# EDGAR Filing Document

**Accession Number:** 0001875920
**File Stem:** 0000890163-23-000002
**Filing Date:** 2023-2
**Character Count:** 22002
**Document Hash:** ea9c620075d76d4bdda58a37c4a5389b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000890163-23-000002.hdr.sgml**: 20230201

**ACCESSION NUMBER**: 0000890163-23-000002

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230201

**DATE AS OF CHANGE**: 20230201

**EFFECTIVENESS DATE**: 20230201

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Cowen Prime Advisors LLC
- **CENTRAL INDEX KEY:** 0001875920
- **IRS NUMBER:** 270423711
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-21310
- **FILM NUMBER:** 23576529

**BUSINESS ADDRESS:**
- **STREET 1:** 599 LEXINGTON AVENUE
- **STREET 2:** 20TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022
- **BUSINESS PHONE:** 2127027157

**MAIL ADDRESS:**
- **STREET 1:** 599 LEXINGTON AVENUE
- **STREET 2:** 20TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** Cowen Prime Advisors LLC<br>**Address:** 599 Lexington Avenue<br>20th Floor<br>New York, NY 10022

**Form 13F File Number:** 028-21310

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Rep Poppell<br>**Title:** Chief Compliance Officer<br>**Phone:** 212-702-7157

**Signature, Place, and Date of Signing:**

/s/ Rep Poppell  New York, NY  01-31-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 192

