Chief Compliance Officer

0000890163-21-000017.txt : 20210427 0000890163-21-000017.hdr.sgml : 20210427 20210427115641 ACCESSION NUMBER: 0000890163-21-000017 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210427 DATE AS OF CHANGE: 20210427 EFFECTIVENESS DATE: 20210427 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: 21857090 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 03-31-2021 03-31-2021 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 04-23-2021 0 173 264401 INFORMATION TABLE 2 infotable.xml AT&T INC COM Stock 00206R102 14 473 SH SOLE 0 0 14 ABBOTT LABS COM Stock 002824100 60 500 SH SOLE 0 0 60 ABBVIE INC COM Stock 00287Y109 33 304 SH SOLE 0 0 33 ACCELERATE DIAGNOSTICS INC NOTE 2.500 3/1 Stock 00430HAB8 4969 7580000 SH SOLE 0 0 4969 ACCURAY INC COM Stock 004397105 846 170882 SH SOLE 0 0 846 ADVANCED MICRO DEVICES INC COM Stock 007903107 39 500 SH SOLE 0 0 39 ALIBABA GROUP HLDG LTD SPONSORED ADS Stock 01609W102 45 200 SH SOLE 0 0 45 ALPHABET INC CAP STK CL C Stock 02079K107 290 140 SH SOLE 0 0 290 ALPHABET INC CAP STK CL A Stock 02079K305 83 40 SH SOLE 0 0 83 ALTRIA GROUP INC COM Stock 02209S103 77 1500 SH SOLE 0 0 77 AMERICAN ELEC PWR CO INC COM Stock 025537101 38 450 SH SOLE 0 0 38 AMERICAN EXPRESS CO COM Stock 025816109 28 200 SH SOLE 0 0 28 ANALOG DEVICES INC COM Stock 032654105 1434 9250 SH SOLE 0 0 1434 ANNALY CAPITAL MANAGEMENT IN COM Stock 035710409 108 12500 SH SOLE 0 0 108 APA CORPORATION COM Stock 03743Q108 8 450 SH SOLE 0 0 8 APOLLO GLOBAL MGMT INC COM CL A Stock 03768E105 1374 29220 SH SOLE 0 0 1374 APPLE INC COM Stock 037833100 437 3580 SH SOLE 0 0 437 APYX MEDICAL CORPORATION COM Stock 03837C106 2405 248959 SH SOLE 0 0 2405 ARES CAPITAL CORP COM Stock 04010L103 281 15000 SH SOLE 0 0 281 ASPEN AEROGELS INC COM Stock 04523Y105 7922 389500 SH SOLE 0 0 7922 ASTRAZENECA PLC SPONSORED ADR Stock 046353108 2661 53520 SH SOLE 0 0 2661 BAKER HUGHES COMPANY CL A Stock 05722G100 6 300 SH SOLE 0 0 6 BK OF AMERICA CORP COM Stock 060505104 29 760 SH SOLE 0 0 29 BANK MONTREAL QUE COM Stock 063671101 67 753 SH SOLE 0 0 67 BARRICK GOLD CORP COM Stock 067901108 20 1000 SH SOLE 0 0 20 BAUSCH HEALTH COS INC COM Stock 071734107 1 26 SH SOLE 0 0 1 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 3357 13140 SH SOLE 0 0 3357 BLACKSTONE GROUP INC COM Stock 09260D107 492 6600 SH SOLE 0 0 492 BRISTOL-MYERS SQUIBB CO COM Stock 110122108 133 2100 SH SOLE 0 0 133 CASTLIGHT HEALTH INC CL B Stock 14862Q100 6 3700 SH SOLE 0 0 6 CEVA INC COM Stock 157210105 1441 25656 SH SOLE 0 0 1441 CHAMPIONS ONCOLOGY INC COM NEW Stock 15870P307 153 13500 SH SOLE 0 0 153 CHURCHILL CAPITAL CORP IV CL A Stock 171439102 23 1000 SH SOLE 0 0 23 CISCO SYS INC COM Stock 17275R102 5 100 SH SOLE 0 0 5 CITIGROUP INC COM NEW Stock 172967424 3 35 SH SOLE 0 0 3 COCA COLA CO COM Stock 191216100 53 1000 SH SOLE 0 0 53 COLGATE PALMOLIVE CO COM Stock 194162103 28 350 SH SOLE 0 0 28 COMSCORE INC COM Stock 20564W105 4178 1141600 SH SOLE 0 0 4178 CORNING INC COM Stock 219350105 59 1350 SH SOLE 0 0 59 CORTEVA INC COM Stock 22052L104 430 9216 SH SOLE 0 0 430 CROWN CASTLE INTL CORP NEW COM Stock 22822V101 1875 10895 SH SOLE 0 0 1875 DCP MIDSTREAM LP COM UT LTD PTN Stock 23311P100 35 1600 SH SOLE 0 0 35 DXC TECHNOLOGY CO COM Stock 23355L106 1 16 SH SOLE 0 0 1 DARDEN RESTAURANTS INC COM Stock 237194105 36 250 SH SOLE 0 0 36 DEERE & CO COM Stock 244199105 561 1500 SH SOLE 0 0 561 DIGIMARC CORP NEW COM Stock 25381B101 3841 129493 SH SOLE 0 0 3841 DOMINION ENERGY INC COM Stock 25746U109 61 800 SH SOLE 0 0 61 DOW INC COM Stock 260557103 1548 24216 SH SOLE 0 0 1548 DUPONT DE NEMOURS INC COM Stock 26614N102 