Full text of MAINSPRING CAPITAL MANAGEMENT, LLC's X-17A-5 filed 2023-03-17 (period 2022-12-31). 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, 2022 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington,** D.C. **20549** | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART Ill | | 0MB APPROVAL | |--------------------------| | 0MB Number: 3235-01.23 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | | SEC FILE NUMBER | | |-----------------|--| | 8-69326 | | FACING PAGE Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING **01 /01 /22** MM/ DD/YY AND ENDING **12/31 /22** MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM : Mainspring Capital Management LLC TYPE OF REGISTRANT (check all applicable boxes ): Iii Broker-dealer D Security-based swap dealer D Major security-ba sed swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.} # 3452 E. FOOTHILL BLVD., SUITE 800 | | | (No. and Street) | | | |---------------------------------------------------------------------------|--|------------------------------------------------------------------------|----------------------------------------------|------------| | Pasadena<br>((ity) | | CA | | 91107 | | | | (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 Add ress) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Ohab & Companyl P.A | | | | | | 100 East Sybella Avenue #130 | | (Name - if individual, state last, first, and middle name)<br>Maitland | Florida | 32751 | | | | (City) | (State) | (Zip Code) | | (Address)<br>07/28/2004 | | | 1839 | | | T"<br>of RegfmaUoa with PCAOB}llf applkablel | | | f PCAOB Regl,t,atfoo Nombec, If appll<able)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 240.17a-5(e)(l )(ii), if applicable. **Persons who are to respond to the…Read the full text as markdown