13F-HR filed by MAI Capital Management
MAI Capital Management filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-12, with 842 holding rows worth $5,193,968,000.
- Accession
- 0001040197-21-000006
- Filer
- CIK 1040197
- Filed
- 2021-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 869 entries on the cover page, a total value of $5,193,968,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $5,193,972,000 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 |
|---|---|---|---|---|---|---|
| AEROJET ROCKETDYNE HLDGS INC C | 007800105 | COM | 12,154 | $529,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 4,700 | $524,000 | thousands by filing date | put |
| HERC HLDGS INC COM | 42704L104 | Stock | 3,203 | $524,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 3,321 | $523,000 | thousands by filing date | |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 7,692 | $523,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 9,242 | $521,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 2,643 | $518,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 4,039 | $514,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 5,312 | $509,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 110,903 | $507,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 2,961 | $505,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 1,798 | $504,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 9,498 | $500,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 7,929 | $494,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 9,357 | $493,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 3,995 | $493,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 7,927 | $491,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 7,652 | $490,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 3,747 | $487,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 1,623 | $486,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 3,006 | $480,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 32,340 | $476,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 12,134 | $473,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 11,068 | $472,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 1,604 | $472,000 | thousands by filing date | |
| GLOBAL PMTS INC | 37940X102 | COM | 2,974 | $469,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 3,300 | $467,000 | thousands by filing date | call |
| MSCI INC COM | 55354G100 | Stock | 763 | $464,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 22,816 | $464,000 | thousands by filing date | |
| ROYAL DSM N V SPON ADR | 780249108 | COM | 9,255 | $463,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 9,250 | $462,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 1,085 | $461,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 7,462 | $459,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 8,158 | $458,000 | thousands by filing date | |
| JACOBS ENGINEERING GROUP INC | 469814107 | COM | 3,440 | $456,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 6,267 | $455,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 8,723 | $455,000 | thousands by filing date | |
| HEINEKEN N V SPONSORED ADR LEVEL 1 | 423012301 | COM | 8,708 | $455,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 21,193 | $452,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 2,721 | $451,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 1,144 | $450,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V613 | RAFI US 1000 ETF | 2,812 | $445,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 6,212 | $438,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,993 | $437,000 | thousands by filing date | |
| SITEONE LANDSCAPE SUPPLY INC | 82982L103 | COM | 2,193 | $437,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 2,877 | $436,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 1,549 | $436,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 5,844 | $434,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 11,692 | $431,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 13,793 | $430,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 3,728 | $422,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 20,640 | $419,000 | thousands by filing date | |
| ESSILOR INTL S A ADR | 297284200 | ADR | 4,355 | $418,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 18,200 | $415,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 10,413 | $414,000 | thousands by filing date | |
| OMNICELL COM COM | 68213N109 | Stock | 2,785 | $413,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 2,686 | $412,000 | thousands by filing date | |
| INGERSOLL RAND INC COM | 45687V106 | Stock | 8,099 | $408,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 1,643 | $406,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 2,496 | $404,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 6,667 | $400,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 12,125 | $398,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 5,668 | $396,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 20,000 | $396,000 | thousands by filing date | put |
| AMEREN CORP COM | 023608102 | Stock | 4,812 | $390,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 1,252 | $388,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 4,112 | $388,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 2,557 | $387,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 3,465 | $387,000 | thousands by filing date | |
