0001085146-20-002862.txt : 20201112
0001085146-20-002862.hdr.sgml : 20201112
20201112150039
ACCESSION NUMBER: 0001085146-20-002862
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200930
FILED AS OF DATE: 20201112
DATE AS OF CHANGE: 20201112
EFFECTIVENESS DATE: 20201112
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: 201306096
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
09-30-2020
09-30-2020
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
11-06-2020
0
103
237794
false
INFORMATION TABLE
2
infotable.xml
INFORMATION TABLE
8I ENTERPRISES ACQUISITION C
SHS
G2956M104
4378
425000
SH
DFND
425000
0
0
ACAMAR PARTNERS ACQSITION CO
CL A
004285102
4906
480000
SH
DFND
480000
0
0
ACE CONVERGENCE ACQU CORP
UNIT 99/99/9999
G0083D112
513
50000
SH
DFND
50000
0
0
ACON S2 ACQUISITION CORP
UNIT 09/15/2027
G00748122
1002
100000
SH
DFND
100000
0
0
ALPHA HEALTHCARE ACQUISTN CO
UNIT 09/21/2027
020751202
1984
200000
SH
DFND
200000
0
0
ALUSSA ENERGY ACQUISITION CO
UNIT 10/31/2026
G0232J127
308
30000
SH
DFND
30000
0
0
ALUSSA ENERGY ACQUISITION CO
SHS CL A
G0232J101
993
100000
SH
DFND
100000
0
0
AMC NETWORKS INC
CL A
00164V103
6845
277000
SH
DFND
277000
0
0
AMC NETWORKS INC
CL A
00164V103
1260
210000
SH
Put
DFND
210000
0
0
ARTIUS ACQUISITION INC
UNIT 99/99/9999
04316G204
2078
200000
SH
DFND
200000
0
0
ARTIUS ACQUISITION INC
COM CL A
04316G105
1392
140000
SH
DFND
140000
0
0
ASCENDANT DIGITAL ACQUISITIO
UNIT 99/99/9999
G05155125
1052
100000
SH
DFND
100000
0
0
BARCLAYS PLC
ADR
06738E204
1393
278058
SH
DFND
278058
0
0
BCTG ACQUISITION CORP
COM
05492W103
1036
100000
SH
DFND
100000
0
0
BOWX ACQUISITION CORP
UNIT 08/03/2025
103085205
1026
100000
SH
DFND
100000
0
0
BROADSTONE ACQUISITION CORP
UNIT 99/99/9999
G1739V118
2991
300000
SH
DFND
300000
0
0
BURGUNDY TECHNOLOGY ACQU COR
UNIT 08/26/2025
G1702T132
996
100000
SH
DFND
100000
0
0
CAPSTAR SPL PURP ACQUISITION
COM CL A
14070Y101
492
50000
SH
DFND
50000
0
0
CAPSTAR SPL PURP ACQUISITION
UNIT 07/09/2027
14070Y200
765
75000
SH
DFND
75000
0
0
CC NEUBERGER PRIN HLDGS II
UNIT 99/99/9999
G3166T129
1808
175000
SH
DFND
175000
0
0
CC NEUBERGER PRINCIPAL HLDNG
UNIT 99/99/9999
G1992Y106
813
75000
SH
DFND
75000
0
0
CF FINANCE ACQUISITION CORP
UNIT 08/01/2027
15725Q203
2506
250000
SH
DFND
250000
0
0
CHURCHILL CAPITAL CORP IV
UNIT 99/99/9999
171439201
4008
400000
SH
DFND
400000
0
0
CHURCHILL CAPITAL CORP IV
CL A
171439102
1712
175000
SH
DFND
175000
0
0
CITIC CAPITAL ACQUISITION CO
UNIT 99/99/9999
G21513125
1026
100000
SH
DFND
100000
0
0
COHN ROBBINS HOLDINGS CORP
UNIT 08/11/2025
G23726121
2523
250000
SH
DFND
250000
0
0
COLONNADE ACQUISITION CORP
UNIT 99/99/9999
G2283K128
498
50000
SH
DFND
50000
0
0
D8 HOLDINGS CORP
UNIT 99/99/9999
G2614K102
1007
100000
SH
DFND
100000
0
0
DEERFIELD HEALTHCARE TECH AC
UNIT 07/16/2025
244413209
532
50000
SH
DFND
50000
0
0
DFP HEALTHCARE ACQUISITNS CO
UNIT 03/31/2025
