0001085146-21-000716.txt : 20210212
0001085146-21-000716.hdr.sgml : 20210212
20210212152713
ACCESSION NUMBER: 0001085146-21-000716
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20201231
FILED AS OF DATE: 20210212
DATE AS OF CHANGE: 20210212
EFFECTIVENESS DATE: 20210212
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: 21626492
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
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0001475770
XXXXXXXX
12-31-2020
12-31-2020
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
02-10-2021
0
153
216412
false
INFORMATION TABLE
2
infotable.xml
INFORMATION TABLE
10X CAPITAL VENTURE ACQU COR
UNIT 10/21/2025
88025V206
1065
100000
SH
DFND
100000
0
0
5 01 ACQUISITION CORP
COM CL A
33836P105
1017
100000
SH
DFND
100000
0
0
ACE CONVERGENCE ACQU CORP
UNIT 99/99/9999
G0083D112
272
25000
SH
DFND
25000
0
0
ACIES ACQUISITION CORP
UNIT 11/30/2027
G0103T121
965
90000
SH
DFND
90000
0
0
ACKRELL SPAC PARTNERS I CO
UNIT 12/01/2026
00461L204
1029
100000
SH
DFND
100000
0
0
ACON S2 ACQUISITION CORP
UNIT 09/15/2027
G00748122
1050
100000
SH
DFND
100000
0
0
AEQUI ACQUISITION CORP
UNIT 11/30/2027
00775W201
3535
350000
SH
DFND
350000
0
0
ALPHA HEALTHCARE ACQUISTN CO
UNIT 09/21/2027
020751202
2114
200000
SH
DFND
200000
0
0
ALTICE USA INC
CL A
02156K103
163
75000
SH
Call
DFND
75000
0
0
ALTITUDE ACQUISITION CORP
UNIT 11/30/2027
02156Y202
518
50000
SH
DFND
50000
0
0
ALUSSA ENERGY ACQUISITION CO
SHS CL A
G0232J101
1006
100000
SH
DFND
100000
0
0
ALUSSA ENERGY ACQUISITION CO
UNIT 10/31/2026
G0232J127
327
30000
SH
DFND
30000
0
0
AMERICAS TECHNOLOGY ACQSN CO
UNIT 99/99/9999
G0404A128
1028
100000
SH
DFND
100000
0
0
ARCLIGHT CLEAN TRANSITION CO
CL A
G04561109
1108
100000
SH
DFND
100000
0
0
ARTIUS ACQUISITION INC
UNIT 99/99/9999
04316G204
1124
100000
SH
DFND
100000
0
0
ASCENDANT DIGITAL ACQUISITIO
UNIT 99/99/9999
G05155125
788
75000
SH
DFND
75000
0
0
ATLANTIC AVE ACQUISITION COR
*W EXP 10/06/202
04906P119
328
297915
SH
DFND
297915
0
0
AVANTI ACQUISITION CORP
UNIT 99/99/9999
G0682V117
1897
175000
SH
DFND
175000
0
0
BARCLAYS PLC
ADR
06738E204
1520
190258
SH
DFND
190258
0
0
BCTG ACQUISITION CORP
COM
05492W103
286
25000
SH
DFND
25000
0
0
BETTER WORLD ACQUISITION COR
UNIT 11/15/2027
08772B203
829
75000
SH
DFND
75000
0
0
BOWX ACQUISITION CORP
CL A
103085106
1026
100000
SH
DFND
100000
0
0
BOWX ACQUISITION CORP
UNIT 08/03/2025
103085205
803
75000
SH
DFND
75000
0
0
BROADSTONE ACQUISITION CORP
UNIT 99/99/9999
G1739V118
1049
100000
SH
DFND
100000
0
0
BULL HORN HLDGS CORP
SHS
G1686P106
510
