Chief Compliance Officer

0000890163-16-000136.txt : 20160808 0000890163-16-000136.hdr.sgml : 20160808 20160808105821 ACCESSION NUMBER: 0000890163-16-000136 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160808 DATE AS OF CHANGE: 20160808 EFFECTIVENESS DATE: 20160808 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Cowen Prime Services LLC CENTRAL INDEX KEY: 0001543830 IRS NUMBER: 270423711 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-14944 FILM NUMBER: 161813145 BUSINESS ADDRESS: STREET 1: 1010 FRANKLIN AVENUE STREET 2: SUITE 303 CITY: GARDEN CITY STATE: NY ZIP: 11530 BUSINESS PHONE: 800-281-5984 MAIL ADDRESS: STREET 1: 1010 FRANKLIN AVENUE STREET 2: SUITE 303 CITY: GARDEN CITY STATE: NY ZIP: 11530 FORMER COMPANY: FORMER CONFORMED NAME: Concept Capital Markets, LLC DATE OF NAME CHANGE: 20120305 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001543830 XXXXXXXX 06-30-2016 06-30-2016 true 1 RESTATEMENT false Cowen Prime Services LLC

1010 Franklin Avenue Suite 303 Garden City NY 11530

13F HOLDINGS REPORT 028-14944 N Rep Poppell Chief Compliance Officer 212-702-7157 /s/ Rep Poppell New York NY 08-08-2016 0 246 205860 INFORMATION TABLE 2 infotable.xml ARI NETWORK SVCS INCCOM NEW Stock 001930205 6322 1505250 SH SOLE 0 0 6322 AT&T INC COM Stock 00206R102 962 22269 SH SOLE 0 0 962 ABBOTT LABS COM Stock 002824100 52 1316 SH SOLE 0 0 52 ABBVIE INC COM Stock 00287Y109 3504 56600 SH SOLE 0 0 3504 ACCURAY INC DEL COM Stock 004397105 659 127000 SH SOLE 0 0 659 ADAMISPHARMACEUTICALS CORPCOM NEWISIN#US00547W2089 Stock 00547W208 0 6 SH SOLE 0 0 0 ADVANTAGE OIL & GASLTDCOMISIN#CA00765F1018 Stock 00765F101 6 1000 SH SOLE 0 0 6 AEGON N VORD AMER REG Stock 007924103 6 1465 SH SOLE 0 0 6 AGNICO EAGLE MINESLTD COM Stock 008474108 27 500 SH SOLE 0 0 27 AIXTRON SESPONSORED ADR REPSTGORD SHSISIN#US0096061041 Stock 009606104 236 38763 SH SOLE 0 0 236 ALCOA INC COM Stock 013817101 9 1000 SH SOLE 0 0 9 ALIBABA GROUP HLDGLTD SPONSORED ADSISIN#US01609W1027 Stock 01609W102 16 200 SH SOLE 0 0 16 ALLETE INC COM NEW Stock 018522300 11 166 SH SOLE 0 0 11 ALPHABET INC CAP STKCL C Stock 02079K107 97 140 SH SOLE 0 0 97 ALPHABET INC CAP STKCL A Stock 02079K305 28 40 SH SOLE 0 0 28 ALTRIA GROUP INC COM Stock 02209S103 117 1700 SH SOLE 0 0 117 AMERICAN ELECTRICPOWER CO Stock 025537101 1454 20750 SH SOLE 0 0 1454 AMERICAN EAGLEOUTFITTERS INC NEWCOM Stock 02553E106 1 50 SH SOLE 0 0 1 AMERICAN EXPRESSCOMPANY Stock 025816109 12 200 SH SOLE 0 0 12 ANALOG