Cowen Prime Services LLC

CIK

1543830

Location

New York, NY

Portfolio Value

Small $215,890,344

Diversification

Diversified

Filing Date

Global Rank

#4,314 / 6,051 ▼ 415 · as of Jun 2021

Top Industry

Software - Application 36.6%

Period ended 5 years ago

Filed Jul 16, 2021 · 5y

6 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Unknown

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2021, never from the firm's own description.

Style

Concentrated

The top 10 positions are 62.8% of the book (60%+)

Turnover

Medium turnover

34.3% over the last four quarters (30% to under 100%)

Horizon

Horizon unknown

The value-weighted holding period is at least 5.6 quarters, but 90.2% of the book was already held when coverage starts

Closest benchmark: the S&P 500 as of 2021-06-30, active share 90.6%; sector active share 32.3% against the combined 13F book's sector weights.

Over time 6 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

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Portfolio Concentration

151 tracked positions · as of Jun 30, 2021 · Δ vs Mar 31, 2021

Top Position

15.9%

−6.4 pts

Top 5

46.9%

−2.9 pts

Top 10

62.8%

+2.5 pts

HHI

647

Diversified−179

Portfolio Trend

6 quarters · across all stocks

Sector Breakdown

As of Jun 30, 2021

Sector	% Portfolio	Value	Positions
Technology	37.8%	$81,669,423	33
Unclassified	29.7%	$64,220,312	11
Healthcare	9.3%	$20,126,817	22
Basic Materials	8.9%	$19,140,691	6
Industrials	4.6%	$9,856,512	13
Financial Services	4.1%	$8,764,444	16
Consumer Cyclical	1.7%	$3,617,655	10
Energy	1.3%	$2,794,983	14
Real Estate	1.2%	$2,556,416	6
Communication Services	0.6%	$1,329,679	5
Utilities	0.6%	$1,230,254	5
Consumer Defensive	0.3%	$583,158	10

Last Quarter's Activity

Export CSV

Jun 30, 2021 vs Mar 31, 2021

Added To

Positions the filer increased

17 positions

Ticker	Company	Δ Shares	Shares	Value
—		+524,200	1,075,650	$7,648,000
SCOR	Comscore, Inc.	+498,600	1,640,200	$8,201,000
PDFS	Pdf Solutions Inc	+173,200	1,889,528	$34,351,619
ASPN	Aspen Aerogels Inc	+69,700	459,200	$13,739,264
—		+43,250	311,250	$10,978,000
DMRC	Digimarc Corp	+35,600	165,093	$5,530,615
—		+28,526	2,925,600	$31,626,000
VNRX	Volitionrx Ltd	+22,500	59,200	$194,768
GSIT	Gsi Technology Inc	+12,521	167,177	$939,534
NEOG	Neogen Corp	+10,450	20,900	$962,236
HLIT	Harmonic Inc.	+4,000	369,694	$3,149,792
NEPH	Nephros Inc	+3,700	626,450	$6,358,467
GBDC	GOLUB CAPITAL BDC, Inc.	+1,000	16,500	$254,430
NVEC	Nve Corp	+400	11,837	$876,529
DDD	3D Systems Corp	+400	124,050	$4,958,278
BRK-B	Berkshire Hathaway Inc	+75	13,215	$3,672,712
PENN	PENN Entertainment, Inc.	+50	150	$11,473
No positions match the current search.

Trimmed

Positions the filer reduced

10 positions

Ticker	Company	Δ Shares	Shares	Value
RSSS	Research Solutions, Inc.	−259,000	1,398,500	$3,999,710
INOV		−184,800	385,600	$0
—		−68,550	82,400	$1,355,000
—		−56,000	1,596,750	$10,618,000
KKR	KKR & Co. Inc.	−6,950	51,800	$3,068,632
BX	Blackstone Inc.	−2,000	4,600	$446,844
KOPN	Kopin Corp	−1,000	206,900	$1,692,442
CCI	Crown Castle Inc.	−850	10,045	$1,959,779
LDOS	Leidos Holdings, Inc.	−450	16,070	$1,624,677
PFE	Pfizer Inc	−400	72,225	$2,828,331
No positions match the current search.

