Chief Compliance Officer

0000890163-19-000016.txt : 20190429 0000890163-19-000016.hdr.sgml : 20190429 20190429143704 ACCESSION NUMBER: 0000890163-19-000016 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190429 DATE AS OF CHANGE: 20190429 EFFECTIVENESS DATE: 20190429 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Cowen Prime Services LLC CENTRAL INDEX KEY: 0001543830 IRS NUMBER: 270423711 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14944 FILM NUMBER: 19775304 BUSINESS ADDRESS: STREET 1: 599 LEXINGTON AVENUE STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 646-562-1010 MAIL ADDRESS: STREET 1: 599 LEXINGTON AVENUE STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: Concept Capital Markets, LLC DATE OF NAME CHANGE: 20120305 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001543830 XXXXXXXX 03-31-2019 03-31-2019 false Cowen Prime Services LLC

599 Lexington Avenue 21st Floor New York NY 10022

13F HOLDINGS REPORT 028-14944 N Rep Poppell Chief Compliance Officer 212-702-7157 /s/ Rep Poppell New York NY 04-29-2019 0 173 21284247 INFORMATION TABLE 2 infotable.xml AT&T INC COM Stock 00206R102 23 1 SH SOLE 0 0 23 ABBVIE INC COM Stock 00287Y109 300 24 SH SOLE 0 0 300 ADAMIS PHARMACEUTICALS CORP COM NEW Stock 00547W208 6 0 SH SOLE 0 0 6 ALIBABA GROUP HLDG LTD SPONSORED ADS Stock 01609W102 200 36 SH SOLE 0 0 200 ALPHABET INC CAP STK CL C Stock 02079K107 140 164 SH SOLE 0 0 140 ALPHABET INC CAP STK CL A Stock 02079K305 40 47 SH SOLE 0 0 40 ALTRIA GROUP INC COM Stock 02209S103 1500 86 SH SOLE 0 0 1500 ANDEAVOR LOGISTICS LP COM UNIT LP INT Stock 03350F106 5000 176 SH SOLE 0 0 5000 APYX MED CORP COM Stock 03837C106 291205 1838 SH SOLE 0 0 291205 ASPEN AEROGELS INC COM Stock 04523Y105 740900 1889 SH SOLE 0 0 740900 BIOLIFE SOLUTIONS INC COM NEW Stock 09062W204 3500 63 SH SOLE 0 0 3500 BLACKSTONE GROUP L P COM UNIT LTD Stock 09253U108 10400 364 SH SOLE 0 0 10400 BOINGO WIRELESS INC COM Stock 09739C102 11500 268 SH SOLE 0 0 11500 BOSTON OMAHA CORP COM Stock 101044105 101469 2531 SH SOLE 0 0 101469 BRISTOL MYERS SQUIBB CO COM Stock 110122108 2100 100 SH SOLE 0 0 2100 BROADVISION INC COM PAR Stock 111412706 4 0 SH SOLE 0 0 4 CUI GLOBAL INC COM NEW Stock 126576206 211013 249 SH SOLE 0 0 211013 CALIFORNIA RES CORP COM NEW Stock 13057Q206 26 1 SH SOLE 0 0 26 CASTLIGHT HEALTH INC CL B Stock 14862Q100 1743559 6538 SH SOLE 0 0 1743559 CEVA INC COM Stock 157210105 23521 634 SH SOLE 0 0 23521 CHEVRON CORP NEW COM Stock 166764100 11650 1435 SH SOLE 0 0 11650 CISCO SYS