13F-HR filed by OTA Financial Group L.P.
OTA Financial Group L.P. filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-02-22, with 62 holding rows worth $253,663,000.
- Accession
- 0001317346-18-000004
- Filer
- CIK 1317346
- Filed
- 2018-02-22
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A holdings report, amendment of type restatement, 62 entries on the cover page, a total value of $253,663,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $253,663,000 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 |
|---|---|---|---|---|---|---|
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 721,292 | $47,915,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 2,673,175 | $46,940,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 283,831 | $24,171,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 293,900 | $18,665,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 15,740 | $16,580,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 474,908 | $8,605,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 700,113 | $7,414,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 1,029,323 | $6,525,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M856 | LBT VEN COM A NE | 114,597 | $6,215,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 855,399 | $5,294,000 | thousands by filing date | |
| SCRIPPS NETWORKS INTERACT IN | 811065101 | CL A COM | 57,550 | $4,913,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 90,527 | $4,678,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 23,309 | $4,204,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 99,926 | $3,963,000 | thousands by filing date | |
| VISTRA CORP COM | 92840M102 | Stock | 211,488 | $3,874,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 43,893 | $3,411,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 254,467 | $3,409,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874954 | COM NEW | 54,000 | $3,213,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 189,224 | $3,037,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 59,021 | $2,037,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 29,049 | $2,029,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 19,052 | $1,662,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 45,700 | $1,546,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 90,102 | $1,410,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 30,000 | $1,345,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 89,803 | $1,240,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 90,835 | $1,185,000 | thousands by filing date | |
| CAVIUM INC | 14964U108 | COM | 13,766 | $1,154,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 113,924 | $1,073,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 444,914 | $1,036,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 10,800 | $987,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 48,593 | $842,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 107,298 | $831,000 | thousands by filing date | |
| HSN INC | 404303109 | COM | 20,520 | $827,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 153,614 | $778,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 13,924 | $737,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 32,185 | $722,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 27,985 | $625,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 19,440 | $552,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701115 | WARRANT | 28,844 | $540,000 | thousands by filing date | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 10,157 | $506,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 16,415 | $477,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 22,824 | $471,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 10,000 | $459,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 52,058 | $437,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 35,309 | $410,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 26,434 | $399,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 20,357 | $394,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 27,105 | $374,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 23,805 | $338,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 29,057 | $325,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 21,781 | $311,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 24,142 | $311,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 17,987 | $305,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 60,398 | $294,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 20,925 | $278,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 40,768 | $265,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 21,734 | $256,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 16,707 | $230,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 101,665 | $224,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 21,462 | $215,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 140,262 | $200,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001317346-18-000004 | this filing | 2018-02-22 | acceptance time not in the bulk data set |