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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
-40.67%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$60.7M
AUM Growth
-$325M
Cap. Flow
+$21.6M
Cap. Flow %
35.61%
Top 10 Hldgs %
99.63%
Holding
255
New
50
Increased
5
Reduced
9
Closed
32

Top Buys

Rank Stock Value
1
PTRA
Proterra Inc. Common Stock
PTRA
+$70.4M
2
AACIU
Armada Acquisition Corp. I Unit
AACIU
+$12.2M
3
YSAC
Yellowstone Acquisition Company
YSAC
+$9.96M
4
AUR icon
Aurora
AUR
+$9.89M
5
DGNS
Dragoneer Growth Opportunities Corp. II Class A Ordinary Shares
DGNS
+$4.12M

Top Sells

Rank Stock Value
1
PTRAW
Proterra Inc. Warrant
PTRAW
+$65.5M
2
AZN icon
AstraZeneca
AZN
+$44.9M
3
ALXN
Alexion Pharmaceuticals
ALXN
+$3.67M
4
SLCRU
Silver Crest Acquisition Corporation Unit
SLCRU
+$3.67M
5
SHPW
Shapeways Holdings, Inc. Common Stock
SHPW
+$2.4M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 99.43%
2 Financials 0.22%
3 Communication Services 0.02%
4 Industrials 0.02%
5 Healthcare 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
STCN
201
DELISTED
Steel Connect, Inc. Common Stock
STCN
$253 ﹤0.01%
13,371
+85
+0.6% +$1.52K
CONXU
202
DELISTED
CONX Corp. Unit
CONXU
$251 ﹤0.01%
25,000
– –
FINMU
203
DELISTED
Marlin Technology Corporation Unit
FINMU
$250 ﹤0.01%
25,000
– –
HERAU
204
DELISTED
FTAC Hera Acquisition Corp. Units
HERAU
$249 ﹤0.01%
25,000
– –
PSAGU
205
DELISTED
Property Solutions Acquisition Corporation II Units
PSAGU
$248 ﹤0.01%
25,000
– –
EUSG
206
DELISTED
European Sustainable Growth Acquisition Corp. Class A Ordinary Shares
EUSG
$248 ﹤0.01%
25,000
– –
RMGCU
207
DELISTED
RMG Acquisition Corp. III Unit
RMGCU
$247 ﹤0.01%
25,000
– –
ACAHU
208
DELISTED
Atlantic Coastal Acquisition Corp. Unit
ACAHU
$247 ﹤0.01%
25,000
– –
RXRAU
209
DELISTED
RXR Acquisition Corp. Units
RXRAU
$246 ﹤0.01%
25,000
– –
MTBL
210
DELISTED
Moatable, Inc. American Depositary Share (each representing forty-five (45) Class A Ordinary Shares)
MTBL
$238 ﹤0.01%
171,100
– –
OSG
211
DELISTED
Overseas Shipholding Group Inc.
OSG
$231 ﹤0.01%
+110,956
New +$278K
LSXMK
212
DELISTED
Liberty Media Corporation Series C Liberty SiriusXM Common Stock
LSXMK
$224 ﹤0.01%
6,087
-45,553
-88% -$1.67M
FPAC.WS
213
DELISTED
Far Peak Acquisition Corporation Redeemable Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
FPAC.WS
$216 ﹤0.01%
+125,000
New +$229K
GFX.U
214
DELISTED
Golden Falcon Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of one Warrant
GFX.U
$200 ﹤0.01%
20,000
– –
ASAQ.WS
215
DELISTED
Atlantic Avenue Acquisition Corp Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share
ASAQ.WS
$200 ﹤0.01%
297,915
– –
AIFA
216
All In FutureTech Alliance Inc
AIFA
$17.7M
$137 ﹤0.01%
12,916
– –
PSTH.WS
217
DELISTED
Pershing Square Tontine Holdings, Ltd. Warrants, exercisable for one share of Class A Common Stock f
PSTH.WS
$117 ﹤0.01%
+90,981
New +$270K
MAAC
218
DELISTED
Montes Archimedes Acquisition Corp. Class A Common Stock
MAAC
$94 ﹤0.01%
10,000
-40,000
-80% -$397K
APGB.WS
219
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
$93 ﹤0.01%
100,000
– –
PIIIW icon
220
P3 Health Partners Inc Warrant
PIIIW
$199K
$88 ﹤0.01%
100,000
– –
SHPW
221
DELISTED
Shapeways Holdings, Inc. Common Stock
SHPW
$77 ﹤0.01%
1,250
-30,000
-96% -$2.4M
ENPC.WS
222
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
$25 ﹤0.01%
31,250
– –
ADOCW
223
DELISTED
Edoc Acquisition Corp. Warrant
ADOCW
$16 ﹤0.01%
65,000
– –
AZN icon
224
AstraZeneca
AZN
$246B
– –
-375,200
Closed -$44.9M
CEF icon
225
Sprott Physical Gold and Silver Trust
CEF
$8.32B
– –
-46,257
Closed -$864K
7 8
9
10 11

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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 Q3 2021 Portfolio in Review

As of Q3 2021, Cowen Investment Management held 255 positions worth $60.7M, down 84% from $385M the previous quarter. Its ten largest holdings account for 100% of the portfolio.

Cowen Investment Management deployed $21.6M of net new capital in Q3 2021, opening 50 new positions and adding to 5 existing holdings. Its largest new stake was Proterra Inc. Common Stock: 6,228,685 shares worth $60.3M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 99% of assets, up from 0.62% a quarter earlier, followed by Financials and Communication Services.

On the sell side, the largest reduction was Shapeways Holdings, Inc. Common Stock, an estimated $2.4M trimmed.

  • Cowen Investment Management's largest Q3 2021 buy was Proterra Inc. Common Stock: 6,228,685 shares worth $60.3M.
  • Cowen Investment Management added most to Symbotic in Q3 2021, an estimated $3.44M increase.
  • Cowen Investment Management's biggest Q3 2021 reduction was Shapeways Holdings, Inc. Common Stock, cutting an estimated $2.4M.
  • Cowen Investment Management fully exited Proterra Inc. Warrant in Q3 2021, selling an estimated $65.5M.
  • Cowen Investment Management's ten largest holdings make up 100% of its $60.7M portfolio in Q3 2021.
  • Cowen Investment Management opened 50 new positions and closed 32 in Q3 2021.
  • Cowen Investment Management's portfolio value fell 84% quarter-over-quarter to $60.7M.

Based on Cowen Investment Management's 13F filing for Q3 2021, filed 15 Nov 2021.