DEVICES INCCOM Stock 032654105 993 17524 SH SOLE 0 0 993 APACHE CORP COM Stock 037411105 25 450 SH SOLE 0 0 25 APOLLO GLOBAL MGMTLLC CL A SHS Stock 037612306 23 1500 SH SOLE 0 0 23 APOLLO RESIDENTIALMTG INC COM Stock 03763V102 402 30005 SH SOLE 0 0 402 APIGEE CORPCOM STK Stock 03765N108 208 17000 SH SOLE 0 0 208 APPLE INC COM Stock 037833100 221 2310 SH SOLE 0 0 221 APPLIED MATERIALSINC Stock 038222105 0 12 SH SOLE 0 0 0 AVENUE FINL HLDGSCASH/STK MGR EFF7/1/16 1 OLD/.36 CU72346Q104 PINNACLEFINCL PARTNERS PLUS2 USD Stock 05358K102 218 11112 SH SOLE 0 0 218 AXIALL CORP COM Stock 05463D100 783 24000 SH SOLE 0 0 783 BRT REALTY TRUSTSHARES OF BENEFICIALINTEREST Stock 055645303 115 16025 SH SOLE 0 0 115 BANK AMER CORP COM Stock 060505104 10 761 SH SOLE 0 0 10 BANK OF MONTREAL Stock 063671101 48 753 SH SOLE 0 0 48 BANKRATE INC DEL COM Stock 06647F102 482 64500 SH SOLE 0 0 482 BERKSHIRE HATHAWAYINC DEL CL B NEW Stock 084670702 2426 16754 SH SOLE 0 0 2426 BJS RESTAURANTS INCCOM Stock 09180C106 68 1560 SH SOLE 0 0 68 BLACKSTONE GROUP L PCOM UNIT REPSTG LTD Stock 09253U108 147 6000 SH SOLE 0 0 147 BLUCORA INC COM Stock 095229100 2141 206700 SH SOLE 0 0 2141 BOINGO WIRELESS INCCOM Stock 09739C102 9224 1034100 SH SOLE 0 0 9224 BONANZA CREEK ENERGYINC COM Stock 097793103 5 2600 SH SOLE 0 0 5 BOVIE MED CORP COM Stock 10211F100 15 9100 SH SOLE 0 0 15 BRISTOL MYERS SQUIBBCO COM Stock 110122108 728 9900 SH SOLE 0 0 728 BROADVISION INC COMPAR Stock 111412706 0 4 SH SOLE 0 0 0 BROCADECOMMUNICATIONS SYSINC COM NEW Stock 111621306 474 51650 SH SOLE 0 0 474 CBIZ INC COM Stock 124805102 10 1000 SH SOLE 0 0 10 CVS HEALTH CORPCOM Stock 126650100 2226 23250 SH SOLE 0 0 2226 CALIFORNIA RES CORPCOM NEW Stock 13057Q206 0 26 SH SOLE 0 0 0 CATERPILLAR INC COM Stock 149123101 45 600 SH SOLE 0 0 45 CEDAR FAIR, L.P.DEPUNIT Stock 150185106 627 10850 SH SOLE 0 0 627 CELGENE CORP Stock 151020104 197 2000 SH SOLE 0 0 197 CENOVUS ENERGY INCCOMISIN#CA15135U1093 Stock 15135U109 0 4 SH SOLE 0 0 0 CEVA INC COM Stock 157210105 1656 60953 SH SOLE 0 0 1656 CHATHAM LODGING TRCOM Stock 16208T102 2967 135000 SH SOLE 0 0 2967 CHEMOURS COCOM Stock 163851108 2 200 SH SOLE 0 0 2 CISCO SYSTEMS INC Stock 17275R102 1 38 SH SOLE 0 0 1 COBALT INTL ENERGYINC COM Stock 19075F106 10 7200 SH SOLE 0 0 10 COCA COLA COMPANY Stock 191216100 341 7522 SH SOLE 0 0 341 COLGATE PALMOLIVE COCOM Stock 194162103 294 4011 SH SOLE 0 0 294 CORNING INC COM Stock 219350105 24 1150 SH SOLE 0 0 24 CROWN CASTLE