0000890163-20-000020.txt : 20200428 0000890163-20-000020.hdr.sgml : 20200428 20200428095457 ACCESSION NUMBER: 0000890163-20-000020 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200428 DATE AS OF CHANGE: 20200428 EFFECTIVENESS DATE: 20200428 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: 20822722 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 03-31-2020 03-31-2020 false Cowen Prime Services LLC

599 Lexington Avenue 21st Floor New York NY 10022

13F HOLDINGS REPORT 028-14944 N Rep Poppell 212-702-7157 /s/ Rep Poppell New York NY 03-28-2020 0 209 163798 INFORMATION TABLE 2 infotable.xml AT&T INC COM Stock 00206R102 9 323 SH SOLE 0 0 9 ABBOTT LABS COM Stock 002824100 39 500 SH SOLE 0 0 39 ACCELERATE DIAGNOSTICS INC NOTE 2.500 Stock 00430HAB8 3280 6050000 SH SOLE 0 0 3280 ADVANCED MICRO DEVICES INC COM Stock 007903107 23 500 SH SOLE 0 0 23 ALIBABA GROUP HLDG LTD SPONSORED ADS Stock 01609W102 39 200 SH SOLE 0 0 39 ALPHABET INC CAP STK CL C Stock 02079K107 163 140 SH SOLE 0 0 163 ALTRIA GROUP INC COM Stock 02209S103 58 1500 SH SOLE 0 0 58 AMERICAN ELEC PWR CO INC COM Stock 025537101 36 450 SH SOLE 0 0 36 AMERICAN EXPRESS CO COM Stock 025816109 34 400 SH SOLE 0 0 34 ANALOG DEVICES INC COM Stock 032654105 843 9400 SH SOLE 0 0 843 APOLLO GLOBAL MGMT INC COM CL A Stock 03768E105 1769 52795 SH SOLE 0 0 1769 APPLE INC COM Stock 037833100 406 1595 SH SOLE 0 0 406 ARES CAPITAL CORP COM Stock 04010L103 197 18300 SH SOLE 0 0 197 ASPEN AEROGELS INC COM Stock 04523Y105 5023 818000 SH SOLE 0 0 5023 ASTRAZENECA PLC SPONSORED ADR Stock 046353108 2274 50920 SH SOLE 0 0 2274 BK OF AMERICA CORP COM Stock 060505104 16 760 SH SOLE 0 0 16 BARRICK GOLD CORPORATION COM Stock 067901108 20 1084 SH SOLE 0 0 20 BAUSCH HEALTH COS INC COM Stock 071734107 0 26 SH SOLE 0 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 2575 14085 SH SOLE 0 0 2575 BIOLIFE SOLUTIONS INC COM NEW Stock 09062W204 59 6173 SH SOLE 0 0 59 BLACKSTONE GROUP INC COM CL A Stock 09260D107 301 6600 SH SOLE 0 0 301 BOSTON OMAHA CORP COM Stock 101044105 497 27444 SH SOLE 0 0 497 BRISTOL-MYERS SQUIBB CO COM Stock 110122108 117 2100 SH SOLE 0 0 117 BROADVISION INC COM PAR Stock 111412706 0 4 SH SOLE 0 0 0 CASTLIGHT HEALTH INC CL B Stock 14862Q100 12 16856 SH SOLE 0 0 12 CHAMPIONS ONCOLOGY INC COM NEW Stock 15870P307 2216 299400 SH SOLE 0 0 2216 COCA COLA CO COM Stock 191216100 44 1000 SH SOLE 0 0 44 COMSCORE INC COM Stock 20564W105 1581 560500 SH SOLE 0 0 1581 CORNING INC COM Stock 219350105 33 1600 SH SOLE 0 0 33 CORTEVA INC COM Stock 22052L104 146 6216 SH SOLE 0 0 146 CROWN CASTLE INTL CORP NEW COM Stock 22822V101 1070 7410 SH SOLE 0 0 1070 DCP