1379 17849 SH SOLE 0 0 1379 DURECT CORP COM Stock 266605104 162 81678 SH SOLE 0 0 162 EOG RES INC COM Stock 26875P101 22 300 SH SOLE 0 0 22 EATON VANCE TAX-MANAGED GLOB COM Stock 27829F108 25 2700 SH SOLE 0 0 25 EBAY INC. COM Stock 278642103 61 1000 SH SOLE 0 0 61 EHEALTH INC COM Stock 28238P109 29 405 SH SOLE 0 0 29 EMERSON ELEC CO COM Stock 291011104 81 900 SH SOLE 0 0 81 EMPIRE ST RLTY OP L P UNIT LTD PRTNSP Stock 292102100 143 12904 SH SOLE 0 0 143 ENTERPRISE PRODS PARTNERS L COM Stock 293792107 1631 74080 SH SOLE 0 0 1631 EVERSPIN TECHNOLOGIES INC COM Stock 30041T104 23 3750 SH SOLE 0 0 23 EXELON CORP COM Stock 30161N101 938 21450 SH SOLE 0 0 938 EXXON MOBIL CORP COM Stock 30231G102 188 3370 SH SOLE 0 0 188 FLUIDIGM CORP DEL COM Stock 34385P108 4443 983000 SH SOLE 0 0 4443 FRANCHISE GROUP INC COM Stock 35180X105 9677 268000 SH SOLE 0 0 9677 GTY TECHNOLOGY HOLDINGS INC COM Stock 362409104 3524 551450 SH SOLE 0 0 3524 GSI TECHNOLOGY COM Stock 36241U106 1035 154656 SH SOLE 0 0 1035 GANNETT CO INC COM Stock 36472T109 726 134900 SH SOLE 0 0 726 GENERAL ELECTRIC CO COM Stock 369604103 177 13470 SH SOLE 0 0 177 GENMARK DIAGNOSTICS INC COM Stock 372309104 4179 174850 SH SOLE 0 0 4179 GLOBAL PARTNERS LP COM UNITS Stock 37946R109 89 4150 SH SOLE 0 0 89 GOLUB CAP BDC INC COM Stock 38173M102 227 15500 SH SOLE 0 0 227 GREENLANE HLDGS INC CL A Stock 395330103 11 2100 SH SOLE 0 0 11 HTG MOLECULAR DIAGNOSTICS IN COM NEW Stock 40434H203 2866 524033 SH SOLE 0 0 2866 HP INC COM Stock 40434L105 6 200 SH SOLE 0 0 6 HALLIBURTON CO COM Stock 406216101 2 100 SH SOLE 0 0 2 HARMONIC INC COM Stock 413160102 2867 365694 SH SOLE 0 0 2867 HEALTHPEAK PROPERTIES INC COM Stock 42250P103 254 8000 SH SOLE 0 0 254 HELMERICH & PAYNE INC COM Stock 423452101 8 300 SH SOLE 0 0 8 HEWLETT PACKARD ENTERPRISE C COM Stock 42824C109 3 200 SH SOLE 0 0 3 HIMAX TECHNOLOGIES INC SPONSORED ADR Stock 43289P106 14 1000 SH SOLE 0 0 14 INFINERA CORP NOTE 2.125 9/0 Stock 45667GAC7 1520 1280000 SH SOLE 0 0 1520 INGERSOLL RAND INC COM Stock 45687V106 80 1632 SH SOLE 0 0 80 INOVALON HLDGS INC COM CL A Stock 45781D101 16416 570400 SH SOLE 0 0 16416 INTEL CORP COM Stock 458140100 115 1800 SH SOLE 0 0 115 INTERNATIONAL BUSINESS MACHS COM Stock 459200101 716 5370 SH SOLE 0 0 716 INTERNATIONAL FLAVORS&FRAGRA COM Stock 459506101 1927 13805 SH SOLE 0 0 1927 ITERIS INC NEW COM Stock 46564T107 10197 1652750 SH SOLE 0 0 10197 JPMORGAN CHASE & CO COM Stock 46625H100 212 1395 SH SOLE 0 0 212 JOHNSON & JOHNSON COM Stock 478160104 3001 18260 SH SOLE 0 0 3001 KKR & CO INC COM Stock 48251W104 2870 58750 SH SOLE 0 0 2870 KALEYRA INC COM Stock 483379103 28 2000 SH SOLE 0 0 28 KIMBERLY-CLARK CORP COM Stock 494368103 125 900 SH SOLE 0 0 125 KINDER MORGAN INC DEL COM Stock 49456B101 269 16180 SH SOLE 0 0 269 KOPIN CORP COM Stock 500600101 2181 207900 SH SOLE 0 0 2181 LANTHEUS HLDGS INC COM Stock 516544103 227 10600 SH SOLE 0 0 227 LEIDOS HOLDINGS INC COM Stock 525327102 1591 16520 SH SOLE 0 0 1591 LENNAR CORP CL A Stock 526057104 152 1500 SH SOLE 0 0 152 LENNAR CORP CL B Stock 526057302 2 30 SH SOLE 0 0 2 LOCKHEED MARTIN CORP COM Stock 539830109 148 400 SH SOLE 0 0 148 LOWES COS INC COM Stock 548661107 65 340 SH SOLE 0 0 65 LUMINEX CORP DEL COM Stock 55027E102 5778 181120 SH SOLE 0 0 5778 MPLX LP COM UNIT REP LTD Stock 55336V100 145 5674 SH SOLE 0 0 145 MACOM TECH SOLUTIONS HLDGS I COM Stock 55405Y100 2478 42708 SH SOLE 0 0 2478 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP Stock 559080106 1509 34800 SH SOLE 0 0 1509 MCDONALDS CORP COM Stock 580135101 148 661 SH SOLE 0 0 148 MERCK & CO. 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