COWEN INVESTMENT MANAGEMENT LLC

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Also known as:

  • RAMIUS LLC
  • PARK EXCHANGE LLC

Cowen Investment Management is based out of New York. Cowen Investment Management is a large advisory firm with 67 clients and discretionary assets under management (AUM) of $961,766,000 (Form ADV from 2019-07-26). Whalewisdom has at least 57 13F filings, 309 13D filings, and 77 13G filings

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06/30/2019

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13F Holdings Summary

COWEN INVESTMENT MANAGEMENT LLC filed under a combined 13F through COWEN INC. for 06/30/2019

06/30/2019

13F Sector Allocation Over Time


13F Filings Available:
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR/A (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR/A (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR/A (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR/A (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR/A (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR/A (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR/A (Subscription required)
  • 2006-06-30 - 13F-HR/A (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR/A (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR/A (Subscription required)
  • 2005-12-31 - 13F-HR/A (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR/A (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR/A (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)
  • 2002-09-30 - 13F-HR (Subscription required)
  • 2002-06-30 - 13F-HR (Subscription required)
  • 2002-03-31 - 13F-HR/A (Subscription required)
  • 2002-03-31 - 13F-HR (Subscription required)
  • 2001-12-31 - 13F-HR (Subscription required)
  • 2001-09-30 - 13F-HR (Subscription required)
  • 2001-06-30 - 13F-HR (Subscription required)
  • 2001-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

COWEN INVESTMENT MANAGEMENT LLC
Classified as Hedge Fund
599 LEXINGTON AVENUE 20TH FLOOR
NEW YORK NY    10022
Country: United States

Business Phone: (646) 562-1010
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 69
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 769,561,000
Total Number of Clients: 67
Amount of client funds and securities by related persons: 14,585,000
Total Number of clients from related persons: 1
Disclosures:
Data above was derived from SEC filings.

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COWEN INVESTMENT MANAGEMENT LLC

