Cowen Investment Management LLC

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$174 Million is the total value of Cowen Investment Management LLC's 41 reported holdings in Q1 2020. The portfolio turnover from Q4 2019 to Q1 2020 was 88.4% .

All

			Value		Shares		↓ Weighting
SMFG	New	SUMITOMO MITSUI FINL GROUP Isponsored adr	$52,690,000	–	11,000,000	+100.0%	30.21%	–
PACQ	Buy	PURE ACQUISITION CORPcl a	$48,315,000	+97.8%	4,650,143	+97.5%	27.70%	+251.1%
LBRDA	Buy	LIBERTY BROADBAND CORP	$17,946,000	-3.9%	167,719	+11.8%	10.29%	+70.5%
LYG	Sell	LLOYDS BANKING GROUP PLCsponsored adr	$7,520,000	-66.7%	4,980,083	-27.0%	4.31%	-40.9%
HSBC	New	HSBC HLDGS PLCspon adr new	$7,280,000	–	259,900	+100.0%	4.17%	–
SPAQU		SPARTAN ENERGY ACQUISITION Cunit 99/99/9999	$5,513,000	+1.4%	525,000	0.0%	3.16%	+79.9%
FMCI	Sell	FORUM MERGER II CORPcl a	$4,836,000	-9.8%	470,000	-10.5%	2.77%	+60.1%
MFG	New	MIZUHO FINL GROUP INCsponsored adr	$4,576,000	–	1,980,850	+100.0%	2.62%	–
JFK	Buy	8I ENTERPRISES ACQUISITION C	$4,545,000	+13.4%	450,000	+12.5%	2.61%	+101.2%
GRNVU		GREENVISION ACQUISITION CORPunit 10/28/2024	$3,483,000	-1.4%	350,000	0.0%	2.00%	+75.0%
SAN	Sell	BANCO SANTANDER SAadr	$2,013,000	-47.5%	856,479	-7.6%	1.15%	-6.9%
LGC	Sell	LEGACY ACQUISITION CORP	$1,556,000	-62.1%	150,000	-62.5%	0.89%	-32.8%
TOTA	Sell	TOTTENHAM ACQUISITION I LTD	$1,457,000	-53.7%	138,807	-53.7%	0.84%	-17.8%
LACQ	New	LEISURE ACQUISITION CORP	$1,432,000	–	137,000	+100.0%	0.82%	–
YTRA	Buy	YATRA ONLINE INC	$1,319,000	-4.9%	1,280,906	+191.0%	0.76%	+68.8%
BCS		BARCLAYS PLCadr	$1,260,000	-52.4%	278,058	0.0%	0.72%	-15.6%
NOK	Sell	NOKIA CORPsponsored adr	$1,009,000	-66.7%	325,356	-60.1%	0.58%	-40.8%
MUFG	New	MITSUBISHI UFJ FINL GROUP INsponsored ads	$1,007,000	–	275,000	+100.0%	0.58%	–
QQQ	New	INVESCO QQQ TRunit ser 1	$952,000	–	5,000	+100.0%	0.55%	–
IWM	New	ISHARES TRput	$899,000	–	110,000	+100.0%	0.52%	–
SPY	New	SPDR S&P 500 ETF TRtr unit	$773,000	–	3,000	+100.0%	0.44%	–
TZAC	Sell	TENZING ACQUISITION CORP	$722,000	-74.9%	68,600	-75.1%	0.41%	-55.4%
PSO		PEARSON PLCsponsored adr	$689,000	-18.3%	100,000	0.0%	0.40%	+45.2%
MFAC	Sell	MEGALITH FINL ACQUISITION CO	$617,000	-33.2%	60,000	-33.3%	0.35%	+18.8%
SPY		SPDR S&P 500 ETF TRput	$314,000	+1644.4%	20,000	0.0%	0.18%	+2900.0%
HYG	New	ISHARES TRput	$289,000	–	50,000	+100.0%	0.17%	–
CHNGU		CHANGE HEALTHCARE INCunit 99/99/9999	$238,000	-33.0%	5,800	0.0%	0.14%	+18.3%
DPHCW		DIAMONDPEAK HLDGS COR*w exp 02/22/202	$180,000	-41.6%	400,000	0.0%	0.10%	+3.0%
QQQ	New	INVESCO QQQ TRput	$168,000	–	10,000	+100.0%	0.10%	–
SMMCW		SOUTH MTN MERGER CORP*w exp 06/20/202	$141,000	+4.4%	150,000	0.0%	0.08%	+84.1%
ING	New	ING GROEP N.V.sponsored adr	$104,000	–	20,155	+100.0%	0.06%	–
PTACW	New	PROPTECH ACQUISITION CORP*w exp 05/26/202	$105,000	–	150,000	+100.0%	0.06%	–
TORC	New	RESTORBIO INC	$100,000	–	96,950	+100.0%	0.06%	–
CCHWS		COLLIER CREEK HOLDINGS*w exp 99/99/999	$90,000	-3.2%	66,666	0.0%	0.05%	+73.3%