INC COM Stock 17275R102 100 5 SH SOLE 0 0 100 CITIGROUP INC COM NEW Stock 172967424 35 2 SH SOLE 0 0 35 COCA COLA CO COM Stock 191216100 1000 47 SH SOLE 0 0 1000 CONOCOPHILLIPS COM Stock 20825C104 3000 200 SH SOLE 0 0 3000 CORNING INC COM Stock 219350105 1150 38 SH SOLE 0 0 1150 CROWN CASTLE INTL CORP NEW COM Stock 22822V101 26425 3382 SH SOLE 0 0 26425 DCP MIDSTREAM LP COM UT LTD PTN Stock 23311P100 1600 53 SH SOLE 0 0 1600 DXC TECHNOLOGY CO COM Stock 23355L106 16 1 SH SOLE 0 0 16 DARDEN RESTAURANTS INC COM Stock 237194105 250 30 SH SOLE 0 0 250 DEERE & CO COM Stock 244199105 1500 240 SH SOLE 0 0 1500 DELTA AIR LINES INC DEL COM NEW Stock 247361702 29410 1519 SH SOLE 0 0 29410 DIGIMARC CORP NEW COM Stock 25381B101 154738 4856 SH SOLE 0 0 154738 DOMINION ENERGY INC COM Stock 25746U109 800 61 SH SOLE 0 0 800 DOWDUPONT INC COM Stock 26078J100 82136 4379 SH SOLE 0 0 82136 DURECT CORP COM Stock 266605104 87128 55 SH SOLE 0 0 87128 EOG RES INC COM Stock 26875P101 300 29 SH SOLE 0 0 300 EATON VANCE TAX MNGD GBL DV COM Stock 27829F108 2700 22 SH SOLE 0 0 2700 EBAY INC COM Stock 278642103 1000 37 SH SOLE 0 0 1000 EHEALTH INC COM Stock 28238P109 247768 15446 SH SOLE 0 0 247768 ELECTRONICS FOR IMAGING INC COM Stock 286082102 5100 137 SH SOLE 0 0 5100 EMERSON ELEC CO COM Stock 291011104 1000 68 SH SOLE 0 0 1000 EMPIRE ST RLTY OP L P UNIT LTD PRTNSP Stock 292102100 12904 206 SH SOLE 0 0 12904 ENTERPRISE PRODS PARTNERS L COM Stock 293792107 66080 1923 SH SOLE 0 0 66080 EVERSPIN TECHNOLOGIES INC COM Stock 30041T104 4500 34 SH SOLE 0 0 4500 EXELON CORP COM Stock 30161N101 20050 1005 SH SOLE 0 0 20050 EXXON MOBIL CORP COM Stock 30231G102 5670 458 SH SOLE 0 0 5670 FORMFACTOR INC COM Stock 346375108 4795 77 SH SOLE 0 0 4795 FUSION CONNECT INC COM Stock 36116X102 911200 1194 SH SOLE 0 0 911200 GDS HLDGS LTD SPONSORED ADS Stock 36165L108 4000 143 SH SOLE 0 0 4000 GW PHARMACEUTICALS PLC ADS Stock 36197T103 25 4 SH SOLE 0 0 25 GSI TECHNOLOGY COM Stock 36241U106 72322 562 SH SOLE 0 0 72322 GENERAL ELECTRIC CO COM Stock 369604103 13470 135 SH SOLE 0 0 13470 GENOMIC HEALTH INC COM Stock 37244C101 2000 140 SH SOLE 0 0 2000 GLOBAL PARTNERS LP COM UNITS Stock 37946R109 4150 82 SH SOLE 0 0 4150 GREENSKY INC CL A Stock 39572G100 4000 52 SH SOLE 0 0 4000 HCP INC COM Stock 40414L109 8000 250 SH SOLE 0 0 8000 HTG MOLECULAR DIAGNOSTICS IN COM Stock 40434H104 20000 50 SH SOLE 0 0 20000 HP INC COM Stock 40434L105 200 4 SH SOLE 0 0 200 HALLIBURTON CO COM Stock 406216101 100 3 SH SOLE 0 0 100 HARMONIC INC COM