23343Q209
1640
150000
SH
DFND
150000
0
0
DMY TECHNOLOGY GROUP INC II
UNIT 99/99/9999
233277201
3581
350000
SH
DFND
350000
0
0
DRAGONEER GROWTH OPPORTUN CO
UNIT 08/18/2027
G28302126
613
50000
SH
DFND
50000
0
0
E MERGE TECHNOLOGY ACQUISITI
UNIT 07/30/2025
26873Y203
2016
200000
SH
DFND
200000
0
0
EAST RES ACQUISITION CO
UNIT 07/01/2027
274681204
3027
300000
SH
DFND
300000
0
0
EBIX INC
COM NEW
278715206
96
118500
SH
Put
DFND
118500
0
0
EQUITY DISTR ACQUISITION COR
UNIT 99/99/9999
29465E205
1030
100000
SH
DFND
100000
0
0
FAST ACQUISITION CORP
UNIT 99/99/9999
311875207
1496
150000
SH
DFND
150000
0
0
FG NEW AMER ACQUISITION CORP
UNIT 08/31/2027
30259V205
3003
300000
SH
DFND
300000
0
0
FOLEY TRASIMENE ACQUISITION
UNIT 99/99/9999
344328208
1020
100000
SH
DFND
100000
0
0
FOLEY TRASIMENE ACQUISTN COR
UNIT 99/99/9999
34431F203
1129
100000
SH
DFND
100000
0
0
FORTRESS VALUE ACQUISITION I
UNIT 08/10/2027
349642207
1030
100000
SH
DFND
100000
0
0
FTAC OLYMPUS ACQUISITION COR
UNIT 08/24/2025
G37288118
2500
250000
SH
DFND
250000
0
0
FUSION ACQUISITION CORP
UNIT 99/99/9999
36118H204
1030
100000
SH
DFND
100000
0
0
GIGCAPITAL2 INC
COM
375036100
2540
250000
SH
DFND
250000
0
0
GIGCAPITAL3 INC
UNIT 99/99/9999
37519D206
1035
100000
SH
DFND
100000
0
0
GO ACQUISITION CORP
UNIT 08/31/2027
362019200
1008
100000
SH
DFND
100000
0
0
GORES HLDGS V INC
UNIT 99/99/9999
382864205
1035
100000
SH
DFND
100000
0
0
GREENVISION ACQUISITION CORP
COM
39678G103
703
70000
SH
DFND
70000
0
0
HUDSON EXECUTIVE INVT CORP
UNIT 06/21/2025
443761200
3135
300000
SH
DFND
300000
0
0
INDUSTRIAL TECH ACQU INC
UNIT 08/31/2025
456357201
500
50000
SH
DFND
50000
0
0
INTERPRIVATE ACQUISITION COR
COM
46064A103
1000
100000
SH
DFND
100000
0
0
JAWS ACQUISITION CORP
UNIT 99/99/9999
G50744120
2214
200000
SH
DFND
200000
0
0
JUNIPER INDL HLDGS INC
COM CL A
48205G106
2092
200000
SH
DFND
200000
0
0
KISMET ACQUISITION ONE CORP
UNIT 08/06/2025
G52753129
1000
100000
SH
DFND
100000
0
0
LEGACY ACQUISITION CORP
*W EXP 11/30/202
524643111
66
122825
SH
DFND
122825
0
0
LGL SYS ACQUISITION CORP
UNIT 10/24/2024
50201G205
1044
100000
SH
DFND
100000
0
0
LIVE OAK ACQUISITION CORP
UNIT 99/99/9999
53804F202
2110
200000
SH
DFND
200000
0
0
LLOYDS BANKING GROUP PLC
SPONSORED ADR
539439109
6474
4980083
SH
DFND
4980083
0
0
LONGVIEW ACQUISITION CORP
UNIT 99/99/9999
543195200
2030
200000
SH
DFND
200000
0
0
MONOCLE ACQUISITION CORP
COM
609754106
6144
600000
SH
DFND
600000
0
0
NAM TAI PPTY INC
SHS
G63907102
289
30916
SH
DFND
30916
0
0
NAVSIGHT HLDGS INC
UNIT 99/99/9999
639358209
1006
100000
SH
DFND
100000
0
0
NEW PROVIDENCE ACQUISITION
UNIT 09/01/2024
64822P205
1047
100000
SH
DFND
100000
0
0
NEWHOLD INVESTMENT CORP
UNIT 03/10/2025
651448201
1006
100000
SH
DFND
100000
0
0
NORTH MOUNTAIN MERGER CORP
UNIT 09/16/2025
661204206
1020
100000
SH
DFND
100000
0
0
NORTHERN GENESIS ACQUISITION
UNIT 07/31/2027
66516T203
999