INTLCORP NEW COM Stock 22822V101 3139 30950 SH SOLE 0 0 3139 DCP MIDSTREAMPARTNERS LP COMUNITS LTD PARTNERINT Stock 23311P100 55 1600 SH SOLE 0 0 55 DTS INC COM Stock 23335C101 822 31091 SH SOLE 0 0 822 DARDEN RESTAURANTSINC COM Stock 237194105 16 250 SH SOLE 0 0 16 DEERE & CO Stock 244199105 163 2011 SH SOLE 0 0 163 DETERMINE INC COM Stock 250660107 1 700 SH SOLE 0 0 1 DEVON ENERGY CORPNEW COM Stock 25179M103 16 450 SH SOLE 0 0 16 DIAMOND RESORTS INTLINC COM Stock 25272T104 899 30000 SH SOLE 0 0 899 DIGIMARC CORP NEWCOM Stock 25381B101 15950 499072 SH SOLE 0 0 15950 DISNEY WALT CODISNEY COM Stock 254687106 3 34 SH SOLE 0 0 3 DOMINION RES INC VACOM Stock 25746U109 156 2000 SH SOLE 0 0 156 DOMINOS PIZZA INCCOM Stock 25754A201 13 100 SH SOLE 0 0 13 R R DONNELLEY & SONSCO COM Stock 257867101 0 3 SH SOLE 0 0 0 DOW CHEM CO COM Stock 260543103 4225 85000 SH SOLE 0 0 4225 DREAMWORKS ANIMATIONSKG INC CL A Stock 26153C103 572 14000 SH SOLE 0 0 572 DU PONT E I DENEMOURS & CO COM Stock 263534109 65 1000 SH SOLE 0 0 65 DUKE ENERGY CORP NEWCOM NEW Stock 26441C204 1681 19600 SH SOLE 0 0 1681 DURECT CORP COM Stock 266605104 104 85328 SH SOLE 0 0 104 EMC CORP COM Stock 268648102 965 35500 SH SOLE 0 0 965 EOG RES INCCOM Stock 26875P101 25 300 SH SOLE 0 0 25 EASTERLY GOVT PPTYSINC COM Stock 27616P103 2792 141500 SH SOLE 0 0 2792 EATON VANCE LTDDURATION INCOME FDCOM Stock 27828H105 0 2 SH SOLE 0 0 0 EBAY INC COM Stock 278642103 24 1019 SH SOLE 0 0 24 EHEALTH INC COM Stock 28238P109 3607 257300 SH SOLE 0 0 3607 EMERSON ELEC CO COM Stock 291011104 68 1300 SH SOLE 0 0 68 EMPIRE ST RLTY OP LPUNIT LTD PARTNERSHIPINT SER ES Stock 292102100 245 12904 SH SOLE 0 0 245 ENCANA CORP COMSHSISIN#CA2925051047 Stock 292505104 0 4 SH SOLE 0 0 0 ENTERPRISE PRODSPARTNERS L P COMUNIT Stock 293792107 252 8600 SH SOLE 0 0 252 ENZO BIOCHEM INC Stock 294100102 1 242 SH SOLE 0 0 1 EXAR CORP COM Stock 300645108 994 123530 SH SOLE 0 0 994 EXELON CORP COM Stock 30161N101 2945 81000 SH SOLE 0 0 2945 EXXON MOBIL CORP COM Stock 30231G102 526 5610 SH SOLE 0 0 526 FACEBOOK INC CL A Stock 30303M102 57 500 SH SOLE 0 0 57 FAIR ISAACCORPORATION COM Stock 303250104 0 3 SH SOLE 0 0 0 FALCONSTOR SOFTWAREINC COM Stock 306137100 179 170163 SH SOLE 0 0 179 FASTENAL CO Stock 311900104 0 6 SH SOLE 0 0 0 FIRST NIAGARA FINLGROUP INC NEW COM Stock 33582V108 186 19123 SH SOLE 0 0 186 FORD MOTOR CO DELCOM PAR Stock 345370860 1 51 SH SOLE 0 0 1 FORMFACTOR INC COM Stock 346375108 103 11457 SH SOLE 0 0 103 FOUR