50000
SH
DFND
50000
0
0
BULL HORN HLDGS CORP
UNIT 10/13/2025
G1686P114
569
50000
SH
DFND
50000
0
0
BURGUNDY TECHNOLOGY ACQU COR
UNIT 08/26/2025
G1702T132
846
75000
SH
DFND
75000
0
0
CAPITOL INVESTMENT CORP V
UNIT 99/99/9999
14064F209
515
50000
SH
DFND
50000
0
0
CAPSTAR SPL PURP ACQUISITION
COM CL A
14070Y101
254
25000
SH
DFND
25000
0
0
CAPSTAR SPL PURP ACQUISITION
UNIT 07/09/2027
14070Y200
814
75000
SH
DFND
75000
0
0
CARNEY TECHNOLOGY ACQU CORP
UNIT 12/10/2025
143636207
1026
100000
SH
DFND
100000
0
0
CASCADE ACQUISITION CORP
UNIT 99/99/9999
147151203
1306
125000
SH
DFND
125000
0
0
CBRE ACQUISITION HLDGS INC
UNIT 99/99/9999
12510J205
523
50000
SH
DFND
50000
0
0
CC NEUBERGER PRIN HLDGS II
UNIT 99/99/9999
G3166T129
995
100000
SH
DFND
100000
0
0
CF ACQUISITION CORP IV
UNIT 12/31/2027
12520T201
515
50000
SH
DFND
50000
0
0
CHURCHILL CAPITAL CORP IV
UNIT 99/99/9999
171439201
2575
250000
SH
DFND
250000
0
0
CITIC CAPITAL ACQUISITION CO
UNIT 99/99/9999
G21513125
571
50000
SH
DFND
50000
0
0
COHN ROBBINS HOLDINGS CORP
UNIT 08/11/2025
G23726121
1613
150000
SH
DFND
150000
0
0
CONCORD ACQUISITION CORP
UNIT 12/28/2025
206071201
1547
150000
SH
DFND
150000
0
0
CONSONANCE HFW ACQUISITION C
UNIT 99/99/9999
G2445M129
524
50000
SH
DFND
50000
0
0
CONX CORP
UNIT 10/30/2027
212873202
1045
100000
SH
DFND
100000
0
0
D8 HOLDINGS CORP
SHS CL A
G2614K110
1016
100000
SH
DFND
100000
0
0
D8 HOLDINGS CORP
UNIT 99/99/9999
G2614K102
1069
100000
SH
DFND
100000
0
0
DECARBONIZATION PLUS ACQU CO
UNIT 10/02/2025
242797207
1034
90000
SH
DFND
90000
0
0
DELWINDS INS ACQUISITION COR
UNIT 99/99/9999
24803C201
1530
150000
SH
DFND
150000
0
0
DFP HEALTHCARE ACQUISITNS CO
UNIT 03/31/2025
23343Q209
1121
100000
SH
DFND
100000
0
0
DMY TECHNOLOGY GROUP INC III
UNIT 99/99/9999
233278209
912
80000
SH
DFND
80000
0
0
DPCM CAP INC
UNIT 99/99/9999
23344P200
551
50000
SH
DFND
50000
0
0
DUDDELL STREET ACQUISITN COR
CL A
G28553108
697
70000
SH
DFND
70000
0
0
E MERGE TECHNOLOGY ACQUISITI
UNIT 07/30/2025
26873Y203
1333
125000
SH
DFND
125000
0
0
EAST RES ACQUISITION CO
UNIT 07/01/2027
274681204
2907
275000
SH
DFND
275000
0
0
EDOC ACQUISITION CORP
*W EXP 11/30/202
G4000A110
69
100000
SH
DFND
100000
0
0
EDOC ACQUISITION CORP
CL A
G4000A102
1024
100000
SH
DFND
100000
0
0
EDOC ACQUISITION CORP
RIGHT 11/30/2027
G4000A136
60
100000
SH
DFND
100000
0
0
EDTECHX HOLDINGS ACQU CORP I
UNIT 08/31/2027
28139A201
1032
100000
SH
DFND
100000
0
0
EMPOWER LTD
UNIT 99/99/9999
G3R39W128
1820
175000
SH
DFND
175000
0
0
EQUITY DISTR ACQUISITION COR
UNIT 99/99/9999
29465E205
533
50000