| SCOTTS MIRACLE-GRO CO | 810186106 | CL A | 2,621 | $384,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 15,636 | $379,000 | thousands by filing date | |
| ATLAS CORP | Y0436Q109 | COM | 24,678 | $375,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 4,740 | $374,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 1,567 | $373,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 3,715 | $372,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 10,291 | $367,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 2,234 | $367,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 4,928 | $364,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 3,686 | $363,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 3,416 | $359,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 27,824 | $358,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 1,406 | $356,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 577 | $353,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 5,233 | $351,000 | thousands by filing date | |
| FACTSET RESH SYS INC COM | 303075105 | Stock | 887 | $350,000 | thousands by filing date | |
| IMAGEWARE SYSTEMS INC COM | 45245S108 | COM | 10,295,161 | $350,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 11,230 | $350,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 2,209 | $346,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 2,903 | $346,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 2,062 | $344,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 2,874 | $343,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 1,208 | $342,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,000 | $340,000 | thousands by filing date | call |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 3,305 | $340,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,693 | $338,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 2,834 | $336,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 2,663 | $334,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 4,736 | $334,000 | thousands by filing date | |
| BENTLEY SYS INC COM CL B | 08265T208 | Stock | 5,506 | $334,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 7,534 | $334,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 2,181 | $333,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 2,000 | $333,000 | thousands by filing date | put |
| MGC | 921910873 | COM | 2,176 | $332,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 3,019 | $330,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 1,952 | $330,000 | thousands by filing date | |
| ASHLAND INC | 044186104 | COM | 3,663 | $326,000 | thousands by filing date | |
| ALEXANDRIA REAL ESTATE EQ INC COM | 015271109 | REIT | 1,679 | $321,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 5,135 | $321,000 | thousands by filing date | |
| COINBASE GLOBAL INC COM CL A | 19260Q107 | Stock | 1,406 | $320,000 | thousands by filing date | |
| COMPAGNIE FIN RICHEMONTAG SWI | 204319107 | ADUS | 30,405 | $318,000 | thousands by filing date | |
| GENTHERM INC | 37253A103 | COM | 3,920 | $317,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 3,355 | $315,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 17,878 | $313,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 11,395 | $312,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 5,123 | $312,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 31,343 | $312,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 12,596 | $310,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 1,485 | $310,000 | thousands by filing date | |
| LONZA GROUP AG ZUE ORDF | H50524133 | STOK | 405 | $305,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 1,657 | $301,000 | thousands by filing date | |
| ARCH CAP GROUP LTD ORD | G0450A105 | Stock | 7,872 | $301,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 2,477 | $301,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 5,759 | $299,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 4,258 | $296,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 2,000 | $296,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 1,255 | $296,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 3,607 | $295,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 6,560 | $294,000 | thousands by filing date | |
| BERKLEY W R CORP COM | 084423102 | Stock | 4,005 | $293,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 9,936 | $293,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 4,119 | $292,000 | thousands by filing date | |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 3,351 | $292,000 | thousands by filing date | |
| INGREDION INC COM | 457187102 | Stock | 3,277 | $292,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 1,689 | $292,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 4,811 | $290,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 3,265 | $289,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 5,249 | $285,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 428 | $285,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 8,629 | $285,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 1,408 | $285,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 2,200 | $284,000 | thousands by filing date | put |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 4,110 | $283,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 3,662 | $283,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 11,455 | $280,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 1,787 | $278,000 | thousands by filing date | |