CORNERS PPTY TRINC COM Stock 35086T109 1 30 SH SOLE 0 0 1 FRONTIERCOMMUNICATIONS CORPCOM Stock 35906A108 2 439 SH SOLE 0 0 2 GAP INC COM Stock 364760108 22 1022 SH SOLE 0 0 22 GENERAL ELECTRIC COCOM Stock 369604103 3877 123170 SH SOLE 0 0 3877 GENERAL MILLS INCCOM Stock 370334104 200 2800 SH SOLE 0 0 200 GIGPEAK INCCOM Stock 37518Q109 63 32000 SH SOLE 0 0 63 GLAXOSMITHKLINE PLCSPONS ADR Stock 37733W105 87 2000 SH SOLE 0 0 87 HCP INC COM Stock 40414L109 283 8000 SH SOLE 0 0 283 HSBC HLDGS PLC ADRSER A REP 1/40 SER ADIV-6.2% FREQ-QRTLYPERP MATY CALL Stock 404280604 20 775 SH SOLE 0 0 20 HP INC COM Stock 40434L105 3 200 SH SOLE 0 0 3 HANESBRANDS INC COM Stock 410345102 50 2000 SH SOLE 0 0 50 HARMONIC INC COM Stock 413160102 375 131494 SH SOLE 0 0 375 HEARTWARE INTL INCCOM Stock 422368100 520 9000 SH SOLE 0 0 520 HELMERICH & PAYNEINC COM Stock 423452101 54 800 SH SOLE 0 0 54 HEWLETT PACKARDENTERPRISE CO COM Stock 42824C109 4 200 SH SOLE 0 0 4 IMMERSION CORP COM Stock 452521107 557 75900 SH SOLE 0 0 557 INFOBLOX INC COM Stock 45672H104 403 21500 SH SOLE 0 0 403 INTEL CORP COM Stock 458140100 53 1628 SH SOLE 0 0 53 INTERMOLECULAR INCCOM Stock 45882D109 4269 2884209 SH SOLE 0 0 4269 INTERNATIONALBUSINESS MACHS CORPCOM Stock 459200101 480 3162 SH SOLE 0 0 480 INTERSIL CORP CL A Stock 46069S109 0 1 SH SOLE 0 0 0 INVENSENSE INC COM Stock 46123D205 201 32800 SH SOLE 0 0 201 INVUITY INCCOM NEW Stock 46187J205 581 61000 SH SOLE 0 0 581 JP MORGAN CHASE &CO COMISIN#US46625H1005 Stock 46625H100 502 8074 SH SOLE 0 0 502 JOHNSON & JOHNSONCOM Stock 478160104 1637 13498 SH SOLE 0 0 1637 JUNIPER NETWORKS INCCOM Stock 48203R104 0 4 SH SOLE 0 0 0 KKR & CO L P DELCOM UNITS Stock 48248M102 0 1 SH SOLE 0 0 0 KIMBERLY CLARK CORPCOM Stock 494368103 124 900 SH SOLE 0 0 124 KINDER MORGAN INCDEL COM Stock 49456B101 19 1000 SH SOLE 0 0 19 KINDRED HEALTHCAREINC COM Stock 494580103 0 7 SH SOLE 0 0 0 KOPIN CORP COM Stock 500600101 263 118451 SH SOLE 0 0 263 KRAFT HEINZ COCOM STK Stock 500754106 3291 37200 SH SOLE 0 0 3291 LABORATORY CORP AMERHLDGS COM NEW Stock 50540R409 0 2 SH SOLE 0 0 0 LEE ENTERPRISES INC Stock 523768109 10 5000 SH SOLE 0 0 10 LENNAR CORP CL A Stock 526057104 69 1500 SH SOLE 0 0 69 LILLY ELI & CO COM Stock 532457108 0 5 SH SOLE 0 0 0 LINKEDIN CORP CL A Stock 53578A108 927 4900 SH SOLE 0 0 927 LIONBRIDGETECHNOLOGIES INCCOM Stock 536252109 5992 1517035 SH SOLE 0 0 5992 LOCKHEED MARTIN CORPCOM Stock 539830109 99 400 SH SOLE 0 0 99 LOWES COS INC COM