13F-HR filed by OTA Financial Group L.P.
OTA Financial Group L.P. filed this 13F-HR for the quarter ended 2013-06-30, filed 2013-08-14, with 78 holding rows worth $217,586,000.
- Accession
- 0001317346-13-000009
- Filer
- CIK 1317346
- Filed
- 2013-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2013
A holdings report, 78 entries on the cover page, a total value of $217,586,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $217,586,000 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
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 |
|---|---|---|---|---|---|---|
| ALLIANCE DATA SYSTEMS CORP CONV DTD 5/15/2010 4.75% 5/15/2014 | 018581AC2 | CONVERTIBLE | 149,890 | $57,042,000 | thousands by filing date | |
| HERTZ GLOBAL HOLDINGS INC | 42805TAA3 | NOTE 5.250% 6/0 | 100,000 | $30,075,000 | thousands by filing date | |
| TERADYNE INC | 880770AE2 | NOTE | 50,000 | $16,071,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 1,441,611 | $14,747,000 | thousands by filing date | |
| NEWS CORP INC | 65248E104 | COMMON STOCK | 355,264 | $11,581,000 | thousands by filing date | |
| OMNICARE CAP TR II | 68214Q200 | PFD B TR 4.00% | 134,483 | $7,925,000 | thousands by filing date | |
| NEWS CORP | 65248E203 | CL B | 183,408 | $6,019,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 59,360 | $5,854,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 115,338 | $5,260,000 | thousands by filing date | |
| APACHE CORP | 037411808 | PFD CONV SER D | 97,554 | $4,657,000 | thousands by filing date | |
| APACHE CORP | 037411905 | COM | 50,300 | $4,189,000 | thousands by filing date | |
| COVIDIEN PLC | G2554F113 | SHS | 58,776 | $3,693,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V209 | JR PFD CNV SRB | 65,181 | $3,139,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 167,426 | $2,737,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 61,466 | $2,427,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 81,528 | $2,311,000 | thousands by filing date | |
| PPL CORP | 69351T601 | PREF CONV | 42,607 | $2,233,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 39,095 | $1,800,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 20,425 | $1,744,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 94,334 | $1,683,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 33,742 | $1,683,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 33,353 | $1,323,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 79,618 | $1,293,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 50,841 | $1,076,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 39,581 | $958,000 | thousands by filing date | |
| WARNER CHILCOTT PLC IRELAND | G94368100 | SHS A | 45,812 | $910,000 | thousands by filing date | |
| WELLTOWER INC | 42217K106 | COM | 13,277 | $889,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 65,550 | $879,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 12,957 | $826,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 23,321 | $786,000 | thousands by filing date | |
| COLONIAL PROPERTIES TRUST | 195872106 | COM | 30,821 | $743,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 20,392 | $725,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 53,270 | $708,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 16,426 | $706,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 22,798 | $690,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 42,181 | $681,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 51,580 | $674,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 68,624 | $669,000 | thousands by filing date | |
| Nextera Energy, Inc. | 65339F887 | PFD | 11,626 | $645,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 49,664 | $615,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 157,447 | $609,000 | thousands by filing date | |
| WHITEWAVE FOODS CO | 966244204 | COM CL B | 36,781 | $559,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 39,491 | $533,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 83,378 | $516,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 53,747 | $514,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 10,377 | $497,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 15,396 | $464,000 | thousands by filing date | |
| VELOCITYSHARES 2X VIX SH-TRM | 22539T852 | CMN | 147,851 | $461,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 36,077 | $455,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 21,764 | $452,000 | thousands by filing date | |
| ANGLOGOLD ASHANTI HLDGS FIN | 03512Q206 | MAND BD CV 13 | 26,353 | $450,000 | thousands by filing date | |
| HUDSON CITY BANCORP | 443683107 | COM | 48,971 | $448,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 30,657 | $445,000 | thousands by filing date | |
| VIRGINIA COMM BANCORP INC | 92778Q109 | COM | 31,933 | $445,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 35,837 | $435,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 31,610 | $425,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 36,720 | $424,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 18,021 | $420,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 10,004 | $419,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 31,403 | $419,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 44,890 | $415,000 | thousands by filing date | |
| Call - MTB $73.86 Exp 12/23/2018 | 55261F112 | Warrants | 10,764 | $407,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 26,558 | $399,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 37,830 | $384,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 26,867 | $382,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 19,680 | $326,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 28,703 | $312,000 | thousands by filing date | |
| H & Q LIFE SCIENCES INVS | 404053100 | EXCHANGE TRADED | 17,031 | $303,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 15,356 | $294,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 11,956 | $286,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 22,607 | $285,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 17,907 | $278,000 | thousands by filing date | |
| DWS MUN INCOME TR COM | 23338M106 | COM | 20,523 | $264,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 19,007 | $251,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 44,906 | $250,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 26,276 | $245,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 14,772 | $235,000 | thousands by filing date | |
| DWS MULTI MKT INCOME TR | 23338L108 | SHS | 21,992 | $214,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001317346-13-000009 | this filing | 2013-08-14 | acceptance time not in the bulk data set |