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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
+3.5%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$259M
AUM Growth
+$42.1M
Cap. Flow
+$90.2M
Cap. Flow %
34.9%
Top 10 Hldgs %
47.08%
Holding
283
New
130
Increased
2
Reduced
34
Closed
100

Top Buys

Rank Stock Value
1
AZN icon
AstraZeneca
AZN
+$12.6M
2
CEF icon
Sprott Physical Gold and Silver Trust
CEF
+$4.13M
3
SLCRU
Silver Crest Acquisition Corporation Unit
SLCRU
+$3.73M
4
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$3.53M
5
THMAU
Thimble Point Acquisition Corp. Unit
THMAU
+$3.06M

Top Sells

Rank Stock Value
1
ERESU
East Resources Acquisition Company Unit
ERESU
+$2.91M
2
CCIV.U
Churchill Capital Corp IV Units, each consisting of one share of Class A common stock and one-fifth
CCIV.U
+$2.58M
3
AHACU
Alpha Healthcare Acquisition Corp Unit
AHACU
+$2.11M
4
AVAN.U
Avanti Acquisition Corp. Units, each consisting of one Class A ordinary share and one-half of one redeemable warrant
AVAN.U
+$1.9M
5
EMPW.U
Empower Ltd. Units, each consisting of one Class A ordinary share and one-third of one redeemable wa
EMPW.U
+$1.82M

Sector Composition

Rank Sector Weight
1 Financials 41.16%
2 Healthcare 6.5%
3 Communication Services 1.47%
4 Technology 1.42%
5 Materials 0.96%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SMFG icon
1
Sumitomo Mitsui Financial
SMFG
$164B
$75.3M 29.13%
10,385,600
-80,000
-0.8% -$557K
AZN icon
2
AstraZeneca
AZN
$250B
$12.4M 4.82%
+125,200
New +$12.6M
LYG icon
3
Lloyds Banking Group
LYG
$91.3B
$11.5M 4.45%
4,960,083
-20,000
-0.4% -$41.5K
CEF icon
4
Sprott Physical Gold and Silver Trust
CEF
$8.06B
$3.87M 1.5%
+222,842
New +$4.13M
SLCRU
5
DELISTED
Silver Crest Acquisition Corporation Unit
SLCRU
$3.62M 1.4%
+365,000
New +$3.73M
ARBGU
6
DELISTED
Aequi Acquisition Corp Unit
ARBGU
$3.5M 1.35%
350,000
– –
PSTH
7
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$3.02M 1.17%
+125,891
New +$3.53M
THMAU
8
DELISTED
Thimble Point Acquisition Corp. Unit
THMAU
$3M 1.16%
+300,000
New +$3.06M
FOREU
9
DELISTED
Foresight Acquisition Corp. Units
FOREU
$2.97M 1.15%
+300,000
New +$3.04M
SWETU
10
DELISTED
Athlon Acquisition Corp. Unit
SWETU
$2.47M 0.96%
+250,000
New +$2.57M
GRNA
11
DELISTED
GreenLight Biosciences Holdings, PBC Common Stock
GRNA
$2.42M 0.94%
+250,000
New +$2.45M
LBRDA icon
12
Liberty Broadband Class A
LBRDA
$5.16B
$2.35M 0.91%
+16,200
New +$2.4M
PRST
13
DELISTED
Presto Technologies, Inc. Common Stock
PRST
$2.2M 0.85%
+225,000
New +$2.25M
VTIQU
14
DELISTED
VectoIQ Acquisition Corp. II Unit
VTIQU
$2.03M 0.78%
+200,000
New +$2.2M
VCKAU
15
DELISTED
Vickers Vantage Corp. I Unit
VCKAU
$2.02M 0.78%
+200,000
New +$2.05M
GSAQU
16
DELISTED
Global Synergy Acquisition Corp. Units
GSAQU
$1.99M 0.77%
+200,000
New +$2.07M
TBCPU
17
DELISTED
Thunder Bridge Capital Partners III Inc. Units
TBCPU
$1.98M 0.77%
+200,000
New +$2.05M
HGAS
18
DELISTED
Global Gas Corporation Class A Common Stock
HGAS
$1.95M 0.76%
+200,000
New +$1.97M
LSXMK
19
DELISTED
Liberty Media Corporation Series C Liberty SiriusXM Common Stock
LSXMK
$1.76M 0.68%
+51,640
New +$1.73M
SHACU
20
DELISTED
SCP & CO Healthcare Acquisition Company Unit
SHACU
$1.75M 0.68%
+175,000
New +$1.78M
VOSOU
21
DELISTED
Virtuoso Acquisition Corp. Unit
VOSOU
$1.73M 0.67%
+175,000
New +$1.78M
FPAC
22
DELISTED
Far Peak Acquisition Corporation
FPAC
$1.71M 0.66%
+175,000
New +$1.8M
TCACU
23
DELISTED
Tuatara Capital Acquisition Corporation Unit
TCACU
$1.5M 0.58%
+150,000
New +$1.53M
PRPC.U
24
DELISTED
CC Neuberger Principal Holdings III Units, each consisting of one Class A ordinary share, and one-fifth of one redeemable warrant
PRPC.U
$1.5M 0.58%
+150,000
New +$1.55M
DWIN.U
25
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
$1.5M 0.58%
150,000
– –
1
2 3 4 5

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AMG
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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
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RCI
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Cowen Investment Management's Q1 2021 Portfolio in Review

As of Q1 2021, Cowen Investment Management held 283 positions worth $259M, up 19% from $216M the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Cowen Investment Management deployed $90.2M of net new capital in Q1 2021, opening 130 new positions and adding to 2 existing holdings. Its largest new stake was AstraZeneca: 125,200 shares worth $12.4M.

By sector, the portfolio is most concentrated in Financials at 41% of assets, down from 42% a quarter earlier, followed by Healthcare and Communication Services.

On the sell side, the largest reduction was Executive Network Partnering Corporation CAPS, each consisting of one share of Class A common stock, and one-quarter of one redeemable warrant, an estimated $1.56M trimmed.

  • Cowen Investment Management's largest Q1 2021 buy was AstraZeneca: 125,200 shares worth $12.4M.
  • Cowen Investment Management added most to CBRE Acquisition Holdings, Inc. SAIL securities, each consisting of one share of Class A common stoc in Q1 2021, an estimated $529K increase.
  • Cowen Investment Management's biggest Q1 2021 reduction was Executive Network Partnering Corporation CAPS, each consisting of one share of Class A common stock, and one-quarter of one redeemable warrant, cutting an estimated $1.56M.
  • Cowen Investment Management fully exited East Resources Acquisition Company Unit in Q1 2021, selling an estimated $2.91M.
  • Cowen Investment Management's ten largest holdings make up 47% of its $259M portfolio in Q1 2021.
  • Cowen Investment Management opened 130 new positions and closed 100 in Q1 2021.
  • Cowen Investment Management's portfolio value rose 19% quarter-over-quarter to $259M.

Based on Cowen Investment Management's 13F filing for Q1 2021, filed 14 May 2021.