Cowen Prime Advisors LLC

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CIK 1875920

13F portfolio (2023-Q2)

$290M

Positions

229

Implied 1Y CAGR

modeled · as filed

Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2023-Q1. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.

Implied return what this book implies · modeled, not advice methodology →

Open in PORT →

As filed = each book applied at its quarter-end (what the reported book did) · As copyable = applied at its statutory 45-day filing deadline (what a 13F follower could have earned).

Computing…

Hypothetical modeled performance constructed with hindsight — not actual results, and not indicative of future results. See the Disclaimer.

Exposures · what this manager owns, by sector & size (2023-Q2)

Holdings

229

Top 5

38.3%

Top 10

57.7%

Effective N

20.8

HHI

0.048

This quarter

7 new · 0 exit →

By sector

Information Technology45.8%

Unclassified15.4%

Communication Services13.0%

Health Care6.7%

Consumer Discretionary6.6%

Financials4.3%

Utilities2.3%

Real Estate2.1%

Other3.8%

By market cap

Small ($300M–2B)34.0%

Unknown21.4%

Micro (<$300M)18.7%

Large ($10–200B)18.4%

Mega (>$200B)6.5%

Mid ($2–10B)1.1%

By region

North America83.3%

Other15.4%

Europe1.3%

By industry group GICS — finer than sector

Industry group	Weight	Names
Software	26.67%	8
Unclassified	21.19%	44
Media & Entertainment	8.13%	2
Semiconductors & Semiconductor Equipment	6.78%	15
Distributors	5.25%	5
Pharmaceuticals & Biotechnology	4.97%	18
Communications Equipment	4.44%	2
Entertainment	4.21%	2
Utilities	2.31%	11
Technology Hardware & Equipment	2.31%	11
Capital Markets	2.19%	6
Equity Real Estate Investment Trusts (REITs)	2.09%	7
Chemicals	1.97%	9
Health Care Equipment & Supplies	1.66%	5
Software & IT Services	1.48%	9
Hotels, Restaurants & Leisure	1.26%	5
Insurance	0.40%	5
Commercial Services & Supplies	0.40%	8
Media & Publishing	0.31%	1
Professional Services	0.28%	2
Machinery	0.25%	5
Oil, Gas & Consumable Fuels	0.25%	9
Aerospace & Defense	0.22%	6
Agricultural Products	0.20%	1
Electrical Equipment & Components	0.12%	2
Banks	0.12%	7
Life Sciences Tools & Services	0.10%	1
Construction & Engineering	0.06%	1
Diversified Telecommunication Services	0.06%	2
Tobacco	0.06%	2
Specialty Retail	0.05%	3
Automobiles & Components	0.05%	2
Metals & Mining	0.05%	1
Paper & Forest Products	0.04%	2
Beverages	0.03%	3
Road & Rail	0.02%	2
Food Products	0.01%	2
Food & Staples Retailing	0.00%	1
Leisure Products	0.00%	1
Transportation Infrastructure	0.00%	1

Top holdings

#	Ticker	Name	Sector	Weight
1	PDFS	PDF SOLUTIONS INC	Information Technology	14.60%
2	THRY	Thryv Holdings, Inc.	Communication Services	8.13%
3	INSE	Inspired Entertainment, Inc.	Information Technology	5.96%
4	ASPN	ASPEN AEROGELS INC	Consumer Discretionary	5.19%
5		ITERIS INC NEW	Unclassified	4.44%
6	HLIT	HARMONIC INC.	Information Technology	4.44%
7	DMRC	DIGIMARC CORP NEW	Information Technology	4.26%
8	GENI	Genius Sports Ltd	Communication Services	4.21%
9		SHARECARE INC	Unclassified	3.53%
10	PTC	PTC INC.	Information Technology	2.97%

187/229 names classified · sector 84.6% of weight · industry 78.8% · mkt cap 78.6%; unclassified names shown, never dropped.

