13F-HR filed by OTA Financial Group L.P.
OTA Financial Group L.P. filed this 13F-HR for the quarter ended 2021-12-31, filed 2022-01-28, with 82 holding rows worth $146,271,000.
- Accession
- 0001317346-22-000005
- Filer
- CIK 1317346
- Filed
- 2022-01-28
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2021
A holdings report, amendment of type restatement, 82 entries on the cover page, a total value of $146,271,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $146,271,000 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 |
|---|---|---|---|---|---|---|
| AVANTOR INC | 05352A209 | 6.25 PFD CNV SR | 250,239 | $32,333,000 | thousands by filing date | |
| EXPAND ENERGY CORPORATION | 165167164 | *W EXP 02/09/202 | 275,678 | $11,016,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 1,285,091 | $10,306,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F796 | COM | 114,007 | $7,762,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 532,340 | $7,644,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 61,562 | $7,022,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 64,959 | $6,025,000 | thousands by filing date | |
| THRYV HLDGS INC | 886029906 | COM NEW | 143,700 | $5,910,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 376,947 | $4,753,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 49,249 | $4,285,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 41,389 | $3,363,000 | thousands by filing date | |
| EXPAND ENERGY CORPORATION | 165167172 | *W EXP 02/09/202 | 72,011 | $2,585,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 109,900 | $2,454,000 | thousands by filing date | |
| PERSHING SQUARE TONTINE HLDG COM | 71531R109 | CL A | 114,748 | $2,262,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 26,532 | $2,248,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 265,554 | $2,068,000 | thousands by filing date | |
| MUDRICK CAPITAL ACQU CORP II | 62477L107 | COM CL A | 188,851 | $1,877,000 | thousands by filing date | |
| YELLOWSTONE ACQUISITION CO COM CL A | 98566K105 | Stock | 159,899 | $1,626,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 85,467 | $1,516,000 | thousands by filing date | |
| EXPAND ENERGY CORPORATION | 165167180 | *W EXP 02/09/202 | 41,263 | $1,336,000 | thousands by filing date | |
| CITIC CAPITAL ACQUISITION CO | G21513109 | COM CL A | 126,475 | $1,266,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 223,196 | $1,169,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 121,886 | $1,138,000 | thousands by filing date | |
| TORTOISE MIDSTREAM ENERGY FUND | 89148B200 | COM | 34,672 | $1,057,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 16,547 | $1,029,000 | thousands by filing date | |
| BURGUNDY TECHNOLOGY ACQU COR | G1702T116 | CL A | 100,747 | $1,008,000 | thousands by filing date | |
| ZANITE ACQUISITION CORP | 98907K103 | COM CL A | 93,085 | $947,000 | thousands by filing date | |
| BENESSERE CAPITAL ACQUSTN CO | 08179B103 | COM CL A | 87,628 | $888,000 | thousands by filing date | |
| VENTOUX CCM ACQUISITION CORP | 92280L101 | COM | 83,110 | $831,000 | thousands by filing date | |
| COHN ROBBINS HOLDINGS CORP | G23726105 | COM CL A | 77,353 | $760,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L886 | COM | 27,109 | $756,000 | thousands by filing date | |
| BETTER WORLD ACQUISITION COR | 08772B104 | COM | 65,017 | $661,000 | thousands by filing date | |
| TAILWIND ACQUISITION CORP | 87403Q102 | COM CL A | 60,668 | $596,000 | thousands by filing date | |
| KALERA PUBLIC LIMITED CO ORDINARY SHARES | G41089106 | Stock | 58,840 | $590,000 | thousands by filing date | |
| SCVX CORP | G79448208 | COM | 55,235 | $551,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G206 | COM | 50,868 | $523,000 | thousands by filing date | |
| MODEL PERFORMANCE ACQU CORP | G6246M105 | CLASS A ORD SHS | 51,805 | $517,000 | thousands by filing date | |
| NORTHERN STAR INVSTMNT CORP | 66573W107 | COM | 53,275 | $516,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 32,600 | $497,000 | thousands by filing date | |
