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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
-40.67%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$60.7M
AUM Growth
-$325M
Cap. Flow
+$21.6M
Cap. Flow %
35.61%
Top 10 Hldgs %
99.63%
Holding
255
New
50
Increased
5
Reduced
9
Closed
32

Top Buys

Rank Stock Value
1
PTRA
Proterra Inc. Common Stock
PTRA
+$70.4M
2
AACIU
Armada Acquisition Corp. I Unit
AACIU
+$12.2M
3
YSAC
Yellowstone Acquisition Company
YSAC
+$9.96M
4
AUR icon
Aurora
AUR
+$9.89M
5
DGNS
Dragoneer Growth Opportunities Corp. II Class A Ordinary Shares
DGNS
+$4.12M

Top Sells

Rank Stock Value
1
PTRAW
Proterra Inc. Warrant
PTRAW
+$65.5M
2
AZN icon
AstraZeneca
AZN
+$44.9M
3
ALXN
Alexion Pharmaceuticals
ALXN
+$3.67M
4
SLCRU
Silver Crest Acquisition Corporation Unit
SLCRU
+$3.67M
5
SHPW
Shapeways Holdings, Inc. Common Stock
SHPW
+$2.4M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 99.43%
2 Financials 0.22%
3 Communication Services 0.02%
4 Industrials 0.02%
5 Healthcare 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PTRA
1
DELISTED
Proterra Inc. Common Stock
PTRA
$60.3M 99.41%
+6,228,685
New +$70.4M
SMFG icon
2
Sumitomo Mitsui Financial
SMFG
$164B
$72.6K 0.12%
10,360,600
– –
AACIU
3
DELISTED
Armada Acquisition Corp. I Unit
AACIU
$12.3K 0.02%
+1,235,000
New +$12.2M
LYG icon
4
Lloyds Banking Group
LYG
$91.3B
$12.2K 0.02%
4,960,083
– –
YSAC
5
DELISTED
Yellowstone Acquisition Company
YSAC
$10K 0.02%
+988,079
New +$9.96M
AUR icon
6
Aurora
AUR
$13.8B
$9.93K 0.02%
+1,000,000
New +$9.89M
LBRDA icon
7
Liberty Broadband Class A
LBRDA
$5.16B
$6.74K 0.01%
40,022
+16,176
+68% +$2.82M
SYM icon
8
Symbotic
SYM
$5.22B
$4.42K 0.01%
450,000
+350,000
+350% +$3.44M
DGNS
9
DELISTED
Dragoneer Growth Opportunities Corp. II Class A Ordinary Shares
DGNS
$4.13K 0.01%
+415,000
New +$4.12M
MIC
10
DELISTED
Macquarie Infrastructure Holdings, LLC
MIC
$3.86K 0.01%
+95,252
New +$3.76M
QNGY
11
DELISTED
Quanergy Systems, Inc.
QNGY
$3.74K 0.01%
+18,750
New +$3.72M
ARBGU
12
DELISTED
Aequi Acquisition Corp Unit
ARBGU
$3.49K 0.01%
350,000
– –
TRCA.U
13
DELISTED
Twin Ridge Capital Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
TRCA.U
$3.48K 0.01%
350,000
– –
PL icon
14
Planet Labs
PL
$8.53B
$3.22K 0.01%
+325,000
New +$3.22M
PIII icon
15
P3 Health Partners
PIII
$38.5M
$3.14K 0.01%
+6,370
New +$3.14M
SWSSU
16
DELISTED
Clean Energy Special Situations Corp. Unit
SWSSU
$2.99K ﹤0.01%
+600,000
New +$2.98M
AUS
17
DELISTED
Austerlitz Acquisition Corporation I
AUS
$2.98K ﹤0.01%
+300,000
New +$2.97M
SLAMU
18
DELISTED
Slam Corp. Unit
SLAMU
$2.97K ﹤0.01%
300,000
– –
SPGS
19
DELISTED
Simon Property Group Acquisition Holdings, Inc.
SPGS
$2.92K ﹤0.01%
+300,000
New +$2.93M
SWETU
20
DELISTED
Athlon Acquisition Corp. Unit
SWETU
$2.51K ﹤0.01%
250,000
– –
MITAU
21
DELISTED
Coliseum Acquisition Corp. Unit
MITAU
$2.49K ﹤0.01%
+250,000
New +$2.47M
NRACU
22
DELISTED
Northern Revival Acquisition Corporation Unit
NRACU
$2.48K ﹤0.01%
250,000
– –
SST icon
23
System1
SST
$17.5M
$2.48K ﹤0.01%
+25,000
New +$2.48M
GRNA
24
DELISTED
GreenLight Biosciences Holdings, PBC Common Stock
GRNA
$2.47K ﹤0.01%
250,000
– –
CLBR.U
25
DELISTED
Colombier Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-third of one redeemable warrant
CLBR.U
$2.47K ﹤0.01%
+250,000
New +$2.47M
1
2 3 4 5

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AMG
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B
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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
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ZIMP
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RCI
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Cowen Investment Management's Q3 2021 Portfolio in Review

As of Q3 2021, Cowen Investment Management held 255 positions worth $60.7M, down 84% from $385M the previous quarter. Its ten largest holdings account for 100% of the portfolio.

Cowen Investment Management deployed $21.6M of net new capital in Q3 2021, opening 50 new positions and adding to 5 existing holdings. Its largest new stake was Proterra Inc. Common Stock: 6,228,685 shares worth $60.3M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 99% of assets, up from 0.62% a quarter earlier, followed by Financials and Communication Services.

On the sell side, the largest reduction was Shapeways Holdings, Inc. Common Stock, an estimated $2.4M trimmed.

  • Cowen Investment Management's largest Q3 2021 buy was Proterra Inc. Common Stock: 6,228,685 shares worth $60.3M.
  • Cowen Investment Management added most to Symbotic in Q3 2021, an estimated $3.44M increase.
  • Cowen Investment Management's biggest Q3 2021 reduction was Shapeways Holdings, Inc. Common Stock, cutting an estimated $2.4M.
  • Cowen Investment Management fully exited Proterra Inc. Warrant in Q3 2021, selling an estimated $65.5M.
  • Cowen Investment Management's ten largest holdings make up 100% of its $60.7M portfolio in Q3 2021.
  • Cowen Investment Management opened 50 new positions and closed 32 in Q3 2021.
  • Cowen Investment Management's portfolio value fell 84% quarter-over-quarter to $60.7M.

Based on Cowen Investment Management's 13F filing for Q3 2021, filed 15 Nov 2021.