Sector allocation over time · how the GICS mix & top names shifted quarter by quarter

top 5/sector, rest → “Other” · 10 quarters

Information TechnologyPDFS, INSE, HLIT, DMRC, RDNW · other

Communication ServicesTHRY, GENI, TDAY, DIS, GOOG · other

Health CareAZN, JNJ, PFE, APYX, QDEL · other

Consumer DiscretionaryASPN, SBUX, MCD, GLP, SPH · other

FinancialsBRK.B, KKR, APO, MET, BX · other

IndustrialsSCOR, NEO, RSSS, DE, DRS · other

MaterialsIFF, DOW, DD, KMB, ECL · other

UtilitiesEPD, EXC, KMI, CEG, ET · other

Real EstateCCI, BRT, DOC, ESBA, NLY · other

Consumer StaplesCTVA, PM, MO, KO, PEP · other

EnergyXOM, MPLX, PAA, SLB, APA · other

UnclassifiedFRANCHISE GROUP INC, ITERIS INC NEW, QUOTIENT TECHNOLOGY INC, VONAGE HLDGS CORP, INOVALON HLDGS INC · other

Sector is classified on each name's CURRENT fundamentals, not point-in-time — apparent sector drift can reflect the market re-rating a holding, not a manager trade. 13F is a lagged quarterly snapshot of long positions in US-listed securities only — foreign companies held via a US listing or ADR ARE included, but shares listed only on non-US exchanges (plus shorts, options and cash) are not. Latest quarter: 84.6% of the book is sector-classified (unclassified names shown, never dropped).

Style box · size × value-growth placement of the reported book (2023-Q2), classified on current fundamentals (not point-in-time) — load it into PORT to overlay your own portfolio

Only 38% of book weight classified — the grid is NOT representative of the whole book.

holdings, colored by sector (141 classified)Cowen Prime Advisors LLC centroid (Small Value)

Information TechnologyCommunication ServicesHealth CareMaterialsFinancialsReal EstateUtilitiesConsumer DiscretionaryIndustrialsConsumer StaplesEnergy

Style box summary for Cowen Prime Advisors LLC: centroid Small Value. Heaviest cells: Small Value 16.8%, Large Core 6.5%, Mid Value 4.5%.

Classified: 37.8% of book weight (141/207 names) · unclassified 62.2%: PDFS, , INSE, ASPN, DMRC, GENI, MTSI, BRK.B, AZN, TACT +56 more. Size: cap 70/20/10 bands; style: value/growth composite on our own metrics — not Morningstar's model.

Contribution holdings-based, any period

No contribution data for this period.