| VY GLOBAL GROWTH | G9444H100 | CMN | 50,354 | $493,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 10,623 | $481,000 | thousands by filing date | |
| GLOBAL CONSUMER ACQUISITN CO | 37892B108 | COM | 48,097 | $477,000 | thousands by filing date | |
| ALBERTON ACQUISITION CORP | G35006108 | ORD SHS | 40,299 | $471,000 | thousands by filing date | |
| NXG CUSHING MIDSTREAM ENERGY | 231631300 | COM NEW | 13,948 | $425,000 | thousands by filing date | |
| TRADEUP ACQUISITION CORP | 89268A107 | COM | 42,932 | $425,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 16,697 | $409,000 | thousands by filing date | |
| HENNESSY CAPITAL INVS CORP V | 42589T107 | COM | 39,688 | $386,000 | thousands by filing date | |
| PATHFINDER ACQUISITION CORP | G04119106 | CL A | 39,089 | $379,000 | thousands by filing date | |
| HUMANCO ACQUISITION CORP | 44487N109 | CMN | 37,192 | $363,000 | thousands by filing date | |
| AUSTERLITZ ACQUISITION CORP | G0633D109 | SHS CL A | 36,993 | $359,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H207 | COM | 14,662 | $334,000 | thousands by filing date | |
| EAST RES ACQUISITION CO | 274681105 | COM CL A | 32,354 | $319,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 30,213 | $313,000 | thousands by filing date | |
| HEALTHCARE SERVICES ACQU COR | 42227K104 | CMN | 31,729 | $309,000 | thousands by filing date | |
| LEO HLDGS CORP II | G5463R102 | COM CL A | 30,608 | $298,000 | thousands by filing date | |
| VPC IMPACT ACQU HOLDI III IN | 91835J108 | COM CL A | 27,966 | $286,000 | thousands by filing date | |
| OCEANTECH ACQUISITIONS I COR | 675507107 | CLASS A COM | 28,525 | $284,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 11,994 | $282,000 | thousands by filing date | |
| INDIE SEMICONDUCTOR INC | 45569U119 | *W EXP 06/10/202 | 80,573 | $282,000 | thousands by filing date | |
| VISIONWAVE HOLDINGS INC COM | 066644105 | Stock | 28,293 | $277,000 | thousands by filing date | |
| STERLING BANCORP DEL | 85917A100 | COM | 10,524 | $271,000 | thousands by filing date | |
| ARIES I ACQUISITION CORP | G0542N107 | CLASS A ORD SHS | 25,711 | $257,000 | thousands by filing date | |
| SENIOR CONNECT ACQUISITN COR | 81723H108 | COM CL A | 25,766 | $250,000 | thousands by filing date | |
| CHARDAN NEXTECH ACQUISITION | 159561109 | CMN | 25,047 | $248,000 | thousands by filing date | |
| CRUCIBLE ACQUISITION CORP | 22877P108 | CMN | 25,393 | $247,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 36,022 | $246,000 | thousands by filing date | |
| INTERNATIONAL MEDIA ACQUISIT | 459867107 | CLASS A COM | 23,488 | $230,000 | thousands by filing date | |
| CHP MERGER CORP | 12558Y106 | COM CL A | 22,400 | $226,000 | thousands by filing date | |
| CASCADE ACQUISITION CORP | 147151104 | COM CL A | 22,691 | $225,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 20,996 | $224,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 12,030 | $218,000 | thousands by filing date | |
| STONECO LTD | G85158106 | COM CL A | 12,919 | $217,000 | thousands by filing date | |
| YATSEN HLDG LTD SPONSORED ADS | 985194109 | ADR | 100,390 | $215,000 | thousands by filing date | |
| MSP RECOVERY INC COM CL A | 53625R104 | Stock | 21,270 | $211,000 | thousands by filing date | |
| GLOBAL PARTNER ACQISTN CORP | G3934P102 | COM | 21,703 | $210,000 | thousands by filing date | |
| OYSTER ENTERPRISES ACQ CORP | 69242M104 | CMN | 21,429 | $209,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 10,954 | $207,000 | thousands by filing date | |
| DTRT HEALTH ACQUISITION CORP | 23344T103 | COM CL A | 20,754 | $206,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 12,604 | $203,000 | thousands by filing date | |
| AST SPACEMOBILE INC | 00217D118 | *W EXP 04/06/202 | 70,020 | $203,000 | thousands by filing date | |
| KHOSLA VENTURES ACQUISITION | 482504107 | CL A | 21,022 | $203,000 | thousands by filing date | |
| KINGSWOOD ACQUISITION CORP | 496861105 | CMN | 20,008 | $202,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001317346-22-000005 | this filing | 2022-01-28 | acceptance time not in the bulk data set |