ownership team - last updated 2019-04-01
Name Title Start Date Direct/Indirect % Ownership
SAYAGO, ANDREA, J.S. CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC 09/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAMIUS ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
RAMIUS ADVISORS, LLC CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGEMENT LLC direct 2011-09-01
RAMIUS ALTERNATIVE SOLUTIONS LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
RAMIUS STRUCTURED CREDIT GROUP LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
RAMIUS ASIA LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
RAMIUS LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
COWEN INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC direct 2011-09-01
RAMIUS TRADING STRATEGIES LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
RCG LONGVIEW PARTNERS II, LLC CHIEF COMPLIANCE OFFICER direct 2015-01-01
RCG LONGVIEW EQUITY MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-01-01
RCG LONGVIEW DEBT FUND IV MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-01-01
RCG LONGVIEW MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-01-01
RCG LONGVIEW MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-01-01
ORCHARD SQUARE PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2012-11-01
QUADRATIC CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2014-08-01
CAERUS INVESTORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-08-01
MARGATE CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER direct 2016-04-01
COWEN INC. PARENT 11/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
RAMIUS SECURITIES LLC MANAGING MEMBER direct 2009-11-01
RAMIUS SECURITIES LLC PARENT indirect 2009-11-01
RAMIUS LLC PARENT direct 2009-11-01
RAMIUS ADVISORS, LLC PARENT indirect 2009-11-01
RAMIUS ADVISORS, LLC PARENT indirect 2009-11-01
RAMIUS ALTERNATIVE SOLUTIONS LLC PARENT indirect 2009-11-01
RAMIUS ALTERNATIVE SOLUTIONS LLC PARENT indirect 2009-11-01
RAMIUS STRUCTURED CREDIT GROUP LLC PARENT indirect 2009-11-01
COWEN ADVISORS LLC MANAGING MEMBER direct 2014-06-01
RCG STARBOARD ADVISORS, LLC PARENT indirect 2009-11-01
RAMIUS ASIA LLC PARENT indirect 2009-11-01
PARK EXCHANGE LLC PARENT direct 2009-11-01
COWEN PRIME SERVICES LLC ULTIMATE PARENT indirect 2015-09-01
RAMIUS TRADING STRATEGIES LLC SOLE MEMBER indirect 2009-11-01
RAMIUS TRADING STRATEGIES LLC SOLE MEMBER indirect 2009-11-01
STARBOARD VALUE LP MEMBER indirect 2009-11-01
RCG LONGVIEW PARTNERS II, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW PARTNERS II, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW EQUITY MANAGEMENT, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW EQUITY MANAGEMENT, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW DEBT FUND IV MANAGEMENT, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW DEBT FUND IV MANAGEMENT, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW MANAGEMENT, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW MANAGEMENT, LLC MANAGING MEMBER indirect 2009-11-01
RCG LONGVIEW MANAGEMENT, LLC MANAGING MEMBER indirect 2009-11-01
ORCHARD SQUARE PARTNERS, LLC PARENT indirect 2009-11-01
HEALTHCARE ROYALTY MANAGEMENT, LLC PARENT indirect 2006-12-01
QUADRATIC CAPITAL MANAGEMENT LLC MEMBER indirect 2009-11-01
QUADRATIC CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2009-11-01
QUADRATIC CAPITAL MANAGEMENT LLC MEMBER indirect 2009-11-01
CAERUS INVESTORS, LLC PARENT indirect 2009-11-01
CAERUS INVESTORS, LLC PARENT indirect 2009-11-01
MARGATE CAPITAL MANAGEMENT, LP MEMBER indirect 2009-11-01
BENWITT, MICHAEL, G GENERAL COUNSEL, CHIEF OPERATING OFFICER, COWEN INVESTMENT MANAGEMENT LLC 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAMIUS ADVISORS, LLC GENERAL COUNSEL direct 2012-01-01
RAMIUS ADVISORS, LLC CHIEF OPERATING OFFICER AND GENERAL COUNSEL, COWEN INVESTMENT MANAGEMENT LLC direct 2012-01-01
RAMIUS ADVISORS, LLC CHIEF OPERATING OFFICER AND GENERAL COUNSEL direct 2012-01-01
RAMIUS ALTERNATIVE SOLUTIONS LLC GENERAL COUNSEL direct 2012-01-01
RAMIUS STRUCTURED CREDIT GROUP LLC GENERAL COUNSEL direct 2012-01-01
RAMIUS ASIA LLC GENERAL COUNSEL direct 2012-01-01
RAMIUS LLC GENERAL COUNSEL direct 2012-01-01
COWEN INVESTMENT MANAGEMENT LLC GENERAL COUNSEL, CHIEF OPERATING OFFICER OF COWEN INVESTMENT MANAGEMENT LLC direct 2012-01-01
RAMIUS TRADING STRATEGIES LLC GENERAL COUNSEL direct 2012-01-01
STARBOARD VALUE LP OPERATING COMMITTEE MEMBER direct 2013-04-01
ORCHARD SQUARE PARTNERS, LLC GENERAL COUNSEL direct 2012-11-01
RYAN, JAMES, DAVID CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAMIUS ADVISORS, LLC CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC direct 2015-08-01
RAMIUS ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2015-08-01
RAMIUS ALTERNATIVE SOLUTIONS LLC CHIEF FINANCIAL OFFICER direct 2015-08-01
RAMIUS LLC CHIEF FINANCIAL OFFICER direct 2015-08-01
COWEN INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC direct 2015-08-01
RAMIUS TRADING STRATEGIES LLC CHIEF FINANCIAL OFFICER direct 2015-08-01
ROSMAN, ELIZABETH, RACHEL HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AJB CAPITAL MANAGEMENT LP DIRECTOR direct 2005-09-01
GLOBALIS INVESTMENTS, LLC DIRECTOR direct 2008-02-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TRIARTISAN ORLANDO PARTNERS LLC United States 805-9089634193 Private Equity Fund 17,213,000 30,000
CHI EF II LP United States 805-4539093001 Private Equity Fund 17,862,000 50,000
TABS 2004-1, LTD. Cayman Islands 805-9441869736 Securitized Asset Fund 153,735,000 250,000
COWEN HEALTHCARE INVESTMENTS II LP United States 805-2513597912 Private Equity Fund 246,434,000 5,000,000
COWEN PRIVATE INVESTMENTS LP United States 805-2961408544 Private Equity Fund 35,302,000 25,000,000 Master Fund
TRIARTISAN ES PARTNERS LLC United States 805-6638573300 Private Equity Fund 124,138,000 25,000

