SEC 13F Intelligence

Managers / Q3 2021 · view latest →

Cowen Prime Advisors LLC

CIK 0001875920 · 599 LEXINGTON AVENUE, 20TH FLOOR, NEW YORK, NY, 10022 · 2127027157

Reported Value
$269M
Q3 2021
Positions
170
Filings on Record
10
2021–present window
Filed
Nov 2, 2021
original filing

Summary

Cowen Prime Advisors LLC reported $269M in U.S.-listed holdings across 170 positions for Q3 2021.

Its largest position, PDFS, represents 16.6% of the portfolio.

Compared with Q2 2021, the fund opened 6 new positions and exited 3.

Portfolio Metrics

Turnover
+15.4%
vs prior filed quarter
Top-10 Concentration
+54.9%
share of reported value
Largest Position
+16.6%
Pdf Solutions Inc Com
New / Exited
6 / 3
positions this quarter

Methodology: turnover is min(value bought, value sold) ÷ average reported value across the two quarters — value-based, so market moves inflate it slightly versus a share-based measure. Concentration and largest position are shares of the filing’s total reported value, options excluded, with multiple share classes and repeated sub-manager rows for the same issuer combined into one position — the same rule the holdings table uses by default. New/exited counts compare against the prior filed quarter. All figures derive solely from the fund’s 13F filings.

Reported Value by Quarter

13F Reported Value
Q2 ’21: $276MQ2 ’21Q3 ’21: $269MQ4 ’21: $294MQ4 ’21Q1 ’22: $238MQ2 ’22: $176MQ2 ’22Q3 ’22: $174MQ4 ’22: $243MQ4 ’22Q1 ’23: $250MQ2 ’23: $290MQ2 ’23filingsflow.com

Portfolio Composition

By security type
Common Stock: 80.1%Other: 11.3%US DOMESTIC: 4.6%ADR: 1.7%MLP: 1.4%Other: 0.9%
  • Common Stock · 80.1% · $215M
  • Other · 11.3% · $31M
  • US DOMESTIC · 4.6% · $12M
  • ADR · 1.7% · $4M
  • MLP · 1.4% · $4M
  • Other · 0.9% · $2M

Quarter-over-Quarter Changes full breakdown →

vs Q2 2021 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
RDNWRUMBLEON INC COM CL BNEW+109.8K109.8K+$4M$4M
ACCURAY INC NOTE 3.750 7/1NEW+2.83M2.83M+$3M$3M
XGNEXAGEN INC COMNEW+182.9K182.9K+$2M$2M
DISDISNEY WALT CO COMNEW+10.2K10.2K+$2M$2M
GENERAL ELECTRIC CO COM NEWNEW+1.7K1.7K+$173,000$173,000
CTSOCYTOSORBENTS CORP COM NEWNEW+1.2K1.2K+$10,000$10,000
COGNYTE SOFTWARE LTD ORD SHSADDED+5.5K5.7K+$112,000$117,000
INSEINSPIRED ENTMT INC COMADDED+187.0K237.0K+$2M$3M

Value changes conflate price moves with buying and selling — share changes are the real signal. Share counts are not split-adjusted.