**Form 13F Information Table Value Total:** $242977

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| AT INC COM | Stock | 00206R102 |  | 18 | 973 | SH |  | SOLE |  | 0 | 0 | 18 |
| ABBOTT LABS COM | Stock | 002824100 |  | 55 | 500 | SH |  | SOLE |  | 0 | 0 | 55 |
| ABBVIE INC COM | Stock | 00287Y109 |  | 397 | 2454 | SH |  | SOLE |  | 0 | 0 | 397 |
| ACCURAY INC COM | Stock | 004397105 |  | 868 | 415538 | SH |  | SOLE |  | 0 | 0 | 868 |
| ADVANCED MICRO DEVICES INC COM | Stock | 007903107 |  | 32 | 500 | SH |  | SOLE |  | 0 | 0 | 32 |
| ALPHABET INC CAP STK CL C | Stock | 02079K107 |  | 248 | 2800 | SH |  | SOLE |  | 0 | 0 | 248 |
| ALPHABET INC CAP STK CL A | Stock | 02079K305 |  | 247 | 2800 | SH |  | SOLE |  | 0 | 0 | 247 |
| ALTRIA GROUP INC COM | Stock | 02209S103 |  | 69 | 1500 | SH |  | SOLE |  | 0 | 0 | 69 |
| AMERICAN ELEC PWR CO INC COM | Stock | 025537101 |  | 43 | 450 | SH |  | SOLE |  | 0 | 0 | 43 |
| AMERICAN EXPRESS CO COM | Stock | 025816109 |  | 30 | 200 | SH |  | SOLE |  | 0 | 0 | 30 |
| ANALOG DEVICES INC COM | Stock | 032654105 |  | 3015 | 18382 | SH |  | SOLE |  | 0 | 0 | 3015 |
| ANNALY CAPITAL MANAGEMENT IN COM NEW | Stock | 035710839 |  | 252 | 11950 | SH |  | SOLE |  | 0 | 0 | 252 |
| APA CORPORATION COM | Stock | 03743Q108 |  | 21 | 450 | SH |  | SOLE |  | 0 | 0 | 21 |
| APOLLO GLOBAL MGMT INC COM | Stock | 03769M106 |  | 2610 | 40920 | SH |  | SOLE |  | 0 | 0 | 2610 |
| APPLE INC COM | Stock | 037833100 |  | 621 | 4780 | SH |  | SOLE |  | 0 | 0 | 621 |
| APPLIED DNA SCIENCES INC COM | Stock | 03815U300 |  | 163 | 98301 | SH |  | SOLE |  | 0 | 0 | 163 |
| APYX MEDICAL CORPORATION COM | Stock | 03837C106 |  | 1419 | 606282 | SH |  | SOLE |  | 0 | 0 | 1419 |
| ARES MANAGEMENT CORPORATION CL A COM STK | Stock | 03990B101 |  | 157 | 2300 | SH |  | SOLE |  | 0 | 0 | 157 |
| ARES CAPITAL CORP COM | Stock | 04010L103 |  | 277 | 15000 | SH |  | SOLE |  | 0 | 0 | 277 |
| ASPEN AEROGELS INC COM | Stock | 04523Y105 |  | 12402 | 1051925 | SH |  | SOLE |  | 0 | 0 | 12402 |
| ASTRAZENECA PLC SPONSORED ADR | Stock | 046353108 |  | 3527 | 52020 | SH |  | SOLE |  | 0 | 0 | 3527 |
| AUGMEDIX INC COM | Stock | 05105P107 |  | 1158 | 742100 | SH |  | SOLE |  | 0 | 0 | 1158 |
| BRT APARTMENTS CORP COM | Stock | 055645303 |  | 1244 | 63344 | SH |  | SOLE |  | 0 | 0 | 1244 |
| BAKER HUGHES COMPANY CL A | Stock | 05722G100 |  | 12 | 400 | SH |  | SOLE |  | 0 | 0 | 12 |
| BANK AMERICA CORP COM | Stock | 060505104 |  | 25 | 760 | SH |  | SOLE |  | 0 | 0 | 25 |
| BANK MONTREAL QUE COM | Stock | 063671101 |  | 68 | 753 | SH |  | SOLE |  | 0 | 0 | 68 |
| BARRICK GOLD CORP COM | Stock | 067901108 |  | 17 | 1000 | SH |  | SOLE |  | 0 | 0 | 17 |
