Dark
Light
System
Security
COWEN INC CL A NEW
COWEN INC CL A NEW. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 113 Institutional holders with a total value of $371,803,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ARIEL INVESTMENTS, LLC 2,774,161 43,000,000 11.57%
2 Fine Capital Partners, L.P. 1,614,205 25,020,000 6.73%
3 DIMENSIONAL FUND ADVISORS LP 1,291,010 20,011,000 5.38%
4 FMR LLC 1,268,988 19,669,000 5.29%
5 THOMPSON SIEGEL & WALMSLEY LLC 1,198,745 18,580,000 5.00%
6 Arbiter Partners Capital Management LLC 1,133,623 17,571,000 4.73%
7 MENDON CAPITAL ADVISORS CORP 1,099,407 17,041,000 4.58%
8 VANGUARD GROUP INC 1,015,739 15,743,000 4.23%
9 BlackRock Fund Advisors 995,660 15,433,000 4.15%
10 BlackRock Institutional Trust Company, N.A. 800,289 12,404,000 3.34%
11 NOMURA HOLDINGS INC 776,656 12,085,000 3.25%
12 Capital World Investors 640,000 9,920,000 2.67%
13 D. E. Shaw & Co., Inc. 560,648 8,690,000 2.34%
14 ROYCE & ASSOCIATES LP 482,995 7,486,000 2.01%
15 STATE STREET CORP 471,868 7,314,000 1.97%
16 CREDIT SUISSE AG/ 469,034 7,270,000 1.96%
17 WELLS FARGO & COMPANY/MN 463,434 7,184,000 1.93%
18 Curi Capital, LLC 428,655 6,644,000 1.79%
19 WILLIAM BLAIR INVESTMENT MANAGEMENT, LLC 425,943 6,602,000 1.78%
20 SPRINGHOUSE CAPITAL MANAGEMENT, LP 390,432 6,052,000 1.63%
21 DRIEHAUS CAPITAL MANAGEMENT LLC 317,034 4,914,000 1.32%
22 SALZHAUER MICHAEL 305,763 4,739,000 1.27%
23 NORTHERN TRUST CORP 296,465 4,595,000 1.24%
24 NEW YORK STATE COMMON RETIREMENT FUND 268,485 4,162,000 1.12%
25 Cumberland Partners Ltd 265,275 4,112,000 1.11%
26 SG Americas Securities, LLC 244,675 3,792,000 1.02%
27 DEUTSCHE BANK AG\ 241,100 3,735,000 1.00%
28 GEODE CAPITAL MANAGEMENT, LLC 223,812 3,469,000 0.93%
29 Glacier Peak Capital LLC 223,126 3,458,000 0.93%
30 Bank of New York Mellon Corp 215,084 3,334,000 0.90%
31 TWO SIGMA INVESTMENTS, LP 201,564 3,124,000 0.84%
32 TWO SIGMA ADVISERS, LP 156,264 2,422,000 0.65%
33 North Star Investment Management Corp. 153,742 2,383,000 0.64%
34 MORGAN STANLEY 145,465 2,255,000 0.61%
35 BRIDGEWAY CAPITAL MANAGEMENT, LLC 145,300 2,252,000 0.61%
36 PERRITT CAPITAL MANAGEMENT INC 130,413 2,021,000 0.54%
37 RAIFF PARTNERS INC 125,000 1,938,000 0.52%
38 BlackRock Investment Management, LLC 109,163 1,692,000 0.46%
39 JPMORGAN CHASE & CO 107,316 1,663,000 0.45%
40 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 106,848 1,657,000 0.45%
41 RENAISSANCE TECHNOLOGIES LLC 105,422 1,634,000 0.44%
42 Adirondack Research & Management Inc. 94,875 1,471,000 0.40%
43 VICTORY CAPITAL MANAGEMENT INC 91,522 1,419,000 0.38%
44 Fisher Asset Management, LLC 89,876 1,393,000 0.37%
45 CHARTWELL INVESTMENT PARTNERS, LLC 77,461 1,201,000 0.32%
46 LPL Financial LLC 75,363 1,153,000 0.31%
47 TIAA CREF INVESTMENT MANAGEMENT LLC 74,218 1,150,000 0.31%
48 Invesco Ltd. 67,120 1,040,000 0.28%
49 CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 52,590 815,000 0.22%
50 PRUDENTIAL FINANCIAL INC 49,485 767,000 0.21%
Page 1 of 3

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.