Filed: 11/13/2023ACC: 0001085146-23-004321
📋 What this filing means
COWEN INVESTMENT MANAGEMENT LLC filed this quarterly 13F‑HR report disclosing 15 equity positions with a total reported market value of $78.84M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
15
Positions
$78.84M
Total AUM (reported)
10.91M
Total Shares
Allocation by class
SPONSORED ADR$55.67M70.6%
SHS BEN INT$12.68M16.1%
COM$4.03M5.1%
COM SER A$3.12M4.0%
COM SER C$1.60M2.0%
CLASS A COM$537.5K0.7%
SPONSORD ADS NEW$435.2K0.6%
Portfolio Concentration
Top 3$63.04M80.0%
4–10$14.99M19.0%
11–25$806.6K1.0%
Top 3 weight
80.0%
Top 10 weight
99.0%
Voting Authority Distribution
Total shares with voting rights: 10.91M
Sole
Full voting authority
10.91M
shares
% of voting shares100.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
0.00
shares
% of voting shares0.0%
Investment Discretion (by position count)
Sole0
Shared0
Other15
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings15
Rows:
SUMITOMO MITSUI FINL GROUP I
DFNDShares4.15M
TypeSH
Market value$40.94M
51.93%
Sole
4.15M
Shared
0.00
None
0.00
STAR HLDGS
DFNDShares1.01M
TypeSH
Market value$12.68M
16.09%
Sole
1.01M
Shared
0.00
None
0.00
LLOYDS BANKING GROUP PLC
DFNDShares4.42M
TypeSH
Market value$9.42M
11.95%
Sole
4.42M
Shared
0.00
None
0.00
RENTOKIL INITIAL PLC
DFNDShares143.23K
TypeSH
Market value$5.31M
6.73%
Sole
143.23K
Shared
0.00
None
0.00
KAYNE ANDERSON NEXTGEN ENRGY
DFNDShares509.84K
TypeSH
Market value$3.63M
4.60%
Sole
509.84K
Shared
0.00
None
0.00
LIBERTY BROADBAND CORP
DFNDShares33.67K
TypeSH
Market value$3.06M
3.88%
Sole
33.67K
Shared
0.00
None
0.00
LIBERTY BROADBAND CORP
DFNDShares17.55K
TypeSH
Market value$1.60M
2.03%
Sole
17.55K
Shared
0.00
None
0.00
SK GROWTH OPPORTUNITIES CORP
DFNDShares50K
TypeSH
Market value$537.5K
0.68%
Sole
50K
Shared
0.00
None
0.00
NANO DIMENSION LTD
DFNDShares160K
TypeSH
Market value$435.2K
0.55%
Sole
160K
Shared
0.00
None
0.00
SPDR S&P 500 ETF TR
DFNDShares55K
TypeSH
Market value$416.1K
0.53%
Sole
55K
Shared
0.00
None
0.00
ISHARES TR
DFNDShares75K
TypeSH
Market value$326.3K
0.41%
Sole
75K
Shared
0.00
None
0.00
INNOVATE CORP
DFNDShares125K
TypeSH
Market value$202.5K
0.26%
Sole
125K
Shared
0.00
None
0.00
STEEL CONNECT INC
DFNDShares18.83K
TypeSH
Market value$197.7K
0.25%
Sole
18.83K
Shared
0.00
None
0.00
LIBERTY TRIPADVISOR HLDGS IN
DFNDShares121.49K
TypeSH
Market value$59.4K
0.08%
Sole
121.49K
Shared
0.00
None
0.00
LIBERTY MEDIA CORP DEL
DFNDShares10K
TypeSH
Market value$20.8K
0.03%
Sole
10K
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
SUMITOMO MITSUI FINL GROUP IDFND | SPONSORED ADR | 4.15M | SH | $40.94M 51.93% | 4.15M | 0.00 | 0.00 |
STAR HLDGSDFND | SHS BEN INT | 1.01M | SH | $12.68M 16.09% | 1.01M | 0.00 | 0.00 |
LLOYDS BANKING GROUP PLCDFND | SPONSORED ADR | 4.42M | SH | $9.42M 11.95% | 4.42M | 0.00 | 0.00 |
RENTOKIL INITIAL PLCDFND | SPONSORED ADR | 143.23K | SH | $5.31M 6.73% | 143.23K | 0.00 | 0.00 |
KAYNE ANDERSON NEXTGEN ENRGYDFND | COM | 509.84K | SH | $3.63M 4.60% | 509.84K | 0.00 | 0.00 |
LIBERTY BROADBAND CORPDFND | COM SER A | 33.67K | SH | $3.06M 3.88% | 33.67K | 0.00 | 0.00 |
LIBERTY BROADBAND CORPDFND | COM SER C | 17.55K | SH | $1.60M 2.03% | 17.55K | 0.00 | 0.00 |
SK GROWTH OPPORTUNITIES CORPDFND | CLASS A COM | 50K | SH | $537.5K 0.68% | 50K | 0.00 | 0.00 |
NANO DIMENSION LTDDFND | SPONSORD ADS NEW | 160K | SH | $435.2K 0.55% | 160K | 0.00 | 0.00 |
SPDR S&P 500 ETF TRDFND | TR UNIT | 55K | SH | $416.1K 0.53% | 55K | 0.00 | 0.00 |
ISHARES TRDFND | 20 YR TR BD ETF | 75K | SH | $326.3K 0.41% | 75K | 0.00 | 0.00 |
INNOVATE CORPDFND | COM | 125K | SH | $202.5K 0.26% | 125K | 0.00 | 0.00 |
STEEL CONNECT INCDFND | COM | 18.83K | SH | $197.7K 0.25% | 18.83K | 0.00 | 0.00 |
LIBERTY TRIPADVISOR HLDGS INDFND | COM SER A | 121.49K | SH | $59.4K 0.08% | 121.49K | 0.00 | 0.00 |
LIBERTY MEDIA CORP DELDFND | COM LBTY SRM S C | 10K | SH | $20.8K 0.03% | 10K | 0.00 | 0.00 |