COWEN INVESTMENT MANAGEMENT LLC

ownership team - last updated 2019-01-16
Name Title Start Date Direct/Indirect % Ownership
COWEN INC. PARENT 11/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
RAMIUS SECURITIES LLC MANAGING MEMBER direct 2009-11-01
RAMIUS SECURITIES LLC PARENT indirect 2009-11-01
RAMIUS LLC PARENT direct 2009-11-01
RAMIUS ADVISORS, LLC PARENT indirect 2009-11-01
RAMIUS ADVISORS, LLC PARENT indirect 2009-11-01
RAMIUS ALTERNATIVE SOLUTIONS LLC PARENT indirect 2009-11-01
RAMIUS ALTERNATIVE SOLUTIONS LLC PARENT indirect 2009-11-01
RAMIUS STRUCTURED CREDIT GROUP LLC PARENT indirect 2009-11-01
COWEN ADVISORS LLC MANAGING MEMBER direct 2014-06-01
RCG STARBOARD ADVISORS, LLC PARENT indirect 2009-11-01
RAMIUS ASIA LLC PARENT indirect 2009-11-01
PARK EXCHANGE LLC PARENT direct 2009-11-01
COWEN PRIME SERVICES LLC ULTIMATE PARENT indirect 2015-09-01
RAMIUS TRADING STRATEGIES LLC SOLE MEMBER indirect 2009-11-01
RAMIUS TRADING STRATEGIES LLC SOLE MEMBER indirect 2009-11-01
STARBOARD VALUE LP MEMBER indirect 2009-11-01
RCG LONGVIEW PARTNERS II, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW PARTNERS II, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW EQUITY MANAGEMENT, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW EQUITY MANAGEMENT, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW DEBT FUND IV MANAGEMENT, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW DEBT FUND IV MANAGEMENT, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW MANAGEMENT, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW MANAGEMENT, LLC MANAGING MEMBER indirect 2009-11-01
RCG LONGVIEW MANAGEMENT, LLC MANAGING MEMBER indirect 2009-11-01
ORCHARD SQUARE PARTNERS, LLC PARENT indirect 2009-11-01
HEALTHCARE ROYALTY MANAGEMENT, LLC PARENT indirect 2006-12-01
QUADRATIC CAPITAL MANAGEMENT LLC MEMBER indirect 2009-11-01
QUADRATIC CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2009-11-01
QUADRATIC CAPITAL MANAGEMENT LLC MEMBER indirect 2009-11-01
CAERUS INVESTORS, LLC PARENT indirect 2009-11-01
CAERUS INVESTORS, LLC PARENT indirect 2009-11-01
MARGATE CAPITAL MANAGEMENT, LP MEMBER indirect 2009-11-01
STRAUSS, THOMAS, WOLFF VICE CHAIRMAN, COWEN INC. 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
RCG ARDIS CAPITAL LLC EXECUTIVE COMMITTEE MEMBER indirect 1997-07-01
RAMIUS SECURITIES, L.L.C. PRINCIPAL & MEMBER OF C4S & CO., LLC direct 1997-08-01
RCG ARDIS CAPITAL LLC EXECUTIVE OFFICER direct 2005-06-01
RCG STARBOARD ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2010-02-01
RAMIUS TRADING STRATEGIES LLC CHAIRMAN OF RAMIUS LLC direct 2012-12-01
COWEN INVESTMENT MANAGEMENT LLC CHAIRMAN OF COWEN INVESTMENT MANAGEMENT LLC direct 2012-12-01
RAMIUS ADVISORS, LLC CHAIRMAN, COWEN INVESTMENT MANAGEMENT LLC direct 2012-12-01
RAMIUS ASIA LLC CHAIRMAN direct 2012-12-01
RAMIUS CAPITAL GROUP LLC PRINCIPAL direct 1997-03-01 2004-10-05
RCG TAPESTRY, LLC PRINCIPAL direct 1997-03-01 2004-10-05
AG RAMIUS PARTNERS LLC MANAGER AND MANAGING OFFICER direct 1997-06-01 2004-10-05