New Positions

Positions the filer opened this quarter

5 positions

Ticker	Company	Shares	Value
INSE	Inspired Entertainment, Inc.	50,000	$637,500
PHAR	Pharming Group N.V.	6,300	$71,001
STX	Seagate Technology Holdings plc	150	$13,189
CGNT	Cognyte Software Ltd.	200	$4,900
OGN	Organon & Co.	40	$1,210
No positions match the current search.

Sold Out

Positions the filer fully exited

10 positions

Ticker	Company	Shares	Value
LAB	Standard Biotools Inc.	983,000	$4,443,160
—		174,850	$4,179,000
—		175,454	$384,000
—		4,722	$160,000
CSBR	Champions Oncology, Inc.	13,500	$152,550
CCIV	Lucid Group, Inc.	1,000	$23,000
EOG	Eog Resources Inc	300	$21,759
HIMX	Himax Technologies, Inc.	1,000	$13,650
IVOO	VANGUARD S&P MID-CAP 400 INDEX FUND	39	$6,881
—		300	$1,000
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

151 tracked positions · $215,890,344 total · filing declares 173 positions · $264,401,000 · as of Jun 30, 2021

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 151 positions by value · page 1 of 4

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
PDFS	Pdf Solutions Inc Technology	Added	1,889,528	+173,200	$34,351,619	+12.6%	6+	before history	15.91%
		Added	2,925,600	+28,526	$31,626,000	−33.2%	6+	before history	14.65%
ASPN	Aspen Aerogels Inc Basic Materials	Added	459,200	+69,700	$13,739,264	+73.4%	6+	before history	6.36%
		Added	311,250	+43,250	$10,978,000	+13.4%	6+	before history	5.08%
		Reduced	1,596,750	-56,000	$10,618,000	+4.1%	6+	before history	4.92%
SCOR	Comscore, Inc. Technology	Added	1,640,200	+498,600	$8,201,000	+96.3%	2	$3.64	3.80%
		Added	1,075,650	+524,200	$7,648,000	+117.0%	2	unpriced	3.54%
KRNT	Kornit Digital Ltd. Industrials	Held	51,994	0	$6,464,414	+25.4%	6+	before history	2.99%
NEPH	Nephros Inc Healthcare	Added	626,450	+3,700	$6,358,467	+53.5%	6+	before history	2.95%
DMRC	Digimarc Corp Technology	Added	165,093	+35,600	$5,530,615	+44.0%	6+	before history	2.56%
DDD	3D Systems Corp Technology	Added	124,050	+400	$4,958,278	+46.1%	6+	before history	2.30%
RSSS	Research Solutions, Inc. Technology	Reduced	1,398,500	-259,000	$3,999,710	+4.0%	6+	before history	1.85%
BRK-B	Berkshire Hathaway Inc Financial Services	Added	13,215	+75	$3,672,712	+9.4%	6+	before history	1.70%
TACT	Transact Technologies Inc Technology	Held	252,567	0	$3,467,744	+26.3%	6+	before history	1.61%
HLIT	Harmonic Inc. Technology	Added	369,694	+4,000	$3,149,792	+9.9%	6+	before history	1.46%
KKR	KKR & Co. Inc. Financial Services	Reduced	51,800	-6,950	$3,068,632	+6.9%	6+	before history	1.42%
JNJ	Johnson & Johnson Healthcare	Held	18,260	0	$3,008,152	+0.2%	6+	before history	1.39%
PFE	Pfizer Inc Healthcare	Reduced	72,225	-400	$2,828,331	+7.5%	6+	before history	1.31%
MTSI	MACOM Technology Solutions Holdings, Inc. Technology	Held	42,708	0	$2,736,728	+10.4%	6+	before history	1.27%
