13F-HR filed by OTA Financial Group L.P.
OTA Financial Group L.P. filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-04-15, with 52 holding rows worth $146,468,000.
- Accession
- 0001317346-20-000008
- Filer
- CIK 1317346
- Filed
- 2020-04-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2020
A holdings report, amendment of type restatement, 52 entries on the cover page, a total value of $146,468,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $146,468,000 with VALUE read as thousands by filing date, 13F file number 028-11283. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- included managerOTA LLC028-11280
- included managerOTA TRADING FUND 1 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 | 2,624,228 | $26,977,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 15,594 | $20,849,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 833,789 | $12,223,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 243,189 | $11,707,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701115 | WARRANT | 507,021 | $9,886,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 16,342 | $7,927,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 114,990 | $6,782,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 301,969 | $5,553,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 99,741 | $4,821,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 293,456 | $3,574,000 | thousands by filing date | |
| ENERGIZER HLDGS INC NEW | 29272W208 | 7.5 MCNV PFD A | 33,911 | $3,546,000 | thousands by filing date | |
| GCI LIBERTY INC COM CLASS A | 36164V305 | Stock | 48,718 | $3,451,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC | 05156V952 | COM | 140,000 | $2,836,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 302,740 | $2,225,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 43,361 | $1,938,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A301 | 6.50% CON PFD B | 11,637 | $1,503,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 12,023 | $1,431,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851406 | 6% PFD CONV A | 11,641 | $1,397,000 | thousands by filing date | |
| XPERI CORP | 98421B100 | COM | 64,413 | $1,191,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 63,424 | $1,159,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 170,680 | $1,116,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 13,377 | $1,001,000 | thousands by filing date | |
| TEXAS CAP BANCSHARES INC | 88224Q107 | COM | 17,049 | $967,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E784 | EMRNG MKT SVRG | 30,168 | $892,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 46,935 | $887,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 104,322 | $809,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 17,239 | $791,000 | thousands by filing date | |
| AVANTOR INC | 05352A209 | 6.25 PFD CNV SR | 11,793 | $742,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 25,214 | $738,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G508 | SR LN ETF | 31,915 | $728,000 | thousands by filing date | |
| INTERNATIONAL FLAVORS&FRAGRA | 459506309 | UNIT 09/15/2021 | 13,152 | $631,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 118,324 | $487,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 25,099 | $481,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 230,427 | $453,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 50,580 | $452,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 14,663 | $436,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 13,173 | $331,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 21,494 | $324,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 52,914 | $322,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 13,114 | $279,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 17,022 | $257,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 22,607 | $248,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 17,478 | $232,000 | thousands by filing date | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 29,326 | $222,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 14,796 | $214,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 29,026 | $213,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 45,854 | $211,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 33,299 | $208,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 48,826 | $207,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 169,492 | $206,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 96,618 | $204,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 18,689 | $203,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001317346-20-000008 | this filing | 2020-04-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001317346-20-000009 | base | 2020-04-16 | acceptance time not in the bulk data set |