MIDSTREAM LP COM UT LTD PTN Stock 23311P100 7 1600 SH SOLE 0 0 7 DXC TECHNOLOGY CO COM Stock 23355L106 0 16 SH SOLE 0 0 0 DARDEN RESTAURANTS INC COM Stock 237194105 14 250 SH SOLE 0 0 14 DEERE & CO COM Stock 244199105 207 1500 SH SOLE 0 0 207 DIGIMARC CORP NEW COM Stock 25381B101 1815 139095 SH SOLE 0 0 1815 DOMINION ENERGY INC COM Stock 25746U109 274 3800 SH SOLE 0 0 274 DOW INC COM Stock 260557103 591 20216 SH SOLE 0 0 591 DUPONT DE NEMOURS INC COM Stock 26614N102 643 18849 SH SOLE 0 0 643 EHEALTH INC COM Stock 28238P109 339 2405 SH SOLE 0 0 339 EMERSON ELEC CO COM Stock 291011104 43 900 SH SOLE 0 0 43 EMPIRE ST RLTY OP L P UNIT LTD PRTNSP Stock 292102100 115 12904 SH SOLE 0 0 115 ENTERPRISE PRODS PARTNERS L COM Stock 293792107 1059 74080 SH SOLE 0 0 1059 EVENTBRITE INC COM CL A Stock 29975E109 1017 139250 SH SOLE 0 0 1017 EXELON CORP COM Stock 30161N101 495 13450 SH SOLE 0 0 495 EXXON MOBIL CORP COM Stock 30231G102 215 5670 SH SOLE 0 0 215 FRANCHISE GROUP INC COM Stock 35180X105 66 7600 SH SOLE 0 0 66 GW PHARMACEUTICALS PLC ADS Stock 36197T103 2 25 SH SOLE 0 0 2 GREENSKY INC CL A Stock 39572G100 8 2000 SH SOLE 0 0 8 HTG MOLECULAR DIAGNOSTICS IN COM Stock 40434H104 1448 4455500 SH SOLE 0 0 1448 HP INC COM Stock 40434L105 3 200 SH SOLE 0 0 3 HARMONIC INC NOTE 4.00012 0 Stock 413160AB8 12 10000 SH SOLE 0 0 12 HEWLETT PACKARD ENTERPRISE C COM Stock 42824C109 2 200 SH SOLE 0 0 2 INFINERA CORP NOTE 2.125 9 0 Stock 45667GAC7 4450 5310000 SH SOLE 0 0 4450 INOVALON HLDGS INC COM CL A Stock 45781D101 16102 966500 SH SOLE 0 0 16102 INTERNATIONAL BUSINESS MACHS COM Stock 459200101 542 4882 SH SOLE 0 0 542 ITERIS INC COM Stock 46564T107 8238 2574500 SH SOLE 0 0 8238 JPMORGAN CHASE & CO COM Stock 46625H100 1020 11329 SH SOLE 0 0 1020 JOHNSON & JOHNSON COM Stock 478160104 3593 27397 SH SOLE 0 0 3593 KKR & CO INC CL A Stock 48251W104 2423 103250 SH SOLE 0 0 2423 KIMBERLY CLARK CORP COM Stock 494368103 115 900 SH SOLE 0 0 115 KINDER MORGAN INC DEL COM Stock 49456B101 225 16198 SH SOLE 0 0 225 LEIDOS HOLDINGS INC COM Stock 525327102 1620 17680 SH SOLE 0 0 1620 LENNAR CORP CL A Stock 526057104 57 1500 SH SOLE 0 0 57 LENNAR CORP CL B Stock 526057302 1 30 SH SOLE 0 0 1 LIGAND PHARMACEUTICALS INC COM NEW Stock 53220K504 633 8700 SH SOLE 0 0 633 LIMELIGHT NETWORKS INC COM Stock 53261M104 3981 698500 SH SOLE 0 0 3981 LOCKHEED MARTIN CORP COM Stock 539830109 136 400 SH SOLE 0 0 136 LUMINEX CORP DEL COM Stock 55027E102 5841 212155 SH SOLE 0 0 5841 MAGNOLIA OIL & GAS CORP CL A Stock 559663109 0 50 SH SOLE 0 0 0 MCDONALDS CORP COM Stock 580135101 109 661 SH SOLE 0 0 109 MERCK & CO. 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