RCG HELM, L.L.C. EXECUTIVE COMMITTEE MEMBER indirect 1997-07-01 2009-01-27
ADMIRAL ADVISORS, LLC EXECUTIVE COMMITTEE MEMBER indirect 1997-07-01 2009-01-27
RCG ASIA ADVISORS, LLC EXECUTIVE COMMITTEE MEMBER indirect 1997-07-01 2009-01-27
RAMIUS CAPITAL GROUP LLC EXECUTIVE COMMITTEE MEMBER direct 1997-03-01 2009-03-27
RAMIUS ADVISORS, LLC MANAGING OFFICER direct 1997-06-01 2009-03-27
RCG ASIA ADVISORS, LLC EXECUTIVE OFFICER indirect 1997-07-01 2009-03-27
RAMIUS ADVISORS, LLC EXECUTIVE OFFICER indirect 1997-07-01 2009-03-27
RCG STARBOARD ADVISORS, LLC EXECUTIVE OFFICER indirect 1997-07-01 2009-03-27
RCG HELM, L.L.C. EXECUTIVE OFFICER indirect 1997-07-01 2009-03-27
RAMIUS SECURITIES LLC MANAGING MEMBER indirect 1997-08-01 2009-03-27
RCG ASIA ADVISORS, LLC EXECUTIVE OFFICER direct 2002-09-01 2009-03-27
RAMIUS HVB PARTNERS, LLC ADVISORY PANEL MEMBER/CEO/CIO direct 1997-03-01 2009-06-17
RAMIUS TRADING STRATEGIES LLC CHIEF EXECUTIVE OFFICER direct 2009-09-01 2012-07-03
RAMIUS ASIA LLC CHIEF EXECUTIVE OFFICER direct 2010-02-01 2012-07-10
RAMIUS LLC CHIEF EXECUTIVE OFFICER direct 2010-02-01 2012-07-10
RAMIUS STRUCTURED CREDIT GROUP LLC CHIEF EXECUTIVE OFFICER direct 2010-02-01 2012-07-10
RAMIUS ALTERNATIVE SOLUTIONS LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1997-03-01 2012-11-23
RAMIUS ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2010-02-01 2013-02-26
RAMIUS ALTERNATIVE SOLUTIONS LLC CHAIRMAN direct 1997-03-01 2013-03-22
RAMIUS STRUCTURED CREDIT GROUP LLC CHAIRMAN direct 2012-12-01 2014-03-14
STARBOARD VALUE LP OPERATING COMMITTEE MEMBER direct 2011-03-01 2015-10-26
RAMIUS LLC CHAIRMAN direct 2012-12-01 2017-03-28
RAMIUS ADVISORS, LLC CHAIRMAN direct 2012-12-01 2017-03-30
SAYAGO, ANDREA, J.S. CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC 09/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAMIUS ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
RAMIUS ADVISORS, LLC CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGEMENT LLC direct 2011-09-01
RAMIUS ALTERNATIVE SOLUTIONS LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
RAMIUS STRUCTURED CREDIT GROUP LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
RAMIUS ASIA LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
RAMIUS LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
COWEN INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC direct 2011-09-01
RAMIUS TRADING STRATEGIES LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
RCG LONGVIEW PARTNERS II, LLC CHIEF COMPLIANCE OFFICER direct 2015-01-01
RCG LONGVIEW EQUITY MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-01-01
RCG LONGVIEW DEBT FUND IV MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-01-01
RCG LONGVIEW MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-01-01
RCG LONGVIEW MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-01-01
ORCHARD SQUARE PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2012-11-01
QUADRATIC CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2014-08-01