APYX	Apyx Medical Corp Healthcare	Held	248,959	0	$2,566,767	+6.7%	6+	before history	1.19%
SBUX	Starbucks Corp Consumer Cyclical	Held	21,885	0	$2,446,961	+2.3%	6+	before history	1.13%
MSFT	Microsoft Corp Technology	Held	8,875	0	$2,404,237	+14.9%	6+	before history	1.11%
PTC	Ptc Inc. Technology	Held	15,800	0	$2,231,908	+2.6%	6+	before history	1.03%
IFF	International Flavors & Fragrances Inc Basic Materials	Held	13,805	0	$2,062,467	+7.0%	2	$129.34	0.96%
CCI	Crown Castle Inc. Real Estate	Reduced	10,045	-850	$1,959,779	+4.5%	6+	before history	0.91%
EPD	Enterprise Products Partners L.P. Energy	Held	74,080	0	$1,787,550	+9.6%	6+	before history	0.83%
		Held	34,800	0	$1,702,000	+12.8%	6+	before history	0.79%
KOPN	Kopin Corp Industrials	Reduced	206,900	-1,000	$1,692,442	−22.4%	6+	before history	0.78%
LDOS	Leidos Holdings, Inc. Technology	Reduced	16,070	-450	$1,624,677	+2.1%	6+	before history	0.75%
ADI	Analog Devices Inc Technology	Held	9,250	0	$1,592,480	+11.0%	6+	before history	0.74%
DOW	Dow Inc. Basic Materials	Held	24,216	0	$1,532,388	−1.0%	6+	before history	0.71%
DD	DuPont de Nemours, Inc. Basic Materials	Held	17,849	0	$1,381,691	+0.2%	6+	before history	0.64%
		Reduced	82,400	-68,550	$1,355,000	−50.7%	4	unpriced	0.63%
CEVA	Ceva Inc Technology	Held	25,656	0	$1,213,528	−15.8%	6+	before history	0.56%
NEO	Neogenomics Inc Healthcare	Held	26,500	0	$1,197,005	−6.3%	6+	before history	0.55%
RBBN	Ribbon Communications Inc. Technology	Held	140,719	0	$1,070,871	−7.3%	6+	before history	0.50%
NEOG	Neogen Corp Healthcare	Added	20,900	+10,450	$962,236	+3.6%	6+	before history	0.45%
EXC	Exelon Corp Utilities	Held	21,450	0	$950,450	+1.3%	6+	before history	0.44%
GSIT	Gsi Technology Inc Technology	Added	167,177	+12,521	$939,534	−9.2%	6+	before history	0.44%
NVEC	Nve Corp Technology	Added	11,837	+400	$876,529	+9.3%	6+	before history	0.41%
TEVA	Teva Pharmaceutical Industries Ltd Healthcare	Held	81,294	0	$804,810	−14.2%	6+	before history	0.37%
IBM	International Business Machines Corp Technology	Held	5,370	0	$787,188	+10.0%	6+	before history	0.36%
ARAY	Accuray Inc Healthcare	Held	170,882	0	$772,386	−8.7%	6+	before history	0.36%
TDAY	USA TODAY Co., Inc. Communication Services	Held	134,900	0	$740,601	+2.0%	6+	before history	0.34%
NTNX	Nutanix, Inc. Technology	Held	17,530	0	$669,996	+43.9%	6+	before history	0.31%
INSE	Inspired Entertainment, Inc. Consumer Cyclical	NEW	50,000	NEW	$637,500	NEW	1	$10.06	0.30%
TXN	Texas Instruments Inc Technology	Held	3,012	0	$579,207	+1.8%	6+	before history	0.27%
DE	Deere & Co Industrials	Held	1,500	0	$529,065	−5.7%	6+	before history	0.25%
AAPL	Apple Inc. Technology	Held	3,580	0	$490,316	+12.1%	6+	before history	0.23%
BX	Blackstone Inc. Financial Services	Reduced	4,600	-2,000	$446,844	−9.2%	6+	before history	0.21%

Showing the top 50 of 151 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.