Stock 548661107 1 16 SH SOLE 0 0 1 LUMINEX CORP DEL COM Stock 55027E102 5145 254345 SH SOLE 0 0 5145 MACOM TECHNOLOGYSOLUTIONS HLDGS INCCOM Stock 55405Y100 195 5918 SH SOLE 0 0 195 MCDONALDS CORP Stock 580135101 77 640 SH SOLE 0 0 77 MEDIA GEN INC NEWCOM Stock 58441K100 602 35039 SH SOLE 0 0 602 MEDIVATION INC COM Stock 58501N101 874 14500 SH SOLE 0 0 874 MERCK & CO INC NEWCOM Stock 58933Y105 23 400 SH SOLE 0 0 23 METLIFE INC COM Stock 59156R108 289 7250 SH SOLE 0 0 289 MICROSOFT CORPCOM Stock 594918104 473 9241 SH SOLE 0 0 473 MONDELEZ INTL INC CLA Stock 609207105 159 3500 SH SOLE 0 0 159 NIC INC COM Stock 62914B100 1505 68600 SH SOLE 0 0 1505 NVE CORP COMNEWISIN#US6294452064 Stock 629445206 481 8207 SH SOLE 0 0 481 NATIONAL INTERSTATECORP COM Stock 63654U100 0 0 SH SOLE 0 0 0 NATIONAL RESH CORPCL A Stock 637372202 222 16200 SH SOLE 0 0 222 NATIONAL RETAILPPTYS INC COMISIN#US6374171063 Stock 637417106 78 1500 SH SOLE 0 0 78 NAUTILUS INC COM Stock 63910B102 9 500 SH SOLE 0 0 9 NEOGEN CORP COM Stock 640491106 489 8700 SH SOLE 0 0 489 NEOGENOMICS INCCOM NEW Stock 64049M209 8186 1018126 SH SOLE 0 0 8186 NETFLIX INC COM Stock 64110L106 18 200 SH SOLE 0 0 18 NEW MEDIA INVT GROUPINC COM Stock 64704V106 96 5300 SH SOLE 0 0 96 NEWFIELD EXPL COCOMMON Stock 651290108 88 2000 SH SOLE 0 0 88 NOKIA CORPSPONSORED ADR Stock 654902204 1 166 SH SOLE 0 0 1 NORTHROP GRUMMANCORP COM Stock 666807102 100 450 SH SOLE 0 0 100 NORTHSTAR RLTY FINCORP COM PAR$ Stock 66704R803 37 3250 SH SOLE 0 0 37 NORTHSTAR ASSET MGMTGROUP INC COM Stock 66705Y104 66 6500 SH SOLE 0 0 66 NORTHSTAR RLTYEUROPE CORP COM Stock 66706L101 10 1083 SH SOLE 0 0 10 NOVO NORDISK A.S.ADR FORMERLY NOVOINDUSTRIE A.S. ADRSAME CUSIP Stock 670100205 186 3450 SH SOLE 0 0 186 OASIS PETE INC NEWCOM Stock 674215108 46 4900 SH SOLE 0 0 46 OCCIDENTAL PETE CORPCOM Stock 674599105 42 550 SH SOLE 0 0 42 ONVIA INC COM Stock 68338T403 86 22192 SH SOLE 0 0 86 ORACLE CORP COM Stock 68389X105 16 394 SH SOLE 0 0 16 PDF SOLUTIONS INCCOM Stock 693282105 18798 1343640 SH SOLE 0 0 18798 PPG INDUSTRIES INC Stock 693506107 30 292 SH SOLE 0 0 30 PRGX GLOBAL INTLCOM NEW Stock 69357C503 289 55395 SH SOLE 0 0 289 PTC INC COM Stock 69370C100 2407 64050 SH SOLE 0 0 2407 PARKERVISION INC COMNEW Stock 701354300 2 600 SH SOLE 0 0 2 PAYCHEX INC COM Stock 704326107 143 2400 SH SOLE 0 0 143 PAYPAL HLDGS INC COM Stock 70450Y103 37 1015 SH SOLE 0 0 37 PEPSICO INC COM Stock 713448108 107 1011 SH SOLE 0 0 107 PERFORMANCE SPORTSGROUP