Holdings· 229 positions (2023-Q2) · largest first · Δ vs 2023-Q1

#	Security	Shares	Value	Weight	Δ QoQ
1	PDFSPDF SOLUTIONS INC	940,175	$42M	14.6%	TRIM −7%
2	THRYTHRYV HLDGS INC	959,650	$24M	8.1%	HOLD
3	INSEINSPIRED ENTMT INC	1,176,450	$17M	6.0%	ADD 4%
4	ASPNASPEN AEROGELS INC	1,911,500	$15M	5.2%	ADD 15%
5	ITERIS INC NEW	3,256,300	$13M	4.4%	TRIM −4%
6	HLITHARMONIC INC	797,281	$13M	4.4%	HOLD
7	DMRCDIGIMARC CORP NEW	420,312	$12M	4.3%	HOLD
8	GENIGENIUS SPORTS LIMITED	1,972,600	$12M	4.2%	TRIM −4%
9	SHARECARE INC	5,861,000	$10M	3.5%	ADD 26%
10	PTCPTC INC	60,517	$9M	3.0%	HOLD
11	AUGMEDIX INC	1,341,000	$6M	2.2%	TRIM −7%
12	DDD3-D SYS CORP DEL	599,033	$6M	2.0%	ADD 5%
13	MTSIMACOM TECH SOLUTIONS HLDGS I	87,028	$6M	2.0%	HOLD
14	BRK.BBERKSHIRE HATHAWAY INC DEL	13,160	$4M	1.5%	TRIM −3%
15	CCICROWN CASTLE INC	36,860	$4M	1.4%	ADD 33%
16	JNJJOHNSON & JOHNSON	24,500	$4M	1.4%	HOLD
17	AZNASTRAZENECA PLC	51,820	$4M	1.3%	TRIM −3%
18	NVECNVE CORP	37,963	$4M	1.3%	HOLD
19	TACTTRANSACT TECHNOLOGIES INC	399,440	$4M	1.2%	HOLD
20	SBUXSTARBUCKS CORP	35,895	$4M	1.2%	ADD 3%
21	SOCIETAL CDMO INC	3,073,100	$3M	1.2%	ADD 4%
22	ADIANALOG DEVICES INC	16,682	$3M	1.1%	HOLD
23	APYXAPYX MEDICAL CORPORATION	605,682	$3M	1.0%	HOLD
24	KRNTKORNIT DIGITAL LTD	103,040	$3M	1.0%	HOLD
25	APOAPOLLO GLOBAL MGMT INC	39,270	$3M	1.0%	TRIM −4%
26	TXNTEXAS INSTRS INC	16,716	$3M	1.0%	HOLD
27	IFFINTERNATIONAL FLAVORS&FRAGRA	34,055	$3M	0.9%	ADD 30%
28	KKRKKR & CO INC	48,250	$3M	0.9%	TRIM −4%
29	GSITGSI TECHNOLOGY INC	420,670	$2M	0.8%	TRIM −2%
30	PFEPFIZER INC	62,960	$2M	0.8%	TRIM −4%
31	MAGELLAN MIDSTREAM PARTNERS LP	34,800	$2M	0.7%	HOLD
32	MSFTMICROSOFT CORP	6,317	$2M	0.7%	TRIM −3%
33	EPDENTERPRISE PRODS PARTNERS L	78,080	$2M	0.7%	HOLD
34	KMIKINDER MORGAN INC DEL	115,460	$2M	0.7%	TRIM −2%
35	CEVACEVA INC	71,804	$2M	0.6%	HOLD
36	LNTHLANTHEUS HLDGS INC	21,607	$2M	0.6%	HOLD
37	ARAYACCURAY INC	401,438	$2M	0.5%	HOLD
38	IBMINTERNATIONAL BUSINESS MACHS	10,670	$1M	0.5%	HOLD
39	DOWDOW HLDGS INC	25,352	$1M	0.5%	HOLD
40	DDDUPONT DE NEMOURS INC	18,745	$1M	0.5%	HOLD
41	BRTBRT APARTMENTS CORP	63,344	$1M	0.4%	HOLD
42	INFINERA CORP	1,240,000	$1M	0.4%	TRIM −3%
43	EXCEXELON CORP	29,400	$1M	0.4%	TRIM −4%
44	KOPNKOPIN CORP	554,789	$1M	0.4%	HOLD
45	RBBNRIBBON COMMUNICATIONS INC	386,603	$1M	0.4%	HOLD
46	QUOTIENT TECHNOLOGY INC	274,172	$1M	0.4%	TRIM −24%
47	NTNXNUTANIX INC	34,430	$965,762	0.3%	HOLD
48	AAPLAPPLE INC	4,904	$951,229	0.3%	HOLD
49	SCORCOMSCORE INC	1,112,100	$900,801	0.3%	HOLD