LGCWS	Sell	LEGACY ACQUISITION CORP*w exp 11/30/202	$69,000	-67.9%	275,000	-31.2%	0.04%	-42.0%
FPACWS	Sell	FAR PT ACQUISITION CORP*w exp 06/01/202	$54,000	-72.2%	100,000	-33.3%	0.03%	-50.8%
MUDSW	Sell	MUDRICK CAP ACQUISITION CORP*w exp 02/12/202	$44,000	-64.2%	125,000	-50.0%	0.02%	-37.5%
SSPKW	New	SILVER SPIKE ACQUISITION COR*w exp 08/02/202	$39,000	–	100,000	+100.0%	0.02%	–
NEBUW		NEBULA ACQUISITION CORP*w exp 03/12/202	$34,000	-19.0%	33,333	0.0%	0.02%	+35.7%
TDACW		TRIDENT ACQUISITIONS CORP*w exp 05/09/202	$15,000	0.0%	154,300	0.0%	0.01%	+80.0%
LACQW	New	LEISURE ACQUISITION CORP*w exp 12/05/201	$12,000	–	68,500	+100.0%	0.01%	–
TKKSW	Exit	TKK SYMPHONY ACQUISITION COR*w exp 02/20/202	$0	–	-57,500	-100.0%	-0.00%	–
GLD	Exit	SPDR GOLD TRUSTput	$0	–	-50,000	-100.0%	-0.00%	–
TKKSR	Exit	TKK SYMPHONY ACQUISITION CORright 02/20/2020	$0	–	-57,500	-100.0%	-0.01%	–
MOSCWS	Exit	MOSAIC ACQUISITION CORP*w exp 10/23/202	$0	–	-25,000	-100.0%	-0.01%	–
GSAHWS	Exit	GS ACQUISITION HLDGS CORP*w exp 06/12/202	$0	–	-50,000	-100.0%	-0.04%	–
AVP	Exit	AVON PRODS INC	$0	–	-54,800	-100.0%	-0.10%	–
IWM	Exit	ISHARES TRcall	$0	–	-125,000	-100.0%	-0.11%	–
USO	Exit	UNITED STATES OIL FUND LPput	$0	–	-360,000	-100.0%	-0.14%	–
RY	Exit	ROYAL BK CDA MONTREAL QUE	$0	–	-9,626	-100.0%	-0.25%	–
LTMAQ	Exit	LATAM AIRLS GROUP S Aput	$0	–	-120,100	-100.0%	-0.26%	–
HCACU	Exit	HENNESSY CAP ACQUSTION CORPunit 99/99/9999	$0	–	-85,000	-100.0%	-0.30%	–
THCB	Exit	TUSCAN HOLDINGS CORP	$0	–	-100,000	-100.0%	-0.32%	–
HHHH	Exit	WEALTHBRIDGE ACQUISITION LTD	$0	–	-100,000	-100.0%	-0.33%	–
CHPMU	Exit	CHP MERGER CORPunit 11/22/2024	$0	–	-100,000	-100.0%	-0.33%	–
GLEOU	Exit	GALILEO ACQUISITION CORPunit 99/99/9999	$0	–	-100,000	-100.0%	-0.33%	–
VTIQ	Exit	VECTOIQ ACQUISITION CORP	$0	–	-100,000	-100.0%	-0.33%	–
THCBU	Exit	TUSCAN HOLDINGS CORPunit 99/99/9999	$0	–	-100,000	-100.0%	-0.34%	–
GSAH	Exit	GS ACQUISITION HLDGS CORP	$0	–	-100,000	-100.0%	-0.36%	–
MUDSU	Exit	MUDRICK CAP ACQUISITION CORPunit 02/01/2023	$0	–	-125,000	-100.0%	-0.43%	–
LTMAQ	Exit	LATAM AIRLS GROUP S Asponsored adr	$0	–	-132,084	-100.0%	-0.43%	–
LACQU	Exit	LEISURE ACQUISITION CORPunit 99/99/9999	$0	–	-137,000	-100.0%	-0.48%	–
NFINU	Exit	NETFIN ACQUISITION CORPunit 08/01/2024	$0	–	-150,000	-100.0%	-0.49%	–
HCCH	Exit	HL ACQUISITIONS CORP	$0	–	-150,000	-100.0%	-0.50%	–
GRSHU	Exit	GORES HOLDINGS III INCunit 09/07/2024	$0	–	-150,000	-100.0%	-0.53%	–
ALUSU	Exit	ALUSSA ENERGY ACQUISITION COunit 10/31/2026	$0	–	-200,000	-100.0%	-0.65%	–
RMGU	Exit	RMG ACQUISITION CORPunit 99/99/9999	$0	–	-199,000	-100.0%	-0.65%	–
FTAC	Exit	FINTECH ACQUISITION CORP III	$0	–	-200,000	-100.0%	-0.65%	–
CIICU	Exit	CIIG MERGER CORPunit 12/31/2026	$0	–	-200,000	-100.0%	-0.66%	–
TAK	Exit	TAKEDA PHARMACEUTICAL CO LTDsponsored ads	$0	–	-103,014	-100.0%	-0.66%	–
SSPKU	Exit	SILVER SPIKE ACQUISITION CORunit 99/99/9999	$0	–	-200,000	-100.0%	-0.66%	–