SH
DFND
50000
0
0
EXECUTIVE NETWORK PARTNERING
UNIT 99/99/9999
30158L209
2880
113000
SH
DFND
113000
0
0
FALCON CAPITAL ACQUISITN COR
UNIT 08/20/2027
30606L207
534
50000
SH
DFND
50000
0
0
FAST ACQUISITION CORP
UNIT 99/99/9999
311875207
1100
100000
SH
DFND
100000
0
0
FG NEW AMER ACQUISITION CORP
UNIT 08/31/2027
30259V205
1062
100000
SH
DFND
100000
0
0
FORTRESS VALUE ACQUISITION I
UNIT 08/10/2027
349642207
837
75000
SH
DFND
75000
0
0
FRAZIER LIFESCIENCES ACQU CO
UNIT 12/09/2025
G3710A121
519
50000
SH
DFND
50000
0
0
FTAC OLYMPUS ACQUISITION COR
CL A SHS
G37288100
1030
100000
SH
DFND
100000
0
0
FTAC OLYMPUS ACQUISITION COR
UNIT 08/24/2025
G37288118
1087
100000
SH
DFND
100000
0
0
FUSION ACQUISITION CORP
UNIT 99/99/9999
36118H204
309
25000
SH
DFND
25000
0
0
GO ACQUISITION CORP
UNIT 08/31/2027
362019200
1329
125000
SH
DFND
125000
0
0
GORES HLDGS V INC
UNIT 99/99/9999
382864205
808
75000
SH
DFND
75000
0
0
GORES HOLDINGS VI INC
UNIT 08/24/2027
38286R204
795
75000
SH
DFND
75000
0
0
GREENVISION ACQUISITION CORP
COM
39678G103
722
70000
SH
DFND
70000
0
0
H I G ACQUISITION CORP
UNIT 99/99/9999
G44898115
782
75000
SH
DFND
75000
0
0
HEALTHCARE SERVICES ACQU COR
UNIT 11/18/2023
42227K203
1022
100000
SH
DFND
100000
0
0
HELIX ACQUISITION CORP
COM CL A
G4444C102
257
22647
SH
DFND
22647
0
0
HIGHLAND TRANSCEND PARTNERS
UNIT 99/99/9999
G44690116
1050
100000
SH
DFND
100000
0
0
HORIZON ACQUISITION CORP
COM CL A
G46049105
1002
100000
SH
DFND
100000
0
0
HORIZON ACQUISITION CORPORAT
UNIT 99/99/9999
G46044122
859
80000
SH
DFND
80000
0
0
HPX CORP
SHS CL A
G32219100
1002
100000
SH
DFND
100000
0
0
HUDSON EXECUTIVE INVT CORP
*W EXP 06/21/202
443761119
259
150000
SH
DFND
150000
0
0
HUDSON EXECUTIVE INVT CORP
COM CL A
443761101
1081
100000
SH
DFND
100000
0
0
HUMANCO ACQUISITION CORP
UNIT 12/08/2023
44487N208
276
25000
SH
DFND
25000
0
0
INDUSTRIAL TECH ACQU INC
UNIT 08/31/2025
456357201
538
50000
SH
DFND
50000
0
0
INVESTINDUSTRIAL ACQUISITION
UNIT 99/99/9999
G4771L121
1028
100000
SH
DFND
100000
0
0
ION ACQUISITION CORP 1 LTD
UNIT 99/99/9999
G49392122
604
50000
SH
DFND
50000
0
0
JAWS SPITFIRE ACQUISITION CO
UNIT 99/99/9999
G50740128
553
50000
SH
DFND
50000
0
0
JIYA ACQUISITION CORP
COM CL A
47760M102
1030
100000
SH
DFND
100000
0
0
KINGSWOOD ACQUISITION CORP
UNIT 99/99/9999
496861204
1040
100000
SH
DFND
100000
0
0
KINS TECHNOLOGY GROUP INC
UNIT 10/14/2025
49714K208
1544
150000
SH
DFND
150000
0
0
KISMET ACQUISITION ONE CORP
SHS
G52753103
1010
100000
SH
DFND
100000
0
0
KISMET ACQUISITION ONE CORP
UNIT 08/06/2025
G52753129
1050
100000
