13F-HR filed by OTA Financial Group L.P.
OTA Financial Group L.P. filed this 13F-HR for the quarter ended 2022-09-30, filed 2022-10-17, with 105 holding rows worth $116,518,000.
- Accession
- 0001317346-22-000009
- Filer
- CIK 1317346
- Filed
- 2022-10-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2022
A holdings report, amendment of type restatement, 105 entries on the cover page, a total value of $116,518,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $116,518,000 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 |
|---|---|---|---|---|---|---|
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 518,265 | $20,533,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 1,338,672 | $17,135,000 | thousands by filing date | |
| EXPAND ENERGY CORPORATION | 165167172 | *W EXP 02/09/202 | 146,213 | $11,550,000 | thousands by filing date | |
| EXPAND ENERGY CORPORATION | 165167164 | *W EXP 02/09/202 | 101,870 | $8,167,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 90,713 | $4,110,000 | thousands by filing date | |
| SOUTH JERSEY INDS INC | 838518306 | UNIT 04/01/2024 | 54,633 | $3,638,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 137,452 | $3,268,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 30,323 | $2,915,000 | thousands by filing date | |
| BLACKROCK TECH AND PRIVATE E | 09260Q108 | SHS BEN INT | 373,990 | $2,718,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 41,662 | $2,011,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 24,704 | $1,823,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F902 | CALL | 1,098,400 | $1,724,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TE | 09260E105 | COM SHS | 106,499 | $1,590,000 | thousands by filing date | |
| BLACKROCK ESG CAP ALLC TR | 09262F100 | SHS BEN INT | 104,741 | $1,341,000 | thousands by filing date | |
| BROOKFIELD ASSET MGMT FCLASS A | G16169107 | CL A EXCH LT VTG | 27,174 | $1,111,000 | thousands by filing date | |
| ADARA ACQUISITION CORP | 00653H102 | COM CL A | 104,106 | $1,035,000 | thousands by filing date | |
| BLACKROCK CAP ALLOCATION TER | 09260U109 | COM | 75,308 | $1,024,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MLP FUND, I | 184692200 | COM | 33,999 | $1,013,000 | thousands by filing date | |
| TORTOISE MIDSTREAM ENERGY FUND | 89148B200 | COM | 28,567 | $922,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTREAM O | 18469P209 | COM | 34,321 | $858,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 66,572 | $726,000 | thousands by filing date | |
| GLOBAL CONSUMER ACQUISITN CO | 37892B108 | COM | 63,567 | $647,000 | thousands by filing date | |
| TRADEUP ACQUISITION CORP | 89268A107 | COM | 63,957 | $643,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 12,422 | $598,000 | thousands by filing date | |
| BANNER ACQUISITION CORP | 06654K101 | COM | 60,187 | $595,000 | thousands by filing date | |
| FLAME ACQUISITION CORP | 33850F108 | COM CL A | 60,301 | $592,000 | thousands by filing date | |
| EMERGING MARKETS HORIZON COR | G3033X105 | CLASS A ORD SHS | 54,183 | $541,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 40,943 | $471,000 | thousands by filing date | |
| CLOVER LEAF CAPITAL CORP | 18915E105 | COM CL A | 43,655 | $451,000 | thousands by filing date | |
| BROADSCALE ACQUISITION CORP | 11134Y101 | CMN | 44,508 | $438,000 | thousands by filing date | |
| FIRST RESERVE SUSTAINABLE GW | 336169107 | CLASS A COM | 43,239 | $424,000 | thousands by filing date | |
| GORES TECHNOLOGY PARTNERS II | 38287L107 | CLASS A COM | 42,726 | $419,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 37,283 | $410,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 37,220 | $409,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L886 | COM | 13,670 | $409,000 | thousands by filing date | |
| SPORTSMAP TECH ACQUISITIN CO | 84921J108 | COM | 40,222 | $403,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 48,850 | $396,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 48,619 | $394,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 35,865 | $389,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 43,245 | $388,000 | thousands by filing date | |
| DILA CAPITAL ACQUISITION COR | 254028103 | COM CL A | 38,920 | $387,000 | thousands by filing date | |
| PRIVETERRA ACQUISITION CORP | 876545104 | COM CL A | 38,689 | $386,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 61,196 | $374,000 | thousands by filing date | |
| FAST ACQUISITION CORP II | 311874101 | CL A | 38,049 | $373,000 | thousands by filing date | |
| MANA CAP ACQUISITION CORP | 56168P104 | CMN | 36,099 | $362,000 | thousands by filing date | |
| ANZU SPECIAL ACQUISITIN CORP | 03737A101 | COM CL A | 36,271 | $356,000 | thousands by filing date | |
| MISSION ADVANCEMENT CORP | 60501L101 | CMN | 36,220 | $355,000 | thousands by filing date | |
| THUNDER BRIDGE CAP PRTNRS II | 88605T100 | COM | 35,886 | $353,000 | thousands by filing date | |
| TG VENTURE ACQUISITION CORP | 87251T109 | COM | 35,386 | $352,000 | thousands by filing date | |
| EG ACQUISITION CORP | 26846A100 | COM | 35,966 | $351,000 | thousands by filing date | |
