13F-HR filed by OTA Financial Group L.P.
OTA Financial Group L.P. filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-12, with 114 holding rows worth $159,510,000.
- Accession
- 0001317346-14-000003
- Filer
- CIK 1317346
- Filed
- 2014-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 114 entries on the cover page, a total value of $159,510,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $159,510,000 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 | 99,890 | $55,101,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 279,000 | $11,402,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 771,117 | $7,680,000 | thousands by filing date | |
| OMNICARE CAP TR II | 68214Q200 | PFD B TR 4.00% | 86,871 | $6,447,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550309 | CORPORATE OBLIG | 92,718 | $6,198,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 85,446 | $6,089,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 188,255 | $3,849,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 158,877 | $3,674,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 412,776 | $3,122,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 97,623 | $3,041,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 35,601 | $2,871,000 | thousands by filing date | |
| GENESEE & WYO INC | 371559204 | UNIT 10/01/2015 | 17,354 | $2,221,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 76,107 | $2,071,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 28,848 | $1,934,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 31,056 | $1,809,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 37,778 | $1,554,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017117 | UNIT 99/99/9999 | 21,754 | $1,424,000 | thousands by filing date | |
| Nextera Energy, Inc. | 65339F887 | PFD | 23,895 | $1,353,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 57,134 | $1,284,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 254,700 | $1,283,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 93,954 | $1,139,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 74,854 | $1,010,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U845 | MKTVEC INTMUETF | 43,792 | $963,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 18,800 | $959,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 38,029 | $891,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 17,081 | $850,000 | thousands by filing date | |
| PRUDENTIAL GLB SHT DUR HG YL | 74433A109 | COM | 48,746 | $845,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 23,904 | $754,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 38,744 | $736,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 54,880 | $725,000 | thousands by filing date | |
| METLIFE INC | 59156R116 | PREFERRED STOCK | 22,293 | $703,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 52,091 | $636,000 | thousands by filing date | |
| PAA NAT GAS STORAGE L P | 693139107 | COM UNIT LTD | 27,505 | $632,000 | thousands by filing date | |
| Cole Real Estate Investments | 19329V105 | COM | 39,456 | $553,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 40,122 | $548,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060108 | COM SBI | 125,234 | $524,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 10,331 | $515,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 29,399 | $512,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 45,803 | $488,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 15,461 | $461,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 36,987 | $437,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 38,236 | $425,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 20,000 | $422,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 15,331 | $422,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 71,116 | $409,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 10,093 | $399,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 17,476 | $399,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 32,350 | $398,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 43,754 | $394,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 30,758 | $394,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 21,389 | $394,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 34,930 | $393,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 16,426 | $362,000 | thousands by filing date | |
| MKT VECTORS EMRG MKT LCL C | 57060U522 | ETF | 15,328 | $360,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 41,053 | $334,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 23,404 | $330,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 54,180 | $323,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 26,568 | $323,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 25,175 | $308,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 14,614 | $301,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 23,560 | $286,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 24,784 | $285,000 | thousands by filing date | |
| INTERCLOUD SYS INC | 458488111 | *W EXP 08/25/201 | 21,257 | $285,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 24,261 | $284,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 21,696 | $284,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 23,365 | $282,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 23,357 | $282,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 24,382 | $282,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 26,871 | $282,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 22,779 | $281,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 23,461 | $281,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 22,715 | $281,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 23,615 | $280,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 24,603 | $280,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 23,259 | $277,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 23,337 | $275,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 17,854 | $254,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 14,176 | $252,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 17,704 | $248,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 12,690 | $246,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 16,451 | $241,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 15,104 | $241,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 36,184 | $239,000 | thousands by filing date | |
| DFC GLOBAL CORP | 23324T107 | COM | 20,853 | $238,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 67,598 | $235,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 20,036 | $234,000 | thousands by filing date | |
| NII HOLDINGS INC | 62913F201 | COMMON STOCK | 85,275 | $234,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 58,594 | $233,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 18,925 | $232,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 16,780 | $229,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 16,119 | $228,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 10,092 | $228,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 31,403 | $228,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 15,636 | $227,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 17,777 | $227,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 25,041 | $227,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 68,629 | $226,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 13,464 | $226,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 13,699 | $225,000 | thousands by filing date | |
| FUSION-IO INC | 36112J107 | COMMON STOCK | 25,028 | $222,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 12,075 | $222,000 | thousands by filing date | |
| DEMAND MEDIA INC | 24802N109 | COM | 38,095 | $219,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 14,351 | $218,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 29,570 | $218,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 15,125 | $217,000 | thousands by filing date | |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 10,618 | $216,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 56,122 | $216,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 60,523 | $215,000 | thousands by filing date | |
| RUCKUS WIRELESS INC | 781220108 | COM | 15,141 | $215,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 10,962 | $212,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 17,700 | $211,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 58,296 | $210,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 16,780 | $209,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 19,354 | $207,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001317346-14-000003 | this filing | 2014-02-12 | acceptance time not in the bulk data set |