| BERKSHIRE HATHAWAY INC DEL CL B NEW | Stock | 084670702 |  | 4135 | 13385 | SH |  | SOLE |  | 0 | 0 | 4135 |
| BLACKSTONE INC COM | Stock | 09260D107 |  | 304 | 4100 | SH |  | SOLE |  | 0 | 0 | 304 |
| BRIGHTHOUSE FINL INC COM | Stock | 10922N103 |  | 17 | 326 | SH |  | SOLE |  | 0 | 0 | 17 |
| BRISTOL-MYERS SQUIBB CO COM | Stock | 110122108 |  | 151 | 2100 | SH |  | SOLE |  | 0 | 0 | 151 |
| CAPSTONE GREEN ENERGY CORP COM | Stock | 14067D508 |  | 27 | 18569 | SH |  | SOLE |  | 0 | 0 | 27 |
| CASSAVA SCIENCES INC COM | Stock | 14817C107 |  | 34 | 1143 | SH |  | SOLE |  | 0 | 0 | 34 |
| CEVA INC COM | Stock | 157210105 |  | 1883 | 73604 | SH |  | SOLE |  | 0 | 0 | 1883 |
| CHEMOURS CO COM | Stock | 163851108 |  | 7 | 220 | SH |  | SOLE |  | 0 | 0 | 7 |
| CHROMADEX CORP COM NEW | Stock | 171077407 |  | 127 | 75357 | SH |  | SOLE |  | 0 | 0 | 127 |
| CISCO SYS INC COM | Stock | 17275R102 |  | 5 | 100 | SH |  | SOLE |  | 0 | 0 | 5 |
| CITIGROUP INC COM NEW | Stock | 172967424 |  | 2 | 35 | SH |  | SOLE |  | 0 | 0 | 2 |
| COCA COLA CO COM | Stock | 191216100 |  | 64 | 1000 | SH |  | SOLE |  | 0 | 0 | 64 |
| COLGATE PALMOLIVE CO COM | Stock | 194162103 |  | 28 | 350 | SH |  | SOLE |  | 0 | 0 | 28 |
| COMSCORE INC COM | Stock | 20564W105 |  | 2642 | 2277600 | SH |  | SOLE |  | 0 | 0 | 2642 |
| CONSTELLATION ENERGY CORP COM | Stock | 21037T109 |  | 590 | 6841 | SH |  | SOLE |  | 0 | 0 | 590 |
| CORNING INC COM | Stock | 219350105 |  | 120 | 3750 | SH |  | SOLE |  | 0 | 0 | 120 |
| CORTEVA INC COM | Stock | 22052L104 |  | 603 | 10252 | SH |  | SOLE |  | 0 | 0 | 603 |
| CRESCENT CAP BDC INC COM | Stock | 225655109 |  | 157 | 12300 | SH |  | SOLE |  | 0 | 0 | 157 |
| CROWN CASTLE INC COM | Stock | 22822V101 |  | 2143 | 15800 | SH |  | SOLE |  | 0 | 0 | 2143 |
| CYTOSORBENTS CORP COM NEW | Stock | 23283X206 |  | 64 | 41200 | SH |  | SOLE |  | 0 | 0 | 64 |
| DCP MIDSTREAM LP COM UT LTD PTN | Stock | 23311P100 |  | 62 | 1600 | SH |  | SOLE |  | 0 | 0 | 62 |
| DARDEN RESTAURANTS INC COM | Stock | 237194105 |  | 35 | 250 | SH |  | SOLE |  | 0 | 0 | 35 |
| DEERE  CO COM | Stock | 244199105 |  | 643 | 1500 | SH |  | SOLE |  | 0 | 0 | 643 |
| DIGIMARC CORP NEW COM | Stock | 25381B101 |  | 7778 | 420642 | SH |  | SOLE |  | 0 | 0 | 7778 |
| DISNEY WALT CO COM | Stock | 254687106 |  | 1 | 10 | SH |  | SOLE |  | 0 | 0 | 1 |
| DOMINION ENERGY INC COM | Stock | 25746U109 |  | 80 | 1300 | SH |  | SOLE |  | 0 | 0 | 80 |
| DOW INC COM | Stock | 260557103 |  | 1277 | 25352 | SH |  | SOLE |  | 0 | 0 | 1277 |
| DUPONT DE NEMOURS INC COM | Stock | 26614N102 |  | 1286 | 18745 | SH |  | SOLE |  | 0 | 0 | 1286 |
