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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
+10.52%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$157M
AUM Growth
-$17.6M
Cap. Flow
-$8.98M
Cap. Flow %
-5.73%
Top 10 Hldgs %
73.3%
Holding
70
New
29
Increased
1
Reduced
1
Closed
22

Top Buys

Rank Stock Value
1
GB
Global Blue Group Holding
GB
+$10.7M
2
UL icon
Unilever
UL
+$6.13M
3
SPRU icon
Spruce Power Holding Corp
SPRU
+$5.68M
4
LGVW.U
Longview Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-thir
LGVW.U
+$5.02M
5
WPF.U
Foley Trasimene Acquisition Corp.
WPF.U
+$3.66M

Top Sells

Rank Stock Value
1
HPK icon
HighPeak Energy
HPK
+$48.3M
2
LBRDA icon
Liberty Broadband Class A
LBRDA
+$17.9M
3
HSBC icon
HSBC
HSBC
+$7.28M
4
TTCF
Tattooed Chef, Inc Class A Common Stock
TTCF
+$4.84M
5
MFG icon
Mizuho Financial
MFG
+$4.58M

Sector Composition

Rank Sector Weight
1 Financials 49.7%
2 Technology 12.48%
3 Consumer Staples 4.99%
4 Consumer Discretionary 1.69%
5 Healthcare 1.62%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SMFG icon
1
Sumitomo Mitsui Financial
SMFG
$163B
$61.8M 39.43%
11,000,000
– –
GB
2
DELISTED
Global Blue Group Holding
GB
$10.8M 6.86%
+1,050,000
New +$10.7M
LYG icon
3
Lloyds Banking Group
LYG
$90B
$7.47M 4.76%
4,980,083
– –
UL icon
4
Unilever
UL
$137B
$6.33M 4.04%
+102,524
New +$6.13M
SPAQ.U
5
DELISTED
Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of
SPAQ.U
$5.8M 3.7%
525,000
– –
SPRU icon
6
Spruce Power Holding Corp
SPRU
$42.2M
$5.78M 3.68%
+71,151
New +$5.68M
LGVW.U
7
DELISTED
Longview Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-thir
LGVW.U
$5.05M 3.22%
+500,000
New +$5.02M
EQOS
8
DELISTED
EQONEX LIMITED Ordinary Shares
EQOS
$4.57M 2.92%
450,000
– –
WPF.U
9
DELISTED
Foley Trasimene Acquisition Corp.
WPF.U
$3.73M 2.38%
+350,000
New +$3.66M
GRNVU
10
DELISTED
GreenVision Acquisition Corp Unit
GRNVU
$3.62M 2.31%
350,000
– –
HECCU
11
DELISTED
Hudson Executive Investment Corp. Units
HECCU
$3.08M 1.96%
+300,000
New +$3.06M
MAPS
12
DELISTED
WM TECHNOLOGY INC A
MAPS
$3.04M 1.94%
+300,000
New +$2.99M
SCVX.U
13
DELISTED
SCVX Corp. Units, each consisting of one Class A ordinary share, $0.0001 par value per share, and on
SCVX.U
$2.59M 1.65%
+250,000
New +$2.53M
UPH
14
DELISTED
UpHealth, Inc.
UPH
$2.54M 1.62%
+25,000
New +$2.5M
JWS.U
15
DELISTED
Jaws Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one red
JWS.U
$2.09M 1.33%
+200,000
New +$2.08M
GIK.U
16
DELISTED
GigCapital3, Inc. Units, each consisting of one share of Common Stock and three-fourths of one Redee
GIK.U
$2.01M 1.28%
+200,000
New +$1.99M
LOAK.U
17
DELISTED
Live Oak Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half
LOAK.U
$2M 1.28%
+200,000
New +$1.98M
UN
18
DELISTED
Unilever NV New York Registry Shares
UN
$1.85M 1.18%
+34,661
New +$1.76M
DFPHU
19
DELISTED
DFP Healthcare Acquisitions Corp. Unit
DFPHU
$1.6M 1.02%
+150,000
New +$1.51M
BCS icon
20
Barclays
BCS
$95B
$1.57M 1%
278,058
– –
CLNN icon
21
Clene
CLNN
$68.2M
$1.5M 0.96%
6,940
– –
PCPL.U
22
DELISTED
CC Neuberger Principal Holdings I Units, each consisting of one Class A ordinary share and one-third
PCPL.U
$1.32M 0.85%
+125,000
New +$1.28M
SPY icon
23
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$818B
$1.09M 0.7%
90,000
+70,000
+350% +$20.5M
DMYT.U
24
DELISTED
dMY Technology Group, Inc. Units, each consisting of one share of Class A Common Stock and one-half
DMYT.U
$1.06M 0.67%
+100,000
New +$1.01M
NPAUU
25
DELISTED
New Providence Acquisition Corp. Unit
NPAUU
$1.05M 0.67%
+100,000
New +$1.03M
1
2 3

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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 Q2 2020 Portfolio in Review

As of Q2 2020, Cowen Investment Management held 70 positions worth $157M, down 10% from $174M the previous quarter. Its ten largest holdings account for 73% of the portfolio.

Cowen Investment Management withdrew a net $8.98M in Q2 2020, closing 22 positions and reducing 1 holding. Its most notable exit was HighPeak Energy, an estimated $48.3M position sold in full.

By sector, the portfolio is most concentrated in Financials at 50% of assets, up from 47% a quarter earlier, followed by Technology and Consumer Staples.

Against the trend, Cowen Investment Management opened a new position in Global Blue Group Holding worth $10.8M.

  • Cowen Investment Management's largest Q2 2020 buy was Global Blue Group Holding: 1,050,000 shares worth $10.8M.
  • Cowen Investment Management's biggest Q2 2020 reduction was Yatra Online, cutting an estimated $12.9K.
  • Cowen Investment Management fully exited HighPeak Energy in Q2 2020, selling an estimated $48.3M.
  • Cowen Investment Management's ten largest holdings make up 73% of its $157M portfolio in Q2 2020.
  • Cowen Investment Management opened 29 new positions and closed 22 in Q2 2020.
  • Cowen Investment Management's portfolio value fell 10% quarter-over-quarter to $157M.

Based on Cowen Investment Management's 13F filing for Q2 2020, filed 12 Aug 2020.