0000890163-16-000152.txt : 20161108
0000890163-16-000152.hdr.sgml : 20161108
20161108110734
ACCESSION NUMBER: 0000890163-16-000152
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160930
FILED AS OF DATE: 20161108
DATE AS OF CHANGE: 20161108
EFFECTIVENESS DATE: 20161108
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Cowen Prime Services LLC
CENTRAL INDEX KEY: 0001543830
IRS NUMBER: 270423711
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14944
FILM NUMBER: 161980356
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
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0001543830
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09-30-2016
09-30-2016
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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
11-08-2016
0
275
220242
INFORMATION TABLE
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30
PRGX GLOBAL INTLCOM NEW
Stock
69357C503
261
55395
SH
SOLE
0
0
261
PTC INC COM
Stock
69370C100
2838
64050
SH
SOLE
0
0
2838
PARKERVISION INC COMNEW
Stock
701354300
3
600
SH
SOLE
0
0
3
PAYCHEX INC COM
Stock
704326107
139
2400
SH
SOLE
0
0
139
PAYPAL HLDGS INC COM
Stock
70450Y103
42
1015
SH
SOLE
0
0
42
PEPSICO INC COM
Stock
713448108
110
1011
SH
SOLE
0
0
110
PERFORMANCE SPORTSGROUP LTDCOMISIN#CA71377G1000
Stock
71377G100
43
10600
SH
SOLE
0
0
43
PFIZER INC COM
Stock
717081103
5808
171479
SH
SOLE
0
0
5808
PHILIP MORRIS INTLINC COM
Stock
718172109
136
1400
SH
SOLE
0
0
136
PLAINS ALL AMERICANPIPELINE L P UNITLTD PARTNERSHIP INT
Stock
726503105
194
6185
SH
SOLE
0
0
194
PRESS GANEY HLDGSINC COMISIN#US74113L1026
Stock
74113L102
166
4100
SH
SOLE
0
0
166
PROCTER & GAMBLE COCOM
Stock
742718109
261
2913
SH
SOLE
0
0
261
RACKSPACE HOSTINGINC COM
Stock
750086100
982
31000
SH
SOLE
0
0
982
REGENERONPHARMACEUTICALS INC
Stock
75886F107
322
800
SH
SOLE
0
0
322
REIS INCCOM
Stock
75936P105
7621
372500
SH
SOLE
0
0
7621
REX ENERGY CORP COM
Stock
761565100
4
6700
SH
SOLE
0
0
4
SPDR GOLD TR GOLDSHS
Stock
78463V107
20
160
SH
SOLE
0
0
20
ST JUDE MED INC COM
Stock
790849103
642
8047
SH
SOLE
0
0
642
SANCHEZ ENERGY CORPCOM
Stock
79970Y105
26
2900
SH
SOLE
0
0
26
SANOFISPONS ADRISIN#US80105N1054
Stock
80105N105
38
1000
SH
SOLE
0
0
38
SAREPTA THERAPEUTICSINC COM
Stock
803607100
246
4000
SH
SOLE
0
0
246
SCHLUMBERGER LTD COMISIN#AN8068571086
Stock
806857108
66
836
SH
SOLE
0
0
66
SELECT SECTOR SPDRTR UTILS
Stock
81369Y886
1
23
SH
SOLE
0
0
1
SEMPRA ENERGY COM
Stock
816851109
86
800
SH
SOLE
0
0
86
SENOMYX INC COM
Stock
81724Q107
2743
643886
SH
SOLE
0
0
2743
SHIRE PLCSPONS ADRISIN#US82481R1068
Stock
82481R106
14
74
SH
SOLE
0
0
14
SHORETEL INC COM
Stock
825211105
5755
719400
SH
SOLE
0
0
5755
SIRIUS XM HLDGS INCCOM
Stock
82968B103
0
9
SH
SOLE
0
0
0
SMITH MICRO SOFTWAREINC COM NEW
Stock
832154207
98
48456
SH
SOLE
0
0
98
SOLARCITY CORP COM
Stock
83416T100
320
16373
SH
SOLE
0
0
320
SONUS NETWORKS INCCOM NEW
Stock
835916503
1142
146731
SH
SOLE
0
0
1142
SUBURBAN PROPANEPARTNERS L P UNITLTD PARTNERSHIP INT
Stock
864482104
457
13713
SH
SOLE
0
0
457
SYNACOR INC COM
Stock
871561106
46
15800
SH
SOLE
0
0
46
SYNGENTA AGSPON ADRISIN#US87160A1007
Stock
87160A100
44
500
SH
SOLE
0
0
44
SYSCO CORP COM
Stock
871829107
69
1400
SH
SOLE
0
0
69
TICC CAP CORP COM
Stock
87244T109
42
7200
SH
SOLE
0
0
42
TABLEAU SOFTWARE INCCL A
Stock
87336U105
111
2000
SH
SOLE
0
0
111
TARGET CORP COM
Stock
87612E106
1
11
SH
SOLE
0
0
1
TARGA RES CORP COM
Stock
87612G101
21
434
SH
SOLE
0
0
21
TESORO LOGISTICS LPCOM UNIT LTDPARTNERSHIP INT
