0001085146-20-000776.txt : 20200214
0001085146-20-000776.hdr.sgml : 20200214
20200214135502
ACCESSION NUMBER: 0001085146-20-000776
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20191231
FILED AS OF DATE: 20200214
DATE AS OF CHANGE: 20200214
EFFECTIVENESS DATE: 20200214
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Cowen Investment Management LLC
CENTRAL INDEX KEY: 0001475770
IRS NUMBER: 270423711
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-13626
FILM NUMBER: 20617696
BUSINESS ADDRESS:
STREET 1: 599 LEXINGTON AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212 845 7900
MAIL ADDRESS:
STREET 1: 599 LEXINGTON AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER COMPANY:
FORMER CONFORMED NAME: Ramius LLC
DATE OF NAME CHANGE: 20091102
FORMER COMPANY:
FORMER CONFORMED NAME: Park Exchange LLC
DATE OF NAME CHANGE: 20091030
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001475770
XXXXXXXX
12-31-2019
12-31-2019
false
Cowen Investment Management LLC
599 LEXINGTON AVENUE, 20TH FLOOR
New York
NY
10022
13F HOLDINGS REPORT
028-13626
N
Andrea JS Sayago
Chief Compliance Officer
212-201-4829
/s/ Andrea JS Sayago
New York
NY
02-14-2020
0
95
309534
INFORMATION TABLE
2
form13fInfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
8I ENTERPRISES ACQUISITIN CO
SHS
G2956M104
4008
400000
SH
DFND
400000
0
0
ACAMAR PARTNERS ACQSITION CO
UNIT 12/30/2025
004285201
2046
201000
SH
DFND
201000
0
0
ALUSSA ENERGY ACQUISITION CO
UNIT 10/31/2026
G0232J127
2016
200000
SH
DFND
200000
0
0
AMPLITUDE HLTHCRE AQUSTIN CO
UNIT 12/01/2026
03212A204
2518
250000
SH
DFND
250000
0
0
AVON PRODS INC
COM
054303102
309
54800
SH
DFND
54800
0
0
B RILEY PRINCIPAL MERGER COR
CL A
05586Y106
3003
300000
SH
DFND
300000
0
0
BANCO SANTANDER SA
ADR
05964H105
3836
926479
SH
DFND
926479
0
0
BARCLAYS PLC
ADR
06738E204
2647
278058
SH
DFND
278058
0
0
BP PLC
SPONSORED ADR
055622104
22651
600187
SH
DFND
600187
0
0
CHANGE HEALTHCARE INC
UNIT 99/99/9999
15912K209
355
5800
SH
DFND
5800
0
0
CHASERG TECHNLGY ACQUISITN C
CLASS A
16166A103
2170
200000
SH
DFND
200000
0
0
CHP MERGER CORP
UNIT 11/22/2024
12558Y205
1017
100000
SH
DFND
100000
0
0
CHURCHILL CAP CORP II
UNIT 99/99/9999
17143G205
2156
200000
SH
DFND
200000
0
0
CIIG MERGER CORP
UNIT 12/31/2026
12559C202
2032
200000
SH
DFND
200000
0
0
COLLIER CREEK HOLDINGS
*W EXP 99/99/999
G22707114
93
66666
SH
DFND
66666
0
0
COLLIER CREEK HOLDINGS
COM CL A
G22707106
3084
300000
SH
DFND
300000
0
0
DIAMONDPEAK HLDGS COR
*W EXP 02/22/202
25280H118
308
400000
SH
DFND
400000
0
0
DIAMONDPEAK HLDGS COR
UNIT 99/99/9999
25280H209
5330
520000
SH
DFND
520000
0
0
FAR PT ACQUISITION CORP
*W EXP 06/01/202
30734W117
194
150000
SH
DFND
150000
0
0
FAR PT ACQUISITION CORP
COM CL A
30734W109
3874
375000
SH
DFND
375000
0
0
FINTECH ACQUISITION CORP III
COM CL A
31811A101
2024
200000
SH
DFND
200000
0
0
FINTECH ACQUISITION CORP III