CAERUS INVESTORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-08-01
MARGATE CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER direct 2016-04-01
BENWITT, MICHAEL, G GENERAL COUNSEL, CHIEF OPERATING OFFICER, COWEN INVESTMENT MANAGEMENT LLC 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAMIUS ADVISORS, LLC GENERAL COUNSEL direct 2012-01-01
RAMIUS ADVISORS, LLC CHIEF OPERATING OFFICER AND GENERAL COUNSEL, COWEN INVESTMENT MANAGEMENT LLC direct 2012-01-01
RAMIUS ADVISORS, LLC CHIEF OPERATING OFFICER AND GENERAL COUNSEL direct 2012-01-01
RAMIUS ALTERNATIVE SOLUTIONS LLC GENERAL COUNSEL direct 2012-01-01
RAMIUS STRUCTURED CREDIT GROUP LLC GENERAL COUNSEL direct 2012-01-01
RAMIUS ASIA LLC GENERAL COUNSEL direct 2012-01-01
RAMIUS LLC GENERAL COUNSEL direct 2012-01-01
COWEN INVESTMENT MANAGEMENT LLC GENERAL COUNSEL, CHIEF OPERATING OFFICER OF COWEN INVESTMENT MANAGEMENT LLC direct 2012-01-01
RAMIUS TRADING STRATEGIES LLC GENERAL COUNSEL direct 2012-01-01
STARBOARD VALUE LP OPERATING COMMITTEE MEMBER direct 2013-04-01
ORCHARD SQUARE PARTNERS, LLC GENERAL COUNSEL direct 2012-11-01
RYAN, JAMES, DAVID CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAMIUS ADVISORS, LLC CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC direct 2015-08-01
RAMIUS ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2015-08-01
RAMIUS ALTERNATIVE SOLUTIONS LLC CHIEF FINANCIAL OFFICER direct 2015-08-01
RAMIUS LLC CHIEF FINANCIAL OFFICER direct 2015-08-01
COWEN INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC direct 2015-08-01
RAMIUS TRADING STRATEGIES LLC CHIEF FINANCIAL OFFICER direct 2015-08-01
FRAENKEL, FRED, STEVEN VICE CHAIRMAN OF COWEN INC. 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BEACON GLOBAL ASSET MANAGEMENT DIRECTOR direct 2010-12-01
FAIRHOLME CAPITAL MANAGEMENT, L.L.C. CHIEF RESEARCH OFFICER direct 2011-10-01
FAIRHOLME CAPITAL MANAGEMENT, L.L.C. PRESIDENT AND CHIEF RESEARCH OFFICER direct 2013-01-01
RAMIUS ADVISORS, LLC INTERIM CHIEF EXECUTIVE OFFICER direct 2017-01-01
RAMIUS ADVISORS, LLC INTERIM HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC direct 2017-01-01
COWEN INVESTMENT MANAGEMENT LLC INTERIM HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC direct 2017-01-01
ROSMAN, ELIZABETH, RACHEL HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AJB CAPITAL MANAGEMENT LP DIRECTOR direct 2005-09-01
GLOBALIS INVESTMENTS, LLC DIRECTOR direct 2008-02-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TRIARTISAN ORLANDO PARTNERS LLC United States 805-9089634193 Private Equity Fund 17,289,000 30,000
CHI EF II LP United States 805-4539093001 Private Equity Fund 14,056,784 50,000
TABS 2004-1, LTD. Cayman Islands 805-9441869736 Securitized Asset Fund 157,378,506 250,000
COWEN HEALTHCARE INVESTMENTS II LP United States 805-2513597912 Private Equity Fund 109,925,436 5,000,000
COWEN PRIVATE INVESTMENTS LP United States 805-2961408544 Private Equity Fund 60,375,000 25,000,000 Master Fund