SH
DFND
100000
0
0
L&F ACQUISITION CORP
UNIT 99/99/9999
G53702125
1037
100000
SH
DFND
100000
0
0
LANDCADIA HOLDINGS III INC
UNIT 99/99/9999
51476H209
894
80000
SH
DFND
80000
0
0
LGL SYS ACQUISITION CORP
UNIT 10/24/2024
50201G205
278
25000
SH
DFND
25000
0
0
LIFESCI ACQUISITION II CORP
COM
53229E103
534
50000
SH
DFND
50000
0
0
LIVE OAK ACQUISITION CORP II
UNIT 99/99/9999
53804W205
1085
100000
SH
DFND
100000
0
0
LLOYDS BANKING GROUP PLC
SPONSORED ADR
539439109
9761
4980083
SH
DFND
4980083
0
0
MALLARD ACQUISITION CORP
UNIT 06/30/2027
561204207
1057
100000
SH
DFND
100000
0
0
MONTES ARCHIMEDES ACQUISITIO
UNIT 09/30/2025
612657205
525
50000
SH
DFND
50000
0
0
MOTION ACQUISITION CORP
UNIT 10/14/2025
61980M206
1062
100000
SH
DFND
100000
0
0
MOTIVE CAPITAL CORP
UNIT 99/99/9999
G6293A129
1054
100000
SH
DFND
100000
0
0
MUDRICK CAPITAL ACQU CORP II
UNIT 99/99/9999
62477L206
2320
225000
SH
DFND
225000
0
0
NATURAL ORDER ACQUISITION CO
UNIT 99/99/9999
63889L206
868
80000
SH
DFND
80000
0
0
NAVSIGHT HLDGS INC
UNIT 99/99/9999
639358209
773
75000
SH
DFND
75000
0
0
NEBULA CARAVEL ACQUISITION C
UNIT 12/09/2023
629070202
810
75000
SH
DFND
75000
0
0
NEWHOLD INVESTMENT CORP
UNIT 03/10/2025
651448201
1044
100000
SH
DFND
100000
0
0
NEXTGEN ACQUISITION CORP
UNIT 11/26/2020
G65305115
1029
100000
SH
DFND
100000
0
0
NORTH MOUNTAIN MERGER CORP
UNIT 09/16/2025
661204206
1074
100000
SH
DFND
100000
0
0
OMNICHANNEL ACQUISITION CORP
UNIT 99/99/9999
68218L207
1391
135000
SH
DFND
135000
0
0
ONE
UNIT 99/99/9999
G7000X113
569
50000
SH
DFND
50000
0
0
OTR ACQUISITION CORP
UNIT 10/01/2025
67113Q204
1049
100000
SH
DFND
100000
0
0
PEARSON PLC
SPONSORED ADR
705015105
491
53472
SH
DFND
53472
0
0
PMV CONSUMER ACQUISITION COR
COM
693486102
761
75000
SH
DFND
75000
0
0
POPULATION HEALTH INVS CO IN
UNIT 99/99/9999
G71716123
1045
100000
SH
DFND
100000
0
0
PRIME IMPACT ACQUISITION I
UNIT 10/01/2030
G61074111
1061
100000
SH
DFND
100000
0
0
QELL ACQUISITION CORP
UNIT 10/01/2025
G7307X121
663
50000
SH
DFND
50000
0
0
RECHARGE ACQUISITION CORP
COM CL A
756229100
1274
125000
SH
DFND
125000
0
0
REDBALL ACQUISITION CORP
COM CL A
G7417R105
545
50000
SH
DFND
50000
0
0
REDBALL ACQUISITION CORP
UNIT 99/99/9999
G7417R121
578
50000
SH
DFND
50000
0
0
REINVENT TECHNOLOGY PARTNERS
UNIT 99/99/9999
G74847123
285
25000
SH
DFND
25000
0
0
REVOLUTION ACCELERTN ACQU CO
UNIT 12/01/2025
76156P205
781
75000
SH
DFND
75000
0
0
RMG ACQUISITION CORP II
UNIT 12/09/2025
G76083115
836
75000
SH
DFND
75000
0
0
ROMAN DBDR TECH ACQUISITION
UNIT 99/99/9999
77584N200
780
75000
SH
DFND
75000
