13F-HR filed by OTA Financial Group L.P.
OTA Financial Group L.P. filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-01-24, with 62 holding rows worth $212,628,000.
- Accession
- 0001317346-19-000001
- Filer
- CIK 1317346
- Filed
- 2019-01-24
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, amendment of type restatement, 62 entries on the cover page, a total value of $212,628,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $212,628,000 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 |
|---|---|---|---|---|---|---|
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 10,989,001 | $140,659,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 121,335 | $9,925,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 1,154,551 | $6,453,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A301 | 6.50% CON PFD B | 64,801 | $6,109,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 124,425 | $4,578,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 112,743 | $4,169,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 73,859 | $2,480,000 | thousands by filing date | |
| MB FINANCIAL INC | 55264U108 | COMMON STOCK | 46,785 | $1,854,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 160,234 | $1,652,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 71,382 | $1,501,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 47,394 | $1,484,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 25,049 | $1,451,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 390,749 | $1,426,000 | thousands by filing date | |
| HARRIS CORP INC | 413875105 | COM | 10,524 | $1,417,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701115 | WARRANT | 150,085 | $1,410,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 66,596 | $1,401,000 | thousands by filing date | |
| HESS CORP | 42809H404 | DEP PDF SR A | 24,899 | $1,236,000 | thousands by filing date | |
| GCI LIBERTY INC COM CLASS A | 36164V305 | Stock | 26,461 | $1,089,000 | thousands by filing date | |
| GREAT ELM CAP CORP | 390320109 | COM | 126,370 | $992,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 16,711 | $982,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 117,556 | $980,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 84,270 | $976,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 18,646 | $897,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 41,492 | $825,000 | thousands by filing date | |
| FCB Financial Holdings Inc Cla | 30255G103 | COM | 23,503 | $789,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 61,598 | $772,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 17,009 | $718,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 120,754 | $702,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 176,477 | $682,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 86,316 | $643,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 10,567 | $615,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 90,752 | $615,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 74,912 | $608,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 43,708 | $605,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 45,592 | $570,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 104,378 | $541,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 32,034 | $491,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 22,983 | $491,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 46,293 | $441,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 23,563 | $438,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 62,361 | $428,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 12,416 | $422,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 20,384 | $420,000 | thousands by filing date | |
| UNION BANKSHARES CORP | 90539J109 | COM | 14,487 | $408,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 28,470 | $399,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 24,028 | $381,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 20,273 | $365,000 | thousands by filing date | |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 51,890 | $363,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 42,069 | $347,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 68,932 | $310,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 37,129 | $301,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 28,881 | $294,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 25,963 | $290,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 20,245 | $289,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 25,418 | $284,000 | thousands by filing date | |
| CADENCE BANCORP | 12739A100 | COMMON EQUITY | 16,975 | $284,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 20,877 | $256,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 18,652 | $250,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 25,795 | $232,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G508 | SR LN ETF | 10,172 | $221,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 41,557 | $211,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 26,504 | $206,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001317346-19-000001 | this filing | 2019-01-24 | acceptance time not in the bulk data set |