ACAMU	Exit	ACAMAR PARTNERS ACQSITION COunit 12/30/2025	$0	–	-201,000	-100.0%	-0.66%	–
TKKS	Exit	TKK SYMPHONY ACQUISITION COR	$0	–	-200,000	-100.0%	-0.66%	–
CCXU	Exit	CHURCHILL CAP CORP IIunit 99/99/9999	$0	–	-200,000	-100.0%	-0.70%	–
CTAC	Exit	CHASERG TECHNLGY ACQUISITN Cclass a	$0	–	-200,000	-100.0%	-0.70%	–
LCAHU	Exit	LANDCADIA HLDGS II INCunit 05/09/2026	$0	–	-231,300	-100.0%	-0.76%	–
THBR	Exit	THUNDER BRDG ACQUISTION II L	$0	–	-250,000	-100.0%	-0.80%	–
AMHCU	Exit	AMPLITUDE HLTHCRE AQUSTIN COunit 12/01/2026	$0	–	-250,000	-100.0%	-0.81%	–
SAQNU	Exit	SOFTWARE ACQUISITION GROUP Iunit 10/01/2026	$0	–	-250,000	-100.0%	-0.82%	–
JIHU	Exit	JUNIPER INDL HLDGS INCunit 11/13/2026	$0	–	-250,000	-100.0%	-0.82%	–
GMHI	Exit	GORES METROPOULOS INC	$0	–	-250,000	-100.0%	-0.82%	–
HCCOU	Exit	HEALTHCARE MERGER CORPunit 12/17/2021	$0	–	-250,000	-100.0%	-0.84%	–
NEBU	Exit	NEBULA ACQUISITION CORP	$0	–	-249,999	-100.0%	-0.85%	–
LSXMK	Exit	LIBERTY MEDIA CORP DELAWARE	$0	–	-56,670	-100.0%	-0.88%	–
FTACU	Exit	FINTECH ACQUISITION CORP IIIunit 12/01/2023	$0	–	-260,000	-100.0%	-0.91%	–
SMMC	Exit	SOUTH MTN MERGER CORP	$0	–	-300,000	-100.0%	-0.96%	–
BRPM	Exit	B RILEY PRINCIPAL MERGER CORcl a	$0	–	-300,000	-100.0%	-0.97%	–
SPAQ	Exit	SPARTAN ENERGY ACQUISITON CO	$0	–	-300,000	-100.0%	-0.98%	–
SHLLU	Exit	TORTOISE ACQUISITION CORPunit 03/04/2024	$0	–	-300,000	-100.0%	-0.99%	–
PTACU	Exit	PROPTECH ACQUISITION CORPORAunit 10/01/2026	$0	–	-300,000	-100.0%	-0.99%	–
CCH	Exit	COLLIER CREEK HOLDINGS	$0	–	-300,000	-100.0%	-1.00%	–
GXGXU	Exit	GX ACQUISITION CORPunit 05/24/2026	$0	–	-300,000	-100.0%	-1.00%	–
GMHIU	Exit	GORES METROPOULOS INCunit 99/99/9999	$0	–	-302,000	-100.0%	-1.04%	–
PACQU	Exit	PURE ACQUISITION CORPunit 04/13/2023	$0	–	-310,000	-100.0%	-1.08%	–
MFACU	Exit	MEGALITH FINL ACQUISITION COunit 09/30/2025	$0	–	-328,900	-100.0%	-1.12%	–
FPAC	Exit	FAR PT ACQUISITION CORP	$0	–	-375,000	-100.0%	-1.25%	–
FMCIU	Exit	FORUM MERGER II CORPunit 09/30/2025	$0	–	-369,052	-100.0%	-1.28%	–
FWONA	Exit	LIBERTY MEDIA CORP DELAWARE	$0	–	-92,110	-100.0%	-1.30%	–
TIBR	Exit	TIBERIUS ACQUISITION CORP	$0	–	-400,000	-100.0%	-1.36%	–
TRNEU	Exit	TRINE ACQUISITION CORPunit 03/31/2021	$0	–	-450,000	-100.0%	-1.52%	–
USL	Exit	UNITED STS 12 MONTH OIL FD Lunit ben int	$0	–	-207,667	-100.0%	-1.54%	–
GLIBA	Exit	GCI LIBERTY INC	$0	–	-72,238	-100.0%	-1.65%	–
MUDS	Exit	MUDRICK CAP ACQUISITION CORP	$0	–	-500,000	-100.0%	-1.67%	–
DPHCU	Exit	DIAMONDPEAK HLDGS CORunit 99/99/9999	$0	–	-520,000	-100.0%	-1.72%	–
SFTWU	Exit	OSPREY TECHNLGY AQUISTION COunit 10/30/2024	$0	–	-550,000	-100.0%	-1.81%	–
MOSC	Exit	MOSAIC ACQUISITION CORP	$0	–	-550,000	-100.0%	-1.83%	–
GPAQ	Exit	GORDON POINTE ACQUISITION CO	$0	–	-600,000	-100.0%	-2.05%	–
CEF	Exit	SPROTT PHYSICAL GOLD & SILVEtr unit	$0	–	-685,872	-100.0%	-3.25%	–
RIO	Exit	RIO TINTO PLCsponsored adr	$0	–	-205,673	-100.0%	-3.94%	–
BP	Exit	BP PLCsponsored adr	$0	–	-600,187	-100.0%	-7.32%	–

