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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
+2.15%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$385M
AUM Growth
+$127M
Cap. Flow
+$34.3M
Cap. Flow %
8.91%
Top 10 Hldgs %
56.04%
Holding
237
New
54
Increased
16
Reduced
20
Closed
32

Top Buys

Rank Stock Value
1
AZN icon
AstraZeneca
AZN
+$27.4M
2
PTRAW
Proterra Inc. Warrant
PTRAW
+$18M
3
ALXN
Alexion Pharmaceuticals
ALXN
+$3.43M
4
TRCA.U
Twin Ridge Capital Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
TRCA.U
+$3.25M
5
SHPW
Shapeways Holdings, Inc. Common Stock
SHPW
+$2.51M

Top Sells

Rank Stock Value
1
CEF icon
Sprott Physical Gold and Silver Trust
CEF
+$3.36M
2
FOREU
Foresight Acquisition Corp. Units
FOREU
+$2.97M
3
VOSOU
Virtuoso Acquisition Corp. Unit
VOSOU
+$1.73M
4
SPCK
The SPAC and New Issue ETF
SPCK
+$1.43M
5
ATA.U
Americas Technology Acquisition Corp. Units, each consisting of one Ordinary Share and one half of Redeemable Warrant
ATA.U
+$1.01M

Sector Composition

Rank Sector Weight
1 Financials 29.53%
2 Healthcare 13.42%
3 Communication Services 1.79%
4 Industrials 1.23%
5 Technology 1.09%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SMFG icon
1
Sumitomo Mitsui Financial
SMFG
$161B
$71.4M 18.53%
10,360,600
-25,000
-0.2% -$179K
PTRAW
2
DELISTED
Proterra Inc. Warrant
PTRAW
$65.5M 17.02%
+3,427,607
New +$18M
AZN icon
3
AstraZeneca
AZN
$250B
$44.9M 11.67%
375,200
+250,000
+200% +$27.4M
LYG icon
4
Lloyds Banking Group
LYG
$90.9B
$12.6M 3.28%
4,960,083
– –
LBRDA icon
5
Liberty Broadband Class A
LBRDA
$5.17B
$4.01M 1.04%
23,846
+7,646
+47% +$1.2M
ALXN
6
DELISTED
Alexion Pharmaceuticals
ALXN
$3.67M 0.95%
+20,000
New +$3.43M
SLCRU
7
DELISTED
Silver Crest Acquisition Corporation Unit
SLCRU
$3.67M 0.95%
365,000
– –
TRCA.U
8
DELISTED
Twin Ridge Capital Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
TRCA.U
$3.5M 0.91%
350,000
+325,000
+1,300% +$3.25M
ARBGU
9
DELISTED
Aequi Acquisition Corp Unit
ARBGU
$3.5M 0.91%
350,000
– –
SLAMU
10
DELISTED
Slam Corp. Unit
SLAMU
$2.99M 0.78%
300,000
+250,000
+500% +$2.5M
PSTH
11
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$2.85M 0.74%
125,000
-891
-0.7% -$21.4K
SWETU
12
DELISTED
Athlon Acquisition Corp. Unit
SWETU
$2.51M 0.65%
250,000
– –
SHPW
13
DELISTED
Shapeways Holdings, Inc. Common Stock
SHPW
$2.5M 0.65%
+31,250
New +$2.51M
NRACU
14
DELISTED
Northern Revival Acquisition Corporation Unit
NRACU
$2.5M 0.65%
250,000
+100,000
+67% +$997K
GRNA
15
DELISTED
GreenLight Biosciences Holdings, PBC Common Stock
GRNA
$2.45M 0.64%
250,000
– –
EVOJ
16
DELISTED
Evo Acquisition Corp. Class A Common Stock
EVOJ
$2.42M 0.63%
+250,000
New +$2.43M
ADEX.U
17
DELISTED
Adit EdTech Acquisition Corp Units
ADEX.U
$2.25M 0.58%
225,000
+100,000
+80% +$997K
PRST
18
DELISTED
Presto Technologies, Inc. Common Stock
PRST
$2.23M 0.58%
225,000
– –
THMAU
19
DELISTED
Thimble Point Acquisition Corp. Unit
THMAU
$2.07M 0.54%
200,000
-100,000
-33% -$1M
VTIQU
20
DELISTED
VectoIQ Acquisition Corp. II Unit
VTIQU
$2.05M 0.53%
200,000
– –
VCKAU
21
DELISTED
Vickers Vantage Corp. I Unit
VCKAU
$2.04M 0.53%
200,000
– –
GSAQU
22
DELISTED
Global Synergy Acquisition Corp. Units
GSAQU
$2.02M 0.52%
200,000
– –
TBCPU
23
DELISTED
Thunder Bridge Capital Partners III Inc. Units
TBCPU
$2M 0.52%
200,000
– –
HGAS
24
DELISTED
Global Gas Corporation Class A Common Stock
HGAS
$1.96M 0.51%
200,000
– –
RBAC
25
DELISTED
RedBall Acquisition Corp.
RBAC
$1.95M 0.51%
200,000
+150,000
+300% +$1.48M
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 Q2 2021 Portfolio in Review

As of Q2 2021, Cowen Investment Management held 237 positions worth $385M, up 49% from $259M the previous quarter. Its ten largest holdings account for 56% of the portfolio.

Cowen Investment Management deployed $34.3M of net new capital in Q2 2021, opening 54 new positions and adding to 16 existing holdings. Its largest new stake was Proterra Inc. Warrant: 3,427,607 shares worth $65.5M.

By sector, the portfolio is most concentrated in Financials at 30% of assets, down from 41% a quarter earlier, followed by Healthcare and Communication Services.

On the sell side, the largest reduction was Sprott Physical Gold and Silver Trust, an estimated $3.36M trimmed.

  • Cowen Investment Management's largest Q2 2021 buy was Proterra Inc. Warrant: 3,427,607 shares worth $65.5M.
  • Cowen Investment Management added most to AstraZeneca in Q2 2021, an estimated $27.4M increase.
  • Cowen Investment Management's biggest Q2 2021 reduction was Sprott Physical Gold and Silver Trust, cutting an estimated $3.36M.
  • Cowen Investment Management fully exited Foresight Acquisition Corp. Units in Q2 2021, selling an estimated $2.97M.
  • Cowen Investment Management's ten largest holdings make up 56% of its $385M portfolio in Q2 2021.
  • Cowen Investment Management opened 54 new positions and closed 32 in Q2 2021.
  • Cowen Investment Management's portfolio value rose 49% quarter-over-quarter to $385M.

Based on Cowen Investment Management's 13F filing for Q2 2021, filed 11 Aug 2021.