Cowen Investment Management LLC
CIK 1475770 · Holdings on Sep 30, 2023 · First reported Nov 13, 2023
Top ten holdings
Q3 2023- SMFG52.44%
- STHO16.24%
- LYG12.06%
- RTO6.80%
- 48661E1084.65%
- 5303071073.92%
- 5303073052.05%
- G8192N1030.69%
- NNDM0.56%
- HCHC0.26%
Share classes counted separately99.67%
Portfolio value by quarter
Top 10 holdings 12
USD · B = billion · M = million; expand a row for exact values| # | Security | Value | Weight | Quantity | Weight / quantity change | Activity | |
|---|---|---|---|---|---|---|---|
| 01 | SMFGSUMITOMO MITSUI-SPONS ADRSPONSORED ADR View history and evidence | $40.94M | 52.44% | 4.15M shares | — | ↗▾ | |
| 02 | STHOSTAR HOLDINGSSHS BEN INT View history and evidence | $12.68M | 16.24% | 1.01M shares | — | ↗▾ | |
| 03 | LYGLLOYDS BANKING GROUP PLC-ADRSPONSORED ADR View history and evidence | $9.42M | 12.06% | 4.42M shares | — | ↗▾ | |
| 04 | RTORENTOKIL INITIAL PLC-SP ADRSPONSORED ADR View history and evidence | $5.31M | 6.80% | 143.23K shares | — | ↗▾ | |
| 05 | 48661E108KAYNE ANDERSON NEXTGEN ENRGY View history and evidence | $3.63M | 4.65% | 509.84K shares | — | ↗▾ | |
| 06 | 530307107LIBERTY BROADBAND CORPCOM SER A View history and evidence | $3.06M | 3.92% | 33.67K shares | — | ↗▾ | |
| 07 | 530307305LIBERTY BROADBAND-CCOM SER C View history and evidence | $1.60M | 2.05% | 17.55K shares | — | ↗▾ | |
| 08 | G8192N103SK GROWTH OPPORTUNITIES CORPCLASS A COM View history and evidence | $537.50K | 0.69% | 50.00K shares | — | ↗▾ | |
| 09 | NNDMNANO DIMENSION LTD - ADRSPONSORD ADS NEW View history and evidence | $435.20K | 0.56% | 160.00K shares | — | ↗▾ | |
| 10 | HCHCINNOVATE CORP View history and evidence | $202.50K | 0.26% | 125.00K shares | — | ↗▾ |
Options overlay 3
$763.08K notionalPut and Call positions are separate. Notional is based on underlying securities, not option premium, market value or net exposure. Quantities are underlying shares.
| Security | Put / Call | Underlying shares | Notional | Quantity change | |
|---|---|---|---|---|---|
SPYSS SPDR S&P 500 ETF TRUST-USTR UNIT View history and evidence | Put | 55.00K | $416.07K | ▾ | |
TLTISHARES 20+ YEAR TREASURY BD20 YR TR BD ETF View history and evidence | Put | 75.00K | $326.25K | ▾ | |
531229789LIBERTY MEDIA CORP-LIBER-NEWCOM LBTY SRM S C View history and evidence | Call | 10.00K | $20.75K | ▾ |
3 / 3 options · preview only
Exited positions 33
| Security | Type | Shares out | Value out | Previous filing | This filing |
|---|---|---|---|---|---|
| ACTC PROTERRA INC | Non-derivative | — | — | SEC filing ↗ | |
| G5251K103 KENSINGTON CAPITAL ACQUISITI | Non-derivative | — | — | SEC filing ↗ | |
| LCAA L CATTERTON ASIA ACQ-CLASS A | Non-derivative | — | — | SEC filing ↗ |
3 / 33 preview exits. Up to 30 exit records are previewed. Exit means absent from the current filing; execution date, price and proceeds are unknown.
Every number has a source.
CIK 1475770 · Period 2023-09-30
Data loaded 2026-09-23 · First reported 2023-11-13
Amendments and versions
{
"amendments_merged": null,
"prior_versions": null,
"cover_table_value": 78836221
}Take these holdings further.
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