CIM

Cowen Investment Management Portfolio holdings

AUM $12M
This Quarter Return
+10.46%
1 Year Return
-1.47%
3 Year Return
+1.83%
5 Year Return
-37.73%
10 Year Return
–
AUM
$156M
AUM Growth
+$156M
Cap. Flow
-$27.4M
Cap. Flow %
-17.6%
Top 10 Hldgs %
73.85%
Holding
68
New
28
Increased
–
Reduced
1
Closed
19

Top Buys

1
GB
Global Blue Group Holding
GB
$10.8M
2
UL icon
Unilever
UL
$6.33M
3
SPRU icon
Spruce Power Holding Corp
SPRU
$5.78M
4
LGVW.U
Longview Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-thir
LGVW.U
$5.05M
5
WPF.U
Foley Trasimene Acquisition Corp.
WPF.U
$3.74M

Top Sells

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

1 Financials 50.07%
2 Technology 12.57%
3 Consumer Staples 5.03%
4 Consumer Discretionary 1.71%
5 Healthcare 1.63%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
SMFG icon
1
Sumitomo Mitsui Financial
SMFG
$105B
$61.8M 39.43% 11,000,000 – –
GB
2
DELISTED
Global Blue Group Holding
GB
$10.8M 6.86% +1,050,000 New +$10.8M
LYG icon
3
Lloyds Banking Group
LYG
$64.3B
$7.47M 4.76% 4,980,083 – –
UL icon
4
Unilever
UL
$155B
$6.33M 4.04% +115,339 New +$6.33M
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
$25.9M
$5.78M 3.68% +569,204 New +$5.78M
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 +$5.05M
EQOS
8
DELISTED
EQONEX LIMITED Ordinary Shares
EQOS
$4.57M 2.92% 450,000 – –
WPF.U
9
DELISTED
Foley Trasimene Acquisition Corp.
WPF.U
$3.74M 2.38% +350,000 New +$3.74M
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 +$3.08M
MAPS icon
12
WM Technology
MAPS
$134M
$3.04M 1.94% +300,000 New +$3.04M
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 +$2.59M
UPH
14
DELISTED
UpHealth, Inc.
UPH
$2.54M 1.62% +250,000 New +$2.54M
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 +$2.09M
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 +$2.01M
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 +$2M
UN
18
DELISTED
Unilever NV New York Registry Shares
UN
$1.85M 1.18% +34,661 New +$1.85M
DFPHU
19
DELISTED
DFP Healthcare Acquisitions Corp. Unit
DFPHU
$1.6M 1.02% +150,000 New +$1.6M
BCS icon
20
Barclays
BCS
$68.9B
$1.57M 1% 278,058 – –
CLNN icon
21
Clene
CLNN
$53.1M
$1.5M 0.96% 138,807 – –
PCPL.U
22
DELISTED
CC Neuberger Principal Holdings I Units, each consisting of one Class A ordinary share and one-third
PCPL.U
$1.33M 0.85% +125,000 New +$1.33M
DMYT.U
23
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 +$1.06M
NPAUU
24
DELISTED
New Providence Acquisition Corp. Unit
NPAUU
$1.06M 0.67% +100,000 New +$1.06M
DM
25
DELISTED
Desktop Metal, Inc.
DM
$1.05M 0.67% +100,000 New +$1.05M
1
2 3