Full text of MAINSPRING CAPITAL MANAGEMENT, LLC's X-17A-5 filed 2022-03-30 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **Public Copy** # **MAINSPRING CAPITAL MANAGEMENT, LLC** **FINANCIAL STATEMENTS AND SUPPLEMENTARY INFORMATION Pursuant to Rule 17a-5(d) YEAR ENDED DECEMBER 31, 2021** {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 > **ANNUAL REPORTS FORM X-17A-5 PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-69326 **FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **01 /01/21** MM/DD/VY AND ENDING **12/31 /21** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Mainspring Capital Management LLC TYPE OF REGISTRANT (check all applicable boxes): **l!!l** Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer 0 Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) **3452 E. FOOTHILL BLVD., SUITE 800** (No. and Street) Pasadena **CA 91107** (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING **Mike Chen 626-345-5897** mchen@mainspringcm.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* **Ohab** & **Company, P.A** (Name-if individual, state last, first, and middle name) 100 East Sybella Avenue #130 Maitland **Florida 32751** (Address) (City) (State) (Zip Code) **07/28/2004 1839** (rte of Registration with PCAOBl(if applicable) **FOR OFFICIAL USE ONLY** (PCAOB Registration Number, if applicable) I \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. see 17 CFR 240.l 7a-S(el(ll(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | 1, Mike Chen | swear (or affirm) that, to the best of my knowledge and belief, the | | |------------------------------------------------------------------------------|------------------------------------------…Read the full text as markdown