13F-HR filed by OTA Financial Group L.P.
OTA Financial Group L.P. filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-12, with 71 holding rows worth $178,474,000.
- Accession
- 0001317346-13-000011
- Filer
- CIK 1317346
- Filed
- 2013-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 71 entries on the cover page, a total value of $178,474,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $178,474,000 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 |
|---|---|---|---|---|---|---|
| ALLIANCE DATA SYSTEMS CORP CONV DTD 5/15/2010 4.75% 5/15/2014 | 018581AC2 | CONVERTIBLE | 149,890 | $66,607,000 | thousands by filing date | |
| TERADYNE INC | 880770AE2 | NOTE | 50,000 | $15,090,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 445,555 | $11,771,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 822,184 | $9,057,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550309 | CORPORATE OBLIG | 104,622 | $6,662,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 135,653 | $5,441,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 113,733 | $4,636,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V209 | JR PFD CNV SRB | 75,263 | $3,774,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 175,956 | $3,675,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 167,426 | $3,114,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 23,204 | $2,486,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 79,223 | $2,268,000 | thousands by filing date | |
| ONYX PHARMACEUTICALS INC | 683399109 | COM | 18,100 | $2,256,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 76,203 | $2,193,000 | thousands by filing date | |
| GENESEE & WYO INC | 371559204 | UNIT 10/01/2015 | 15,554 | $1,964,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 250,471 | $1,763,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 11,013 | $1,758,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 99,338 | $1,538,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 164,459 | $1,537,000 | thousands by filing date | |
| COLONIAL PROPERTIES TRUST | 195872106 | COM | 63,884 | $1,436,000 | thousands by filing date | |
| AFFORDABLE RESIDENTIAL CMNTY | 00828UAB9 | BOND | 10,000 | $1,383,000 | thousands by filing date | |
| Nextera Energy, Inc. | 65339F887 | PFD | 24,326 | $1,329,000 | thousands by filing date | |
| WARNER CHILCOTT PLC IRELAND | G94368100 | SHS A | 55,273 | $1,262,000 | thousands by filing date | |
| PIONEER SOUTHWEST ENERGY | 72388B106 | COMMON STOCK | 27,760 | $1,227,000 | thousands by filing date | |
| ING GLOBAL EQUITY DIVID & | 45684E107 | COM | 130,993 | $1,182,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 10,334 | $1,156,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 26,511 | $1,149,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 68,316 | $1,091,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 46,199 | $947,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 60,628 | $946,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 15,776 | $928,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 14,400 | $918,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 21,681 | $858,000 | thousands by filing date | |
| KINDER MORGAN MANAGEMENT LLC | 49455U100 | SHS | 10,740 | $805,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 23,950 | $745,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 10,454 | $686,000 | thousands by filing date | |
| Market Vectors Etf | 57060U878 | HG YLD MUN ETF | 23,500 | $686,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 31,582 | $632,000 | thousands by filing date | |
| STERLING FINL CORP WASH | 859319303 | COM NEW | 18,895 | $541,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 47,214 | $520,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 10,919 | $512,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 37,721 | $490,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 35,375 | $479,000 | thousands by filing date | |
| PAA NAT GAS STORAGE L P | 693139107 | COM UNIT LTD | 20,445 | $476,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 76,529 | $463,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 13,596 | $454,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 35,089 | $445,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 14,480 | $442,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 34,448 | $404,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 18,783 | $404,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 15,036 | $400,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 42,998 | $373,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 10,585 | $346,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 18,202 | $342,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 26,631 | $318,000 | thousands by filing date | |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 14,683 | $315,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 20,113 | $313,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 25,490 | $311,000 | thousands by filing date | |
| STATE STREET IG PUBLIC &PRIVATE CREDIT ETF | 78464A458 | ETF | 12,452 | $284,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 19,301 | $266,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 20,933 | $265,000 | thousands by filing date | |
| HUDSON CITY BANCORP | 443683107 | COM | 28,405 | $257,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 11,690 | $255,000 | thousands by filing date | |
| WHITEWAVE FOODS CO | 966244204 | COM CL B | 12,296 | $248,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T613 | VELSHS DLY SHTRM | 15,900 | $242,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 44,313 | $239,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 19,610 | $231,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 14,344 | $230,000 | thousands by filing date | |
| OFFICEMAX INC DEL | 67622P101 | COM | 18,038 | $230,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 12,408 | $215,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 16,650 | $208,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001317346-13-000011 | this filing | 2013-11-12 | acceptance time not in the bulk data set |