13F-HR filed by OTA Financial Group L.P.
OTA Financial Group L.P. filed this 13F-HR for the quarter ended 2018-03-31, filed 2018-04-19, with 59 holding rows worth $297,192,000.
- Accession
- 0001268580-18-000009
- Filer
- CIK 1317346
- Filed
- 2018-04-19
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2018
A holdings report, amendment of type restatement, 59 entries on the cover page, a total value of $297,192,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $297,192,000 with VALUE read as thousands by filing date, 13F file number 028-11283. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerOTA LLC028-11280
- included managerOTA SWAPS LLC028-12833
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 |
|---|---|---|---|---|---|---|
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 7,088,496 | $128,797,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 645,024 | $44,861,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 10,572 | $10,908,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 974,910 | $10,480,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 792,194 | $10,472,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 110,273 | $9,265,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 29,719 | $9,249,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 1,391,938 | $8,407,000 | thousands by filing date | |
| LIBERTY EXPEDIA HLDGS INC | 53046P109 | SER A COM | 146,793 | $5,766,000 | thousands by filing date | |
| RSP PERMIAN INC | 74978Q105 | COM | 112,989 | $5,296,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 128,585 | $5,252,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 29,345 | $4,959,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 118,995 | $4,890,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 63,487 | $4,700,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701115 | WARRANT | 138,272 | $2,806,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 49,275 | $2,349,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 59,293 | $2,175,000 | thousands by filing date | |
| MULESOFT INC | 625207105 | CL A | 44,356 | $1,950,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 12,000 | $1,618,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 36,269 | $1,436,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 30,000 | $1,327,000 | thousands by filing date | |
| PRUDENTIAL GLB SHT DUR HG YL | 74433A109 | COM | 91,200 | $1,265,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 25,857 | $1,248,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 103,214 | $1,109,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 393,590 | $928,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 38,579 | $897,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 16,000 | $870,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 49,861 | $717,000 | thousands by filing date | |
| VISTRA CORP COM | 92840M102 | Stock | 34,366 | $715,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 10,000 | $690,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 27,339 | $658,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 23,918 | $644,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 43,023 | $608,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 99,891 | $584,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 21,897 | $576,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 30,228 | $480,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 38,771 | $474,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 10,000 | $469,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 10,272 | $464,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 51,528 | $460,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 46,406 | $447,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 55,453 | $440,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 37,393 | $431,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 70,316 | $428,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 48,904 | $426,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 26,740 | $402,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 32,911 | $380,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 19,342 | $377,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y115 | *W EXP 12/24/201 | 35,584 | $338,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 70,285 | $309,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 16,075 | $308,000 | thousands by filing date | |
| HRG GROUP INC COM | 40434J100 | Stock | 18,200 | $300,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 45,855 | $293,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 10,872 | $285,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 24,847 | $271,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 28,350 | $266,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 18,540 | $259,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 15,012 | $212,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 14,062 | $201,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001268580-18-000009 | this filing | 2018-04-19 | acceptance time not in the bulk data set |