0001085146-23-003459.txt : 20230815 0001085146-23-003459.hdr.sgml : 20230815 20230815102120 ACCESSION NUMBER: 0001085146-23-003459 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230630 FILED AS OF DATE: 20230815 DATE AS OF CHANGE: 20230815 EFFECTIVENESS DATE: 20230815 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: 231173604 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 X0202 13F-HR LIVE false false false 0001475770 XXXXXXXX 06-30-2023 06-30-2023 false Cowen Investment Management LLC

599 LEXINGTON AVENUE, 20TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-13626 000151953 801-70868 Y Cowen Investment Management LLC and its affiliates ("Cowen") may be deemed to be ultimately controlled by Toronto-Dominion Bank and its affiliates ("TD"), by virtue of their corporate relationship. Neither TD nor Cowen share information with one another related to their investments, with certain exceptions. However, under Section 13(f) of the Securities Exchange Act 1934, as amended, and the rules promulgated thereunder, TD may be deemed to have shared investment discretion with Cowen over the securities managed by Cowen. Ashley Latourelle 609-304-6161 /s/ Ashley Latourelle New York NY 08-15-2023 0 46 167541690 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3-D SYS CORP DEL COM NEW 88554D205 BBG001S7FHX1 6210 41400 SH Put DFND 4 41400 0 0 AP ACQUISITION CORP CL A ORD SHS G04058106 BBG013VVS9H1 1076000 100000 SH DFND 4 100000 0 0 AP ACQUISITION CORP UNIT 99/99/9999 G04058122 BBG013VVN469 1076050 100000 SH DFND 4 100000 0 0 ARYA SCIENCES ACQUISITN CORP CLASS A ORD SHS G31658100 BBG011LN0WM7 5418280 523000 SH DFND 4 523000 0 0 AVEPOINT INC *W EXP 09/18/202 053604112 22650 25000 SH DFND 4 25000 0 0 BM TECHNOLOGIES INC *W EXP 01/04/202 05591L115 3750 25000 SH DFND 4 25000 0 0 CARTESIAN GROWTH CORP II UNIT 07/12/2028 G19305104 BBG0148QL2X0 5375000 500000 SH DFND 4 500000 0 0 COMPASS DIGITAL ACQUISITN CO UNIT 09/29/2026 G2476C115 BBG012J84N83 1038000 100000 SH DFND 4 100000 0 0 EVEREST CONSOLIDATOR ACQ COR CL A COM 29978K102 BBG014FP37G2 4686000 440000 SH DFND 4 440000 0 0 FATHOM DIGITAL MFG CORP *W EXP 12/23/202 31189Y111 325 25000 SH DFND 4 25000 0 0 FORBION EUROPEAN ACQUSTN COR CLASS A ORD SHS G3619H102 BBG013QQHCT0 4750708 442750 SH DFND 4 442750 0 0 FRANCHISE GROUP INC COM 35180X105 BBG003385QC6 286400 10000 SH DFND 4 10000 0 0 FTAC ZEUS ACQUISITION COR CLASS A COM 30320F106 BBG00ZL7DSJ7 4222125 405000 SH DFND 4 405000 0 0 GASLOG PARTNERS LP UNIT LTD PTNRP Y2687W108 BBG0069J9W96 1293000 150000 SH DFND 4 150000 0 0 HEARTLAND MEDIA ACQUISITION CL A COM 42237V108 BBG015VQ6BB2 1054000 100000 SH DFND 4 100000 0 0 HEARTLAND MEDIA ACQUISITION UNIT 99/99/9999 42237V207 BBG013SNW3Z1 528000 50000 SH DFND 4 50000 0 0 INNOVATE CORP COM 