3.36M trimmed.

  • Cowen Investment Management's largest Q2 2021 buy was Proterra Inc. Warrant: 3,427,607 shares worth $65.5M.
  • Cowen Investment Management added most to AstraZeneca in Q2 2021, an estimated $27.4M increase.
  • Cowen Investment Management's biggest Q2 2021 reduction was Sprott Physical Gold and Silver Trust, cutting an estimated $3.36M.
  • Cowen Investment Management fully exited Foresight Acquisition Corp. Units in Q2 2021, selling an estimated $2.97M.
  • Cowen Investment Management's ten largest holdings make up 56% of its $385M portfolio in Q2 2021.
  • Cowen Investment Management opened 54 new positions and closed 32 in Q2 2021.
  • Cowen Investment Management's portfolio value rose 49% quarter-over-quarter to $385M.

Based on Cowen Investment Management's 13F filing for Q2 2021, filed 11 Aug 2021.