13F-HR/A filed by OTA Financial Group L.P.
OTA Financial Group L.P. filed this 13F-HR/A for the quarter ended 2017-09-30, filed 2017-10-25, with 54 holding rows worth $181,287,000.
- Accession
- 0001317346-17-000011
- Filer
- CIK 1317346
- Filed
- 2017-10-25
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, amendment of type restatement, 54 entries on the cover page, a total value of $181,287,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $181,287,000 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 | 823,250 | $82,250,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 1,285,650 | $17,022,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 572,899 | $11,457,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 199,381 | $10,766,000 | thousands by filing date | |
| ARCONIC INC | 03965L308 | PREFERRED STOCK | 182,716 | $7,107,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 13,663 | $4,965,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 429,510 | $4,484,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 29,766 | $3,890,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874954 | COM NEW | 54,000 | $3,340,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 74,478 | $3,057,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 49,791 | $2,885,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 28,043 | $1,857,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 40,653 | $1,347,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 30,000 | $1,302,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 34,159 | $1,274,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 70,225 | $1,246,000 | thousands by filing date | |
| STARWOOD WAYPOINT HOMES COM | 85572F105 | Stock | 33,709 | $1,225,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M104 | INT COM SER A | 51,615 | $1,216,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 182,660 | $1,147,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 26,700 | $1,118,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 26,028 | $1,054,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 25,119 | $1,008,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 29,768 | $946,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 76,967 | $911,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 32,480 | $829,000 | thousands by filing date | |
| BLACK HILLS CORP | 092113125 | UNIT 99/99/9999 | 10,835 | $817,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 18,321 | $767,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 59,750 | $757,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 48,853 | $751,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 10,314 | $706,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 43,869 | $667,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 36,536 | $583,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 63,073 | $572,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 11,737 | $550,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 10,007 | $541,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 22,016 | $521,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 11,749 | $517,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 24,714 | $500,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 32,977 | $482,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 10,000 | $435,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 11,015 | $427,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 19,310 | $412,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 11,136 | $406,000 | thousands by filing date | |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 14,537 | $375,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 24,956 | $372,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 10,596 | $346,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 12,529 | $323,000 | thousands by filing date | |
| PRUDENTIAL GLB SHT DUR HG YL | 74433A109 | COM | 20,616 | $307,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 11,309 | $287,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 18,404 | $275,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 10,849 | $232,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 18,329 | $227,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 15,456 | $221,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 17,876 | $208,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001317346-17-000007 | superseded | 2017-10-20 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001317346-17-000011 | this filing | 2017-10-25 | acceptance time not in the bulk data set |