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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
-18.46%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$174M
AUM Growth
-$135M
Cap. Flow
-$73.3M
Cap. Flow %
-42.03%
Top 10 Hldgs %
89.85%
Holding
110
New
15
Increased
4
Reduced
11
Closed
69

Top Buys

Rank Stock Value
1
SMFG icon
Sumitomo Mitsui Financial
SMFG
+$70.9M
2
HPK icon
HighPeak Energy
HPK
+$23.9M
3
HSBC icon
HSBC
HSBC
+$9.03M
4
MFG icon
Mizuho Financial
MFG
+$5.41M
5
YTRA icon
Yatra Online
YTRA
+$2.37M

Top Sells

Rank Stock Value
1
BP icon
BP
BP
+$22.7M
2
RIO icon
Rio Tinto
RIO
+$12.2M
3
CEF icon
Sprott Physical Gold and Silver Trust
CEF
+$10.1M
4
HOFV
Hall of Fame Resort & Entertainment Co
HOFV
+$6.35M
5
VVNT
Vivint Smart Home, Inc. Class A Common Stock
VVNT
+$5.66M

Sector Composition

Rank Sector Weight
1 Financials 46.79%
2 Energy 27.7%
3 Communication Services 11.58%
4 Consumer Staples 3.61%
5 Healthcare 1.29%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SMFG icon
1
Sumitomo Mitsui Financial
SMFG
$164B
$52.7M 30.21%
+11,000,000
New +$70.9M
HPK icon
2
HighPeak Energy
HPK
$910M
$48.3M 27.7%
4,650,143
+2,295,143
+97% +$23.9M
LBRDA icon
3
Liberty Broadband Class A
LBRDA
$5.16B
$17.9M 10.29%
167,719
+17,759
+12% +$2.18M
LYG icon
4
Lloyds Banking Group
LYG
$91.3B
$7.52M 4.31%
4,980,083
-1,845,423
-27% -$4.76M
HSBC icon
5
HSBC
HSBC
$356B
$7.28M 4.17%
+259,900
New +$9.03M
SPAQ.U
6
DELISTED
Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of
SPAQ.U
$5.51M 3.16%
525,000
– –
TTCF
7
DELISTED
Tattooed Chef, Inc Class A Common Stock
TTCF
$4.84M 2.77%
470,000
-55,000
-10% -$567K
MFG icon
8
Mizuho Financial
MFG
$130B
$4.58M 2.62%
+1,980,850
New +$5.41M
EQOS
9
DELISTED
EQONEX LIMITED Ordinary Shares
EQOS
$4.54M 2.61%
450,000
+50,000
+13% +$502K
GRNVU
10
DELISTED
GreenVision Acquisition Corp Unit
GRNVU
$3.48M 2%
350,000
– –
SAN icon
11
Banco Santander
SAN
$210B
$2.01M 1.15%
893,717
-73,044
-8% -$251K
ID
12
DELISTED
PARTS iD, Inc.
ID
$1.56M 0.89%
150,000
-250,000
-63% -$2.58M
CLNN icon
13
Clene
CLNN
$67.5M
$1.46M 0.84%
6,940
-8,060
-54% -$1.69M
LACQ
14
DELISTED
Leisure Acquisition Corp.
LACQ
$1.43M 0.82%
+137,000
New +$1.42M
YTRA icon
15
Yatra Online
YTRA
$52.6M
$1.32M 0.76%
1,280,906
+840,717
+191% +$2.37M
BCS icon
16
Barclays
BCS
$94.1B
$1.26M 0.72%
278,058
– –
NOK icon
17
Nokia
NOK
$52.3B
$1.01M 0.58%
325,356
-490,704
-60% -$1.82M
MUFG icon
18
Mitsubishi UFJ Financial
MUFG
$254B
$1.01M 0.58%
+275,000
New +$1.31M
QQQ icon
19
Invesco QQQ Trust
QQQ
$484B
$952K 0.55%
+5,000
New +$1.06M
IWM icon
20
PUT
iShares Russell 2000 ETF
IWM
$83B
$899K 0.52%
+110,000
New +$16.4M
SPY icon
21
State Street SPDR S&P 500 ETF Trust
SPY
$823B
$773K 0.44%
+3,000
New +$915K
RVPH
22
DELISTED
REVIVA PHARMA HLDGS INC
RVPH
$722K 0.41%
3,430
-10,320
-75% -$2.16M
PSO icon
23
Pearson
PSO
$9.9B
$689K 0.4%
100,000
– –
BMTX
24
DELISTED
BM Technologies, Inc.
BMTX
$617K 0.35%
60,000
-30,000
-33% -$308K
SPY icon
25
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$823B
$314K 0.18%
20,000
– –
1
2 3 4 5

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SFG
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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
Zimmermann Investment Management & Planning New Cumberland, Pennsylvania $2.27M AUM 29.81% 1-Year Est. Return
RCI
Ridgeback Capital Investments Miami Beach, Florida $560K AUM

Cowen Investment Management's Q1 2020 Portfolio in Review

As of Q1 2020, Cowen Investment Management held 110 positions worth $174M, down 44% from $310M the previous quarter. Its ten largest holdings account for 90% of the portfolio.

Cowen Investment Management withdrew a net $73.3M in Q1 2020, closing 69 positions and reducing 11 holdings. Its most notable exit was BP, an estimated $22.7M position sold in full.

By sector, the portfolio is most concentrated in Financials at 47% of assets, up from 14% a quarter earlier, followed by Energy and Communication Services.

Against the trend, Cowen Investment Management opened a new position in Sumitomo Mitsui Financial worth $52.7M.

  • Cowen Investment Management's largest Q1 2020 buy was Sumitomo Mitsui Financial: 11,000,000 shares worth $52.7M.
  • Cowen Investment Management added most to HighPeak Energy in Q1 2020, an estimated $23.9M increase.
  • Cowen Investment Management's biggest Q1 2020 reduction was Lloyds Banking Group, cutting an estimated $4.76M.
  • Cowen Investment Management fully exited BP in Q1 2020, selling an estimated $22.7M.
  • Cowen Investment Management's ten largest holdings make up 90% of its $174M portfolio in Q1 2020.
  • Cowen Investment Management opened 15 new positions and closed 69 in Q1 2020.
  • Cowen Investment Management's portfolio value fell 44% quarter-over-quarter to $174M.

Based on Cowen Investment Management's 13F filing for Q1 2020, filed 14 May 2020.