| DURECT CORP COM NEW | Stock | 266605500 |  | 162 | 46930 | SH |  | SOLE |  | 0 | 0 | 162 |
| EATON VANCE TAX-MANAGED GLOB COM | Stock | 27829F108 |  | 20 | 2700 | SH |  | SOLE |  | 0 | 0 | 20 |
| EBAY INC. COM | Stock | 278642103 |  | 41 | 1000 | SH |  | SOLE |  | 0 | 0 | 41 |
| ECOLAB INC COM | Stock | 278865100 |  | 153 | 1051 | SH |  | SOLE |  | 0 | 0 | 153 |
| EHEALTH INC COM | Stock | 28238P109 |  | 2 | 405 | SH |  | SOLE |  | 0 | 0 | 2 |
| EMERSON ELEC CO COM | Stock | 291011104 |  | 72 | 750 | SH |  | SOLE |  | 0 | 0 | 72 |
| EMPIRE ST RLTY OP L P UNIT LTD PRTNSP | Stock | 292102100 |  | 84 | 12904 | SH |  | SOLE |  | 0 | 0 | 84 |
| ENERGY TRANSFER L P COM UT LTD PTN | Stock | 29273V100 |  | 445 | 37500 | SH |  | SOLE |  | 0 | 0 | 445 |
| ENTERPRISE PRODS PARTNERS L COM | Stock | 293792107 |  | 1871 | 77580 | SH |  | SOLE |  | 0 | 0 | 1871 |
| EVERSPIN TECHNOLOGIES INC COM | Stock | 30041T104 |  | 61 | 10887 | SH |  | SOLE |  | 0 | 0 | 61 |
| EXELON CORP COM | Stock | 30161N101 |  | 1176 | 27200 | SH |  | SOLE |  | 0 | 0 | 1176 |
| EXXON MOBIL CORP COM | Stock | 30231G102 |  | 372 | 3370 | SH |  | SOLE |  | 0 | 0 | 372 |
| META PLATFORMS INC CL A | Stock | 30303M102 |  | 12 | 100 | SH |  | SOLE |  | 0 | 0 | 12 |
| FORD MTR CO DEL COM | Stock | 345370860 |  | 23 | 2000 | SH |  | SOLE |  | 0 | 0 | 23 |
| FRANCHISE GROUP INC COM | Stock | 35180X105 |  | 7188 | 301770 | SH |  | SOLE |  | 0 | 0 | 7188 |
| GSI TECHNOLOGY INC COM | Stock | 36241U106 |  | 708 | 409052 | SH |  | SOLE |  | 0 | 0 | 708 |
| GANNETT CO INC COM | Stock | 36472T109 |  | 819 | 403240 | SH |  | SOLE |  | 0 | 0 | 819 |
| GENERAL ELECTRIC CO COM NEW | Stock | 369604301 |  | 225 | 2681 | SH |  | SOLE |  | 0 | 0 | 225 |
| GINKGO BIOWORKS HOLDINGS INC CL A SHS | Stock | 37611X100 |  | 25 | 15000 | SH |  | SOLE |  | 0 | 0 | 25 |
| GLOBAL PARTNERS LP COM UNITS | Stock | 37946R109 |  | 144 | 4150 | SH |  | SOLE |  | 0 | 0 | 144 |
| GOLUB CAP BDC INC COM | Stock | 38173M102 |  | 792 | 60200 | SH |  | SOLE |  | 0 | 0 | 792 |
| HP INC COM | Stock | 40434L105 |  | 5 | 200 | SH |  | SOLE |  | 0 | 0 | 5 |
| HALLIBURTON CO COM | Stock | 406216101 |  | 4 | 100 | SH |  | SOLE |  | 0 | 0 | 4 |
| HARMONIC INC COM | Stock | 413160102 |  | 10692 | 816181 | SH |  | SOLE |  | 0 | 0 | 10692 |
| HEALTHPEAK PROPERTIES INC COM | Stock | 42250P103 |  | 201 | 8000 | SH |  | SOLE |  | 0 | 0 | 201 |
| HELMERICH  PAYNE INC COM | Stock | 423452101 |  | 15 | 300 | SH |  | SOLE |  | 0 | 0 | 15 |
| HEWLETT PACKARD ENTERPRISE C COM | Stock | 42824C109 |  | 3 | 200 | SH |  | SOLE |  | 0 | 0 | 3 |