LTDCOMISIN#CA71377G1000 Stock 71377G100 25 8400 SH SOLE 0 0 25 PFIZER INC COM Stock 717081103 6045 171679 SH SOLE 0 0 6045 PHILIP MORRIS INTLINC COM Stock 718172109 142 1400 SH SOLE 0 0 142 POLYCOM INC COM Stock 73172K104 120 10689 SH SOLE 0 0 120 PROCTER & GAMBLE COCOM Stock 742718109 247 2913 SH SOLE 0 0 247 QLIK TECHNOLOGIESINC COM Stock 74733T105 734 24800 SH SOLE 0 0 734 QUESTAR CORP COM Stock 748356102 254 10000 SH SOLE 0 0 254 REIS INCCOM Stock 75936P105 10951 439800 SH SOLE 0 0 10951 REX ENERGY CORP COM Stock 761565100 5 7200 SH SOLE 0 0 5 ROYAL BK SCOTLANDGROUP PLC ADR REGSTGUSD PFD SER R CPN6.125% FREQ QRTLYPERP MTY CALL@20 Stock 780097747 25 1000 SH SOLE 0 0 25 SPDR GOLD TR GOLDSHS Stock 78463V107 20 160 SH SOLE 0 0 20 SANCHEZ ENERGY CORPCOM Stock 79970Y105 25 3600 SH SOLE 0 0 25 SANOFISPONS ADRISIN#US80105N1054 Stock 80105N105 42 1000 SH SOLE 0 0 42 SCHLUMBERGER LTD COMISIN#AN8068571086 Stock 806857108 66 836 SH SOLE 0 0 66 SCIQUEST INC NEW COM Stock 80908T101 3318 187900 SH SOLE 0 0 3318 SELECT SECTOR SPDRTR UTILS Stock 81369Y886 1 22 SH SOLE 0 0 1 SEMPRA ENERGY COM Stock 816851109 91 800 SH SOLE 0 0 91 SENOMYX INC COM Stock 81724Q107 1490 541786 SH SOLE 0 0 1490 SHIRE PLCSPONS ADRISIN#US82481R1068 Stock 82481R106 13 73 SH SOLE 0 0 13 SHORETEL INC COM Stock 825211105 5377 803800 SH SOLE 0 0 5377 SIRIUS XM HLDGS INCCOM Stock 82968B103 0 9 SH SOLE 0 0 0 SMITH MICRO SOFTWAREINC COM Stock 832154108 108 182331 SH SOLE 0 0 108 SONUS NETWORKS INCCOM NEW Stock 835916503 1279 147231 SH SOLE 0 0 1279 SYNGENTA AGSPON ADRISIN#US87160A1007 Stock 87160A100 38 500 SH SOLE 0 0 38 SYSCO CORP COM Stock 871829107 71 1400 SH SOLE 0 0 71 TICC CAP CORP COM Stock 87244T109 38 7200 SH SOLE 0 0 38 TARGET CORP COM Stock 87612E106 1 11 SH SOLE 0 0 1 TARGA RES CORP COM Stock 87612G101 18 434 SH SOLE 0 0 18 TESLA MTRS INCCOM Stock 88160R101 11 50 SH SOLE 0 0 11 TEVA PHARMACEUTICALINDUSTRIES LTD ADRISIN#US8816242098 Stock 881624209 6899 137339 SH SOLE 0 0 6899 TEXAS INSTRUMENTSINC Stock 882508104 189 3012 SH SOLE 0 0 189 3D SYS CORP DEL COMNEW Stock 88554D205 1126 82216 SH SOLE 0 0 1126 3M CO COM Stock 88579Y101 1182 6750 SH SOLE 0 0 1182 TRANSACTTECHNOLOGIES INC COM Stock 892918103 1804 224903 SH SOLE 0 0 1804 UNILEVER PLCSPON ADR NEWISIN#US9047677045 Stock 904767704 79 1645 SH SOLE 0 0 79 UNION PAC CORP COM Stock 907818108 0 4 SH SOLE 0 0 0 UNITED BANKSHARESINC W VA COM Stock 909907107 0 1 SH SOLE 0 0 0 UNITED PARCEL SVCINC CL B Stock 911312106 1156 