13F-HR filed by OTA Financial Group L.P.
OTA Financial Group L.P. filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-10-28, with 63 holding rows worth $107,816,000.
- Accession
- 0001317346-20-000015
- Filer
- CIK 1317346
- Filed
- 2020-10-28
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, amendment of type restatement, 63 entries on the cover page, a total value of $107,816,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $107,816,000 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 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 |
|---|---|---|---|---|---|---|
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 1,358,348 | $24,912,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 94,794 | $9,081,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 95,866 | $8,457,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 138,682 | $5,873,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 95,673 | $5,365,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 142,281 | $4,719,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 31,740 | $4,534,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 133,251 | $4,407,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 42,137 | $2,766,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 28,775 | $2,414,000 | thousands by filing date | |
| GCI LIBERTY INC COM CLASS A | 36164V305 | Stock | 28,653 | $2,348,000 | thousands by filing date | |
| UTZ BRANDS INC COM CL A | 918090101 | Stock | 125,600 | $2,248,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 27,720 | $1,995,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 191,069 | $1,880,000 | thousands by filing date | |
| iShares Broad USD High Yield Corporate Bond ETF | 46435U853 | SHS | 44,130 | $1,741,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 42,044 | $1,646,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 926,948 | $1,603,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 42,148 | $1,374,000 | thousands by filing date | |
| PERSHING SQUARE TONTINE HLDG COM | 71531R109 | CL A | 49,345 | $1,119,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E784 | EMRNG MKT SVRG | 40,784 | $1,106,000 | thousands by filing date | |
| D8 HOLDINGS CORP | G2614K110 | SHS CL A | 113,040 | $1,104,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 10,310 | $1,047,000 | thousands by filing date | |
| SOFTWARE ACQUISITION GROUP I | 83406B101 | COM CL A | 90,581 | $902,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 10,180 | $843,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 64,761 | $808,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 25,329 | $780,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y114 | W EXP 02/02/202 | 109,560 | $740,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 25,309 | $707,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 15,814 | $695,000 | thousands by filing date | |
| VELODYNE LIDAR INC | 92259F101 | COM | 33,107 | $618,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 71,347 | $612,000 | thousands by filing date | |
| BEAM GLOBAL | 07373B117 | *W EXP 04/15/202 | 74,701 | $458,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 74,188 | $451,000 | thousands by filing date | |
| PERSHING SQUARE TONTINE HLDG | 71531R959 | COM | 18,000 | $408,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G206 | COM | 65,466 | $391,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 96,368 | $384,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 34,150 | $364,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L886 | COM | 23,168 | $342,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 22,321 | $338,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874904 | COM NEW | 12,000 | $330,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 69,640 | $323,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 26,702 | $320,000 | thousands by filing date | |
| FOX CORP CL A COM | 35137L105 | Stock | 11,357 | $316,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 32,350 | $293,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 21,291 | $283,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 43,581 | $278,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 14,496 | $272,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 19,761 | $270,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 59,476 | $262,000 | thousands by filing date | |
| TORTOISE MIDSTREAM ENERGY FUND | 89148B200 | COM | 17,119 | $248,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 67,316 | $242,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 100,886 | $240,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q205 | COM | 33,309 | $239,000 | thousands by filing date | |
| NXG CUSHING MIDSTREAM ENERGY | 231631300 | COM NEW | 15,418 | $239,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 17,750 | $238,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H207 | COM | 19,948 | $238,000 | thousands by filing date | |
| KENSINGTON CAP ACQUISITION C | 490073202 | UNIT 07/01/2027 | 12,600 | $238,000 | thousands by filing date | |
| PROPERTY SOLUTIONS ACQUISITI | 74348Q108 | COM | 24,019 | $235,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 283,022 | $232,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 15,439 | $227,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 150,228 | $226,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 17,271 | $224,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F952 | PUT | 20,000 | $223,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001317346-20-000015 | this filing | 2020-10-28 | acceptance time not in the bulk data set |