| INFINERA CORP NOTE 2.125 9/0 | Stock | 45667GAC7 |  | 1253 | 1280000 | SH |  | SOLE |  | 0 | 0 | 1253 |
| INGERSOLL RAND INC COM | Stock | 45687V106 |  | 85 | 1632 | SH |  | SOLE |  | 0 | 0 | 85 |
| INSPIRED ENTMT INC COM | Stock | 45782N108 |  | 12642 | 997800 | SH |  | SOLE |  | 0 | 0 | 12642 |
| INTEL CORP COM | Stock | 458140100 |  | 42 | 1600 | SH |  | SOLE |  | 0 | 0 | 42 |
| INTERNATIONAL BUSINESS MACHS COM | Stock | 459200101 |  | 1672 | 11870 | SH |  | SOLE |  | 0 | 0 | 1672 |
| INTERNATIONAL FLAVORS COM | Stock | 459506101 |  | 1442 | 13750 | SH |  | SOLE |  | 0 | 0 | 1442 |
| ITERIS INC NEW COM | Stock | 46564T107 |  | 10804 | 3473900 | SH |  | SOLE |  | 0 | 0 | 10804 |
| ITRON INC COM | Stock | 465741106 |  | 13 | 250 | SH |  | SOLE |  | 0 | 0 | 13 |
| JPMORGAN CHASE  CO COM | Stock | 46625H100 |  | 187 | 1395 | SH |  | SOLE |  | 0 | 0 | 187 |
| JOHNSON  JOHNSON COM | Stock | 478160104 |  | 4409 | 24960 | SH |  | SOLE |  | 0 | 0 | 4409 |
| KKR  CO INC COM | Stock | 48251W104 |  | 2328 | 50150 | SH |  | SOLE |  | 0 | 0 | 2328 |
| KALEYRA INC COM | Stock | 483379103 |  | 60 | 79481 | SH |  | SOLE |  | 0 | 0 | 60 |
| KIMBERLY-CLARK CORP COM | Stock | 494368103 |  | 68 | 500 | SH |  | SOLE |  | 0 | 0 | 68 |
| KINDER MORGAN INC DEL COM | Stock | 49456B101 |  | 2224 | 123010 | SH |  | SOLE |  | 0 | 0 | 2224 |
| KOPIN CORP COM | Stock | 500600101 |  | 658 | 530400 | SH |  | SOLE |  | 0 | 0 | 658 |
| KRAFT HEINZ CO COM | Stock | 500754106 |  | 14 | 333 | SH |  | SOLE |  | 0 | 0 | 14 |
| KYNDRYL HLDGS INC COMMON STOCK | Stock | 50155Q100 |  | 386 | 34720 | SH |  | SOLE |  | 0 | 0 | 386 |
| LANTHEUS HLDGS INC COM | Stock | 516544103 |  | 1132 | 22207 | SH |  | SOLE |  | 0 | 0 | 1132 |
| LENNAR CORP CL A | Stock | 526057104 |  | 136 | 1500 | SH |  | SOLE |  | 0 | 0 | 136 |
| LENNAR CORP CL B | Stock | 526057302 |  | 2 | 30 | SH |  | SOLE |  | 0 | 0 | 2 |
| LEONARDO DRS INC COM | Stock | 52661A108 |  | 313 | 24500 | SH |  | SOLE |  | 0 | 0 | 313 |
| LIGHTNING EMOTORS INC COM | Stock | 53228T101 |  | 1 | 3000 | SH |  | SOLE |  | 0 | 0 | 1 |
| LOCKHEED MARTIN CORP COM | Stock | 539830109 |  | 195 | 400 | SH |  | SOLE |  | 0 | 0 | 195 |
| LOWES COS INC COM | Stock | 548661107 |  | 68 | 340 | SH |  | SOLE |  | 0 | 0 | 68 |
| LUMENTUM HLDGS INC COM | Stock | 55024U109 |  | 7 | 142 | SH |  | SOLE |  | 0 | 0 | 7 |
| MPLX LP COM UNIT REP LTD | Stock | 55336V100 |  | 224 | 6809 | SH |  | SOLE |  | 0 | 0 | 224 |
| MSC INDL DIRECT INC CL A | Stock | 553530106 |  | 8 | 100 | SH |  | SOLE |  | 0 | 0 | 8 |
| MACOM TECH SOLUTIONS HLDGS I COM | Stock | 55405Y100 |  | 5513 | 87528 | SH |  | SOLE |  | 0 | 0 | 5513 |
| MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP | Stock | 559080106 |  | 1747 | 34800 | SH |  | SOLE |  | 0 | 0 | 1747 |
| MCDONALDS CORP COM | Stock | 580135101 |  | 174 | 661 | SH |  | SOLE |  | 0 | 0 | 174 |
| MERCK  CO INC COM | Stock | 58933Y105 |  | 44 | 400 | SH |  | SOLE |  | 0 | 0 | 44 |
| MERCURY SYS INC COM | Stock | 589378108 |  | 63 | 1400 | SH |  | SOLE |  | 0 | 0 | 63 |
| METLIFE INC COM | Stock | 59156R108 |  | 1140 | 15750 | SH |  | SOLE |  | 0 | 0 | 1140 |
| MICRO FOCUS INTL PLC SPON ADR NEW | Stock | 594837403 |  | 0 | 20 | SH |  | SOLE |  | 0 | 0 | 0 |
| MICROSOFT CORP COM | Stock | 594918104 |  | 1643 | 6850 | SH |  | SOLE |  | 0 | 0 | 1643 |
| MORGAN STANLEY COM NEW | Stock | 617446448 |  | 27 | 318 | SH |  | SOLE |  | 0 | 0 | 27 |
| NVE CORP COM NEW | Stock | 629445206 |  | 2539 | 39213 | SH |  | SOLE |  | 0 | 0 | 2539 |
| NATIONAL RESH CORP COM NEW | Stock | 637372202 |  | 261 | 7000 | SH |  | SOLE |  | 0 | 0 | 261 |
| NATIONAL RETAIL PROPERTIES I COM | Stock | 637417106 |  | 46 | 1000 | SH |  | SOLE |  | 0 | 0 | 46 |
| NEOGEN CORP COM | Stock | 640491106 |  | 308 | 20200 | SH |  | SOLE |  | 0 | 0 | 308 |
| NEOGENOMICS INC COM NEW | Stock | 64049M209 |  | 377 | 40800 | SH |  | SOLE |  | 0 | 0 | 377 |
| RITHM CAPITAL CORP COM NEW | Stock | 64828T201 |  | 45 | 5500 | SH |  | SOLE |  | 0 | 0 | 45 |
| NORTHROP GRUMMAN CORP COM | Stock | 666807102 |  | 246 | 450 | SH |  | SOLE |  | 0 | 0 | 246 |
| NOVARTIS AG SPONSORED ADR | Stock | 66987V109 |  | 9 | 100 | SH |  | SOLE |  | 0 | 0 | 9 |
| NOVO-NORDISK A S ADR | Stock | 670100205 |  | 440 | 3250 | SH |  | SOLE |  | 0 | 0 | 440 |
| NUTANIX INC CL A | Stock | 67059N108 |  | 897 | 34430 | SH |  | SOLE |  | 0 | 0 | 897 |
| OCCIDENTAL PETE CORP W EXP 08/03/202 | Stock | 674599162 |  | 3 | 68 | SH |  | SOLE |  | 0 | 0 | 3 |
| ORACLE CORP COM | Stock | 68389X105 |  | 32 | 394 | SH |  | SOLE |  | 0 | 0 | 32 |
| ORBITAL INFRASTRUCTURE GRP I COM | Stock | 68559A109 |  | 355 | 1801549 | SH |  | SOLE |  | 0 | 0 | 355 |
| ORGANON  CO COMMON STOCK | Stock | 68622V106 |  | 1 | 40 | SH |  | SOLE |  | 0 | 0 | 1 |
| OXFORD SQUARE CAP CORP COM | Stock | 69181V107 |  | 175 | 56212 | SH |  | SOLE |  | 0 | 0 | 175 |
| PDF SOLUTIONS INC COM | Stock | 693282105 |  | 40824 | 1431404 | SH |  | SOLE |  | 0 | 0 | 40824 |
| PTC INC COM | Stock | 69370C100 |  | 7416 | 61777 | SH |  | SOLE |  | 0 | 0 | 7416 |
| PAYCHEX INC COM | Stock | 704326107 |  | 208 | 1800 | SH |  | SOLE |  | 0 | 0 | 208 |
| PAYPAL HLDGS INC COM | Stock | 70450Y103 |  | 74 | 1034 | SH |  | SOLE |  | 0 | 0 | 74 |
| PENN ENTERTAINMENT INC COM | Stock | 707569109 |  | 2 | 75 | SH |  | SOLE |  | 0 | 0 | 2 |
