13F-HR filed by Cowen Prime Services LLC
Cowen Prime Services LLC filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-01-27, with 172 holding rows worth $225,631,000.
- Accession
- 0000890163-21-000003
- Filer
- CIK 1543830
- Filed
- 2021-01-27
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A holdings report, 172 entries on the cover page, a total value of $225,631,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $225,631,000 with VALUE read as thousands by filing date, 13F file number 028-14944. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 1,562,526 | $33,751,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 3,310,877 | $31,188,000 | thousands by filing date | |
| GAN LTD | G3728V109 | SHS | 628,800 | $12,752,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 650,300 | $11,816,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 778,300 | $10,021,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 1,587,000 | $8,967,000 | thousands by filing date | |
| FRANCHISE GROUP INC | 35180X105 | COM | 258,630 | $7,875,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 467,614 | $7,804,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 507,000 | $7,402,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 123,818 | $5,849,000 | thousands by filing date | |
| NEPHROS INC | 640671400 | COM | 575,077 | $4,934,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 51,194 | $4,563,000 | thousands by filing date | |
| ACCELERATE DIAGNOSTICS INC | 00430HAB8 | NOTE 2.500% 3/1 | 7,580,000 | $4,291,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 170,870 | $3,951,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 12,965 | $3,006,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 18,285 | $2,878,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 53,270 | $2,663,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 71,975 | $2,649,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 349,155 | $2,580,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886TAJ1 | NOTE 1.750% 6/0 | 2,370,000 | $2,560,000 | thousands by filing date | |
| KKR & CO INC | 48251W104 | COM | 61,250 | $2,480,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 21,885 | $2,341,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 40,258 | $2,216,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H203 | COM NEW | 441,918 | $2,117,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 8,875 | $1,974,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 16,100 | $1,926,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 247,467 | $1,757,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 235,959 | $1,699,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 15,490 | $1,628,000 | thousands by filing date | |
| INFINERA CORP | 45667GAC7 | BOND | 1,280,000 | $1,587,000 | thousands by filing date | |
| RESEARCH SOLUTIONS INC | 761025105 | CMN | 676,000 | $1,575,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 34,800 | $1,477,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 74,080 | $1,451,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 136,200 | $1,427,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 25,300 | $1,362,000 | thousands by filing date | |
| Apollo Global Management Inc | 03768E105 | COM CL A | 27,520 | $1,348,000 | thousands by filing date | |
| DOW HLDGS INC COM | 260557103 | Stock | 24,216 | $1,344,000 | thousands by filing date | |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 17,849 | $1,269,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 8,500 | $1,256,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 6,960 | $1,108,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 23,871 | $1,086,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 127,356 | $942,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 143,519 | $941,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 21,250 | $897,000 | thousands by filing date | |
| NEOGEN CORP | 640491106 | COM | 10,450 | $829,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 81,294 | $784,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 164,882 | $688,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 10,937 | $614,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 4,870 | $613,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 229,400 | $557,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 16,730 | $533,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 3,012 | $494,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 3,580 | $475,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 18,222 | $471,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 6,600 | $428,000 | thousands by filing date | |
| USA TODAY CO INC | 36472T109 | COM | 126,500 | $425,000 | thousands by filing date | |
| MAGNITE INC COM | 55955D100 | Stock | 13,500 | $415,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 1,500 | $404,000 | thousands by filing date | |
| CORTEVA INC COM | 22052L104 | Stock | 9,216 | $357,000 | thousands by filing date | |
| ORBITAL ENERGY GROUP INC | 68559A109 | COM | 159,463 | $349,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 7,000 | $299,000 | thousands by filing date | |
| TRANE TECHNOLOGIES PLC SHS | G8994E103 | Stock | 1,850 | $269,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 15,000 | $253,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 182,088 | $248,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 140 | $245,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 1,034 | $242,000 | thousands by filing date | |
| HEALTHPEAK PROPERTIES INC COM | 42250P103 | REIT | 8,000 | $242,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 3,250 | $227,000 | thousands by filing date | |
| VIATRIS INC COM | 92556V106 | Stock | 12,071 | $226,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 23,000 | $224,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 16,180 | $221,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 4,650 | $218,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 1,395 | $177,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 500 | $175,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 1,700 | $169,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 1,800 | $168,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 15,600 | $164,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 74,128 | $153,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 13,500 | $146,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 13,470 | $145,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 400 | $142,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 661 | $142,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 3,370 | $139,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 450 | $137,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 2,263 | $133,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 2,100 | $130,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 9,600 | $130,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 5,674 | $123,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 900 | $121,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 12,904 | $118,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 9,100 | $116,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 1,500 | $114,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 12,500 | $106,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 800 | $102,000 | thousands by filing date | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 15,000 | $101,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 1,900 | $95,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 22,500 | $90,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 1,445 | $87,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 1,000 | $83,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 666 | $78,000 | thousands by filing date | |
| INGERSOLL RAND INC COM | 45687V106 | Stock | 1,632 | $74,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 5,013 | $74,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 900 | $72,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 40 | $70,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 500 | $70,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 4,150 | $69,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 4,630 | $67,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 1,500 | $62,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 800 | $60,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 753 | $57,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 500 | $55,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 1,000 | $55,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 340 | $55,000 | thousands by filing date | |
| WESTERN MIDSTREAM PARTNERS L | 958669103 | COM UNIT LP INT | 3,813 | $53,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 300 | $51,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 1,000 | $50,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 1,350 | $49,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 200 | $47,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 500 | $46,000 | thousands by filing date | |
| EVENTBRITE INC | 29975E109 | COM CL A | 2,450 | $44,000 | thousands by filing date | |
| NNN REIT INC COM | 637417106 | REIT | 1,000 | $41,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 450 | $37,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 230 | $34,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 304 | $33,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 400 | $33,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 4,000 | $30,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 350 | $30,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 250 | $30,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 1,600 | $30,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 405 | $29,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 3,400 | $28,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 394 | $25,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 200 | $24,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 2,700 | $24,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 760 | $23,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 1,000 | $23,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 318 | $22,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 1,000 | $20,000 | thousands by filing date | |
| KALEYRA INC | 483379103 | COMMON EQUITY | 2,000 | $20,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 800 | $19,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 835 | $18,000 | thousands by filing date | |
| SCHWEITZER-MAUDUIT INTL INC | 808541106 | COM | 400 | $16,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 3,500 | $16,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 300 | $15,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 473 | $14,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 185 | $14,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 1,400 | $14,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 496 | $13,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 900 | $13,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 550 | $10,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 59 | $9,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 100 | $9,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 100 | $9,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 150 | $9,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 1,700 | $8,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 2,100 | $8,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 2,400 | $7,000 | thousands by filing date | |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 300 | $6,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 450 | $6,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 69 | $5,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 200 | $5,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 3,700 | $5,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 100 | $4,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 20 | $4,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 112 | $4,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 25 | $3,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 35 | $2,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 100 | $2,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 200 | $2,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 30 | $2,000 | thousands by filing date | |
| ALCON AG ORD SHS | H01301128 | Stock | 20 | $1,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 26 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000890163-21-000003 | this filing | 2021-01-27 | acceptance time not in the bulk data set |