Stock 413160102 344035 1865 SH SOLE 0 0 344035 HARMONIC INC NOTE 4.000 12/0 Stock 413160AB8 2175000 2473 SH SOLE 0 0 2175000 HELMERICH & PAYNE INC COM Stock 423452101 800 44 SH SOLE 0 0 800 HEWLETT PACKARD ENTERPRISE C COM Stock 42824C109 200 3 SH SOLE 0 0 200 HIMAX TECHNOLOGIES INC SPONSORED ADR Stock 43289P106 5000 16 SH SOLE 0 0 5000 INFINERA CORPORATION NOTE 2.125 9/0 Stock 45667GAC7 2000000 1579 SH SOLE 0 0 2000000 INOVALON HLDGS INC COM CL A Stock 45781D101 611750 7604 SH SOLE 0 0 611750 INTEL CORP COM Stock 458140100 1600 86 SH SOLE 0 0 1600 INTERMOLECULAR INC COM Stock 45882D109 3000 3 SH SOLE 0 0 3000 INTERNATIONAL BUSINESS MACHS COM Stock 459200101 4712 665 SH SOLE 0 0 4712 ITERIS INC COM Stock 46564T107 1396242 5822 SH SOLE 0 0 1396242 JPMORGAN CHASE & CO COM Stock 46625H100 14179 1435 SH SOLE 0 0 14179 JOHNSON & JOHNSON COM Stock 478160104 21292 2976 SH SOLE 0 0 21292 KKR & CO INC CL A Stock 48251W104 84970 1996 SH SOLE 0 0 84970 KIMBERLY CLARK CORP COM Stock 494368103 900 112 SH SOLE 0 0 900 KINDER MORGAN INC DEL COM Stock 49456B101 15380 308 SH SOLE 0 0 15380 KOPIN CORP COM Stock 500600101 307250 412 SH SOLE 0 0 307250 LEIDOS HLDGS INC COM Stock 525327102 58050 3720 SH SOLE 0 0 58050 LENNAR CORP CL A Stock 526057104 1500 74 SH SOLE 0 0 1500 LENNAR CORP CL B Stock 526057302 30 1 SH SOLE 0 0 30 LOCKHEED MARTIN CORP COM Stock 539830109 400 120 SH SOLE 0 0 400 LOWES COS INC COM Stock 548661107 340 37 SH SOLE 0 0 340 LUMINEX CORP DEL COM Stock 55027E102 227555 5236 SH SOLE 0 0 227555 MACOM TECH SOLUTIONS HLDGS I COM Stock 55405Y100 51658 863 SH SOLE 0 0 51658 MACERICH CO COM Stock 554382101 260 11 SH SOLE 0 0 260 MACQUARIE INFRASTRUCTURE COR COM Stock 55608B105 5000 206 SH SOLE 0 0 5000 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP Stock 559080106 34800 2110 SH SOLE 0 0 34800 MAGNOLIA OIL & GAS CORP CL A Stock 559663109 50 1 SH SOLE 0 0 50 MCDONALDS CORP COM Stock 580135101 661 126 SH SOLE 0 0 661 MERCK & CO INC COM Stock 58933Y105 400 33 SH SOLE 0 0 400 METLIFE INC COM Stock 59156R108 5150 219 SH SOLE 0 0 5150 MICRO FOCUS INTERNATIONAL PL SPON ADR NEW Stock 594837304 26 1 SH SOLE 0 0 26 MICROSOFT CORP COM Stock 594918104 13225 1560 SH SOLE 0 0 13225 MICROVISION INC DEL COM NEW Stock 594960304 12800 12 SH SOLE 0 0 12800 MOBILEIRON INC COM NEW Stock 60739U204 1759400 9624 SH SOLE 0 0 1759400 MONDELEZ INTL INC CL A Stock 609207105 1800 90 SH SOLE 0 0 1800 MORGAN STANLEY COM NEW Stock 617446448 18 1 SH SOLE 0 0 18 NIC INC COM Stock 62914B100 33700 576 SH SOLE 0 