45784J105 BBG001S16908 218750 125000 SH DFND 4 125000 0 0 JAGUAR GLOBAL GROWTH CORP I CLASS A ORD SHS G5S11A106 BBG0135WF9B8 3708290 350500 SH DFND 4 350500 0 0 KAYNE ANDERSON NEXTGEN ENRGY COM 48661E108 BBG001TC5VC2 3640681 512772 SH DFND 4 512772 0 0 KENSINGTON CAPITAL ACQUISITI SHS CL A G5251K103 BBG011WGWC58 10032000 950000 SH DFND 4 950000 0 0 KNIGHTSWAN ACQUISITION CORP CL A COM 499103109 BBG0148P1RY8 1162700 110000 SH DFND 4 110000 0 0 L CATTERTON ASIA ACQUISITION CLASS A ORD SHS G5346G125 BBG010171ZV8 7845000 750000 SH DFND 4 750000 0 0 LIBERTY BROADBAND CORP COM SER A 530307107 BBG006GNRZ92 1011136 12682 SH DFND 4 12682 0 0 LIBERTY BROADBAND CORP COM SER C 530307305 BBG006GNSZX4 204281 2550 SH DFND 4 2550 0 0 LIBERTY MEDIA CORP DEL COM C SIRIUSXM 531229607 BBG00BFHD9T6 6257812 191195 SH DFND 4 191195 0 0 LIBERTY TRIPADVISOR HLDGS IN COM SER A 531465102 BBG005DKMJ58 105933 162974 SH DFND 4 162974 0 0 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 BBG001SDX252 9726603 4421183 SH DFND 4 4421183 0 0 NANO DIMENSION LTD SPONSORD ADS NEW 63008G203 BBG009DFFWM1 462400 160000 SH DFND 4 160000 0 0 PORTAGE FINTECH ACQUISITN CO CLASS A ORD SHS G7185D106 BBG011JF2F79 4154000 400000 SH DFND 4 400000 0 0 PROJECT ENERGY REIMAGINED AC CLASS A ORD G72556106 BBG00ZV9JFM0 621600 60000 SH DFND 4 60000 0 0 PROTERRA INC COM 74374T109 BBG00Y038YW0 12689622 10574685 SH DFND 4 10574685 0 0 RENTOKIL INITIAL PLC SPONSORED ADR 760125104 BBG001S80721 5587519 143233 SH DFND 4 143233 0 0 SIRIUS XM HOLDINGS INC COM 82968B103 BBG001S70ZY6 945505 421400 SH Put DFND 4 421400 0 0 SK GROWTH OPPORTUNITIES CORP CLASS A COM G8192N103 BBG01959FB58 529500 50000 SH DFND 4 50000 0 0 SLAM CORP CL A SHS G8210L105 BBG00Z6D5VT2 6059100 570000 SH DFND 4 570000 0 0 SOCIAL CAP SUVRETTA HLDS CP CLASS A ORD SHS G8253Y105 BBG0119BQFF4 5195700 502000 SH DFND 4 502000 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253U103 BBG0119BQ147 2815200 272000 SH DFND 4 272000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 BBG001S72SM3 215049 152100 SH Put DFND 4 152100 0 0 SPRINGWATER SPL SITUATIONS C COM 85205U107 BBG00ZN75WQ7 711909 68850 SH DFND 4 68850 0 0 STAR HLDGS SHS BEN INT 85512G106 BBG01C70G355 9679105 659789 SH DFND 4 659789 0 0 STEEL CONNECT INC COM 858098205 BBG001S5PXV1 173717 20730 SH DFND 4 20730 0 0 STRATASYS LTD SHS M85548101 BBG002S5ZS58 884448 49800 SH DFND 4 49800 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 BBG001SLH608 38286125 4451875 SH DFND 4 4451875 0 0 TORTOISEECOFIN ACQUISITION C SHS CL A G8956E109 BBG00ZGY4FB0 830392 80000 SH DFND 4 80000 0 0 TORTOISEECOFIN ACQUISITION C UNIT 99/99/9999 G8956E208 BBG0112Z5VV8 1552515 150000 SH DFND 4 150000 0 0 XPAC ACQUISITION CORP CLASS A ORD G9831X106 BBG0112Z5QZ5 1398600 135000 SH DFND 4 135000 0 0