13F-HR filed by OTA Financial Group L.P.
OTA Financial Group L.P. filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-10-12, with 70 holding rows worth $82,984,000.
- Accession
- 0001317346-21-000012
- Filer
- CIK 1317346
- Filed
- 2021-10-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, amendment of type restatement, 70 entries on the cover page, a total value of $82,984,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $82,984,000 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 |
|---|---|---|---|---|---|---|
| Vanguard Total Bond Market ETF | 921937835 | SHS | 159,462 | $13,626,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 1,104,739 | $13,091,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 783,060 | $6,013,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 338,273 | $4,668,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 154,400 | $3,968,000 | thousands by filing date | |
| EXPAND ENERGY CORPORATION | 165167172 | *W EXP 02/09/202 | 110,530 | $3,522,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 244,603 | $2,487,000 | thousands by filing date | |
| PERSHING SQUARE TONTINE HLDG COM | 71531R109 | CL A | 86,634 | $1,706,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 30,861 | $1,643,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 18,684 | $1,634,000 | thousands by filing date | |
| GREAT WESTN BANCORP INC | 391416104 | COM | 47,311 | $1,548,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 27,459 | $1,489,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 450,947 | $1,343,000 | thousands by filing date | |
| EXPAND ENERGY CORPORATION | 165167164 | *W EXP 02/09/202 | 36,410 | $1,318,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 223,196 | $1,100,000 | thousands by filing date | |
| SPRING VALLEY ACQ CORP | G8377A108 | COMMON STOCK-FO | 117,678 | $1,022,000 | thousands by filing date | |
| TORTOISE MIDSTREAM ENERGY FUND | 89148B200 | COM | 35,241 | $1,017,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 86,018 | $961,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 32,600 | $926,000 | thousands by filing date | |
| CLEARWAY ENERGY INC-CLASS A NE | 18539C105 | CL A | 31,204 | $879,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F796 | COM | 14,857 | $870,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 30,165 | $732,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L886 | COM | 26,960 | $730,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 30,530 | $631,000 | thousands by filing date | |
| AST SPACEMOBILE INC | 00217D118 | *W EXP 04/06/202 | 159,492 | $626,000 | thousands by filing date | |
| FOX CORP | 35137L204 | CL B COM | 15,928 | $591,000 | thousands by filing date | |
| INTERNATIONAL MEDIA ACQUISIT | 459867107 | CLASS A COM | 57,979 | $568,000 | thousands by filing date | |
| KALERA PUBLIC LIMITED CO ORDINARY SHARES | G41089106 | Stock | 55,100 | $551,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G206 | COM | 50,868 | $547,000 | thousands by filing date | |
| DESKTOP METAL INC | 25058X105 | COM CL A | 75,590 | $541,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 81,118 | $491,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 39,032 | $453,000 | thousands by filing date | |
| FAR PEAK ACQUISITION CORP | G3312L103 | SHS CL A | 45,600 | $453,000 | thousands by filing date | |
| NXG CUSHING MIDSTREAM ENERGY | 231631300 | COM NEW | 13,948 | $443,000 | thousands by filing date | |
| LUCID GROUP INC | 549498111 | W EXP 07/23/202 | 38,437 | $434,000 | thousands by filing date | |
| EXPAND ENERGY CORPORATION | 165167180 | *W EXP 02/09/202 | 14,825 | $433,000 | thousands by filing date | |
| CADENCE BANCORP | 12739A100 | COMMON EQUITY | 19,137 | $420,000 | thousands by filing date | |
| GOLDEN PATH ACQ CRP; TNT ACQ DT: 6/22/2022; CASH: $10.10 | G4028H105 | ORDINARY SHARES | 41,947 | $415,000 | thousands by filing date | |
| BURGUNDY TECHNOLOGY ACQU COR | G1702T116 | CL A | 41,505 | $412,000 | thousands by filing date | |
| ZANITE ACQUISITION CORP | 98907K103 | COM CL A | 39,360 | $397,000 | thousands by filing date | |
| MUDRICK CAPITAL ACQU CORP II | 62477L107 | COM CL A | 39,790 | $395,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 24,580 | $371,000 | thousands by filing date | |
| AMERANT BANCORP INC | 023576200 | CL B | 15,434 | $358,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H207 | COM | 14,662 | $351,000 | thousands by filing date | |
| BETTER WORLD ACQUISITION COR | 08772B104 | COM | 33,496 | $337,000 | thousands by filing date | |
| GLOBAL CONSUMER ACQUISITN CO | 37892B108 | COM | 32,862 | $324,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 40,000 | $320,000 | thousands by filing date | |
| CLOVER LEAF CAPITAL CORP | 18915E105 | COM CL A | 31,415 | $313,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 15,624 | $309,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 99,772 | $308,000 | thousands by filing date | |
| PURECYCLE TECHNOLOGIES INC | 74623V111 | *W EXP 03/17/202 | 59,914 | $307,000 | thousands by filing date | |
| GLOBAL SYNERGY ACQUISIT CORP | G3934J106 | CMN | 30,872 | $302,000 | thousands by filing date | |
| MERIDA MERGER CORP I | 58953M106 | COM | 29,825 | $297,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 28,658 | $286,000 | thousands by filing date | |
| GOLDEN NUGGET ONLINE GAMIN | 38113L107 | COM CL A | 16,404 | $284,000 | thousands by filing date | |
| EAST STONE ACQUISITION CORP | G2911D108 | SHS | 27,901 | $284,000 | thousands by filing date | |
| YELLOWSTONE ACQUISITION CO COM CL A | 98566K105 | Stock | 26,760 | $271,000 | thousands by filing date | |
| PONTEM CORPORATION | G71707106 | COM | 27,122 | $263,000 | thousands by filing date | |
| GIGINTERNATIONAL1 INC | 37518W106 | CMN | 26,409 | $260,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 21,161 | $247,000 | thousands by filing date | |
| OCEANTECH ACQUISITIONS I COR | 675507107 | CLASS A COM | 23,740 | $234,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 21,557 | $218,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 15,009 | $218,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 10,276 | $214,000 | thousands by filing date | |
| MYSEUMAI INC | 23816M115 | *W EXP 08/17/202 | 23,971 | $206,000 | thousands by filing date | |
| BLUE SAFARI GRP ACQUISITN CO | G1195R106 | CLASS A ORD SHS | 20,688 | $204,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 10,075 | $203,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 11,775 | $201,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 14,638 | $200,000 | thousands by filing date | |
| APOLLO STRATEGIC GROWTH CAPITAL | G0411R106 | COMMON STOCK-FO | 20,515 | $200,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001317346-21-000012 | this filing | 2021-10-12 | acceptance time not in the bulk data set |