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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
+1.39%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$238M
AUM Growth
+$81M
Cap. Flow
+$70.3M
Cap. Flow %
29.56%
Top 10 Hldgs %
48.01%
Holding
113
New
65
Increased
6
Reduced
13
Closed
10

Top Buys

Rank Stock Value
1
CEF icon
Sprott Physical Gold and Silver Trust
CEF
+$7.39M
2
MVST icon
Microvast
MVST
+$6.86M
3
AMCX icon
AMC Global Media
AMCX
+$6.65M
4
ASLE icon
AerSale
ASLE
+$6.17M
5
CCIV.U
Churchill Capital Corp IV Units, each consisting of one share of Class A common stock and one-fifth
CCIV.U
+$4M

Top Sells

Rank Stock Value
1
GB
Global Blue Group Holding
GB
+$10.8M
2
SPAQ.U
Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of
SPAQ.U
+$7.72M
3
SPRU icon
Spruce Power Holding Corp
SPRU
+$5.78M
4
GRNVU
GreenVision Acquisition Corp Unit
GRNVU
+$3.62M
5
UL icon
Unilever
UL
+$3.42M

Sector Composition

Rank Sector Weight
1 Financials 35.11%
2 Consumer Discretionary 6.39%
3 Industrials 3.3%
4 Communication Services 3.18%
5 Technology 2.55%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SMFG icon
1
Sumitomo Mitsui Financial
SMFG
$164B
$60.1M 25.27%
10,750,000
-250,000
-2% -$1.43M
MVST icon
2
Microvast
MVST
$302M
$7.63M 3.21%
750,000
+675,000
+900% +$6.86M
CEF icon
3
Sprott Physical Gold and Silver Trust
CEF
$8.06B
$7.06M 2.97%
+384,900
New +$7.39M
AMCX icon
4
AMC Global Media
AMCX
$489M
$6.84M 2.88%
+277,000
New +$6.65M
LYG icon
5
Lloyds Banking Group
LYG
$91.3B
$6.47M 2.72%
4,980,083
– –
ASLE icon
6
AerSale
ASLE
$279M
$6.14M 2.58%
+600,000
New +$6.17M
UN
7
DELISTED
Unilever NV New York Registry Shares
UN
$5.58M 2.35%
92,328
+57,667
+166% +$3.34M
MAPS
8
DELISTED
WM TECHNOLOGY INC A
MAPS
$5.07M 2.13%
500,000
+200,000
+67% +$2.02M
LOTZ
9
DELISTED
CarLotz, Inc. Class A Common Stock
LOTZ
$4.91M 2.06%
480,000
+380,000
+380% +$3.9M
EQOS
10
DELISTED
EQONEX LIMITED Ordinary Shares
EQOS
$4.38M 1.84%
425,000
-25,000
-6% -$252K
CCIV.U
11
DELISTED
Churchill Capital Corp IV Units, each consisting of one share of Class A common stock and one-fifth
CCIV.U
$4.01M 1.69%
+400,000
New +$4M
DMYD.U
12
DELISTED
dMY Technology Group, Inc. II Units, each consisting of one share of Class A common stock and one-th
DMYD.U
$3.58M 1.51%
+350,000
New +$3.56M
UL icon
13
Unilever
UL
$136B
$3.56M 1.5%
51,264
-51,260
-50% -$3.42M
HECCU
14
DELISTED
Hudson Executive Investment Corp. Units
HECCU
$3.13M 1.32%
300,000
– –
THBR
15
DELISTED
Thunder Bridge Acquisition II, Ltd. Class A Ordinary Shares
THBR
$3.06M 1.29%
+300,000
New +$3.07M
ERESU
16
DELISTED
East Resources Acquisition Company Unit
ERESU
$3.03M 1.27%
+300,000
New +$3M
FGNA.U
17
DELISTED
FG New America Acquisition Corp. Units, each consisting of one share of Class A common stock and one
FGNA.U
$3M 1.26%
+300,000
New +$3M
BSN.U
18
DELISTED
Broadstone Acquisition Corp. Units, each consisting of one Class A ordinary share and one-half of on
BSN.U
$2.99M 1.26%
+300,000
New +$2.99M
SCVX.U
19
DELISTED
SCVX Corp. Units, each consisting of one Class A ordinary share, $0.0001 par value per share, and on
SCVX.U
$2.69M 1.13%
250,000
– –
RBAC.U
20
DELISTED
RedBall Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one
RBAC.U
$2.64M 1.11%
+250,000
New +$2.58M
UPH
21
DELISTED
UpHealth, Inc.
UPH
$2.54M 1.07%
25,000
– –
SVACU
22
DELISTED
Starboard Value Acquisition Corp. Unit
SVACU
$2.52M 1.06%
+250,000
New +$2.53M
CRHC.U
23
DELISTED
Cohn Robbins Holdings Corp. Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
CRHC.U
$2.52M 1.06%
+250,000
New +$2.53M
CFIIU
24
DELISTED
CF Finance Acquisition Corp. II Unit
CFIIU
$2.51M 1.05%
+250,000
New +$2.5M
FTOCU
25
DELISTED
FTAC Olympus Acquisition Corp. Unit
FTOCU
$2.5M 1.05%
+250,000
New +$2.5M
1
2 3 4 5

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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 2020 Portfolio in Review

As of Q3 2020, Cowen Investment Management held 113 positions worth $238M, up 52% from $157M the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Cowen Investment Management deployed $70.3M of net new capital in Q3 2020, opening 65 new positions and adding to 6 existing holdings. Its largest new stake was Sprott Physical Gold and Silver Trust: 384,900 shares worth $7.06M.

By sector, the portfolio is most concentrated in Financials at 35% of assets, down from 50% a quarter earlier, followed by Consumer Discretionary and Industrials.

On the sell side, the largest reduction was Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of, an estimated $7.72M trimmed.

  • Cowen Investment Management's largest Q3 2020 buy was Sprott Physical Gold and Silver Trust: 384,900 shares worth $7.06M.
  • Cowen Investment Management added most to Microvast in Q3 2020, an estimated $6.86M increase.
  • Cowen Investment Management's biggest Q3 2020 reduction was Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of, cutting an estimated $7.72M.
  • Cowen Investment Management fully exited Global Blue Group Holding in Q3 2020, selling an estimated $10.8M.
  • Cowen Investment Management's ten largest holdings make up 48% of its $238M portfolio in Q3 2020.
  • Cowen Investment Management opened 65 new positions and closed 10 in Q3 2020.
  • Cowen Investment Management's portfolio value rose 52% quarter-over-quarter to $238M.

Based on Cowen Investment Management's 13F filing for Q3 2020, filed 12 Nov 2020.