| PEPSICO INC COM | Stock | 713448108 |  | 42 | 230 | SH |  | SOLE |  | 0 | 0 | 42 |
| PFIZER INC COM | Stock | 717081103 |  | 3375 | 65860 | SH |  | SOLE |  | 0 | 0 | 3375 |
| PHARMING GROUP NV SPON ADS | Stock | 71716E105 |  | 238 | 21610 | SH |  | SOLE |  | 0 | 0 | 238 |
| PHILIP MORRIS INTL INC COM | Stock | 718172109 |  | 101 | 1000 | SH |  | SOLE |  | 0 | 0 | 101 |
| PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN | Stock | 726503105 |  | 40 | 3400 | SH |  | SOLE |  | 0 | 0 | 40 |
| PROCTER AND GAMBLE CO COM | Stock | 742718109 |  | 91 | 600 | SH |  | SOLE |  | 0 | 0 | 91 |
| PROSPECT CAP CORP COM | Stock | 74348T102 |  | 9 | 1300 | SH |  | SOLE |  | 0 | 0 | 9 |
| QUANTUMSCAPE CORP COM CL A | Stock | 74767V109 |  | 6 | 1000 | SH |  | SOLE |  | 0 | 0 | 6 |
| QUICKLOGIC CORP COM NEW | Stock | 74837P405 |  | 81 | 15808 | SH |  | SOLE |  | 0 | 0 | 81 |
| QUOTIENT TECHNOLOGY INC COM | Stock | 749119103 |  | 1563 | 455637 | SH |  | SOLE |  | 0 | 0 | 1563 |
| SOCIETAL CDMO INC COM | Stock | 75629F109 |  | 6425 | 4312400 | SH |  | SOLE |  | 0 | 0 | 6425 |
| RESEARCH SOLUTIONS INC COM | Stock | 761025105 |  | 48 | 25000 | SH |  | SOLE |  | 0 | 0 | 48 |
| RIBBON COMMUNICATIONS INC COM | Stock | 762544104 |  | 1098 | 393403 | SH |  | SOLE |  | 0 | 0 | 1098 |
| SHELL PLC SPON ADS | Stock | 780259305 |  | 6 | 112 | SH |  | SOLE |  | 0 | 0 | 6 |
| RUMBLEON INC COM CL B | Stock | 781386305 |  | 115 | 17800 | SH |  | SOLE |  | 0 | 0 | 115 |
| SPDR GOLD TR GOLD SHS | Stock | 78463V107 |  | 3 | 20 | SH |  | SOLE |  | 0 | 0 | 3 |
| SCHLUMBERGER LTD COM STK | Stock | 806857108 |  | 45 | 835 | SH |  | SOLE |  | 0 | 0 | 45 |
| MATIV HOLDINGS INC COM | Stock | 808541106 |  | 102 | 4900 | SH |  | SOLE |  | 0 | 0 | 102 |
| SEMPRA COM | Stock | 816851109 |  | 124 | 800 | SH |  | SOLE |  | 0 | 0 | 124 |
| SHARECARE INC COM CL A | Stock | 81948W104 |  | 5030 | 3144000 | SH |  | SOLE |  | 0 | 0 | 5030 |
| SOLID POWER INC CLASS A COM | Stock | 83422N105 |  | 5 | 2000 | SH |  | SOLE |  | 0 | 0 | 5 |
| STARBUCKS CORP COM | Stock | 855244109 |  | 3449 | 34770 | SH |  | SOLE |  | 0 | 0 | 3449 |
| SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN | Stock | 864482104 |  | 76 | 5013 | SH |  | SOLE |  | 0 | 0 | 76 |
| SYNCHRONOSS TECHNOLOGIES INC COM | Stock | 87157B103 |  | 40 | 64349 | SH |  | SOLE |  | 0 | 0 | 40 |
| SYSCO CORP COM | Stock | 871829107 |  | 14 | 185 | SH |  | SOLE |  | 0 | 0 | 14 |
| TARGA RES CORP COM | Stock | 87612G101 |  | 36 | 496 | SH |  | SOLE |  | 0 | 0 | 36 |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | Stock | 881624209 |  | 593 | 65040 | SH |  | SOLE |  | 0 | 0 | 593 |