Holdings — Q3 2021

168 positions (from 170 filing rows — )
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1PDFSPDF SOLUTIONS INC COMhistory →Stock16.61%$45M1.94M
2ASPNASPEN AEROGELS INC COMhistory →Stock6.45%$17M376.8K
3VONAGE HLDGS CORP COMStock5.62%$15M936.5K
4FRANCHISE GROUP INC COMStock4.88%$13M370.5K
5QUOTIENT TECHNOLOGY INC COMStock4.54%$12M2.10M
6GTY TECHNOLOGY HOLDINGS INC COMStock4.10%$11M1.47M
7COMSCORE INC COMStock3.62%$10M2.50M
8ITERIS INC NEW COMStock3.58%$10M1.82M
9KORNIT DIGITAL LTD SHSStock2.80%$8M52.0K
10RAHRECRO PHARMA INC COMhistory →Stock2.66%$7M3.47M
11NEPHNEPHROS INC COMhistory →Stock2.15%$6M660.1K
12ACCELERATE DIAGNOSTICS INC NOTE 2.500 3/1Stock1.98%$5M7.58M
13DIGIMARC CORP NEW COMStock1.86%$5M145.1K
14RDNWRUMBLEON INC COM CL Bhistory →Stock1.59%$4M109.8K
15HTG MOLECULAR DIAGNOSTICS IN COM NEWStock1.48%$4M698.5K
16BRK/BBERKSHIRE HATHAWAY INC DEL CL B NEWhistory →Stock1.37%$4M13.5K
17TACTTRANSACT TECHNOLOGIES INC COMhistory →Stock1.30%$4M252.1K
18APYXAPYX MEDICAL CORPORATION COMhistory →Stock1.30%$3M251.8K
19DDD3-D SYS CORP DEL COM NEWhistory →Stock1.27%$3M124.0K
20APOLLO GLOBAL MGMT INC COM CL AStock1.26%$3M54.8K
21AZNNASTRAZENECA PLC SPONSORED ADRhistory →Stock1.22%$3M54.4K
22HLITHARMONIC INC COMhistory →Stock1.21%$3M372.3K
23KKRKKR & CO INC COMhistory →Stock1.17%$3M51.8K
24PFEPFIZER INC COMhistory →Stock1.16%$3M72.2K
25JNJJOHNSON & JOHNSON COMhistory →Stock1.11%$3M18.6K
26ACCURAY INC NOTE 3.750 7/1Stock1.07%$3M2.83M
27MTSIMACOM TECH SOLUTIONS HLDGS I COMhistory →Stock1.04%$3M43.1K
28INSEINSPIRED ENTMT INC COMhistory →Stock1.03%$3M237.0K
29VONAGE HLDGS CORP NOTE 1.750 6/0Stock1.03%$3M2.37M
30SBUXSTARBUCKS CORP COMStock0.93%$2M22.6K
31XGNEXAGEN INC COMStock0.93%$2M182.9K
32MSFTMICROSOFT CORP COMStock0.89%$2M8.5K
33IFFINTERNATIONAL FLAVORS&FRAGRA COMStock0.89%$2M17.9K
34PTCPTC INC COMStock0.70%$2M15.8K
35CCICROWN CASTLE INTL CORP NEW COMStock0.66%$2M10.2K
36DISDISNEY WALT CO COMStock0.64%$2M10.2K
37EPDENTERPRISE PRODS PARTNERS L COMStock0.60%$2M74.1K
38MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LPStock0.59%$2M34.8K
39ADIANALOG DEVICES INC COMStock0.58%$2M9.3K
40LDOSLEIDOS HOLDINGS INC COMStock0.57%$2M15.9K
41INFINERA CORP NOTE 2.125 9/0Stock0.53%$1M1.28M
42DOWDOW INC COMStock0.52%$1M24.2K
43NEONEOGENOMICS INC COM NEWStock0.48%$1M26.5K
44DDDUPONT DE NEMOURS INC COMStock0.45%$1M17.8K
45ORBITAL ENERGY GROUP INC COMStock0.43%$1M377.6K
46GAN LTD SHSStock0.42%$1M76.1K
47CEVACEVA INC COMStock0.41%$1M25.7K
48RSSSRESEARCH SOLUTIONS INC COMStock0.40%$1M412.5K
49EXCEXELON CORP COMStock0.40%$1M22.1K
50KOPNKOPIN CORP COMStock0.39%$1M206.9K
51NEOGNEOGEN CORP COMStock0.34%$908,00020.9K
52GSITGSI TECHNOLOGY INC COMStock0.34%$908,000171.9K
53TDAYGANNETT CO INC COMStock0.34%$905,000135.5K
54NVECNVE CORP COM NEWStock0.32%$867,00013.6K
55RBBNRIBBON COMMUNICATIONS INC COMStock0.31%$844,000141.2K
