13F-HR filed by OTA Financial Group L.P.
OTA Financial Group L.P. filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-04-30, with 63 holding rows worth $104,815,000.
- Accession
- 0001425475-14-000010
- Filer
- CIK 1317346
- Filed
- 2014-04-30
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 63 entries on the cover page, a total value of $104,815,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $104,815,000 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 SWAPS 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 |
|---|---|---|---|---|---|---|
| GOODYEAR TIRE & RUBBER CO | 382550309 | CORPORATE OBLIG | 238,631 | $17,279,000 | thousands by filing date | |
| OMNICARE CAP TR II | 68214Q200 | PFD B TR 4.00% | 157,974 | $11,595,000 | thousands by filing date | |
| EXTERRAN HLDGS INC 4.250 | 30225XAA1 | NOTE 4.250% 6/1 | 50,000 | $9,512,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 115,166 | $8,414,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 118,401 | $4,075,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 182,502 | $3,923,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 43,500 | $3,086,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 22,091 | $3,030,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 276,153 | $2,946,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 61,411 | $2,525,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 29,891 | $2,210,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 70,112 | $2,057,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 19,757 | $1,867,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 36,311 | $1,718,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 34,186 | $1,677,000 | thousands by filing date | |
| FOREST LABS INC | 345838106 | COM | 17,087 | $1,576,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 24,535 | $1,411,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 21,826 | $1,347,000 | thousands by filing date | |
| EPL Oil & Gas, Inc. | 26883D108 | COM | 34,151 | $1,318,000 | thousands by filing date | |
| PPL CORP | 69351T114 | UNIT 99/99/9999S | 21,911 | $1,198,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 20,915 | $1,194,000 | thousands by filing date | |
| Nextera Energy, Inc. | 65339F887 | PFD | 19,311 | $1,184,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 22,368 | $1,125,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 40,215 | $1,102,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 51,194 | $1,047,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 67,469 | $970,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 56,116 | $965,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 92,455 | $865,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 44,470 | $846,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 10,301 | $836,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 14,091 | $691,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 11,705 | $669,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 19,325 | $585,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 15,432 | $552,000 | thousands by filing date | |
| METLIFE INC | 59156R116 | PREFERRED STOCK | 17,450 | $537,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 27,484 | $524,000 | thousands by filing date | |
| NUVEEN EQTY PRM OPPORTUNITYF | 6706EM102 | COM | 39,290 | $494,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 13,865 | $490,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 20,449 | $482,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 21,305 | $420,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 23,675 | $402,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 10,486 | $384,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 15,725 | $379,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 30,318 | $362,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 37,401 | $347,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 24,402 | $337,000 | thousands by filing date | |
| KKR FINL HLDGS LLC | 48248A306 | COM | 28,608 | $330,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 25,006 | $328,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 15,866 | $320,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 23,171 | $302,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 12,696 | $267,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 13,831 | $262,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 36,830 | $261,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 10,345 | $244,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U506 | RUSSIA ETF | 10,017 | $240,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 11,588 | $230,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 19,002 | $229,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 16,420 | $225,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 20,667 | $208,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 15,653 | $207,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 11,473 | $205,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 11,241 | $203,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 11,604 | $201,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001425475-14-000010 | this filing | 2014-04-30 | acceptance time not in the bulk data set |