| TEXAS INSTRS INC COM | Stock | 882508104 |  | 2762 | 16716 | SH |  | SOLE |  | 0 | 0 | 2762 |
| 3-D SYS CORP DEL COM NEW | Stock | 88554D205 |  | 3976 | 537316 | SH |  | SOLE |  | 0 | 0 | 3976 |
| THRYV HLDGS INC COM NEW | Stock | 886029206 |  | 16662 | 876930 | SH |  | SOLE |  | 0 | 0 | 16662 |
| TRANSACT TECHNOLOGIES INC COM | Stock | 892918103 |  | 2595 | 410675 | SH |  | SOLE |  | 0 | 0 | 2595 |
| T2 BIOSYSTEMS INC COM NEW | Stock | 89853L203 |  | 2 | 1684 | SH |  | SOLE |  | 0 | 0 | 2 |
| UNILEVER PLC SPON ADR NEW | Stock | 904767704 |  | 73 | 1445 | SH |  | SOLE |  | 0 | 0 | 73 |
| UNITED PARCEL SERVICE INC CL B | Stock | 911312106 |  | 52 | 300 | SH |  | SOLE |  | 0 | 0 | 52 |
| UNITEDHEALTH GROUP INC COM | Stock | 91324P102 |  | 265 | 500 | SH |  | SOLE |  | 0 | 0 | 265 |
| UPHEALTH INC COM NEW | Stock | 91532B200 |  | 25 | 15584 | SH |  | SOLE |  | 0 | 0 | 25 |
| VERIZON COMMUNICATIONS INC COM | Stock | 92343V104 |  | 172 | 4367 | SH |  | SOLE |  | 0 | 0 | 172 |
| VIAVI SOLUTIONS INC COM | Stock | 925550105 |  | 7 | 712 | SH |  | SOLE |  | 0 | 0 | 7 |
| VISHAY INTERTECHNOLOGY INC COM | Stock | 928298108 |  | 60 | 2804 | SH |  | SOLE |  | 0 | 0 | 60 |
| VISHAY PRECISION GROUP INC COM | Stock | 92835K103 |  | 8 | 200 | SH |  | SOLE |  | 0 | 0 | 8 |
| VOLITIONRX LTD COM | Stock | 928661107 |  | 430 | 177043 | SH |  | SOLE |  | 0 | 0 | 430 |
| WABTEC COM | Stock | 929740108 |  | 11 | 106 | SH |  | SOLE |  | 0 | 0 | 11 |
| WARNER BROS DISCOVERY INC COM SER A | Stock | 934423104 |  | 2 | 233 | SH |  | SOLE |  | 0 | 0 | 2 |
| WESTERN MIDSTREAM PARTNERS L COM UNIT LP INT | Stock | 958669103 |  | 102 | 3813 | SH |  | SOLE |  | 0 | 0 | 102 |
| WILLIAMS COS INC COM | Stock | 969457100 |  | 33 | 1000 | SH |  | SOLE |  | 0 | 0 | 33 |
| ALLEGION PLC ORD SHS | Stock | G0176J109 |  | 70 | 666 | SH |  | SOLE |  | 0 | 0 | 70 |
| GENIUS SPORTS LIMITED SHARES CL A | Stock | G3934V109 |  | 6065 | 1698850 | SH |  | SOLE |  | 0 | 0 | 6065 |
| SEAGATE TECHNOLOGY HLDNGS PL ORD SHS | Stock | G7997R103 |  | 297 | 5650 | SH |  | SOLE |  | 0 | 0 | 297 |
| TRANE TECHNOLOGIES PLC SHS | Stock | G8994E103 |  | 311 | 1850 | SH |  | SOLE |  | 0 | 0 | 311 |
| ALCON AG ORD SHS | Stock | H01301128 |  | 1 | 20 | SH |  | SOLE |  | 0 | 0 | 1 |
| ALLOT LTD SHS | Stock | M0854Q105 |  | 333 | 96914 | SH |  | SOLE |  | 0 | 0 | 333 |
| COGNYTE SOFTWARE LTD ORD SHS | Stock | M25133105 |  | 284 | 91400 | SH |  | SOLE |  | 0 | 0 | 284 |
| KORNIT DIGITAL LTD SHS | Stock | M6372Q113 |  | 2043 | 88950 | SH |  | SOLE |  | 0 | 0 | 2043 |
| STRATASYS LTD SHS | Stock | M85548101 |  | 24 | 2000 | SH |  | SOLE |  | 0 | 0 | 24 |

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