COWEN INVESTMENT MANAGEMENT LLC

ownership team - last updated 2017-08-08
Name Title Start Date Direct/Indirect % Ownership
FRAENKEL, FRED, STEVEN INTERIM HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
BEACON GLOBAL ASSET MANAGEMENT DIRECTOR direct 2010-12-01
FAIRHOLME CAPITAL MANAGEMENT, L.L.C. CHIEF RESEARCH OFFICER direct 2011-10-01
FAIRHOLME CAPITAL MANAGEMENT, L.L.C. PRESIDENT AND CHIEF RESEARCH OFFICER direct 2013-01-01
RAMIUS ADVISORS, LLC INTERIM CHIEF EXECUTIVE OFFICER direct 2017-01-01
RAMIUS ADVISORS, LLC INTERIM HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC direct 2017-01-01
COWEN INVESTMENT MANAGEMENT LLC INTERIM HEAD OF INVESTMENT MANAGEMENT, COWEN INVESTMENT MANAGEMENT LLC direct 2017-01-01
RYAN, JAMES, DAVID CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAMIUS ADVISORS, LLC CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC direct 2015-08-01
RAMIUS ADVISORS, LLC CHIEF FINANCIAL OFFICER direct 2015-08-01
RAMIUS ALTERNATIVE SOLUTIONS LLC CHIEF FINANCIAL OFFICER direct 2015-08-01
RAMIUS LLC CHIEF FINANCIAL OFFICER direct 2015-08-01
COWEN INVESTMENT MANAGEMENT LLC CHIEF FINANCIAL OFFICER, COWEN INVESTMENT MANAGEMENT LLC direct 2015-08-01
RAMIUS TRADING STRATEGIES LLC CHIEF FINANCIAL OFFICER direct 2015-08-01
BENWITT, MICHAEL, G GENERAL COUNSEL, CHIEF OPERATING OFFICER OF COWEN INVESTMENT MANAGEMENT LLC 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAMIUS ADVISORS, LLC GENERAL COUNSEL direct 2012-01-01
RAMIUS ADVISORS, LLC CHIEF OPERATING OFFICER AND GENERAL COUNSEL, COWEN INVESTMENT MANAGEMENT LLC direct 2012-01-01
RAMIUS ADVISORS, LLC CHIEF OPERATING OFFICER AND GENERAL COUNSEL direct 2012-01-01
RAMIUS ALTERNATIVE SOLUTIONS LLC GENERAL COUNSEL direct 2012-01-01
RAMIUS STRUCTURED CREDIT GROUP LLC GENERAL COUNSEL direct 2012-01-01
RAMIUS ASIA LLC GENERAL COUNSEL direct 2012-01-01
RAMIUS LLC GENERAL COUNSEL direct 2012-01-01
COWEN INVESTMENT MANAGEMENT LLC GENERAL COUNSEL, CHIEF OPERATING OFFICER OF COWEN INVESTMENT MANAGEMENT LLC direct 2012-01-01
RAMIUS TRADING STRATEGIES LLC GENERAL COUNSEL direct 2012-01-01
STARBOARD VALUE LP OPERATING COMMITTEE MEMBER direct 2013-04-01
ORCHARD SQUARE PARTNERS, LLC GENERAL COUNSEL direct 2012-11-01
SAYAGO, ANDREA, J.S. CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC 09/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAMIUS ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
RAMIUS ADVISORS, LLC CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGEMENT LLC direct 2011-09-01
RAMIUS ALTERNATIVE SOLUTIONS LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
RAMIUS STRUCTURED CREDIT GROUP LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
RAMIUS ASIA LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
RAMIUS LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
COWEN INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER, COWEN INVESTMENT MANAGMENT LLC direct 2011-09-01