0 33700 NVE CORP COM NEW Stock 629445206 8831 864 SH SOLE 0 0 8831 NATIONAL RESH CORP COM NEW Stock 637372202 16200 625 SH SOLE 0 0 16200 NATIONAL RETAIL PPTYS INC COM Stock 637417106 1000 55 SH SOLE 0 0 1000 NEOGEN CORP COM Stock 640491106 11000 631 SH SOLE 0 0 11000 NEOGENOMICS INC COM NEW Stock 64049M209 584766 11964 SH SOLE 0 0 584766 NEW AGE BEVERAGES CORP COM Stock 64157V108 1000 5 SH SOLE 0 0 1000 NEW MEDIA INVT GROUP INC COM Stock 64704V106 144200 1514 SH SOLE 0 0 144200 NEW RESIDENTIAL INVT CORP COM NEW Stock 64828T201 3500 59 SH SOLE 0 0 3500 NOKIA CORP SPONSORED ADR Stock 654902204 3166 18 SH SOLE 0 0 3166 NORTHROP GRUMMAN CORP COM Stock 666807102 450 121 SH SOLE 0 0 450 NORTHSTAR REALTY EUROPE CORP COM Stock 66706L101 1083 19 SH SOLE 0 0 1083 NOVARTIS A G SPONSORED ADR Stock 66987V109 100 10 SH SOLE 0 0 100 NOVO-NORDISK A S ADR Stock 670100205 3250 170 SH SOLE 0 0 3250 NUSTAR ENERGY LP UNIT COM Stock 67058H102 4630 125 SH SOLE 0 0 4630 NUTANIX INC CL A Stock 67059N108 15430 582 SH SOLE 0 0 15430 OCCIDENTAL PETE CORP COM Stock 674599105 550 36 SH SOLE 0 0 550 ORACLE CORP COM Stock 68389X105 394 21 SH SOLE 0 0 394 OXFORD SQUARE CAP CORP COM Stock 69181V107 2400 16 SH SOLE 0 0 2400 PDF SOLUTIONS INC COM Stock 693282105 788371 9736 SH SOLE 0 0 788371 PRGX GLOBAL INC COM NEW Stock 69357C503 5166 41 SH SOLE 0 0 5166 PTC INC COM Stock 69370C100 20200 1862 SH SOLE 0 0 20200 PARETEUM CORP COM NEW Stock 69946T207 58 0 SH SOLE 0 0 58 PAYCHEX INC COM Stock 704326107 2400 192 SH SOLE 0 0 2400 PAYPAL HLDGS INC COM Stock 70450Y103 1034 107 SH SOLE 0 0 1034 PEAPACK-GLADSTONE FINL CORP COM Stock 704699107 1500 39 SH SOLE 0 0 1500 PEPSICO INC COM Stock 713448108 900 110 SH SOLE 0 0 900 PERSPECTA INC COM Stock 715347100 8 0 SH SOLE 0 0 8 PFIZER INC COM Stock 717081103 93320 3963 SH SOLE 0 0 93320 PHILIP MORRIS INTL INC COM Stock 718172109 1000 88 SH SOLE 0 0 1000 PIONEER ENERGY SVCS CORP COM Stock 723664108 175 0 SH SOLE 0 0 175 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN Stock 726503105 3400 83 SH SOLE 0 0 3400 PROCTER AND GAMBLE CO COM Stock 742718109 1000 104 SH SOLE 0 0 1000 QUOTIENT TECHNOLOGY INC COM Stock 749119103 1562496 15422 SH SOLE 0 0 1562496 REDFIN CORP COM Stock 75737F108 47800 969 SH SOLE 0 0 47800 RIBBON COMMUNICATIONS INC COM Stock 762544104 300083 1545 SH SOLE 0 0 300083 RUBICON PROJ INC COM Stock 78112V102 5000 30 SH SOLE 0 0 5000 SPDR GOLD TRUST GOLD SHS Stock 78463V107 160 20 SH SOLE 0 0 160 SCHLUMBERGER LTD COM Stock 806857108 835 36 SH SOLE 0 0 835 