10730 SH SOLE 0 0 1156 UNITED TECHNOLOGIESCORP COM Stock 913017109 1 11 SH SOLE 0 0 1 UNITEDHEALTH GROUPINC COM Stock 91324P102 71 502 SH SOLE 0 0 71 VALEANTPHARMACEUTICALS INTLINC CDA COMISIN#CA91911K1021 Stock 91911K102 1 26 SH SOLE 0 0 1 VANECK VECTORS ETFTR GOLD MINERSETF Stock 92189F106 2891 104315 SH SOLE 0 0 2891 VANECK VECTORS ETFTR JR GOLD MINERSETF Stock 92189F791 108 2535 SH SOLE 0 0 108 VENTAS INC COM Stock 92276F100 36 500 SH SOLE 0 0 36 VERIZONCOMMUNICATIONS INCCOM Stock 92343V104 440 7881 SH SOLE 0 0 440 VERTEXPHARMACEUTICALS INCCOM Stock 92532F100 86 1000 SH SOLE 0 0 86 VIRGIN AMER INCCOM VTG Stock 92765X208 1124 20000 SH SOLE 0 0 1124 VODAFONE GROUP PLCNEW SPONSORED ADRNO PAR Stock 92857W308 51 1636 SH SOLE 0 0 51 WAL MART STORES INCCOM Stock 931142103 87 1190 SH SOLE 0 0 87 WALGREENS BOOTSALLIANCE INC COM Stock 931427108 2 23 SH SOLE 0 0 2 WELLS FARGO & CONEW COM Stock 949746101 1 20 SH SOLE 0 0 1 WESTROCK COCOM SHS Stock 96145D105 0 1 SH SOLE 0 0 0 WEYERHAEUSER CO Stock 962166104 1067 35827 SH SOLE 0 0 1067 WILLIAMS COS INC COM Stock 969457100 22 1000 SH SOLE 0 0 22 YAHOO INC COM Stock 984332106 126 3356 SH SOLE 0 0 126 YUM BRANDS INCCOM Stock 988498101 2658 32050 SH SOLE 0 0 2658 ZIOPHARM ONCOLOGYINC COM Stock 98973P101 18 3200 SH SOLE 0 0 18 ZIX CORP COM Stock 98974P100 1808 482200 SH SOLE 0 0 1808 ZOETIS INC CL A Stock 98978V103 1856 39100 SH SOLE 0 0 1856 ALKERMES PLCSHS Stock G01767105 43 1000 SH SOLE 0 0 43 ALLEGION PUB LTD COORD SHSISIN#IE00BFRT3W74 Stock G0176J109 69 999 SH SOLE 0 0 69 ALLERGAN PLCCOM SHSISIN#IE00BY9D5467 Stock G0177J108 408 1764 SH SOLE 0 0 408 GENPACT LTDSHSISIN#BMG3922B1072 Stock G3922B107 13 500 SH SOLE 0 0 13 INGERSOLL RAND PLCSHSISIN#IE00B6330302 Stock G47791101 287 4500 SH SOLE 0 0 287 LIBERTY GLOBAL PLCSHS CL CISIN#GB00B8W67B19 Stock G5480U120 0 2 SH SOLE 0 0 0 MARVELL TECHNOLOGYGROUP LTD SHSISIN#BMG5876H1051 Stock G5876H105 1467 153900 SH SOLE 0 0 1467 MEDTRONIC PLCSHSISIN#IE00BTN1Y115 Stock G5960L103 0 1 SH SOLE 0 0 0 NOBLE CORP PLCSHS USDISIN#GB00BFG3KF26 Stock G65431101 7 800 SH SOLE 0 0 7 SEAGATE TECHNOLOGYPLC SHSISIN#IE00B58JVZ52 Stock G7945M107 105 4300 SH SOLE 0 0 105 CIMPRESS N VSHS EUROISIN#NL0009272269 Stock N20146101 9 100 SH SOLE 0 0 9 PUT 100 ISHARES TRRUSSELL 2000 ETFEXP 11-18-16@105.000OPTION ROOT= IWM PUT 464287955 32 110 SH SOLE 0 0 32 CALL 100 VALEANTPHARMACEUTICALS INTLINC CDA COMISIN#CA91911K1021EXP 01-20-17@60.000OPTION ROOT= VRX CALL 91911K902 0 5 SH SOLE 0 0 0