50	METMETLIFE INC	15,750	$890,348	0.3%	HOLD
51	TDAYUSA TODAY CO INC	393,940	$886,365	0.3%	HOLD
52	GBDCGOLUB CAP BDC INC	59,000	$796,500	0.3%	HOLD
53	NEONEOGENOMICS INC	38,400	$617,088	0.2%	TRIM −6%
54	DEDEERE & CO	1,500	$607,785	0.2%	HOLD
55	CEGCONSTELLATION ENERGY CORP	6,425	$588,209	0.2%	TRIM −6%
56	CTVACORTEVA INC	10,252	$587,440	0.2%	HOLD
57	CGNTCOGNYTE SOFTWARE LTD	92,000	$560,280	0.2%	HOLD
58	KDKYNDRYL HLDGS INC	37,480	$497,734	0.2%	ADD 3%
59	NVONOVO-NORDISK A S	3,000	$485,490	0.2%	HOLD
60	ETENERGY TRANSFER L P	38,000	$482,600	0.2%	HOLD
61	TEVATEVA PHARMACEUTICAL INDS LTD	63,040	$474,691	0.2%	HOLD
62	NEOGNEOGEN CORP	20,200	$439,350	0.2%	HOLD
63	DRSLEONARDO DRS INC	24,500	$424,830	0.1%	HOLD
64	BXBLACKSTONE INC	4,134	$384,338	0.1%	HOLD
65	XOMEXXON MOBIL CORP	3,370	$361,433	0.1%	HOLD
66	TTTRANE TECHNOLOGIES PLC	1,850	$353,831	0.1%	HOLD
67	GOOGALPHABET INC	2,923	$353,595	0.1%	HOLD
68	MDWDMEDIWOUND LTD	33,409	$350,795	0.1%	ADD 47%
69	STXSEAGATE TECHNOLOGY HLDNGS PL	5,650	$349,566	0.1%	HOLD
70	GOOGLALPHABET INC	2,800	$335,160	0.1%	HOLD
71	ALLTALLOT LTD	103,339	$326,551	0.1%	HOLD
72	NRCNATIONAL RESH CORP	7,000	$304,570	0.1%	HOLD
73	3D SYS CORP DEL	400,000	$302,252	0.1%	NEW
74	GEGE AEROSPACE	2,681	$294,508	0.1%	HOLD
75	ARCCARES CAPITAL CORP	15,000	$281,850	0.1%	HOLD
76	PHARPHARMING GROUP NV	22,460	$261,659	0.1%	HOLD
77	UNHUNITEDHEALTH GROUP INC	517	$248,491	0.1%	HOLD
78	VNRXVOLITIONRX LTD	178,738	$248,446	0.1%	HOLD
79	FRANCHISE GROUP INC	8,485	$243,010	0.1%	TRIM −89%
80	MPLXMPLX LP	6,809	$231,097	0.1%	HOLD
81	DURECT CORP	45,550	$225,473	0.1%	HOLD
82	ARESARES MANAGEMENT CORPORATION	2,300	$221,605	0.1%	HOLD
83	NLYANNALY CAPITAL MANAGEMENT IN	10,800	$216,108	0.1%	TRIM −5%
84	CCAPCRESCENT CAP BDC INC	14,260	$215,896	0.1%	HOLD
85	JPMJPMORGAN CHASE & CO	1,449	$210,743	0.1%	HOLD
86	PAYXPAYCHEX INC	1,800	$201,366	0.1%	HOLD
87	OXSQOXFORD SQUARE CAP CORP	74,940	$198,591	0.1%	ADD 33%
88	ECLECOLAB INC	1,051	$196,211	0.1%	HOLD
89	LENLENNAR CORP	1,500	$187,965	0.1%	HOLD
90	LMTLOCKHEED MARTIN CORP	400	$184,152	0.1%	HOLD
91	ABBVABBVIE INC	1,304	$175,688	0.1%	TRIM −48%
92	VZVERIZON COMMUNICATIONS INC	4,367	$162,409	0.1%	HOLD
93	DOCHEALTHPEAK PROPERTIES INC	8,000	$160,800	0.1%	HOLD
94	KALEYRA INC	23,631	$159,273	0.1%	HOLD
95	RDNWRIDENOW GROUP INC	12,800	$158,208	0.1%	TRIM −28%
96	CTSOCYTOSORBENTS CORP	42,301	$151,861	0.1%	TRIM −8%
97	QUIKQUICKLOGIC CORP	15,808	$145,276	0.1%	HOLD
98	GLWCORNING INC	3,750	$131,400	0.0%	HOLD
