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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
+2.04%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$341M
AUM Growth
–
Cap. Flow
+$442M
Cap. Flow %
129.56%
Top 10 Hldgs %
49.26%
Holding
95
New
95
Increased
–
Reduced
–
Closed
–

Top Buys

Rank Stock Value
1
TD icon
Toronto Dominion Bank
TD
+$56.8M
2
LYG icon
Lloyds Banking Group
LYG
+$20.5M
3
VOD icon
Vodafone
VOD
+$18.1M
4
HPK icon
HighPeak Energy
HPK
+$17.6M
5
BRMK
Broadmark Realty Capital Inc. Common Stock
BRMK
+$15.5M

Top Sells

No sells this quarter

Sector Composition

Rank Sector Weight
1 Financials 33.75%
2 Communication Services 12.59%
3 Energy 7.8%
4 Real Estate 4.57%
5 Consumer Discretionary 4.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TD icon
1
Toronto Dominion Bank
TD
$197B
$58.3M 17.07%
+1,000,000
New +$56.8M
LYG icon
2
Lloyds Banking Group
LYG
$90.3B
$20.9M 6.13%
+7,921,011
New +$20.5M
VOD icon
3
Vodafone
VOD
$36.3B
$19.9M 5.82%
+997,870
New +$18.1M
HPK icon
4
HighPeak Energy
HPK
$864M
$17.7M 5.18%
+1,725,000
New +$17.6M
BRMK
5
DELISTED
Broadmark Realty Capital Inc. Common Stock
BRMK
$15.6M 4.57%
+1,495,240
New +$15.5M
LSXMA
6
DELISTED
Liberty Media Corporation Series A Liberty SiriusXM Common Stock
LSXMA
$7.44M 2.18%
+247,621
New +$7.24M
SEGG
7
Sports Entertainment Gaming Global Corp
SEGG
$9.84M
$7.29M 2.14%
+500
New +$7.29M
CEF icon
8
Sprott Physical Gold and Silver Trust
CEF
$7.54B
$7.27M 2.13%
+513,096
New +$7.28M
TDACU
9
DELISTED
Trident Acquisitions Corp. Units
TDACU
$6.92M 2.03%
+654,300
New +$6.93M
HSBC icon
10
HSBC
HSBC
$364B
$6.88M 2.02%
+179,884
New +$6.97M
HOFV
11
DELISTED
Hall of Fame Resort & Entertainment Co
HOFV
$6.28M 1.84%
+38,755
New +$6.24M
RDS.A
12
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$5.88M 1.72%
+100,000
New +$5.94M
SPAQ.U
13
DELISTED
Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of
SPAQ.U
$5.44M 1.59%
+525,000
New +$5.39M
TTCF
14
DELISTED
Tattooed Chef, Inc Class A Common Stock
TTCF
$5.31M 1.56%
+525,000
New +$5.3M
DPHCU
15
DELISTED
DiamondPeak Holdings Corp. Units
DPHCU
$5.3M 1.55%
+520,000
New +$5.26M
HYMC icon
16
Hycroft Mining Holding Corp
HYMC
$2.08B
$5.14M 1.51%
+50,000
New +$5.12M
RWGE
17
DELISTED
Regalwood Global Energy Ltd. Class A Ordinary Shares
RWGE
$4.64M 1.36%
+450,000
New +$4.62M
LPRO
18
DELISTED
Open Lending Corp
LPRO
$4.59M 1.34%
+450,000
New +$4.57M
LBRDA icon
19
Liberty Broadband Class A
LBRDA
$5.17B
$4.48M 1.31%
+42,864
New +$4.42M
BSMX
20
DELISTED
Banco Santander México, S, A., Institución de Banca Múltiple, Grupo Financiero Santander México
BSMX
$4.25M 1.24%
+674,420
New +$4.63M
TRNE.U
21
DELISTED
Trine Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of
TRNE.U
$4.14M 1.21%
+400,000
New +$4.07M
IGIC icon
22
International General Insurance
IGIC
$1.19B
$4.1M 1.2%
+400,000
New +$4.11M
ID
23
DELISTED
PARTS iD, Inc.
ID
$4.08M 1.2%
+400,000
New +$4.06M
GDYN icon
24
Grid Dynamics Holdings
GDYN
$588M
$4.04M 1.18%
+400,000
New +$4.02M
USL icon
25
United States 12 Month Oil Fund,
USL
$42.6M
$4.01M 1.17%
+198,482
New +$4.18M
1
2 3 4

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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 Q3 2019 Portfolio in Review

Q3 2019 is the first quarter with a 13F filing on record for Cowen Investment Management, which disclosed 95 positions worth $341M. Its ten largest holdings account for 49% of the portfolio.

Its largest position is Toronto Dominion Bank: 1,000,000 shares worth $58.3M.

By sector, the portfolio is most concentrated in Financials at 34% of assets, followed by Communication Services and Energy.

  • Cowen Investment Management's largest Q3 2019 buy was Toronto Dominion Bank: 1,000,000 shares worth $58.3M.
  • Cowen Investment Management's ten largest holdings make up 49% of its $341M portfolio in Q3 2019.
  • Cowen Investment Management disclosed 95 positions in Q3 2019, its first 13F filing on record.

Based on Cowen Investment Management's 13F filing for Q3 2019, filed 15 Nov 2019.