13F-HR filed by OTA Financial Group L.P.
OTA Financial Group L.P. filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-02, with 54 holding rows worth $191,206,000.
- Accession
- 0001317346-17-000002
- Filer
- CIK 1317346
- Filed
- 2017-02-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 54 entries on the cover page, a total value of $191,206,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $191,206,000 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 |
|---|---|---|---|---|---|---|
| T MOBILE US INC | 872590203 | CONV PFD SER A | 441,896 | $41,732,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 615,580 | $30,471,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 665,439 | $29,458,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 739,700 | $7,360,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M856 | LBT VEN COM A NE | 196,812 | $7,256,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 306,935 | $7,200,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 198,531 | $6,734,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 299,092 | $6,379,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 82,712 | $6,126,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 518,632 | $4,869,000 | thousands by filing date | |
| B/E AEROSPACE INC | 073302101 | COM | 76,577 | $4,609,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 67,839 | $4,157,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 195,303 | $3,533,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 79,698 | $2,751,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 163,589 | $2,478,000 | thousands by filing date | |
| ARCONIC INC | 03965L308 | PREFERRED STOCK | 68,914 | $2,077,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 44,906 | $2,029,000 | thousands by filing date | |
| LIBERTY EXPEDIA HLDGS INC | 53046P109 | SER A COM | 38,226 | $1,516,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 216,866 | $1,318,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 126,563 | $1,274,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 13,927 | $1,205,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC | 43300A104 | COM | 39,802 | $1,082,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 48,100 | $927,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 20,555 | $880,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 20,091 | $850,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 16,498 | $844,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 54,915 | $807,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 51,939 | $781,000 | thousands by filing date | |
| HYD | 92189F361 | ETF | 25,350 | $752,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 152,907 | $707,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 102,971 | $698,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 23,303 | $635,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 96,483 | $625,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 29,851 | $598,000 | thousands by filing date | |
| Vaneck Vectors AMT-Free Inter | 92189F544 | ETF | 21,327 | $494,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 56,742 | $455,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 14,516 | $448,000 | thousands by filing date | |
| ISHARES INC | 46434G780 | MSCI SINGPOR ETF | 21,996 | $438,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 26,255 | $391,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 16,385 | $382,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 59,722 | $381,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 67,947 | $376,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 24,281 | $368,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 28,514 | $350,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 11,105 | $294,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 11,360 | $289,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 14,323 | $273,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 13,023 | $247,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 17,849 | $238,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 21,896 | $231,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 15,048 | $210,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 37,924 | $209,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 14,882 | $209,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 11,741 | $205,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001317346-17-000002 | this filing | 2017-02-02 | acceptance time not in the bulk data set |