UNIT 12/01/2023
31811A309
2808
260000
SH
DFND
260000
0
0
FORUM MERGER II CORP
CL A
34986F103
5360
525000
SH
DFND
525000
0
0
FORUM MERGER II CORP
UNIT 09/30/2025
34986F202
3960
369052
SH
DFND
369052
0
0
GALILEO ACQUISITION CORP
UNIT 99/99/9999
G3770A128
1024
100000
SH
DFND
100000
0
0
GCI LIBERTY INC
COM CLASS A
36164V305
5118
72238
SH
DFND
72238
0
0
GORDON POINTE ACQUISITION CO
COM CLASS A
382788107
6354
600000
SH
DFND
600000
0
0
GORES HOLDINGS III INC
UNIT 09/07/2024
38286G208
1650
150000
SH
DFND
150000
0
0
GORES METROPOULOS INC
COM CL A
382872109
2550
250000
SH
DFND
250000
0
0
GORES METROPOULOS INC
UNIT 99/99/9999
382872208
3207
302000
SH
DFND
302000
0
0
GREENVISION ACQUISITION CORP
UNIT 10/28/2024
39678G202
3532
350000
SH
DFND
350000
0
0
GS ACQUISITION HLDGS CORP
*W EXP 06/12/202
36255F110
115
50000
SH
DFND
50000
0
0
GS ACQUISITION HLDGS CORP
COM CL A
36255F102
1103
100000
SH
DFND
100000
0
0
GX ACQUISITION CORP
UNIT 05/24/2026
36251A206
3111
300000
SH
DFND
300000
0
0
HEALTHCARE MERGER CORP
UNIT 12/17/2021
42227L201
2588
250000
SH
DFND
250000
0
0
HENNESSY CAP ACQUSTION CORP
UNIT 99/99/9999
42589C203
927
85000
SH
DFND
85000
0
0
HL ACQUISITIONS CORP
SHS
G4603R106
1550
150000
SH
DFND
150000
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
335
125000
SH
Call
DFND
125000
0
0
JUNIPER INDL HLDGS INC
UNIT 11/13/2026
48205G205
2550
250000
SH
DFND
250000
0
0
LANDCADIA HLDGS II INC
UNIT 05/09/2026
51476X204
2343
231300
SH
DFND
231300
0
0
LATAM AIRLS GROUP S A
SPONSORED ADR
51817R106
1342
132084
SH
DFND
132084
0
0
LATAM AIRLS GROUP S A
SPONSORED ADR
51817R106
805
120100
SH
Put
DFND
120100
0
0
LEGACY ACQUISITION CORP
*W EXP 11/30/202
524643111
215
400000
SH
DFND
400000
0
0
LEGACY ACQUISITION CORP
COM CL A
524643103
4108
400000
SH
DFND
400000
0
0
LEISURE ACQUISITION CORP
UNIT 99/99/9999
52539T206
1491
137000
SH
DFND
137000
0
0
LIBERTY BROADBAND CORP
COM SER A
530307107
18679
149960
SH
DFND
149960
0
0
LIBERTY MEDIA CORP DELAWARE
COM C SIRIUSXM
531229607
2728
56670
SH
DFND
56670
0
0
LIBERTY MEDIA CORP DELAWARE
COM SER A FRMLA
531229870
4033
92110
SH
DFND
92110
0
0
LLOYDS BANKING GROUP PLC
SPONSORED ADR
539439109
22592
6825506
SH
DFND
6825506
0
0
MEGALITH FINL ACQUISITION CO
CL A COM
58518F109
923
90000
SH
DFND
90000
0
0
MEGALITH FINL ACQUISITION CO
UNIT 09/30/2025
58518F208
3457
328900
SH
DFND
328900
0
0
MOSAIC ACQUISITION CORP
*W EXP 10/23/202
61946M118
24
25000
SH
DFND
25000
0
0
MOSAIC ACQUISITION CORP
COM CL A
61946M100
5657
550000
SH
DFND
550000
0
0
MUDRICK CAP ACQUISITION CORP
*W EXP 02/12/202
624745113
123
250000
SH
DFND
250000
0
0
MUDRICK CAP ACQUISITION CORP
COM CLASS A
624745105
5166
500000
SH
DFND
500000
0
0
MUDRICK CAP ACQUISITION CORP
UNIT 02/01/2023
624745204
1334
125000
SH
DFND
125000
0
0
NEBULA ACQUISITION CORP
*W EXP 03/12/202
629076118
42
33333
SH
DFND
33333
0
0
NEBULA ACQUISITION CORP
COM CLASS A
629076100
2635
249999
SH