Stock
88160T107
242
5000
SH
SOLE
0
0
242
TEVA PHARMACEUTICALINDUSTRIES LTD ADRISIN#US8816242098
Stock
881624209
6466
140539
SH
SOLE
0
0
6466
TEXAS INSTRUMENTSINC
Stock
882508104
211
3012
SH
SOLE
0
0
211
3D SYS CORP DEL COMNEW
Stock
88554D205
1492
83116
SH
SOLE
0
0
1492
3M CO COM
Stock
88579Y101
1190
6750
SH
SOLE
0
0
1190
TRANSACTTECHNOLOGIES INC COM
Stock
892918103
1713
228986
SH
SOLE
0
0
1713
UNILEVER PLCSPON ADR NEWISIN#US9047677045
Stock
904767704
78
1645
SH
SOLE
0
0
78
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
1288
11780
SH
SOLE
0
0
1288
UNITED TECHNOLOGIESCORP COM
Stock
913017109
1
11
SH
SOLE
0
0
1
UNITEDHEALTH GROUPINC COM
Stock
91324P102
70
502
SH
SOLE
0
0
70
VALEANTPHARMACEUTICALS INTLINC CDA COMISIN#CA91911K1021
Stock
91911K102
1
26
SH
SOLE
0
0
1
VANECK VECTORS ETFTR GOLD MINERSETF
Stock
92189F106
3720
140765
SH
SOLE
0
0
3720
VANECK VECTORS ETFTR JR GOLD MINERSETF
Stock
92189F791
923
20845
SH
SOLE
0
0
923
VENTAS INC COM
Stock
92276F100
35
500
SH
SOLE
0
0
35
VERIZONCOMMUNICATIONS INCCOM
Stock
92343V104
1379
26521
SH
SOLE
0
0
1379
VERTEXPHARMACEUTICALS INCCOM
Stock
92532F100
87
1000
SH
SOLE
0
0
87
VIRGIN AMER INCCOM VTG
Stock
92765X208
1070
20000
SH
SOLE
0
0
1070
VITAEPHARMACEUTICALS INCCOM
Stock
92847N103
88
4200
SH
SOLE
0
0
88
VODAFONE GROUP PLCNEW SPONSORED ADRNO PAR
Stock
92857W308
48
1636
SH
SOLE
0
0
48
VONAGE HLDGS CORPCOM
Stock
92886T201
2446
370100
SH
SOLE
0
0
2446
VORNADO RLTY TRCOM
Stock
929042109
1526
15080
SH
SOLE
0
0
1526
WAL MART STORES INCCOM
Stock
931142103
86
1190
SH
SOLE
0
0
86
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
WESTERN GAS PARTNERSLP COM UNIT REPSTGLTD PARTNER INT
Stock
958254104
193
3500
SH
SOLE
0
0
193
WESTROCK COCOM SHS
Stock
96145D105
0
1
SH
SOLE
0
0
0
WEYERHAEUSER CO
Stock
962166104
1144
35827
SH
SOLE
0
0
1144
WHITEWAVE FOODS COCOM
Stock
966244105
653
12000
SH
SOLE
0
0
653
WILLIAMS COS INC COM
Stock
969457100
31
1000
SH
SOLE
0
0
31
YAHOO INC COM
Stock
984332106
145
3356
SH
SOLE
0
0
145
YUM BRANDS INCCOM
Stock
988498101
2910
32050
SH
SOLE
0
0
2910
ZIOPHARM ONCOLOGYINC COM
Stock
98973P101
18
3200
SH
SOLE
0
0
18
ZOETIS INC CL A
Stock
98978V103
2127
40900
SH
SOLE
0
0
2127
PUT 100 ISHARES TRRUSSELL 2000 ETFEXP 01-20-17@109.000OPTION ROOT= IWM
PUT
464287955
4
25
SH
SOLE
0
0
4
PUT 100 DEUTSCHEBANK AG NAMEN AKTISIN#DE0005140008EXP 01-20-17@10.000OPTION ROOT= DB
PUT
D18190958
8
100
SH
SOLE
0
0
8
CALL 100 VALEANTPHARMACEUTICALS INTLINC CDA COMISIN#CA91911K1021EXP 01-20-17@60.000OPTION ROOT= VRX
CALL
91911K902
0
5
SH
SOLE
0
0
0
ALKERMES PLCSHS
Stock
G01767105
47
1000
SH
SOLE
0
0
47
ALLEGION PUB LTD COORD SHSISIN#IE00BFRT3W74
Stock
G0176J109
69
999
SH
SOLE
0
0
69
ALLERGAN PLCCOM SHSISIN#IE00BY9D5467
Stock
G0177J108
498
2164
SH
SOLE
0
0
498
INGERSOLL RAND PLCSHSISIN#IE00B6330302
Stock
G47791101
272
4000
SH
SOLE
0
0
272
LIBERTY GLOBAL PLCSHS CL CISIN#GB00B8W67B19
Stock
G5480U120
0
2
SH
SOLE
0
0
0
MARVELL TECHNOLOGYGROUP LTD SHSISIN#BMG5876H1051
Stock
G5876H105
2028
152800
SH
SOLE
0
0
2028
MEDTRONIC PLCSHSISIN#IE00BTN1Y115
Stock
G5960L103
0
1
SH
SOLE
0
0
0
NOBLE CORP PLCSHS USDISIN#GB00BFG3KF26
Stock
G65431101
5
800
SH
SOLE
0
0
5
SEAGATE TECHNOLOGYPLC SHSISIN#IE00B58JVZ52
Stock
G7945M107
166
4300
SH
SOLE
0
0
166
KORNIT-DIGITAL LTDSHSISIN#IL0011216723
Stock
M6372Q113
8
800
SH
SOLE
0
0
8
CIMPRESS N VSHS EUROISIN#NL0009272269
Stock
N20146101
10
100
SH
SOLE
0
0
10
VTTI ENERGY PARTNERSLP COM UNIT REPSTGLTD PARTNER INTISIN#MHY9384M1012
Stock
Y9384M101
95
5000
SH
SOLE
0
0
95