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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
SPY icon
201
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$809B
– –
-75,000
Closed -$95K
SOC icon
202
Sable Offshore Corp
SOC
$840M
– –
-75,000
Closed -$737K
GTI
203
DELISTED
Graphjet Technology
GTI
– –
-833
Closed -$507K
BOCNU
204
DELISTED
Blue Ocean Acquisition Corp Unit
BOCNU
– –
-100,000
Closed -$1M
FIACU
205
DELISTED
Focus Impact Acquisition Corp. Unit
FIACU
– –
-50,000
Closed -$502K
BHACU
206
DELISTED
Focus Impact BH3 Acquisition Company Units
BHACU
– –
-100,000
Closed -$996K
LCW
207
DELISTED
Learn CW Investment Corporation Class A Ordinary Shares
LCW
– –
-200,000
Closed -$1.97M
LSXMA
208
DELISTED
Liberty Media Corporation Series A Liberty SiriusXM Common Stock
LSXMA
– –
-16,920
Closed -$473K
KRNL
209
DELISTED
Kernel Group Holdings, Inc. Class A Ordinary Shares
KRNL
– –
-50,000
Closed -$496K
MAQC
210
DELISTED
Maquia Capital Acquisition Corporation Class A Common Stock
MAQC
– –
-100,000
Closed -$1.03M
CNGL
211
DELISTED
Canna-Global Acquisition Corp. Class A Common Stock
CNGL
– –
-100,000
Closed -$1.01M
BITE.U
212
DELISTED
Bite Acquisition Corp. Units, each consisting of one share of common stock, and one-half of one redeemable warrant
BITE.U
– –
-150,000
Closed -$1.48M
CONX
213
DELISTED
CONX Corp. Class A Common Stock
CONX
– –
-100,000
Closed -$1M
RMGC
214
DELISTED
RMG Acquisition Corp. III Class A Ordinary Shares
RMGC
– –
-350,000
Closed -$3.48M
RMGCU
215
DELISTED
RMG Acquisition Corp. III Unit
RMGCU
– –
-25,000
Closed -$249K
SLAC
216
DELISTED
Social Leverage Acquisition Corp I Class A Common Stock
SLAC
– –
-200,000
Closed -$1.97M
FLME.U
217
DELISTED
Flame Acquisition Corp. Units, each consisting of one share of Class A Common Stock, and one-half of one Warrant
FLME.U
– –
-150,000
Closed -$1.48M
ADEX.U
218
DELISTED
Adit EdTech Acquisition Corp Units
ADEX.U
– –
-100,000
Closed -$987K
TBCPU
219
DELISTED
Thunder Bridge Capital Partners III Inc. Units
TBCPU
– –
-200,000
Closed -$1.97M
LHC.U
220
DELISTED
Leo Holdings Corp. II Units, each consisting of one Class A ordinary share and one-quarter of one redeemable warrant
LHC.U
– –
-150,000
Closed -$1.49M
SFR
221
DELISTED
Appreciate Holdings, Inc. Class A Common Stock
SFR
– –
-250,000
Closed -$2.49M
FXCO
222
DELISTED
Financial Strategies Acquisition Corp. Class A Common Stock
FXCO
– –
-175,000
Closed -$1.75M
GFX
223
DELISTED
Golden Falcon Acquisition Corp.
GFX
– –
-100,000
Closed -$995K
ZINGU
224
DELISTED
FTAC Zeus Acquisition Corp. Unit
ZINGU
– –
-100,000
Closed -$994K
ARBGU
225
DELISTED
Aequi Acquisition Corp Unit
ARBGU
– –
-350,000
Closed -$3.49M
7 8
9
10 11

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AMG
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XS
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MFAM
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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.