0
0
SANDBRIDGE ACQUISITION CORP
UNIT 99/99/9999
799793203
1700
165000
SH
DFND
165000
0
0
SC HEALTH CORP
COM CL A
G78516203
769
75000
SH
DFND
75000
0
0
SCVX CORP
UNIT 99/99/9999
G79448109
1155
100000
SH
DFND
100000
0
0
SEAPORT GLOBAL ACQUISITN COR
UNIT 99/99/9999
812227205
1306
125000
SH
DFND
125000
0
0
SENIOR CONNECT ACQUISITN COR
UNIT 12/09/2023
81723H207
1029
100000
SH
DFND
100000
0
0
SIRIUS INTERNATIONAL INSURAN
COM
G8196D101
725
58000
SH
DFND
58000
0
0
SOFTWARE ACQUISITN GRUP INC
COM CL A
83407F101
995
100000
SH
DFND
100000
0
0
SPARTAN ACQUISITION CORP II
UNIT 99/99/9999
846775203
810
75000
SH
DFND
75000
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
58
20000
SH
Call
DFND
20000
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
539
160000
SH
Put
DFND
160000
0
0
SPORTS ENTERTAINMENT ACQU CO
UNIT 99/99/9999
84918M205
1075
100000
SH
DFND
100000
0
0
SPRING VY ACQUISITION CORP
UNIT 11/11/2025
G8377A116
1583
150000
SH
DFND
150000
0
0
STARBOARD VALUE ACQUISITN CO
UNIT 09/10/2025
85521J208
927
90000
SH
DFND
90000
0
0
SUMITOMO MITSUI FINL GROUP I
SPONSORED ADR
86562M209
64573
10465600
SH
DFND
10465600
0
0
SUPERNOVA PARTNERS ACQUISITI
UNIT 99/99/9999
86846V207
581
50000
SH
DFND
50000
0
0
SUSTAINABLE OPPORTNTS ACQ CO
UNIT 99/99/9999
G8598Y125
295
25000
SH
DFND
25000
0
0
TAILWIND ACQUISITION CORP
COM CL A
87403Q102
1559
150000
SH
DFND
150000
0
0
TAILWIND ACQUISITION CORP
UNIT 09/07/2027
87403Q201
539
50000
SH
DFND
50000
0
0
THAYER VENTURES ACQU CORP
UNIT 01/01/2030
88332T209
1048
100000
SH
DFND
100000
0
0
TPG PACE TECH OPPORTUNITIES
UNIT 99/99/9999
G8990Y111
284
25000
SH
DFND
25000
0
0
TREBIA ACQUISITION CORP
COM CL A
G9027T109
270
25000
SH
DFND
25000
0
0
TREBIA ACQUISITION CORP
UNIT 99/99/9999
G9027T125
867
75000
SH
DFND
75000
0
0
TREPONT ACQUISITION CORP I
UNIT 99/99/9999
G9095M119
1037
100000
SH
DFND
100000
0
0
TS INNOVATION ACQUISITN CORP
UNIT 99/99/9999
87284T209
1054
100000
SH
DFND
100000
0
0
TWC TECH HLDGS II CORP
UNIT 09/10/2025
90117G204
806
75000
SH
DFND
75000
0
0
UNILEVER PLC
SPON ADR NEW
904767704
561
9296
SH
DFND
9296
0
0
UNION ACQUISITION CORP II
SHS
G9402Q100
1040
100000
SH
DFND
100000
0
0
VPC IMPACT ACQUISITION HLDNG
UNIT 09/22/2025
G9441E126
1605
150000
SH
DFND
150000
0
0
YATRA ONLINE INC
ORD SHS
G98338109
869
450000
SH
DFND
450000
0
0
YELLOWSTONE ACQUISITION CO
UNIT 10/22/2025
98566K204
1065
100000
SH
DFND
100000
0
0
YUCAIPA ACQUISITION CORP
UNIT 99/99/9999
G9879L121
1020
100000
SH
DFND
100000
0
0
ZANITE ACQUISITION CORP
UNIT 10/08/2025
98907K202
1052
100000
SH
DFND
100000
0
0