| MARVELL TECHNOLOGY INC | 573874104 | COM | 4,550 | $274,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 8,510 | $274,000 | thousands by filing date | |
| LENNOX INTL INC COM | 526107107 | Stock | 930 | $274,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 6,933 | $274,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 1,938 | $271,000 | thousands by filing date | |
| STERLING BANCORP DEL | 85917A100 | COM | 10,857 | $271,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 6,063 | $270,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 674 | $269,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 3,773 | $268,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 1,800 | $267,000 | thousands by filing date | put |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 6,261 | $266,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 4,000 | $266,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 1,661 | $262,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 5,142 | $261,000 | thousands by filing date | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 3,977 | $261,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 2,611 | $259,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 2,548 | $255,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 1,500 | $254,000 | thousands by filing date | call |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 2,120 | $254,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 18,400 | $254,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 3,559 | $253,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 939 | $250,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 7,003 | $250,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 9,847 | $250,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 6,475 | $250,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 2,290 | $249,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G706 | SOLAR ETF | 3,108 | $249,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 1,985 | $244,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 2,536 | $243,000 | thousands by filing date | |
| CERIDIAN HCM HLDG INC | 15677J108 | COM | 2,160 | $243,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 1,611 | $242,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 3,936 | $241,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 441 | $241,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 8,063 | $239,000 | thousands by filing date | |
| HUBBELL INC COM | 443510607 | Stock | 1,325 | $239,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 586 | $238,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 4,800 | $236,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 2,781 | $234,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 905 | $234,000 | thousands by filing date | |
| F5 INC COM | 315616102 | Stock | 1,174 | $233,000 | thousands by filing date | |
| WESTERN MIDSTREAM PARTNERS L | 958669103 | COM UNIT LP INT | 11,137 | $233,000 | thousands by filing date | |
| ORGANON & CO COMMON STOCK | 68622V106 | Stock | 7,032 | $231,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V282 | S&P500 EQL TEC | 800 | $231,000 | thousands by filing date | |
| CORTEVA INC COM | 22052L104 | Stock | 5,455 | $230,000 | thousands by filing date | |
| LUMEN TECHNOLOGIES INC | 550241103 | COM | 18,316 | $227,000 | thousands by filing date | |
| EXPONENT INC | 30214U102 | COM | 1,995 | $226,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 3,075 | $225,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 3,606 | $225,000 | thousands by filing date | |
| VIATRIS INC COM | 92556V106 | Stock | 16,631 | $225,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 2,079 | $224,000 | thousands by filing date | |
| ISHARES TR | 46436E742 | EGSADVNCDMSCI EM | 5,147 | $223,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 4,837 | $222,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 2,042 | $222,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 5,311 | $222,000 | thousands by filing date | |
| UFP INDUSTRIES INC | 90278Q108 | COM | 3,264 | $222,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 646 | $221,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 15,961 | $221,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 5,287 | $220,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 1,969 | $218,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 2,968 | $217,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 1,762 | $216,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 500 | $215,000 | thousands by filing date | put |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 1,543 | $215,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 2,443 | $215,000 | thousands by filing date | |
| TENCENT HLDGS LTD FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 88032Q109 | Equity | 3,603 | $215,000 | thousands by filing date | |