Original filings

The following EDGAR filing(s) were analyzed to create this report:

View 13F-HR filed 2020-05-14

Signatures

The EDGAR filing(s) were signed by:

Andrea JS Sayago — Chief Compliance Officer

Top long-term holdings

Name	Quarters owned	Latest quarter owned	Max weighting
LLOYDS BANKING GROUP PLC	17	Q3 2023	11.9%
SUMITOMO MITSUI FINL GROUP I	15	Q3 2023	51.9%
SPDR S&P 500 ETF TR	15	Q3 2023	0.7%
LIBERTY BROADBAND CORP	14	Q3 2023	10.3%
LIBERTY MEDIA CORP DELAWARE	11	Q2 2023	3.7%
PROGRESS ACQUISITION CORP	9	Q1 2023	0.4%
PROTERRA INC	8	Q2 2023	99.4%
AEQUI ACQUISITION CORP	8	Q3 2022	1.6%
TWIN RIDGE CAPITAL ACQUIS CO	8	Q4 2022	0.9%
CC NEUBERGER PRINCIPAL HOLDN	8	Q4 2022	0.8%

View Cowen Investment Management LLC's complete holdings history.

Latest significant ownerships (13-D/G)

Cowen Investment Management LLC Q1 2020 significant holdings filed using form 13D/G when ownership exceeds 5% of a company's total stock issue.
	Filed	Shares	Percentage
IMMERSION CORP	March 17, 2011	273,187	1.3%
ZORAN CORP \DE\	March 09, 2011	3,335,650	6.8%
EXTREME NETWORKS INC	February 14, 2011	4,138,936	4.5%
BEACON POWER CORP	February 10, 2011	?	?
POWERWAVE TECHNOLOGIES INC^{Sold out}	February 10, 2011	0	0.0%
AVIAT NETWORKS, INC.	February 07, 2011	2,505,420	4.2%
Rand Logistics, Inc.^{Sold out}	January 28, 2011	0	0.0%
Essex Rental Corp.^{Sold out}	January 19, 2011	0	0.0%
SURMODICS INC	January 06, 2011	1,566,567	9.0%
SEACHANGE INTERNATIONAL INC	December 17, 2010	2,252,822	7.1%

View Cowen Investment Management LLC's complete significant-ownership history.

Latest filings

Type	Filed
13F-HR	2023-11-13
13F-HR	2023-08-15
13F-HR	2023-05-11
13F-HR	2023-02-13
13F-HR	2022-11-14
13F-HR/A	2022-08-10
13F-HR	2022-08-09
13F-HR	2022-05-16
13F-HR	2022-02-11
13F-HR	2021-11-15

View Cowen Investment Management LLC's complete filings history.

All filings

View complete filings history.

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