CIM

Cowen Investment Management Portfolio holdings

AUM $12M
This Quarter Return
+5.01%
1 Year Return
-1.47%
3 Year Return
+1.83%
5 Year Return
-37.73%
10 Year Return
–
AUM
$308M
AUM Growth
+$308M
Cap. Flow
-$39.7M
Cap. Flow %
-12.89%
Top 10 Hldgs %
43.4%
Holding
123
New
31
Increased
13
Reduced
5
Closed
26

Top Buys

1
BP icon
BP
BP
$22.7M
2
LBRDA icon
Liberty Broadband Class A
LBRDA
$13.3M
3
RIO icon
Rio Tinto
RIO
$12.2M
4
HPK icon
HighPeak Energy
HPK
$6.53M
5
SFTW.U
Osprey Technology Acquisition Corp. Units, each consisting of one share of Class A Common Stock and
SFTW.U
$5.6M

Top Sells

1
TD icon
Toronto Dominion Bank
TD
$58.3M
2
VOD icon
Vodafone
VOD
$19.9M
3
BRMK
Broadmark Realty Capital Inc. Common Stock
BRMK
$15.6M
4
LSXMA
Liberty Media Corporation Series A Liberty SiriusXM Common Stock
LSXMA
$7.44M
5
SEGG
Lottery.com
SEGG
$7.29M

Sector Composition

1 Energy 15.29%
2 Financials 14.31%
3 Communication Services 13.71%
4 Materials 5.64%
5 Industrials 4.26%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
HPK icon
1
HighPeak Energy
HPK
$971M
$24.4M 7.89% 2,355,000 +630,000 +37% +$6.53M
BP icon
2
BP
BP
$90.8B
$22.7M 7.32% +600,187 New +$22.7M
LYG icon
3
Lloyds Banking Group
LYG
$64.3B
$22.6M 7.3% 6,825,506 -1,095,505 -14% -$3.63M
LBRDA icon
4
Liberty Broadband Class A
LBRDA
$8.71B
$18.7M 6.03% 149,960 +107,096 +250% +$13.3M
RIO icon
5
Rio Tinto
RIO
$102B
$12.2M 3.94% +205,673 New +$12.2M
CEF icon
6
Sprott Physical Gold and Silver Trust
CEF
$6.27B
$10.1M 3.25% 685,872 +172,776 +34% +$2.53M
HOFV
7
DELISTED
Hall of Fame Resort & Entertainment Co
HOFV
$6.35M 2.05% 600,000 – –
VVNT
8
DELISTED
Vivint Smart Home, Inc. Class A Common Stock
VVNT
$5.66M 1.83% 550,000 +365,000 +197% +$3.75M
SFTW.U
9
DELISTED
Osprey Technology Acquisition Corp. Units, each consisting of one share of Class A Common Stock and
SFTW.U
$5.6M 1.81% +550,000 New +$5.6M
SPAQ.U
10
DELISTED
Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of
SPAQ.U
$5.44M 1.76% 525,000 – –
TTCF
11
DELISTED
Tattooed Chef, Inc Class A Common Stock
TTCF
$5.36M 1.73% 525,000 – –
DPHCU
12
DELISTED
DiamondPeak Holdings Corp. Units
DPHCU
$5.33M 1.72% 520,000 – –
HYMC icon
13
Hycroft Mining Holding Corp
HYMC
$178M
$5.17M 1.67% 500,000 – –
GLIBA
14
DELISTED
GCI Liberty, Inc. Class A Common Stock (DE)
GLIBA
$5.12M 1.65% 72,238 +16,636 +30% +$1.18M
USL icon
15
United States 12 Month Oil Fund,
USL
$43.2M
$4.77M 1.54% 207,667 +9,185 +5% +$211K
TRNE.U
16
DELISTED
Trine Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of
TRNE.U
$4.7M 1.52% 450,000 +50,000 +13% +$523K
IGIC icon
17
International General Insurance
IGIC
$1.04B
$4.2M 1.36% 400,000 – –
ID
18
DELISTED
PARTS iD, Inc.
ID
$4.11M 1.33% 400,000 – –
FWONA icon
19
Liberty Media Series A
FWONA
$22.5B
$4.03M 1.3% 92,110 +18,717 +26% +$820K
EQOS
20
DELISTED
EQONEX LIMITED Ordinary Shares
EQOS
$4.01M 1.29% 400,000 – –
FMCIU
21
DELISTED
Forum Merger II Corporation Unit
FMCIU
$3.96M 1.28% 369,052 – –
GB
22
DELISTED
Global Blue Group Holding
GB
$3.87M 1.25% 375,000 +350,000 +1,400% +$3.62M
SAN icon
23
Banco Santander
SAN
$141B
$3.84M 1.24% 926,479 -30,000 -3% -$124K
GRNVU
24
DELISTED
GreenVision Acquisition Corp Unit
GRNVU
$3.53M 1.14% +350,000 New +$3.53M
MFAC.U
25
DELISTED
Megalith Financial Acquisition Corp. Units, each consisting of one share of Class A Common Stock, an
MFAC.U
$3.46M 1.12% 328,900 – –
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