RAMIUS TRADING STRATEGIES LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
RCG LONGVIEW PARTNERS II, LLC CHIEF COMPLIANCE OFFICER direct 2015-01-01
RCG LONGVIEW EQUITY MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-01-01
RCG LONGVIEW DEBT FUND IV MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-01-01
RCG LONGVIEW MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-01-01
RCG LONGVIEW MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-01-01
ORCHARD SQUARE PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2012-11-01
QUADRATIC CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2014-08-01
CAERUS INVESTORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-08-01
MARGATE CAPITAL MANAGEMENT, LP CHIEF COMPLIANCE OFFICER direct 2016-04-01
STRAUSS, THOMAS, WOLFF CHAIRMAN OF COWEN INVESTMENT MANAGEMENT LLC 12/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
RCG ARDIS CAPITAL LLC EXECUTIVE COMMITTEE MEMBER indirect 1997-07-01
RAMIUS SECURITIES, L.L.C. PRINCIPAL & MEMBER OF C4S & CO., LLC direct 1997-08-01
RCG ARDIS CAPITAL LLC EXECUTIVE OFFICER direct 2005-06-01
RCG STARBOARD ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2010-02-01
RAMIUS TRADING STRATEGIES LLC CHAIRMAN OF RAMIUS LLC direct 2012-12-01
COWEN INVESTMENT MANAGEMENT LLC CHAIRMAN OF COWEN INVESTMENT MANAGEMENT LLC direct 2012-12-01
RAMIUS ADVISORS, LLC CHAIRMAN, COWEN INVESTMENT MANAGEMENT LLC direct 2012-12-01
RAMIUS ASIA LLC CHAIRMAN direct 2012-12-01
RAMIUS CAPITAL GROUP LLC PRINCIPAL direct 1997-03-01 2004-10-05
RCG TAPESTRY, LLC PRINCIPAL direct 1997-03-01 2004-10-05
AG RAMIUS PARTNERS LLC MANAGER AND MANAGING OFFICER direct 1997-06-01 2004-10-05
RCG HELM, L.L.C. EXECUTIVE COMMITTEE MEMBER indirect 1997-07-01 2009-01-27
ADMIRAL ADVISORS, LLC EXECUTIVE COMMITTEE MEMBER indirect 1997-07-01 2009-01-27
RCG ASIA ADVISORS, LLC EXECUTIVE COMMITTEE MEMBER indirect 1997-07-01 2009-01-27
RAMIUS CAPITAL GROUP LLC EXECUTIVE COMMITTEE MEMBER direct 1997-03-01 2009-03-27
RAMIUS ADVISORS, LLC MANAGING OFFICER direct 1997-06-01 2009-03-27
RCG ASIA ADVISORS, LLC EXECUTIVE OFFICER indirect 1997-07-01 2009-03-27
RAMIUS ADVISORS, LLC EXECUTIVE OFFICER indirect 1997-07-01 2009-03-27
RCG STARBOARD ADVISORS, LLC EXECUTIVE OFFICER indirect 1997-07-01 2009-03-27
RCG HELM, L.L.C. EXECUTIVE OFFICER indirect 1997-07-01 2009-03-27
RAMIUS SECURITIES LLC MANAGING MEMBER indirect 1997-08-01 2009-03-27
RCG ASIA ADVISORS, LLC EXECUTIVE OFFICER direct 2002-09-01 2009-03-27
RAMIUS HVB PARTNERS, LLC ADVISORY PANEL MEMBER/CEO/CIO direct 1997-03-01 2009-06-17
RAMIUS TRADING STRATEGIES LLC CHIEF EXECUTIVE OFFICER direct 2009-09-01 2012-07-03
RAMIUS ASIA LLC CHIEF EXECUTIVE OFFICER direct 2010-02-01 2012-07-10
RAMIUS LLC CHIEF EXECUTIVE OFFICER direct 2010-02-01 2012-07-10
RAMIUS STRUCTURED CREDIT GROUP LLC CHIEF EXECUTIVE OFFICER direct 2010-02-01 2012-07-10
RAMIUS ALTERNATIVE SOLUTIONS LLC PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 1997-03-01 2012-11-23