99	GLPGLOBAL PARTNERS LP	4,150	$127,530	0.0%	HOLD
100	APPLIED DNA SCIENCES INC	98,301	$126,808	0.0%	HOLD
101	NAGENIAGEN BIOSCIENCE INC	79,557	$124,904	0.0%	HOLD
102	SRESEMPRA	800	$116,472	0.0%	HOLD
103	BMYBRISTOL-MYERS SQUIBB CO	1,800	$115,110	0.0%	TRIM −14%
104	IRINGERSOLL RAND INC	1,632	$106,668	0.0%	HOLD
105	TSLATESLA INC	400	$104,708	0.0%	HOLD
106	RITMRITHM CAPITAL CORP	11,100	$103,785	0.0%	ADD 102%
107	WESWESTERN MIDSTREAM PARTNERS L	3,813	$101,121	0.0%	HOLD
108	PMPHILIP MORRIS INTL INC	1,000	$97,620	0.0%	HOLD
109	ORBITAL INFRASTRUCTURE GRP I	44,618	$95,483	0.0%	NEW
110	ESBAEMPIRE ST RLTY OP L P	12,904	$94,844	0.0%	HOLD
111	MRAMEVERSPIN TECHNOLOGIES INC	9,887	$91,059	0.0%	TRIM −9%
112	PGPROCTER AND GAMBLE CO	600	$91,044	0.0%	HOLD
113	VOVANGUARD INDEX FDS	413	$90,926	0.0%	HOLD
114	VSHVISHAY INTERTECHNOLOGY INC	2,804	$82,438	0.0%	HOLD
115	ALLEALLEGION PLC	666	$79,933	0.0%	HOLD
116	UNILEVER PLC	1,493	$77,830	0.0%	HOLD
117	LOWLOWES COS INC	340	$76,738	0.0%	HOLD
118	SPHSUBURBAN PROPANE PARTNERS L	5,013	$74,192	0.0%	HOLD
119	GEHCGE HEALTHCARE TECHNOLOGIES I	890	$72,304	0.0%	HOLD
120	KMBKIMBERLY-CLARK CORP	500	$69,030	0.0%	HOLD
121	PYPLPAYPAL HLDGS INC	1,034	$68,999	0.0%	HOLD
122	BMOBANK MONTREAL MEDIUM	753	$68,003	0.0%	HOLD
123	MOALTRIA GROUP INC	1,500	$67,950	0.0%	HOLD
124	EMREMERSON ELEC CO	750	$67,793	0.0%	HOLD
125	DDOMINION ENERGY INC	1,300	$67,327	0.0%	HOLD
126	MATVMATIV HOLDINGS INC	4,000	$60,480	0.0%	HOLD
127	KOCOCA COLA CO	1,000	$60,220	0.0%	HOLD
128	SYNCHRONOSS TECHNOLOGIES INC	64,349	$59,787	0.0%	HOLD
129	UPSUNITED PARCEL SERVICE INC	327	$58,615	0.0%	HOLD
130	AMDADVANCED MICRO DEVICES INC	500	$56,955	0.0%	HOLD
131	ABTABBOTT LABS	500	$54,510	0.0%	HOLD
132	INTCINTEL CORP	1,600	$53,504	0.0%	HOLD
133	MRCYMERCURY SYS INC	1,500	$51,885	0.0%	ADD 7%
134	MCDMCDONALDS CORP	161	$48,044	0.0%	TRIM −76%
135	PAAPLAINS ALL AMERN PIPELINE L	3,400	$47,940	0.0%	HOLD
136	ORCLORACLE CORP	394	$46,921	0.0%	HOLD
137	EBAYEBAY INC.	1,000	$44,690	0.0%	HOLD
138	NNNNNN REIT INC	1,000	$42,790	0.0%	HOLD
139	DRIDARDEN RESTAURANTS INC	250	$41,770	0.0%	HOLD
140	SLBSCHLUMBERGER LTD	835	$41,015	0.0%	HOLD
141	RSSSRESEARCH SOLUTIONS INC	20,000	$40,800	0.0%	HOLD
142	AEPAMERICAN ELEC PWR CO INC	450	$37,890	0.0%	HOLD
143	TRGPTARGA RES CORP	496	$37,746	0.0%	HOLD
144	SSYSSTRATASYS LTD	2,000	$35,520	0.0%	HOLD
145	AXPAMERICAN EXPRESS CO	200	$34,840	0.0%	HOLD
146	METAMETA PLATFORMS INC	121	$34,725	0.0%	HOLD
147	IWMISHARES TR	185	$34,645	0.0%	HOLD
