13F-HR filed by MAI Capital Management
MAI Capital Management filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-10-26, with 610 holding rows worth $3,454,131,000.
- Accession
- 0001040197-20-000007
- Filer
- CIK 1040197
- Filed
- 2020-10-26
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 631 entries on the cover page, a total value of $3,454,131,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $3,454,135,000 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 |
|---|---|---|---|---|---|---|
| ECOLAB INC COM | 278865100 | Stock | 1,250 | $250,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 2,647 | $249,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 1,320 | $249,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 1,683 | $248,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 740 | $245,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 13,952 | $244,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 2,513 | $244,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 4,989 | $244,000 | thousands by filing date | |
| INGERSOLL RAND INC COM | 45687V106 | Stock | 6,815 | $243,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 2,108 | $241,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 193 | $240,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 3,014 | $239,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 1,239 | $238,000 | thousands by filing date | |
| SITEONE LANDSCAPE SUPPLY INC | 82982L103 | COM | 1,939 | $236,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 6,455 | $235,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 2,000 | $232,000 | thousands by filing date | put |
| APTARGROUP INC COM | 038336103 | Stock | 2,043 | $231,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 1,048 | $231,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,300 | $230,000 | thousands by filing date | put |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,300 | $230,000 | thousands by filing date | call |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 1,742 | $230,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 3,728 | $230,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 3,930 | $229,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 732 | $228,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 2,851 | $228,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 2,821 | $225,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 1,936 | $224,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 2,961 | $223,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 3,711 | $220,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 685 | $220,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 5,824 | $218,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 4,003 | $217,000 | thousands by filing date | |
| VARIAN MED SYS INC | 92220P105 | COM | 1,262 | $217,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 8,348 | $215,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 759 | $215,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 1,694 | $214,000 | thousands by filing date | |
| OMNICELL COM COM | 68213N109 | Stock | 2,825 | $211,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 10,025 | $211,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 2,185 | $209,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 5,750 | $207,000 | thousands by filing date | |
| THOR INDS INC | 885160101 | COM | 2,155 | $205,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 3,410 | $203,000 | thousands by filing date | |
| ROLLINS INC COM | 775711104 | Stock | 3,736 | $202,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 867 | $202,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 1,000 | $200,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 17,500 | $197,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 10,052 | $195,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 18,400 | $186,000 | thousands by filing date | call |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 16,045 | $164,000 | thousands by filing date | |
| ATLAS CORP | Y0436Q109 | COM | 18,178 | $163,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 27,824 | $162,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 16,400 | $161,000 | thousands by filing date | |
| PACIFIC OAK STRATEGIC OPPORTUNITY REIT INC | 694701103 | REAL ESTATE INVESTME | 15,061 | $160,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 2,400 | $155,000 | thousands by filing date | put |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 2,400 | $155,000 | thousands by filing date | call |
| Goldman Sachs Index Linked Nt | 40056x3g9 | SE | 125,000 | $136,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 12,738 | $132,000 | thousands by filing date | |
| JPM SPX 12-21-20 15 buff | 48130u6m2 | SE | 96,000 | $114,000 | thousands by filing date | |
| STERLING BANCORP DEL | 85917A100 | COM | 10,260 | $108,000 | thousands by filing date | |
| Credit Suisse Index Linked Nt | 22549j2y5 | SE | 100,000 | $107,000 | thousands by filing date | |
| MODERNA INC | 60770K107 | COM | 1,500 | $106,000 | thousands by filing date | call |
| CENTURYLINK INC | 156700106 | COM | 10,493 | $106,000 | thousands by filing date | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 47,923 | $106,000 | thousands by filing date | |
| TD SPX 10-27-20 12.5 buff | 89114qhz4 | SE | 83,000 | $101,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 11,534 | $92,000 | thousands by filing date | |
| JP Morgan SPX Market Nt | 48132caz6 | SE | 75,000 | $87,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 200 | $86,000 | thousands by filing date | put |
| LIVONGO HEALTH INC | 539183103 | COM | 600 | $84,000 | thousands by filing date | call |
| Credit Suisse Index Linked Nt | 22549jw55 | SE | 80,000 | $74,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 1,713 | $52,000 | thousands by filing date | |
| Progressive Interchange LLC | 742995871 | RE | 50,000 | $50,000 | thousands by filing date | |
| Goldman Sachs Struct Nt Linked | 40056fba2 | SE | 50,000 | $50,000 | thousands by filing date | |
| GRUPO FINANCIERO BANORTE | p49501201 | COM | 13,985 | $49,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 10,667 | $43,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 55,831 | $41,000 | thousands by filing date | |
| P10 INC COM CL A | 69372U207 | Common Stock | 10,000 | $40,000 | thousands by filing date | |
| InvenTrust Properties Corp REI | 46124J102 | COM | 12,175 | $38,000 | thousands by filing date | |
| KBS REAL ESTATE INV TRUST II | 48243C109 | COMMON STOCK | 15,438 | $37,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 26,000 | $36,000 | thousands by filing date | |
| IMAGEWARE SYSTEMS INC COM | 45245S108 | COM | 257,652 | $31,000 | thousands by filing date | |
| Link Motion Inc | 53577L105 | COM | 203,500 | $31,000 | thousands by filing date | |
| WFC SPX 11-25-20 12.5 buff | 95001h4y4 | SE | 27,000 | $30,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 13,200 | $28,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC C | 007800105 | COM | 700 | $28,000 | thousands by filing date | put |
| Goldman Sachs Struct Nt Linked | 40056fpf6 | SE | 25,000 | $27,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 1,000 | $24,000 | thousands by filing date | call |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 193 | $12,000 | thousands by filing date | |
| LIGHTINGSCIENCEGROUP | 53224G707 | COMMONSTK | 21,244 | $10,000 | thousands by filing date | |
| Wavefront Tech Solutions Inc | 94354b100 | CS | 202,500 | $7,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 1,000 | $6,000 | thousands by filing date | call |
| FUELCELL ENERGY INC | 35952H601 | COM | 2,000 | $4,000 | thousands by filing date | call |
| North Bud Farms Inc | 658043104 | CS | 55,000 | $2,000 | thousands by filing date | |
| UEX Corp | 902666106 | CS | 10,000 | $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. |
| 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. |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 24,696 | $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. |
| Evergreen Energy Wts. 12/31/49 | 999z85197 | WT | 56,285 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Evergreen Energy Wts. 7/29/10 | 300990116 | WT | 500,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Evergreen Energy Wts. 8/1/11 | 999z85189 | WT | 28,143 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Evergreen Energy Wts. 8/1/11 | 999z85205 | WT | 28,143 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001040197-20-000007 | this filing | 2020-10-26 | acceptance time not in the bulk data set |