RAMIUS ADVISORS, LLC CHIEF EXECUTIVE OFFICER direct 2010-02-01 2013-02-26
RAMIUS ALTERNATIVE SOLUTIONS LLC CHAIRMAN direct 1997-03-01 2013-03-22
RAMIUS STRUCTURED CREDIT GROUP LLC CHAIRMAN direct 2012-12-01 2014-03-14
STARBOARD VALUE LP OPERATING COMMITTEE MEMBER direct 2011-03-01 2015-10-26
RAMIUS LLC CHAIRMAN direct 2012-12-01 2017-03-28
RAMIUS ADVISORS, LLC CHAIRMAN direct 2012-12-01 2017-03-30
COWEN INC. PARENT 11/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
RAMIUS SECURITIES LLC MANAGING MEMBER direct 2009-11-01
RAMIUS SECURITIES LLC PARENT indirect 2009-11-01
RAMIUS LLC PARENT direct 2009-11-01
RAMIUS ADVISORS, LLC PARENT indirect 2009-11-01
RAMIUS ADVISORS, LLC PARENT indirect 2009-11-01
RAMIUS ALTERNATIVE SOLUTIONS LLC PARENT indirect 2009-11-01
RAMIUS ALTERNATIVE SOLUTIONS LLC PARENT indirect 2009-11-01
RAMIUS STRUCTURED CREDIT GROUP LLC PARENT indirect 2009-11-01
COWEN ADVISORS LLC MANAGING MEMBER direct 2014-06-01
RCG STARBOARD ADVISORS, LLC PARENT indirect 2009-11-01
RAMIUS ASIA LLC PARENT indirect 2009-11-01
PARK EXCHANGE LLC PARENT direct 2009-11-01
COWEN PRIME SERVICES LLC ULTIMATE PARENT indirect 2015-09-01
RAMIUS TRADING STRATEGIES LLC SOLE MEMBER indirect 2009-11-01
RAMIUS TRADING STRATEGIES LLC SOLE MEMBER indirect 2009-11-01
STARBOARD VALUE LP MEMBER indirect 2009-11-01
RCG LONGVIEW PARTNERS II, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW PARTNERS II, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW EQUITY MANAGEMENT, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW EQUITY MANAGEMENT, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW DEBT FUND IV MANAGEMENT, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW DEBT FUND IV MANAGEMENT, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW MANAGEMENT, LLC MEMBER indirect 2009-11-01
RCG LONGVIEW MANAGEMENT, LLC MANAGING MEMBER indirect 2009-11-01
RCG LONGVIEW MANAGEMENT, LLC MANAGING MEMBER indirect 2009-11-01
ORCHARD SQUARE PARTNERS, LLC PARENT indirect 2009-11-01
HEALTHCARE ROYALTY MANAGEMENT, LLC PARENT indirect 2006-12-01
QUADRATIC CAPITAL MANAGEMENT LLC MEMBER indirect 2009-11-01
QUADRATIC CAPITAL MANAGEMENT LLC MANAGING MEMBER indirect 2009-11-01
QUADRATIC CAPITAL MANAGEMENT LLC MEMBER indirect 2009-11-01
CAERUS INVESTORS, LLC PARENT indirect 2009-11-01
CAERUS INVESTORS, LLC PARENT indirect 2009-11-01
MARGATE CAPITAL MANAGEMENT, LP MEMBER indirect 2009-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TABS 2004-1, LTD. Cayman Islands 805-9441869736 Securitized Asset Fund 166,661,652 250,000
COWEN HEALTHCARE INVESTMENTS II LP United States 805-2513597912 Private Equity Fund 0 5,000,000
COWEN PRIVATE INVESTMENTS LP United States 805-2961408544 Private Equity Fund 52,969,113 25,000,000 Master Fund
NAUTILUS RMBS CDO I LTD. Cayman Islands 805-9936106452 Securitized Asset Fund 0 1,000,000

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