| APTARGROUP INC COM | 038336103 | Stock | 1,788 | $213,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 2,235 | $213,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP CL A | 78410G104 | REIT | 641 | $212,000 | thousands by filing date | |
| CHEMED CORP NEW | 16359R103 | COM | 455 | $212,000 | thousands by filing date | |
| LIVENT CORP | 53814L108 | COM | 9,175 | $212,000 | thousands by filing date | |
| ELANCO ANIMAL HEALTH INC COM | 28414H103 | Stock | 6,619 | $211,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 1,125 | $211,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 3,052 | $211,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 865 | $210,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 729 | $210,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 1,246 | $209,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 156,986 | $209,000 | thousands by filing date | |
| BROWN & BROWN INC COM | 115236101 | Stock | 3,759 | $208,000 | thousands by filing date | |
| AVERY DENNISON CORP COM | 053611109 | Stock | 994 | $206,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 940 | $206,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 9,444 | $204,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 18,376 | $203,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 7,383 | $202,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 1,945 | $202,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 4,511 | $201,000 | thousands by filing date | |
| SIGNATURE BANK | 82669G104 | COM | 737 | $201,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 4,110 | $200,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 500 | $195,000 | thousands by filing date | put |
| UnitedHealth Group Inc | 91324P102 | COM | 500 | $195,000 | thousands by filing date | call |
| Broadcom Inc. | 11135F101 | COM | 400 | $194,000 | thousands by filing date | put |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 50,523 | $189,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 11,853 | $176,000 | thousands by filing date | |
| GAN LTD | G3728V109 | SHS | 11,300 | $168,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 1,300 | $166,000 | thousands by filing date | put |
| KBS Real Estate Investment Trust III Inc | 48668L105 | ETF | 15,447 | $166,000 | thousands by filing date | |
| DANONE SPONSORED ADR | 23636T100 | COM | 11,707 | $160,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 14,791 | $159,000 | thousands by filing date | |
| GETSWIFT TECHNOLOGIES LTD | 37428G100 | CS | 142,857 | $152,000 | thousands by filing date | |
| INGERSOLL RAND INC COM | 45687V106 | Stock | 3,000 | $151,000 | thousands by filing date | put |
| PACIFIC OAK STRATEGIC OPPORTUNITY REIT INC | 694701103 | REAL ESTATE INVESTME | 15,061 | $146,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 31,385 | $146,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 22,730 | $139,000 | thousands by filing date | |
| Hammond Power Solutions Inc. | 408549103 | CS | 16,100 | $137,000 | thousands by filing date | |
| JAKKS PAC INC | 47012E403 | COM NEW | 11,460 | $136,000 | thousands by filing date | |
| Swedish Match AB | w9376l154 | CS | 15,000 | $131,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 18,090 | $124,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 10,607 | $123,000 | thousands by filing date | |
| KBS REAL ESTATE INV TRUST II | 48243C109 | COMMON STOCK | 56,524 | $117,000 | thousands by filing date | |
| P10 INC COM CL A | 69372U207 | Common Stock | 10,000 | $110,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 14,127 | $99,000 | thousands by filing date | |
| Corporate Prop Associates 18 | 22004e109 | RE | 10,602 | $94,000 | thousands by filing date | |
| Planet 13 Holdings Inc | 72706K101 | COM | 19,125 | $91,000 | thousands by filing date | |
| GRUPO FINANCIERO BANORTE | p49501201 | COM | 13,985 | $90,000 | thousands by filing date | |
| Americann Inc. | 030588107 | CS | 105,926 | $85,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 14,100 | $77,000 | thousands by filing date | |
| CNL HEALTHCARE PROPERTIES INC | 12612C108 | COMMON STOCK-CL | 10,013 | $74,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 200 | $72,000 | thousands by filing date | put |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 19,013 | $69,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 10,667 | $67,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 500 | $65,000 | thousands by filing date | call |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 12,534 | $65,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 13,458 | $63,000 | thousands by filing date | |
| Barclays SPX Market Linked Gro | 06747pws4 | SE | 50,000 | $57,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 200 | $56,000 | thousands by filing date | call |
| Cinedigm Corp CL A | 172406209 | COM NEW | 20,400 | $51,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 14,000 | $51,000 | thousands by filing date | |
| CYTODYN INC | 23283M101 | Common Stock | 25,000 | $50,000 | thousands by filing date | |
| Progressive Interchange LLC | 742995871 | RE | 50,000 | $50,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 26,000 | $49,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326300 | COM | 11,500 | $47,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 100 | $45,000 | thousands by filing date | call |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 10,000 | $45,000 | thousands by filing date | |
