13F-HR filed by MAI Capital Management
MAI Capital Management filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-10-29, with 544 holding rows worth $2,243,859,000.
- Accession
- 0001040197-19-000006
- Filer
- CIK 1040197
- Filed
- 2019-10-29
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 562 entries on the cover page, a total value of $2,243,859,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,243,845,000 with VALUE read as thousands by filing date, 13F file number 028-06392. 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 |
|---|---|---|---|---|---|---|
| LIVENT CORP | 53814L108 | COM | 15,154 | $101,000 | thousands by filing date | |
| TIVO CORP | 88870P106 | COM | 12,628 | $96,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 2,200 | $92,000 | thousands by filing date | put |
| TD SPX 10-27-20 12.5 buff | 89114qhz4 | SE | 83,000 | $90,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 300 | $89,000 | thousands by filing date | put |
| JPMorgan Chase & Co | 46625H100 | COM | 700 | $82,000 | thousands by filing date | put |
| GRUPO FINANCIERO BANORTE | p49501201 | COM | 13,985 | $75,000 | thousands by filing date | |
| CS SPX 8-10-20 10 buff | 22552fay8 | SE | 73,000 | $75,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 11,699 | $73,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 10,454 | $72,000 | thousands by filing date | |
| KBS REAL ESTATE INV TRUST II | 48243C109 | COMMON STOCK | 15,438 | $69,000 | thousands by filing date | |
| IMAGEWARE SYSTEMS INC COM | 45245S108 | COM | 128,150 | $60,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 12,151 | $58,000 | thousands by filing date | |
| Progressive Interchange LLC | 742995871 | RE | 50,000 | $50,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 25,000 | $47,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 200 | $43,000 | thousands by filing date | put |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 10,667 | $42,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 11,852 | $36,000 | thousands by filing date | |
| Australis Capital Inc | 05259r107 | CS | 70,000 | $36,000 | thousands by filing date | |
| InvenTrust Properties Corp REI | 46124J102 | COM | 10,117 | $32,000 | thousands by filing date | |
| WFC SPX 11-25-20 12.5 buff | 95001h4y4 | SE | 27,000 | $28,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 100 | $24,000 | thousands by filing date | put |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 26,000 | $22,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 300 | $11,000 | thousands by filing date | put |
| Ireland, Inc. | 46267t206 | COM | 73,529 | $10,000 | thousands by filing date | |
| North Bud Farms Inc | 658043104 | CS | 55,000 | $10,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 24,696 | $6,000 | thousands by filing date | |
| NanoTech Entertainment Inc | 63009y203 | CS | 32,301 | $1,000 | thousands by filing date | |
| WLMG Holding Inc | 92934q100 | CS | 36,598 | $1,000 | thousands by filing date | |
| RAYONIER FRAC CUSIP FOR ORIGINAL | HFE907109 | COMMON STOCK | 50,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERNATIONAL PWR GROUP LTD | 46018A100 | COM | 20,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MARKLAND TECHNOLOGIESINC COMNE | 570658203 | COM | 15,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GRAND CENTRAL SILVER MINES INC | 384906202 | CLOSELY HELD ST | 17,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIONIX CORP | 829400100 | COM | 75,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MOTORS 8.375 XXXESCROW | 370ESCBT1 | COM | 52,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIGHTINGSCIENCEGROUP | 53224G707 | COMMONSTK | 21,244 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Pop n Go Inc | 732816103 | CS | 1,847,297 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Rineon Group Inc | 766795108 | CS | 28,784 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Medient Studios Inc | 58471d109 | CS | 100,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MPTV Inc | 553424409 | CS | 11,129 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Alyn Corp | 022611107 | CS | 160,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Biomoda Inc- Bankrupt Eff 4/14 | 090627100 | CS | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Immune Therapeutics Inc | 45252a107 | CS | 12,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MOTORS 8.25XXXESCROW P | 370escbw4 | COM | 27,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001040197-19-000006 | this filing | 2019-10-29 | acceptance time not in the bulk data set |