Chief Compliance Officer

0001085146-20-001507.txt : 20200514 0001085146-20-001507.hdr.sgml : 20200514 20200514153759 ACCESSION NUMBER: 0001085146-20-001507 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200514 DATE AS OF CHANGE: 20200514 EFFECTIVENESS DATE: 20200514 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: 20877508 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 03-31-2020 03-31-2020 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 05-14-2020 0 41 174405 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 8I ENTERPRISES ACQUISITION C SHS G2956M104 4545 450000 SH DFND 450000 0 0 BANCO SANTANDER SA ADR 05964H105 2013 856479 SH DFND 856479 0 0 BARCLAYS PLC ADR 06738E204 1260 278058 SH DFND 278058 0 0 CHANGE HEALTHCARE INC UNIT 99/99/9999 15912K209 238 5800 SH DFND 5800 0 0 COLLIER CREEK HOLDINGS *W EXP 99/99/999 G22707114 90 66666 SH DFND 66666 0 0 DIAMONDPEAK HLDGS COR *W EXP 02/22/202 25280H118 180 400000 SH DFND 400000 0 0 FAR PT ACQUISITION CORP *W EXP 06/01/202 30734W117 54 100000 SH DFND 100000 0 0 FORUM MERGER II CORP CL A 34986F103 4836 470000 SH DFND 470000 0 0 GREENVISION ACQUISITION CORP UNIT 10/28/2024 39678G202 3483 350000 SH DFND 350000 0 0 HSBC HLDGS PLC SPON ADR NEW 404280406 7280 259900 SH DFND 259900 0 0 ING GROEP N.V. SPONSORED ADR 456837103 104 20155 SH DFND 20155 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 168 10000 SH Put DFND 10000 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 952 5000 SH DFND 5000 0 0 ISHARES TR IBOXX HI YD ETF 464288513 289 50000 SH Put DFND 50000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 899 110000 SH Put DFND 110000 0 0 LEGACY ACQUISITION CORP *W EXP 11/30/202 524643111 69 275000 SH DFND 275000 0 0 LEGACY ACQUISITION CORP COM CL A 524643103 1556 150000 SH DFND 150000 0 0 LEISURE ACQUISITION CORP *W EXP 12/05/201 52539T115 12 68500 SH DFND 68500 0 0 LEISURE ACQUISITION CORP COM 52539T107 1432 137000 SH DFND 137000 0 0 LIBERTY BROADBAND CORP COM SER A 530307107 17946 167719 SH DFND 167719 0 0 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 7520 4980083 SH DFND 4980083 0 0 MEGALITH FINL ACQUISITION CO CL A COM 58518F109 617 60000 SH DFND 60000 0 0 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 1007 275000 SH DFND 275000 0 0 MIZUHO FINL GROUP INC SPONSORED ADR 60687Y109 4576 1980850 SH DFND 1980850 0 0 MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 44 125000 SH DFND 125000 0 0 NEBULA ACQUISITION CORP *W EXP 03/12/202 629076118 34 33333 SH DFND 33333 0 0 NOKIA CORP SPONSORED ADR 654902204 1009 325356 SH DFND 325356 0 0 PEARSON PLC SPONSORED ADR 705015105 689 100000 SH DFND 100000 0 0 PROPTECH ACQUISITION CORP *W EXP 05/26/202 74349F119 105 150000 SH DFND 150000 0 0 PURE ACQUISITION CORP CL A 74621Q106 48315 4650143 SH DFND 4650143 0 0 RESTORBIO INC COM 76133L103 100 96950 SH DFND 96950 0 0 SILVER SPIKE ACQUISITION COR *W EXP 08/02/202 G8136L114 39 100000 SH DFND 100000 0 0 SOUTH MTN MERGER CORP *W EXP 06/20/202 838884112 141 150000 SH DFND 150000 0 0 SPARTAN ENERGY ACQUISITION C UNIT 99/99/9999 846784114 5513 525000 SH DFND 525000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 773 3000 SH DFND 3000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 314 20000 SH Put DFND 20000 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 52690 11000000 SH DFND 11000000 0 0 TENZING ACQUISITION CORP ORD SHS G8708A116 722 68600 SH DFND 68600 0 0 TOTTENHAM ACQUISITION I LTD SHS G8959N106 1457 138807 SH DFND 138807 0 0 TRIDENT ACQUISITIONS CORP *W EXP 05/09/202 89615T114 15 154300 SH DFND 154300 0 0 YATRA ONLINE INC ORD SHS G98338109 1319 1280906 SH DFND 1280906 0 0