13F-HR filed by OTA Financial Group L.P.
OTA Financial Group L.P. filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-10-28, with 47 holding rows worth $121,468,000.
- Accession
- 0001317346-19-000009
- Filer
- CIK 1317346
- Filed
- 2019-10-28
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, amendment of type restatement, 47 entries on the cover page, a total value of $121,468,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $121,468,000 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 |
|---|---|---|---|---|---|---|
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 2,786,993 | $39,745,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 146,840 | $15,369,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 1,263,480 | $14,934,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 967,644 | $6,038,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 83,831 | $4,933,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 258,327 | $3,660,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 77,737 | $3,231,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701115 | WARRANT | 271,672 | $3,208,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 39,345 | $2,706,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 62,788 | $2,634,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 78,060 | $1,875,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 41,261 | $1,830,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 13,310 | $1,566,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851406 | 6% PFD CONV A | 11,726 | $1,386,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 62,803 | $1,333,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U133 | UNIT 99/99/9999 | 12,577 | $1,330,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T503 | DEP RP PFD CV B | 25,093 | $1,311,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A301 | 6.50% CON PFD B | 10,692 | $1,298,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 13,666 | $1,234,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 12,482 | $1,214,000 | thousands by filing date | |
| NRC GROUP HLDGS CORP | 629375114 | *W EXP 10/17/202 | 322,464 | $761,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E784 | EMRNG MKT SVRG | 25,662 | $748,000 | thousands by filing date | |
| FOX CORP CL A COM | 35137L105 | Stock | 23,625 | $745,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 99,678 | $619,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 35,556 | $547,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 39,502 | $543,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 21,974 | $524,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 19,647 | $464,000 | thousands by filing date | |
| PGIM GLOBAL HIGH YIELD FUND IN | 69346J106 | COM | 30,080 | $432,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 17,209 | $409,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 207,442 | $354,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 77,503 | $351,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 26,495 | $339,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 24,175 | $311,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 17,638 | $306,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 40,004 | $299,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 49,355 | $295,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 35,486 | $295,000 | thousands by filing date | |
| BROOKFIELD PPTY REIT INC | 11282X103 | CL A | 14,466 | $294,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 33,205 | $281,000 | thousands by filing date | |
| GREAT ELM CAP CORP | 390320109 | COM | 34,017 | $278,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 11,322 | $257,000 | thousands by filing date | |
| KEANE GROUP INC | 48669A108 | COM | 42,499 | $257,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 26,277 | $241,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 26,437 | $240,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 10,564 | $238,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 24,992 | $205,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001317346-19-000009 | this filing | 2019-10-28 | acceptance time not in the bulk data set |