MAI Capital Management Q3 2021 Filing

Filed November 12, 2021

Portfolio Value

$5.2B

Holdings

800

Report Date

Q3 2021

Filing Type

13F-HR

All Holdings (800 positions)

#	Stock	Shares	Value	% Portfolio	Type
1	IVViShares S&P 500 Index	873,656	$376.4M	7.25%
2	MSFTMicrosoft Corporation	760,315	$214.3M	4.13%	Put
3	SPYSPDR S&P 500 ETF	441,309	$189.4M	3.65%
4	AAPLApple Inc	1,165,717	$164.9M	3.18%	Put
5	AMZNAmazon.com	40,380	$132.7M	2.55%	Put
6	METAFacebook	306,642	$104.1M	2.00%	Call
7	HDHome Depot, Inc.	300,457	$98.6M	1.90%
8	—Alphabet Inc Class C	35,423	$94.4M	1.82%
9	MDYSPDR S&P Mid Cap 400 ETF	192,201	$92.4M	1.78%
10	IJHiShares S&P Mid Cap Index	327,566	$86.2M	1.66%
11	VVisa Inc Cl A	349,926	$77.9M	1.50%
12	—Alphabet Inc Class A	28,526	$76.3M	1.47%
13	AQLTiShares Core MSCI EAFE	961,640	$71.4M	1.37%
14	IJRiShares S&P Small Cap Index	639,979	$69.9M	1.35%
15	VTIVanguard Tot Stock Mrkt ETF	304,172	$67.5M	1.30%
16	IWMiShares Russell 2000 Index	301,497	$66.0M	1.27%
17	IVEiShares S&P Barra Value Index	422,693	$61.5M	1.18%
18	—Epam Systems Inc	102,027	$58.2M	1.12%
19	JPMJPMorgan Chase & Co.	352,236	$57.7M	1.11%
20	IEMGiShares Core MSCI Emerging Mkt	920,854	$56.9M	1.09%
21	NDQInvesco QQQ Trust	155,558	$55.7M	1.07%	Put
22	IWFiShares Russell 1000 Growth In	195,079	$53.5M	1.03%
23	JNJJohnson & Johnson	301,372	$48.7M	0.94%
24	IJKiShares S&P Mid Cap 400 Growth	613,202	$48.6M	0.93%
25	PYPLPayPal Holdings, Inc	180,714	$47.0M	0.91%
26	ADBEAdobe Inc	81,662	$47.0M	0.91%	Put
27	SHWSherwin Williams Company	165,249	$46.2M	0.89%
28	IVWiShares S&P 500 Growth	564,268	$41.7M	0.80%
29	VIGVanguard Dividend Appreciation	266,874	$41.0M	0.79%
30	QCOMQualcomm Incorporated	303,816	$39.2M	0.75%	Put
31	ABTAbbott Laboratories	325,431	$38.4M	0.74%
32	UNHUnitedHealth Group Inc	96,528	$37.7M	0.73%	Put
33	VEAVanguard FTSE Developed Mkts E	714,359	$36.1M	0.69%
34	DISDisney, Walt Co.	205,628	$34.8M	0.67%	Put
35	LMTLockheed Martin	96,967	$33.5M	0.64%
36	SDYSPDR S&P Dividend ETF	282,739	$33.2M	0.64%
37	IWNiShares Russell 2000 Value Ind	201,611	$32.3M	0.62%
38	CMCSAComcast Corp. Cl A	573,661	$32.1M	0.62%
39	PEPPepsiCo, Inc.	208,293	$31.3M	0.60%
40	BABoeing Company	140,304	$30.9M	0.59%	Call
41	HONHoneywell International, Inc.	144,730	$30.7M	0.59%
42	CSCOCisco Systems	564,316	$30.7M	0.59%
43	IJJiShares S&P Mid Cap 400 Value	292,219	$30.1M	0.58%
44	VWOVanguard FTSE Emerging Mkts ET	595,516	$29.8M	0.57%
45	ACNAccenture PLC Cl A	91,399	$29.2M	0.56%	Put
46	IWDiShares Russell 1000 Value Ind	185,347	$29.0M	0.56%
47	TSMTaiwan Semiconductor Manufactu	253,148	$28.3M	0.54%
