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Disclosery

13F-HR filed by MAI Capital Management

MAI Capital Management filed this 13F-HR for the quarter ended 2023-09-30, filed 2023-11-14, with 1,101 holding rows worth $6,724,452,542.

Accession
0001040197-23-000004
Filer
CIK 1040197
Filed
2023-11-14
Accepted by EDGAR
acceptance time not in the bulk data set
Ingested
Source
SEC quarterly data set

Original filing

13F report for Q3 2023

A holdings report, 1,124 entries on the cover page, a total value of $6,724,452,542 stated on the cover page (in dollars after the unit check, H1), rows summing to $6,724,452,542 with VALUE read as dollars as filed, 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 filedCUSIPClassAmountValueValue read asType
SABA CAPITAL INCOME & OPRNT78518H202SHS NEW11,621$89,247dollars as filed
PAYONEER GLOBAL INC COM70451X104Stock14,139$86,531dollars as filed
SPY78462F103SHS200$85,496dollars as filedcall
THIRD CENTURY BANCORP884120106Common Stock11,484$83,833dollars as filed
HIMAX TECHNOLOGIES INC SPONSORED ADR43289P106ADR14,007$81,803dollars as filed
SWIRE PACIFIC LTD SP ADR A870794302COM11,890$80,614dollars as filed
PROSPECT CAPITAL CORPORATION74348T102COM13,105$79,285dollars as filed
Tesla Motors, Inc88160R101COM300$75,066dollars as filedcall
BNY MELLON MUN INCOME INC05589T104COM11,967$67,853dollars as filed
REGO PMT ARCHITECTURES I759141104COMMON STOCK45,000$63,900dollars as filed
THERATECHNOLOGIES INC COM88338H100COM29,242$62,870dollars as filed
ABRDN GLOBAL PREMIER PPTYS F00302L108COM SH BEN INT16,700$60,788dollars as filed
OMEROS CORP682143102COM19,769$57,725dollars as filed
Curaleaf Holdings Inc.23126M102COM12,211$55,094dollars as filed
FEDERAL NATL MTG ASSN313586109COM85,706$53,052dollars as filed
Progressive Interchange LLC742995871RE50,000$50,000dollars as filed
NORDIC AMERICAN TANKERS LIMIG65773106COM11,496$47,364dollars as filed
HENNES AND MAURITZ AB UNSP ADR425883105COM16,276$45,247dollars as filed
NEUROONE MED TECHNOLOGIES CORP COM64130M209Stock50,000$44,520dollars as filed
MAMAS CREATIONS INC COM56146T103Stock10,000$43,700dollars as filed
AMBEV SA SPONSORED ADR02319V103ADR16,718$43,132dollars as filed
BANCO BRADESCO S A059460303SP ADR PFD NEW13,785$39,287dollars as filed
CARREFOUR SA144430204USD10,908$37,611dollars as filed
EVE HLDG INC WTS EXP 05/09/20229970n112WT49,000$34,795dollars as filed
STANDARD LITHIUM CORP COM853606101Stock12,075$34,172dollars as filed
SUNWORKS INC86803X204COMMON STOCK62,740$32,625dollars as filed
SERA PROGNOSTICS INC81749D107CMN16,989$31,600dollars as filed
WHEELS UP EXPERIENCE INC96328L205COM CL A13,995$28,970dollars as filed
CRESCO LABS INC22587m106COM11,581$23,299dollars as filed
LUMEN TECHNOLOGIES INC550241103COM14,610$20,746dollars as filed
NW Biotherapeutics66737P600USD20,000$18,194dollars as filed
PLANET 13 HLDGS INC NEV72707C108Equity19,125$16,550dollars as filed
CANOPY GROWTH CORP138035100COM19,987$15,646dollars as filed
NIAGEN BIOSCIENCE INC171077407COM NEW10,667$15,574dollars as filed
Swedish Match Compulsory Redeemed Sh TIAW9376L162Com15,000$15,000dollars as filed
Cint Group AB NPVw2r8az114CS11,620$10,728dollars as filed
Nanalysis Scientific Corp Ordi63000Y103CS30,000$10,651dollars as filed
Guangshen Railway Co Ltd Classy2930p108CS45,500$10,052dollars as filed
WEALTH MINERALS LTD F946885209FGC42,000$8,506dollars as filed
JUSHI HLDGS INC F48213Y107FGC10,000$8,399dollars as filed
HIGHLANDS REIT INC43110a104LP29,665$8,306dollars as filed
AEVA TECHNOLOGIES INC00835Q103COM10,605$8,112dollars as filed
Flow Beverage Corp34344j102CS35,000$7,945dollars as filed
INVITAE CORP46185L103COM10,000$6,052dollars as filed
Lehman Bros 7.875xxxEscrow Pen524escc99CS35,000$5,950dollars as filed
United Lithium Corp910797109CS20,500$4,852dollars as filed
HEALTHLYNKED CORP COM42228p102COM70,000$3,388dollars as filed
SEELOS THERAPEUTICS INC81577F109COM16,695$3,072dollars as filed
BLUE BIOFUELS INC COM09530q102COM20,002$2,958dollars as filed
TITAN MED INC88830X819COM20,031$2,103dollars as filed
LITHIA MTRS INC COM92561V117COM25,000$1,918dollars as filed
Medaro Mining Corp58404n109CS23,540$1,741dollars as filed
CloudMD Software & Services In18912c102CS12,500$1,319dollars as filed
Novo Resources Corp67010B102CS10,000$1,285dollars as filed