SEMPRA ENERGY COM Stock 816851109 800 101 SH SOLE 0 0 800 SERVICESOURCE INTL INC COM Stock 81763U100 110000 101 SH SOLE 0 0 110000 SIRIUS XM HLDGS INC COM Stock 82968B103 9 0 SH SOLE 0 0 9 SMITH MICRO SOFTWARE INC COM NEW Stock 832154207 30268 85 SH SOLE 0 0 30268 STARBUCKS CORP COM Stock 855244109 25850 1922 SH SOLE 0 0 25850 STITCH FIX INC COM CL A Stock 860897107 500 14 SH SOLE 0 0 500 SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN Stock 864482104 5513 124 SH SOLE 0 0 5513 SYNACOR INC COM Stock 871561106 314725 494 SH SOLE 0 0 314725 SYSCO CORP COM Stock 871829107 1200 80 SH SOLE 0 0 1200 TARGA RES CORP COM Stock 87612G101 434 18 SH SOLE 0 0 434 TECHTARGET INC COM Stock 87874R100 195200 3176 SH SOLE 0 0 195200 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS Stock 881624209 82154 1288 SH SOLE 0 0 82154 TEXAS INSTRS INC COM Stock 882508104 3012 319 SH SOLE 0 0 3012 3-D SYS CORP DEL COM NEW Stock 88554D205 123210 1326 SH SOLE 0 0 123210 TRANSACT TECHNOLOGIES INC COM Stock 892918103 248979 2276 SH SOLE 0 0 248979 TRUECAR INC COM Stock 89785L107 845200 5612 SH SOLE 0 0 845200 TYME TECHNOLOGIES INC COM Stock 90238J103 5000 9 SH SOLE 0 0 5000 UNILEVER PLC SPON ADR NEW Stock 904767704 1445 83 SH SOLE 0 0 1445 UNITED CONTL HLDGS INC COM Stock 910047109 29830 2380 SH SOLE 0 0 29830 UNITED PARCEL SERVICE INC CL B Stock 911312106 1080 121 SH SOLE 0 0 1080 UNITEDHEALTH GROUP INC COM Stock 91324P102 500 124 SH SOLE 0 0 500 VANECK VECTORS ETF TR GOLD MINERS ETF Stock 92189F106 3000 67 SH SOLE 0 0 3000 VANECK VECTORS ETF TR JR GOLD MINERS E Stock 92189F791 35 1 SH SOLE 0 0 35 VERIZON COMMUNICATIONS INC COM Stock 92343V104 2263 134 SH SOLE 0 0 2263 VILLAGE FARMS INTL INC COM Stock 92707Y108 6900 97 SH SOLE 0 0 6900 VONAGE HLDGS CORP COM Stock 92886T201 1352550 13580 SH SOLE 0 0 1352550 WABTEC CORP COM Stock 929740108 69 5 SH SOLE 0 0 69 WESTERN MIDSTREAM PARTNERS L COM UNIT LP INT Stock 958669103 3813 120 SH SOLE 0 0 3813 WEYERHAEUSER CO COM Stock 962166104 30150 794 SH SOLE 0 0 30150 WILLIAMS COS INC DEL COM Stock 969457100 1000 29 SH SOLE 0 0 1000 YUM BRANDS INC COM Stock 988498101 2300 230 SH SOLE 0 0 2300 ALLEGION PUB LTD CO ORD SHS Stock G0176J109 666 60 SH SOLE 0 0 666 ALLERGAN PLC SHS Stock G0177J108 181 27 SH SOLE 0 0 181 INGERSOLL-RAND PLC SHS Stock G47791101 1850 200 SH SOLE 0 0 1850 NOBLE CORP PLC SHS USD Stock G65431101 800 2 SH SOLE 0 0 800 ALLOT LTD SHS Stock M0854Q105 5800 46 SH SOLE 0 0 5800 KORNIT DIGITAL LTD SHS Stock M6372Q113 59294 1411 SH SOLE 0 0 59294