48	COSTCostco Wholesale Corp	62,271	$28.0M	0.54%	Put
49	BACVerizon Communications	489,023	$26.4M	0.51%
50	NEENextEra Energy	333,755	$26.2M	0.50%
51	BACBank of America Corp	599,374	$25.4M	0.49%	Call
52	ATVIEURActivision Blizzard Inc	326,950	$25.3M	0.49%	Call
53	LLYLilly, Eli Co	107,909	$24.9M	0.48%
54	SYKStryker Corp.	93,854	$24.8M	0.48%
55	ABBVAbbVie Inc.	229,196	$24.7M	0.48%
56	MAMastercard	70,572	$24.5M	0.47%
57	RTXRaytheon Technologies Corp	279,331	$24.0M	0.46%
58	ROKURoku Inc	76,458	$24.0M	0.46%
59	AMATApplied Materials	185,340	$23.9M	0.46%	Call
60	MCDMcDonalds Corp	97,476	$23.5M	0.45%
61	BRK/BBerkshire Hathaway Class B	84,945	$23.2M	0.45%
62	CVSCVS Health Corp.	271,244	$23.0M	0.44%
63	AVGOBroadcom Inc	47,277	$22.9M	0.44%	Put
64	EFAiShares MSCI EAFE Index	287,816	$22.5M	0.43%
65	ETNEaton Corporation	149,371	$22.3M	0.43%
66	PANWPalo Alto Networks Inc.	45,935	$22.0M	0.42%
67	PGProcter & Gamble	155,088	$21.7M	0.42%
68	AMTAmerican Tower	78,909	$20.9M	0.40%
69	SBUXStarbucks Corp	189,758	$20.9M	0.40%
70	OTISOtis Worldwide Corp	247,976	$20.4M	0.39%
71	SCHXSchwab US Large Cap ETF	192,816	$20.1M	0.39%
72	—Global X US Infrastructure Dev	788,497	$20.0M	0.39%
73	NVDANvidia Corp.	94,605	$19.6M	0.38%	Put
74	BSXBoston Scientific Corp	450,276	$19.5M	0.38%
75	ADSKAutodesk	65,812	$18.8M	0.36%
76	CBChubb Ltd	107,537	$18.7M	0.36%
77	CHTRCharter Communications Inc	25,440	$18.5M	0.36%
78	NKENike Inc.	124,820	$18.1M	0.35%	Put
79	IWOiShares Russell 2000 Growth In	60,894	$17.9M	0.34%
80	DEODiageo PLC ADR	90,699	$17.5M	0.34%
81	MDTMedtronic Plc	134,268	$16.8M	0.32%
82	DPZDomino's Pizza Inc	34,145	$16.3M	0.31%
83	TXNTexas Instruments	83,588	$16.1M	0.31%
84	AMGNAmgen Inc	73,503	$15.6M	0.30%
85	IWRiShares Russell Mid Cap Index	198,199	$15.5M	0.30%
86	DYHTarget	67,056	$15.3M	0.30%
87	MTCHMatch Group Inc NEW	92,713	$14.6M	0.28%
88	MDLZMondelez Intl Inc Com	249,081	$14.5M	0.28%
89	APDAir Products & Chemicals Inc	55,373	$14.2M	0.27%
90	SCZiShares MSCI EAFE Small Cap In	188,347	$14.0M	0.27%
91	TA T & T Corp New	515,828	$13.9M	0.27%
92	LOWLowe's Cos.	65,637	$13.3M	0.26%
93	VGTVanguard Information Technolog	32,765	$13.1M	0.25%
94	FWONALiberty Media Corp Delaware C	249,093	$12.8M	0.25%
95	BMYBristol-Myers Squibb	213,013	$12.6M	0.24%
96	TRVCCitigroup	161,659	$11.3M	0.22%
97	WMTWalmart Inc	81,027	$11.3M	0.22%
98	UNPUnion Pacific Corp	57,143	$11.2M	0.22%
99	—RBC SPX 10-15-21 20 buff	8,865,000	$11.1M	0.21%
100	ORealty Income Corp.	171,507	$11.1M	0.21%

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