Chief Compliance Officer

0001085146-23-002242.txt : 20230511 0001085146-23-002242.hdr.sgml : 20230511 20230511162706 ACCESSION NUMBER: 0001085146-23-002242 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230331 FILED AS OF DATE: 20230511 DATE AS OF CHANGE: 20230511 EFFECTIVENESS DATE: 20230511 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: 23911470 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 03-31-2023 03-31-2023 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 Chief Compliance Officer 609-304-6161 /s/ Ashley Latourelle New York NY 05-11-2023 0 115 383146191 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 7 ACQUISITION CORPORATION SHS CL A G80694105 1566000 150000 SH DFND 4 150000 0 0 ACROPOLIS INFRASTRUCTURE ACQ CL A 005029103 2431200 240000 SH DFND 4 240000 0 0 ADIT EDTECH ACQUISITION CORP *W EXP 99/99/999 007024110 4000 50000 SH DFND 4 50000 0 0 AEQUI ACQUISITION CORP *W EXP 11/30/202 00775W110 11667 116666 SH DFND 4 116666 0 0 ALPHA HEALTHCARE ACQU CORP I CLASS A COM 02073F104 1471750 145000 SH DFND 4 145000 0 0 ANDRETTI ACQUISITION CORP CL A ORD SHS G26735103 2627500 250000 SH DFND 4 250000 0 0 AP ACQUISITION CORP CL A ORD SHS G04058106 1055000 100000 SH DFND 4 100000 0 0 AP ACQUISITION CORP UNIT 99/99/9999 G04058122 1061750 100000 SH DFND 4 100000 0 0 APOLLO STRATEGIC GRWT CPTL I *W EXP 02/12/202 G0412A128 9760 100000 SH DFND 4 100000 0 0 APOLLO STRATEGIC GRWT CPTL I SHS CL A G0412A102 1691250 165000 SH DFND 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