148	PEPPEPSICO INC	180	$33,340	0.0%	TRIM −22%
149	WMBWILLIAMS COS INC	1,000	$32,630	0.0%	HOLD
150	FFORD MTR CO	2,000	$30,260	0.0%	HOLD
151	UPHLUPHEALTH INC	15,584	$29,298	0.0%	HOLD
152	FLNACASSAVA SCIENCES INC	1,143	$28,026	0.0%	HOLD
153	GINKGO BIOWORKS HOLDINGS INC	15,000	$27,900	0.0%	HOLD
154	MSMORGAN STANLEY	318	$27,157	0.0%	HOLD
155	CLCOLGATE PALMOLIVE CO	350	$26,964	0.0%	HOLD
156	CAPSTONE GREEN ENERGY CORP.	18,569	$22,283	0.0%	HOLD
157	BACBANK AMERICA CORP	760	$21,804	0.0%	HOLD
158	XEXGXEATON VANCE TAX-MANAGED GLOB	2,700	$21,384	0.0%	HOLD
159	SYYSYSCO CORP	232	$17,214	0.0%	HOLD
160	BARRICK GOLD CORP	1,000	$16,930	0.0%	HOLD
161	TAT&T INC	973	$15,519	0.0%	HOLD
162	BHFBRIGHTHOUSE FINL INC	326	$15,436	0.0%	HOLD
163	APAAPA CORPORATION	450	$15,377	0.0%	HOLD
164	BKRBAKER HUGHES COMPANY	400	$12,644	0.0%	HOLD
165	KHCKRAFT HEINZ CO	333	$11,822	0.0%	HOLD
166	HPHelmerich & Payne Inc.	300	$10,635	0.0%	HOLD
167	NVSNOVARTIS AG	100	$10,091	0.0%	HOLD
168	CSCOCISCO SYS INC	188	$9,727	0.0%	HOLD
169	MSMMSC INDL DIRECT INC	100	$9,528	0.0%	HOLD
170	WABWABTEC	82	$8,993	0.0%	TRIM −16%
171	CCCHEMOURS CO	220	$8,116	0.0%	HOLD
172	VIAVVIAVI SOLUTIONS INC	712	$8,067	0.0%	HOLD
173	PSECPROSPECT CAP CORP	1,300	$8,060	0.0%	HOLD
174	LITELUMENTUM HLDGS INC	142	$8,056	0.0%	HOLD
175	QSQUANTUMSCAPE CORP	1,000	$7,990	0.0%	HOLD
176	AVGOBROADCOM INC	9	$7,807	0.0%	HOLD
177	LLYELI LILLY & CO	16	$7,504	0.0%	HOLD
178	VPGVISHAY PRECISION GROUP INC	200	$7,430	0.0%	HOLD
179	ETNEATON CORP PLC	35	$7,039	0.0%	HOLD
180	MRKMERCK & CO INC	59	$6,808	0.0%	TRIM −87%
181	SHELSHELL PLC	112	$6,763	0.0%	HOLD
182	RTXRTX CORPORATION	65	$6,367	0.0%	HOLD
183	CCITIGROUP INC	134	$6,169	0.0%	HOLD
184	HPQHP INC	200	$6,142	0.0%	HOLD
185	MFCMANULIFE FINL CORP	320	$6,051	0.0%	HOLD
186	ASPEN AEROGELS INC CALL	400	$6,000	0.0%	NEW
187	VVISA INC	23	$5,462	0.0%	HOLD
188	TOTALENERGIES SE	93	$5,361	0.0%	HOLD
189	SUSUNCOR ENERGY INC NEW	178	$5,219	0.0%	HOLD
190	LRCXLAM RESEARCH	8	$5,143	0.0%	HOLD
191	SLDPSOLID POWER INC	2,000	$5,080	0.0%	HOLD
192	LVSLAS VEGAS SANDS CORP	86	$4,988	0.0%	HOLD
193	MDLZMONDELEZ INTL INC	68	$4,960	0.0%	HOLD
194	BLKBLACKROCK INC	7	$4,838	0.0%	HOLD
195	WMWASTE MGMT INC DEL	26	$4,509	0.0%	HOLD
196	TDTORONTO DOMINION BK ONT	72	$4,465	0.0%	HOLD
197	BABOEING CO	21	$4,434	0.0%	HOLD
198	TELTE CONNECTIVITY LTD	30	$4,205	0.0%	HOLD
199	GRMNGARMIN LTD	40	$4,172	0.0%	HOLD
200	DEODIAGEO PLC	23	$3,990	0.0%	HOLD

showing the top 200 by weight

☆Cowen Prime Advisors LLC