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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
+9.88%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$216M
AUM Growth
-$21.4M
Cap. Flow
+$10.8M
Cap. Flow %
4.99%
Top 10 Hldgs %
43.61%
Holding
198
New
95
Increased
4
Reduced
39
Closed
45

Top Buys

Rank Stock Value
1
ARBGU
Aequi Acquisition Corp Unit
ARBGU
+$3.52M
2
ENPC.U
Executive Network Partnering Corporation CAPS, each consisting of one share of Class A common stock, and one-quarter of one redeemable warrant
ENPC.U
+$2.83M
3
MUDSU
Mudrick Capital Acquisition Corporation II Unit
MUDSU
+$2.29M
4
AVAN.U
Avanti Acquisition Corp. Units, each consisting of one Class A ordinary share and one-half of one redeemable warrant
AVAN.U
+$1.78M
5
EMPW.U
Empower Ltd. Units, each consisting of one Class A ordinary share and one-third of one redeemable wa
EMPW.U
+$1.76M

Top Sells

Rank Stock Value
1
MVST icon
Microvast
MVST
+$7.63M
2
CEF icon
Sprott Physical Gold and Silver Trust
CEF
+$7.06M
3
AMCX icon
AMC Global Media
AMCX
+$6.84M
4
ASLE icon
AerSale
ASLE
+$6.14M
5
UN
Unilever NV New York Registry Shares
UN
+$5.58M

Sector Composition

Rank Sector Weight
1 Financials 41.77%
2 Healthcare 1.58%
3 Industrials 1.5%
4 Consumer Discretionary 0.91%
5 Consumer Staples 0.73%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SMFG icon
1
Sumitomo Mitsui Financial
SMFG
$164B
$64.6M 29.84%
10,465,600
-284,400
-3% -$1.67M
LYG icon
2
Lloyds Banking Group
LYG
$91.3B
$9.76M 4.51%
4,980,083
– –
ARBGU
3
DELISTED
Aequi Acquisition Corp Unit
ARBGU
$3.54M 1.63%
+350,000
New +$3.52M
ERESU
4
DELISTED
East Resources Acquisition Company Unit
ERESU
$2.91M 1.34%
275,000
-25,000
-8% -$253K
ENPC.U
5
DELISTED
Executive Network Partnering Corporation CAPS, each consisting of one share of Class A common stock, and one-quarter of one redeemable warrant
ENPC.U
$2.88M 1.33%
+113,000
New +$2.83M
CCIV.U
6
DELISTED
Churchill Capital Corp IV Units, each consisting of one share of Class A common stock and one-fifth
CCIV.U
$2.58M 1.19%
250,000
-150,000
-38% -$1.5M
MUDSU
7
DELISTED
Mudrick Capital Acquisition Corporation II Unit
MUDSU
$2.32M 1.07%
+225,000
New +$2.29M
AHACU
8
DELISTED
Alpha Healthcare Acquisition Corp Unit
AHACU
$2.11M 0.98%
200,000
– –
AVAN.U
9
DELISTED
Avanti Acquisition Corp. Units, each consisting of one Class A ordinary share and one-half of one redeemable warrant
AVAN.U
$1.9M 0.88%
+175,000
New +$1.78M
EMPW.U
10
DELISTED
Empower Ltd. Units, each consisting of one Class A ordinary share and one-third of one redeemable wa
EMPW.U
$1.82M 0.84%
+175,000
New +$1.76M
SBG.U
11
DELISTED
Sandbridge Acquisition Corporation Units, each consisting of one share of Class A Common Stock and o
SBG.U
$1.7M 0.79%
165,000
+15,000
+10% +$152K
CRHC.U
12
DELISTED
Cohn Robbins Holdings Corp. Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
CRHC.U
$1.61M 0.75%
150,000
-100,000
-40% -$1.02M
VIHAU
13
DELISTED
VPC Impact Acquisition Holdings Unit
VIHAU
$1.6M 0.74%
+150,000
New +$1.52M
SVSVU
14
DELISTED
Spring Valley Acquisition Corp. Unit
SVSVU
$1.58M 0.73%
+150,000
New +$1.57M
BURU
15
DELISTED
NUBURU INC
BURU
$1.56M 0.72%
+752
New +$1.48M
CND.U
16
DELISTED
Concord Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of one Warrant
CND.U
$1.55M 0.71%
+150,000
New +$1.53M
KINZU
17
DELISTED
KINS Technology Group Inc. Unit
KINZU
$1.54M 0.71%
+150,000
New +$1.54M
DWIN.U
18
DELISTED
Delwinds Insurance Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-half of one redeemable warrant
DWIN.U
$1.53M 0.71%
+150,000
New +$1.52M
BCS icon
19
Barclays
BCS
$94.1B
$1.52M 0.7%
190,258
-87,800
-32% -$587K
OCA.U
20
DELISTED
Omnichannel Acquisition Corp. Units, each consisting of one share of Class A common stock and one-ha
OCA.U
$1.39M 0.64%
+135,000
New +$1.38M
ETACU
21
DELISTED
E.Merge Technology Acquisition Corp. Unit
ETACU
$1.33M 0.62%
125,000
-75,000
-38% -$763K
GOAC.U
22
DELISTED
GO Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-third of on
GOAC.U
$1.33M 0.61%
125,000
+25,000
+25% +$254K
CAS.U
23
DELISTED
Cascade Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half o
CAS.U
$1.31M 0.6%
+125,000
New +$1.27M
SGAMU
24
DELISTED
Seaport Global Acquisition Corp. Unit
SGAMU
$1.31M 0.6%
+125,000
New +$1.29M
RCHG
25
DELISTED
Recharge Acquisition Corp. Class A Common Stock
RCHG
$1.27M 0.59%
+125,000
New +$1.25M
1
2 3 4 5

Similar funds

SFG
Susquehanna Financial Group Bala Cynwyd, Pennsylvania $10.9M AUM
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 Q4 2020 Portfolio in Review

As of Q4 2020, Cowen Investment Management held 198 positions worth $216M, down 9% from $238M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Cowen Investment Management deployed $10.8M of net new capital in Q4 2020, opening 95 new positions and adding to 4 existing holdings. Its largest new stake was Aequi Acquisition Corp Unit: 350,000 shares worth $3.54M.

By sector, the portfolio is most concentrated in Financials at 42% of assets, up from 35% a quarter earlier, followed by Healthcare and Industrials.

On the sell side, the largest reduction was Unilever, an estimated $2.92M trimmed.

  • Cowen Investment Management's largest Q4 2020 buy was Aequi Acquisition Corp Unit: 350,000 shares worth $3.54M.
  • Cowen Investment Management added most to GO Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-third of on in Q4 2020, an estimated $254K increase.
  • Cowen Investment Management's biggest Q4 2020 reduction was Unilever, cutting an estimated $2.92M.
  • Cowen Investment Management fully exited Microvast in Q4 2020, selling an estimated $7.63M.
  • Cowen Investment Management's ten largest holdings make up 44% of its $216M portfolio in Q4 2020.
  • Cowen Investment Management opened 95 new positions and closed 45 in Q4 2020.
  • Cowen Investment Management's portfolio value fell 9% quarter-over-quarter to $216M.

Based on Cowen Investment Management's 13F filing for Q4 2020, filed 12 Feb 2021.