| CLEARWAY ENERGY INC-CLASS A NE | 18539C105 | CL A | 12,056 | $350,000 | thousands by filing date | |
| HAMILTON LANE ALLIANCE HLDGS | 40749M103 | CMN | 34,557 | $341,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 48,900 | $337,000 | thousands by filing date | |
| BITE ACQUISITION CORP | 09175K105 | COMMON STOCK | 34,215 | $336,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 76,797 | $334,000 | thousands by filing date | |
| OYSTER ENTERPRISES ACQ CORP | 69242M104 | CMN | 33,780 | $333,000 | thousands by filing date | |
| MDH ACQUISITION CORP | 55283P106 | CMN | 33,142 | $326,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 40,484 | $322,000 | thousands by filing date | |
| RF ACQUISITION CORP | 74954L104 | COM | 32,488 | $320,000 | thousands by filing date | |
| D AND Z MEDIA ACQUISITION CO | 23305Q106 | COM | 32,409 | $319,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G206 | COM | 26,362 | $316,000 | thousands by filing date | |
| FORTRESS VALUE ACQUISI CORP | 34964K108 | COM CL A | 32,127 | $316,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 20,297 | $310,000 | thousands by filing date | |
| M3 BRIGADE ACQUISITION II CO | 553800103 | COM CL A | 31,052 | $304,000 | thousands by filing date | |
| TRISALUS LIFE SCIENCES INC COM | 58507N105 | Stock | 30,051 | $298,000 | thousands by filing date | |
| TLG ACQUISITION ONE CORP | 87257M108 | COM | 29,991 | $295,000 | thousands by filing date | |
| TWELVE SEAS INVESTMENT CO II | 90118T106 | COM CL A | 29,738 | $292,000 | thousands by filing date | |
| LARKSPUR HEALTH ACQUISITION | 51724W107 | CLASS A COM | 29,030 | $290,000 | thousands by filing date | |
| FG MERGER CORP | 30324Y101 | COMMON STOCK | 28,517 | $285,000 | thousands by filing date | |
| SEP ACQUISITION CORP | 589381102 | CLASS A COM | 28,579 | $284,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 31,900 | $283,000 | thousands by filing date | |
| NEWBURY STREET ACQUISITN COR | 65101L104 | COM | 28,747 | $282,000 | thousands by filing date | |
| MARBLEGATE ACQUISITION CORP | 56608A105 | COM CL A | 28,014 | $279,000 | thousands by filing date | |
| BENESSERE CAPITAL ACQUSTN CO | 08179B103 | COM CL A | 26,994 | $279,000 | thousands by filing date | |
| COLOMBIER ACQUISITION CORP | 19533H108 | COM | 28,661 | $278,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 37,400 | $271,000 | thousands by filing date | |
| GREENCITY ACQUISITION CORP | G4086B107 | COM | 25,290 | $267,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 21,608 | $264,000 | thousands by filing date | |
| VISIONWAVE HOLDINGS INC COM | 066644105 | Stock | 26,196 | $261,000 | thousands by filing date | |
| ARROWROOT ACQUISITION CORP | 04282M102 | COM | 25,864 | $253,000 | thousands by filing date | |
| NORTHERN STAR INVSTMNT CORP | 66573W107 | COM | 25,177 | $248,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 36,714 | $244,000 | thousands by filing date | |
| VELOCITY ACQUISITION CORP | 92259E104 | COM CL A | 24,592 | $241,000 | thousands by filing date | |
| CLASS ACCELERATION CORP | 18274B106 | CMN | 24,431 | $241,000 | thousands by filing date | |
| BELONG ACQUISITION CORP | 08069M102 | COM | 24,254 | $239,000 | thousands by filing date | |
| DIAMONDHEAD HOLDINGS CORP | 25278L105 | COM | 23,863 | $235,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 14,199 | $233,000 | thousands by filing date | |
| ATLANTIC COASTAL ACQUISTN CO | 048453104 | CLASS A COM | 23,664 | $232,000 | thousands by filing date | |
| B RILEY PRIN 250 MERGER CORP | 05602L104 | COM | 23,587 | $230,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 17,026 | $229,000 | thousands by filing date | |
| WELSBACH TECH METALS ACQU CO | 950415109 | COM | 22,777 | $227,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 26,494 | $226,000 | thousands by filing date | |
| SANDBRIDGE X2 CORP | 799792106 | CMN | 22,938 | $225,000 | thousands by filing date | |
| LONGVIEW ACQUISITION CORP II | 54319Q105 | COM CL A | 22,770 | $223,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 19,557 | $222,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 18,952 | $221,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 23,224 | $216,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 19,801 | $215,000 | thousands by filing date | |
| CLARIM ACQUISITION CORP | 18049C108 | CMN | 21,772 | $215,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 22,430 | $213,000 | thousands by filing date | |
| PROPERTY SOLUTIONS ACQUISITI | 74350A108 | COM | 21,628 | $212,000 | thousands by filing date | |
| GOAL ACQUISITIONS CORP | 38021H107 | COM | 21,608 | $212,000 | thousands by filing date | |
| KADEM SUSTAINABLE IMPACT COR | 48284E105 | CLASS A COM | 21,549 | $211,000 | thousands by filing date | |
| WINVEST ACQUISITION CORP (U.S.) | 97655B109 | COM | 20,459 | $204,000 | thousands by filing date | |
| ACHARI VENTURES HLDGS CORP I | 00444X101 | COM | 20,017 | $201,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001317346-22-000009 | this filing | 2022-10-17 | acceptance time not in the bulk data set |