| REGO PMT ARCHITECTURES I | 759141104 | COMMON STOCK | 45,000 | $45,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 200 | $44,000 | thousands by filing date | call |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 930 | $44,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 200 | $41,000 | thousands by filing date | put |
| ZANITE ACQUISITION CORP | 98907K111 | *W EXP 10/08/202 | 49,000 | $41,000 | thousands by filing date | |
| HSBC SPX Market Linked Growth | 40435ur55 | SE | 33,000 | $37,000 | thousands by filing date | |
| HSBC SPX Market Linked Growth | 40435ukr4 | SE | 30,000 | $35,000 | thousands by filing date | |
| Wavefront Tech Solutions Inc | 94354b100 | CS | 202,500 | $34,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 11,764 | $33,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 12,109 | $31,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 20,031 | $30,000 | thousands by filing date | |
| MEDMEN ENTERPRISES INC | 58507m107 | COM | 81,897 | $24,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 300 | $23,000 | thousands by filing date | call |
| Bank of America Corp | 060505104 | COM | 500 | $21,000 | thousands by filing date | call |
| Walt Disney Co | 254687106 | COM | 100 | $17,000 | thousands by filing date | put |
| JPM EEM Note | 48132hzv7 | SE | 13,000 | $15,000 | thousands by filing date | |
| JPM EFA Note | 48132hzu9 | SE | 13,000 | $15,000 | thousands by filing date | |
| JPM NDX Note | 48132hzt2 | SE | 13,000 | $15,000 | thousands by filing date | |
| JPM RTY Note | 48132pxf6 | SE | 13,000 | $14,000 | thousands by filing date | |
| JPM SPX Note | 48132pxj8 | SE | 13,000 | $14,000 | thousands by filing date | |
| JPM EEM Note | 48132mzl8 | SE | 13,000 | $14,000 | thousands by filing date | |
| JPM RTY Note | 48132mzf1 | SE | 13,000 | $14,000 | thousands by filing date | |
| JPM SPX Note | 48132mzm6 | SE | 13,000 | $14,000 | thousands by filing date | |
| JPM EEM Note | 48132k4k8 | SE | 12,000 | $14,000 | thousands by filing date | |
| JPM EFA Note | 48132k3w3 | SE | 12,000 | $14,000 | thousands by filing date | |
| JPM NDX Note | 48132k3x1 | SE | 12,000 | $14,000 | thousands by filing date | |
| JPM EEM Note | 48132f5w2 | SE | 12,000 | $14,000 | thousands by filing date | |
| JPM EFA Note | 48132f5r3 | SE | 12,000 | $14,000 | thousands by filing date | |
| JPM NDX Note | 48132f5q5 | SE | 12,000 | $14,000 | thousands by filing date | |
| JPM EEM Note | 48132pxh2 | SE | 13,000 | $13,000 | thousands by filing date | |
| MARVELL TECHNOLOGY INC | 573874104 | COM | 200 | $12,000 | thousands by filing date | call |
| HIGHLANDS REIT INC | 43110a104 | LP | 26,712 | $7,000 | thousands by filing date | |
| ASIA BROADBAND INC | 04518L100 | COMMON STOCK | 50,000 | $6,000 | thousands by filing date | |
| BLUE BIOFUELS INC COM | 09530q102 | COM | 20,000 | $5,000 | thousands by filing date | |
| Nexteligent Holdings | 65290b107 | CS | 63,063 | $5,000 | thousands by filing date | |
| MEDICAL MARIJUANA INC | 58463A105 | COMMON STOCK | 67,500 | $2,000 | thousands by filing date | |
| ARTIFICIAL INTELLIGENCE | 04316D201 | COM | 59,696 | $2,000 | thousands by filing date | |
| Wolverine Energy and Infrastru | 977891100 | CS | 13,163 | $2,000 | thousands by filing date | |
| North Bud Farms Inc | 658043104 | CS | 55,000 | $2,000 | thousands by filing date | |
| Cytta Corporation | 12673w407 | CS | 12,000 | $1,000 | thousands by filing date | |
| International Silver Inc | 460328107 | CS | 62,500 | $1,000 | thousands by filing date | |
| REAL BRANDS INC | 75584Q108 | COMMON STOCK | 10,000 | $1,000 | thousands by filing date | |
| Urban Television Network Corp | 917068207 | COM | 20,000 | $1,000 | thousands by filing date | |
| HEALTHIER CHOICES MGMT C | 42226N109 | COM | 40,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JAMMIN JAVA CORP | 470751108 | COM | 14,651 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CREATIVE EDGE NUTRITION INC | 22528W205 | COMMON STOCK | 56,305 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RAYONIER FRAC CUSIP FOR ORIGINAL | HFE907109 | COMMON STOCK | 50,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Helios and Matheson Analytics Inc | 42327L309 | Common Stock | 32,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VAPOR GROUP INC | 922101100 | COMMON STOCK | 58,800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Thermoenergy Corp Com | 883906406 | COM | 66,100 | $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. |
| LIGHTINGSCIENCEGROUP | 53224G707 | COMMONSTK | 21,244 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Advantego Corp | 00775N102 | COM | 60,000 | $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. |
| Swiss Medica Inc - Revoked by | 87089c104 | CS | 25,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Aim Immunotech Wts | 00901b113 | WT | 15,000 | $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. |
| PHUNWARE INC COM | 71649T104 | Stock | 250,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Alternative Energy Partners In | 02152e101 | CS | 80,000 | $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. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001040197-21-000006 | this filing | 2021-11-12 | acceptance time not in the bulk data set |