DFND
249999
0
0
NETFIN ACQUISITION CORP
UNIT 08/01/2024
G6455A123
1529
150000
SH
DFND
150000
0
0
NOKIA CORP
SPONSORED ADR
654902204
3028
816060
SH
DFND
816060
0
0
OSPREY TECHNLGY AQUISTION CO
UNIT 10/30/2024
68839R401
5599
550000
SH
DFND
550000
0
0
PEARSON PLC
SPONSORED ADR
705015105
843
100000
SH
DFND
100000
0
0
PROPTECH ACQUISITION CORPORA
UNIT 10/01/2026
74349F200
3075
300000
SH
DFND
300000
0
0
PURE ACQUISITION CORP
CL A
74621Q106
24421
2355000
SH
DFND
2355000
0
0
PURE ACQUISITION CORP
UNIT 04/13/2023
74621Q205
3348
310000
SH
DFND
310000
0
0
RIO TINTO PLC
SPONSORED ADR
767204100
12209
205673
SH
DFND
205673
0
0
RMG ACQUISITION CORP
UNIT 99/99/9999
749641205
2022
199000
SH
DFND
199000
0
0
ROYAL BK CDA MONTREAL QUE
COM
780087102
762
9626
SH
DFND
9626
0
0
SILVER SPIKE ACQUISITION COR
UNIT 99/99/9999
G8136L122
2034
200000
SH
DFND
200000
0
0
SOFTWARE ACQUISITION GROUP I
UNIT 10/01/2026
83406B200
2540
250000
SH
DFND
250000
0
0
SOUTH MTN MERGER CORP
*W EXP 06/20/202
838884112
135
150000
SH
DFND
150000
0
0
SOUTH MTN MERGER CORP
COM CL A
838884104
2961
300000
SH
DFND
300000
0
0
SPARTAN ENERGY ACQUISITON CO
CL A COM STK
846784106
3050
300000
SH
DFND
300000
0
0
SPARTAN ENERGY ACQUISITON CO
UNIT 99/99/9999
846784114
5439
525000
SH
DFND
525000
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
7
50000
SH
Put
DFND
50000
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
18
20000
SH
Put
DFND
20000
0
0
SPROTT PHYSICAL GOLD & SILVE
TR UNIT
85208R101
10055
685872
SH
DFND
685872
0
0
TAKEDA PHARMACEUTICAL CO LTD
SPONSORED ADS
874060205
2032
103014
SH
DFND
103014
0
0
TENZING ACQUISITION CORP
ORD SHS
G8708A116
2877
275000
SH
DFND
275000
0
0
THUNDER BRDG ACQUISTION II L
CL A SHS
G8857S116
2468
250000
SH
DFND
250000
0
0
TIBERIUS ACQUISITION CORP
COM
88633A107
4200
400000
SH
DFND
400000
0
0
TKK SYMPHONY ACQUISITION COR
*W EXP 02/20/202
G88950129
3
57500
SH
DFND
57500
0
0
TKK SYMPHONY ACQUISITION COR
ORD SHS
G88950103
2056
200000
SH
DFND
200000
0
0
TKK SYMPHONY ACQUISITION COR
RIGHT 02/20/2020
G88950137
14
57500
SH
DFND
57500
0
0
TORTOISE ACQUISITION CORP
UNIT 03/04/2024
89154L209
3051
300000
SH
DFND
300000
0
0
TOTTENHAM ACQUISITION I LTD
SHS
G8959N106
3145
300000
SH
DFND
300000
0
0
TRIDENT ACQUISITIONS CORP
*W EXP 05/09/202
89615T114
15
154300
SH
DFND
154300
0
0
TRINE ACQUISITION CORP
UNIT 03/31/2021
89628U207
4703
450000
SH
DFND
450000
0
0
TUSCAN HOLDINGS CORP
COM
90069K104
996
100000
SH
DFND
100000
0
0
TUSCAN HOLDINGS CORP
UNIT 99/99/9999
90069K203
1050
100000
SH
DFND
100000
0
0
UNITED STATES OIL FUND LP
UNITS
91232N108
432
360000
SH
Put
DFND
360000
0
0
UNITED STS 12 MONTH OIL FD L
UNIT BEN INT
91288V103
4774
207667
SH
DFND
207667
0
0
VECTOIQ ACQUISITION CORP
COM
92243N103
1032
100000
SH
DFND
100000
0
0
WEALTHBRIDGE ACQUISITION LTD
SHS
G4887W110
1014
100000
SH
DFND
100000
0
0
YATRA ONLINE INC
ORD SHS
G98338109
1387
440189
SH
DFND
440189
0
0