100000
SH
DFND
100000
0
0
ONE
UNIT 99/99/9999
G7000X113
818
75000
SH
DFND
75000
0
0
PEARSON PLC
SPONSORED ADR
705015105
711
100000
SH
DFND
100000
0
0
PERSHING SQUARE TONTINE HLDG
COM CL A
71531R109
1135
50000
SH
DFND
50000
0
0
PRIME IMPACT ACQUISITION I
UNIT 10/01/2030
G61074111
2004
200000
SH
DFND
200000
0
0
PROPTECH ACQUISITION CORP
*W EXP 05/26/202
74349F119
164
100000
SH
DFND
100000
0
0
QELL ACQUISITION CORP
UNIT 10/01/2025
G7307X121
1524
150000
SH
DFND
150000
0
0
REDBALL ACQUISITION CORP
UNIT 99/99/9999
G7417R121
2643
250000
SH
DFND
250000
0
0
REINVENT TECHNOLOGY PARTNERS
UNIT 99/99/9999
G7483N111
574
50000
SH
DFND
50000
0
0
SANDBRIDGE ACQUISITION CORP
UNIT 99/99/9999
799793203
1497
150000
SH
DFND
150000
0
0
SC HEALTH CORP
COM CL A
G78516203
756
75000
SH
DFND
75000
0
0
SCVX CORP
UNIT 99/99/9999
G79448109
2688
250000
SH
DFND
250000
0
0
SILVER SPIKE ACQUISITION COR
*W EXP 08/02/202
G8136L114
61
100000
SH
DFND
100000
0
0
SILVER SPIKE ACQUISITION COR
CL A SHS
G8136L106
5065
500000
SH
DFND
500000
0
0
SIRIUS INTERNATIONAL INSURAN
COM
G8196D101
622
53764
SH
DFND
53764
0
0
SOUTH MTN MERGER CORP
*W EXP 06/20/202
838884112
210
150000
SH
DFND
150000
0
0
SPARTAN ENERGY ACQUISITION C
UNIT 99/99/9999
846784114
162
10000
SH
DFND
10000
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
559
48100
SH
Put
DFND
48100
0
0
SPROTT PHYSICAL GOLD & SILVE
TR UNIT
85208R101
7059
384900
SH
DFND
384900
0
0
STABLE RD ACQUISITION CORP
COM CL A
85236Q109
1008
100000
SH
DFND
100000
0
0
STAR PEAK ENERGY TRANSITION
UNIT 99/99/9999
855185203
1025
100000
SH
DFND
100000
0
0
STARBOARD VALUE ACQUISITN CO
UNIT 09/10/2025
85521J208
2525
250000
SH
DFND
250000
0
0
SUMITOMO MITSUI FINL GROUP I
SPONSORED ADR
86562M209
60093
10750000
SH
DFND
10750000
0
0
SUSTAINABLE OPPORTNTS ACQ CO
UNIT 99/99/9999
G8598Y125
829
75000
SH
DFND
75000
0
0
TAILWIND ACQUISITION CORP
UNIT 09/07/2027
87403Q201
1005
100000
SH
DFND
100000
0
0
THUNDER BRDG ACQUISTION II L
CL A SHS
G8857S116
3060
300000
SH
DFND
300000
0
0
TOTTENHAM ACQUISITION I LTD
SHS
G8959N106
1506
138807
SH
DFND
138807
0
0
TREBIA ACQUISITION CORP
UNIT 99/99/9999
G9027T125
1620
150000
SH
DFND
150000
0
0
TRIDENT ACQUISITIONS CORP
*W EXP 05/09/202
89615T114
57
154300
SH
DFND
154300
0
0
TUSCAN HLDGS CORP
COM
90069K104
7635
750000
SH
DFND
750000
0
0
TUSCAN HLDGS CORP II
COM
90070A103
499
50000
SH
DFND
50000
0
0
TWC TECH HLDGS II CORP
UNIT 09/10/2025
90117G204
1012
100000
SH
DFND
100000
0
0
UNILEVER N V
N Y SHS NEW
904784709
5577
92328
SH
DFND
92328
0
0
UNILEVER PLC
SPON ADR NEW
904767704
3557
57672
SH
DFND
57672
0
0
UNION ACQUISITION CORP II
SHS
G9402Q100
993
100000
SH
DFND
100000
0
0
VESPER HEALTHCARE ACQSTN COR
UNIT 99/99/9999
92538T203
1026
100000
SH
DFND
100000
0
0
YATRA ONLINE INC
ORD SHS
G98338109
944
1259037
SH
DFND
1259037
0
0
YUCAIPA ACQUISITION CORP
UNIT 99/99/9999
G9879L121
1020
100000
SH
DFND
100000
0
0