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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
+6.18%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$492M
AUM Growth
+$29.6M
Cap. Flow
+$48M
Cap. Flow %
9.75%
Top 10 Hldgs %
36.89%
Holding
301
New
48
Increased
17
Reduced
8
Closed
105

Top Buys

Rank Stock Value
1
MUFG icon
Mitsubishi UFJ Financial
MUFG
+$11.6M
2
BNAI
Brand Engagement Network
BNAI
+$11.4M
3
BZAI
Blaize Holdings
BZAI
+$11.3M
4
LHC
Leo Holdings Corp. II
LHC
+$9.52M
5
JWSM
Jaws Mustang Acquisition Corp.
JWSM
+$7.02M

Top Sells

Rank Stock Value
1
KLAQ
KL Acquisition Corp Class A Common Stock
KLAQ
+$6.08M
2
REVH
Revolution Healthcare Acquisition Corp. SAIL Class A Common Stock
REVH
+$4.17M
3
TMAC
The Music Acquisition Corporation
TMAC
+$3.94M
4
EUDA icon
EUDA Health Holdings
EUDA
+$3.51M
5
SMFG icon
Sumitomo Mitsui Financial
SMFG
+$3.5M

Sector Composition

Rank Sector Weight
1 Financials 50.08%
2 Technology 10.58%
3 Consumer Discretionary 8.1%
4 Healthcare 3.85%
5 Industrials 2.53%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SMFG icon
1
Sumitomo Mitsui Financial
SMFG
$164B
$53.3M 10.83%
6,643,875
-550,000
-8% -$3.5M
PTRA
2
DELISTED
Proterra Inc. Common Stock
PTRA
$39.9M 8.1%
10,574,685
– –
MUFG icon
3
Mitsubishi UFJ Financial
MUFG
$254B
$15M 3.04%
+2,246,500
New +$11.6M
BNAI
4
Brand Engagement Network
BNAI
$95.3M
$12M 2.43%
119,000
+114,000
+2,280% +$11.4M
BZAI
5
Blaize Holdings
BZAI
$157M
$11.4M 2.31%
+1,119,000
New +$11.3M
HTZWW
6
Hertz Global Holdings Warrants
HTZWW
$95.5M
$11.3M 2.31%
1,521,877
+216,168
+17% +$1.91M
LITT
7
DELISTED
Logistics Innovation Technologies Corp. Class A Common Stock
LITT
$10.6M 2.16%
1,070,000
+150,000
+16% +$1.48M
LHC
8
DELISTED
Leo Holdings Corp. II
LHC
$10.3M 2.1%
1,025,000
+950,000
+1,267% +$9.52M
LYG icon
9
Lloyds Banking Group
LYG
$91.3B
$9.73M 1.98%
4,421,183
– –
DALS
10
DELISTED
DA32 Life Science Tech Acquisition Corp. Class A Common Stock
DALS
$8M 1.62%
800,000
+700,000
+700% +$6.89M
JWSM
11
DELISTED
Jaws Mustang Acquisition Corp.
JWSM
$7.07M 1.44%
+700,000
New +$7.02M
CNDA
12
DELISTED
Concord Acquisition Corp II
CNDA
$6.96M 1.41%
700,000
– –
CCV
13
DELISTED
Churchill Capital Corp V
CCV
$6.43M 1.31%
+647,000
New +$6.46M
TWLV
14
DELISTED
Twelve Seas Investment Company II Class A Common Stock
TWLV
$6.03M 1.23%
+600,000
New +$5.97M
AEON icon
15
AEON Biopharma
AEON
$13.5M
$5.78M 1.17%
+7,986
New +$5.72M
AGAC
16
DELISTED
African Gold Acquisition Corp
AGAC
$5.53M 1.12%
+550,000
New +$5.49M
NKGN
17
DELISTED
NKGen Biotech, Inc. Common Stock
NKGN
$5.47M 1.11%
+550,000
New +$5.43M
RENEU
18
DELISTED
Cartesian Growth Corporation II Unit
RENEU
$5.2M 1.06%
500,000
– –
RTO icon
19
Rentokil
RTO
$12.2B
$5.18M 1.05%
+168,233
New +$5.22M
JCIC
20
DELISTED
Jack Creek Investment Corp. Class A Ordinary Shares
JCIC
$5.07M 1.03%
+500,000
New +$5M
SVFA
21
DELISTED
SVF Investment Corp. Class A Ordinary Shares
SVFA
$5.05M 1.03%
500,000
– –
AAC
22
DELISTED
Ares Acquisition Corporation
AAC
$5.04M 1.02%
500,000
+400,000
+400% +$4M
MBAC
23
DELISTED
M3-Brigade Acquisition II Corp.
MBAC
$5.01M 1.02%
500,000
– –
AIMAU
24
DELISTED
Aimfinity Investment Corp I Unit
AIMAU
$4.83M 0.98%
479,715
– –
ACQRU
25
DELISTED
Independence Holdings Corp. Units
ACQRU
$4.78M 0.97%
475,000
– –
1
2 3 4 5

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SFG
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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 2022 Portfolio in Review

As of Q4 2022, Cowen Investment Management held 301 positions worth $492M, up 6.4% from $463M the previous quarter. Its ten largest holdings account for 37% of the portfolio.

Cowen Investment Management deployed $48M of net new capital in Q4 2022, opening 48 new positions and adding to 17 existing holdings. Its largest new stake was Mitsubishi UFJ Financial: 2,246,500 shares worth $15M.

By sector, the portfolio is most concentrated in Financials at 50% of assets, up from 44% a quarter earlier, followed by Technology and Consumer Discretionary.

On the sell side, the largest reduction was Sumitomo Mitsui Financial, an estimated $3.5M trimmed.

  • Cowen Investment Management's largest Q4 2022 buy was Mitsubishi UFJ Financial: 2,246,500 shares worth $15M.
  • Cowen Investment Management added most to Brand Engagement Network in Q4 2022, an estimated $11.4M increase.
  • Cowen Investment Management's biggest Q4 2022 reduction was Sumitomo Mitsui Financial, cutting an estimated $3.5M.
  • Cowen Investment Management fully exited KL Acquisition Corp Class A Common Stock in Q4 2022, selling an estimated $6.08M.
  • Cowen Investment Management's ten largest holdings make up 37% of its $492M portfolio in Q4 2022.
  • Cowen Investment Management opened 48 new positions and closed 105 in Q4 2022.
  • Cowen Investment Management's portfolio value rose 6.4% quarter-over-quarter to $492M.

Based on Cowen Investment Management's 13F filing for Q4 2022, filed 13 Feb 2023.