Sugarbud Craft Growers Corp865001309CS20,073$1,188dollars as filed
VERIFYME INC92346X115*W EXP 06/22/20211,000$1,100dollars as filed
ASIA BROADBAND INC04518L100COMMON STOCK51,304$1,093dollars as filed
Engage XR Holdings ORDGg9390j100CS30,000$1,025dollars as filed
XERIANT INC COM98422N103CS42,000$983dollars as filed
ParkerVision Inc701354300USD10,000$800dollars as filed
REVIVE THERAPEUTICS LIMITED COM NPV761516103Listed Stock25,000$794dollars as filed
IMAGEWARE SYSTEMS INC COM45245S108COM7,630,913$763dollars as filed
Nexteligent Holdings65290b107CS63,063$650dollars as filed
MEDICAL MARIJUANA INC58463A105COMMON STOCK52,557$342dollars as filed
Cytta Corporation12673w407CS12,000$323dollars as filed
ARTIFICIAL INTELLIGENCE04316D201COM55,459$225dollars as filed
Eco Oro Minerals Corp27887t107CS10,000$177dollars as filed
BioCube Inc09056u107CS66,666$173dollars as filed
Wolverine Energy and Infrastru977891100CS10,604$128dollars as filed
International Silver Inc460328107CS62,500$13dollars as filed
JAMMIN JAVA CORP470751108COM14,651$1dollars as filed
CREATIVE EDGE NUTRITION INC22528W205COMMON STOCK51,300$0dollars as filedValue filed as zero, left out of ratios.
RAYONIER FRAC CUSIP FOR ORIGINALHFE907109COMMON STOCK50,000$0dollars as filedValue filed as zero, left out of ratios.
RESOLUTE FOREST PRODUCTS - CONTINGENT VALUE RTS761CVR042WTS12,383$0dollars as filedValue filed as zero, left out of ratios.
NEW YORK REGIONAL RAIL CORP649768108SHS80,000$0dollars as filedValue filed as zero, left out of ratios.
Helios and Matheson Analytics Inc42327L309Common Stock32,000$0dollars as filedValue filed as zero, left out of ratios.
GWG HLDGS INC 5.5XXXPEND POSSIBLE FUTURE DISTRIBUTIONS361ESC056ESCROW POSITION51,207$0dollars as filedValue filed as zero, left out of ratios.
BITCOIN SERVICES INC XXXREGISTRATION REVOKED BY THE SEC EFF: 07/29/2109173Y107COMMON STOCK15,000$0dollars as filedValue filed as zero, left out of ratios.
GETSWIFT TECHNOLOGIES LTD37428G100CS308,214$0dollars as filedValue filed as zero, left out of ratios.
VAPOR GROUP INC922101100COMMON STOCK58,800$0dollars as filedValue filed as zero, left out of ratios.
ALBIREO PHARMA INC013CVR022COMMON STOCK152,000$0dollars as filedValue filed as zero, left out of ratios.
TRICIDA INC89610F101COM31,385$0dollars as filedValue filed as zero, left out of ratios.
Thermoenergy Corp Com883906406COM66,100$0dollars as filedValue filed as zero, left out of ratios.
MARKLAND TECHNOLOGIESINC COMNE570658203COM15,000$0dollars as filedValue filed as zero, left out of ratios.
GRAND CENTRAL SILVER MINES INC384906202CLOSELY HELD ST17,000$0dollars as filedValue filed as zero, left out of ratios.
SIONIX CORP829400100COM75,000$0dollars as filedValue filed as zero, left out of ratios.
LIGHTINGSCIENCEGROUP53224G707COMMONSTK21,244$0dollars as filedValue filed as zero, left out of ratios.
FLOWER ONE HLDGS INC F34348Q102FGC15,000$0dollars as filedValue filed as zero, left out of ratios.
Advantego Corp00775N102COM60,000$0dollars as filedValue filed as zero, left out of ratios.
DOW INC98158H106DOW50,000$0dollars as filedValue filed as zero, left out of ratios.
Adamas Pharmaceuticals005CVR014COM552,340$0dollars as filedValue filed as zero, left out of ratios.
Adamas Pharmaceuticals005CVR022COM552,340$0dollars as filedValue filed as zero, left out of ratios.
US Digital Communications90332a107CS10,000$0dollars as filedValue filed as zero, left out of ratios.
Wavefront Tech Solutions Inc94354b100CS202,500$0dollars as filedValue filed as zero, left out of ratios.
WaveTrue Inc743164105CS15,000$0dollars as filedValue filed as zero, left out of ratios.
Pop n Go Inc732816103CS1,847,297$0dollars as filedValue filed as zero, left out of ratios.
Rineon Group Inc766795108CS28,784$0dollars as filedValue filed as zero, left out of ratios.
Swiss Medica Inc - Revoked by87089c104CS25,500$0dollars as filedValue filed as zero, left out of ratios.
Collateral Loan Security - Well0c990030CS27,337$0dollars as filedValue filed as zero, left out of ratios.
AMR Corp Escrow001ESC102COM10,027$0dollars as filedValue filed as zero, left out of ratios.
Aim Immunotech Wts00901b113WT15,000$0dollars as filedValue filed as zero, left out of ratios.

Amendment chain

FilingRoleFiledAcceptedIngested
13F-HR 0001040197-23-000004this filing2023-11-14acceptance time not in the bulk data set