56TEVATEVA PHARMACEUTICAL INDS LTD SPONSORED ADSStock0.29%$792,00081.3K
57IBMINTERNATIONAL BUSINESS MACHS COMStock0.28%$746,0005.4K
58ARAYACCURAY INC COMStock0.25%$677,000171.4K
59NTNXNUTANIX INC CL AStock0.25%$661,00017.5K
60TXNTEXAS INSTRS INC COMStock0.22%$579,0003.0K
61AAPLAPPLE INC COMStock0.19%$507,0003.6K
62DEDEERE & CO COMStock0.19%$503,0001.5K
63GOOGALPHABET INC CAP STK CL CStock0.18%$480,000180
64BXBLACKSTONE INC COMStock0.18%$477,0004.1K
65CTVACORTEVA INC COMStock0.14%$388,0009.2K
66TTTRANE TECHNOLOGIES PLC SHSStock0.12%$319,0001.9K
67INOVINOVALON HLDGS INC COM CL AStock0.12%$318,0007.9K
68NVONOVO-NORDISK A S ADRStock0.12%$312,0003.3K
69ARCCARES CAPITAL CORP COMStock0.11%$305,00015.0K
70NATIONAL RESH CORP COM NEWStock0.11%$295,0007.0K
71METMETLIFE INC COMStock0.11%$287,0004.7K
72KMIKINDER MORGAN INC DEL COMStock0.10%$271,00016.2K
73PYPLPAYPAL HLDGS INC COMStock0.10%$269,0001.0K
74DOCHEALTHPEAK PROPERTIES INC COMStock0.10%$268,0008.0K
75LNTHLANTHEUS HLDGS INC COMStock0.10%$262,00010.2K
76GBDCGOLUB CAP BDC INC COMStock0.10%$261,00016.5K
77RADA ELECTR INDS LTD COM PAR NEWStock0.09%$245,00023.0K
78ALLOT LTD SHSStock0.09%$232,00015.6K
79JPMJPMORGAN CHASE & CO COMStock0.08%$228,0001.4K
80PAYXPAYCHEX INC COMStock0.08%$202,0001.8K
81EXMOCEXXON MOBIL CORP COMStock0.07%$198,0003.4K
82UNHUNITEDHEALTH GROUP INC COMStock0.07%$195,000500
83VOLITIONRX LTD COMStock0.07%$193,00062.2K
84GENERAL ELECTRIC CO COM NEWStock0.06%$173,0001.7K
85MPLXMPLX LP COM UNIT REP LTDStock0.06%$162,0005.7K
86NOCNORTHROP GRUMMAN CORP COMStock0.06%$162,000450
87MCDMCDONALDS CORP COMStock0.06%$159,000661
88LENLENNAR CORP CL AStock0.05%$143,0001.5K
89LMTLOCKHEED MARTIN CORP COMStock0.05%$138,000400
90ESBAEMPIRE ST RLTY OP L P UNIT LTD PRTNSPStock0.05%$130,00012.9K
91BMYBRISTOL-MYERS SQUIBB CO COMStock0.05%$124,0002.1K
92VZVERIZON COMMUNICATIONS INC COMStock0.05%$122,0002.3K
93KMBKIMBERLY-CLARK CORP COMStock0.04%$119,000900
94COGNYTE SOFTWARE LTD ORD SHSStock0.04%$117,0005.7K
95DURECT CORP COMStock0.04%$114,00088.7K
96ANNALY CAPITAL MANAGEMENT IN COMStock0.04%$105,00012.5K
97SYNCHRONOSS TECHNOLOGIES INC COMStock0.04%$102,00042.6K
98SRESEMPRA COMStock0.04%$101,000800
99INTCINTEL CORP COMStock0.04%$96,0001.8K
100PMPHILIP MORRIS INTL INC COMStock0.04%$95,0001.0K

Filing History

QuarterReported ValuePositionsFiledTypeLinks
Q2 2023$290M229Jul 31, 202313F-HRchanges · EDGAR ↗
Q1 2023$250M225May 3, 202313F-HRchanges · EDGAR ↗
Q4 2022$243M192Feb 1, 202313F-HRchanges · EDGAR ↗
Q3 2022$174M175Nov 7, 202213F-HRchanges · EDGAR ↗
Q2 2022$176M177Aug 1, 202213F-HRchanges · EDGAR ↗
Q1 2022$238M178May 2, 202213F-HRchanges · EDGAR ↗
Q4 2021$294M174Feb 8, 202213F-HRchanges · EDGAR ↗
Q3 2021$269M170Nov 2, 202113F-HRchanges · EDGAR ↗
Q2 2021$276M167Aug 4, 202113F-HRchanges · EDGAR ↗

13F filings are due up to 45 days after quarter end, so holdings shown here lag the fund’s current book. Source: original SEC filing on EDGAR ↗.