Managers / Q4 2018 · view latest →
OTA Financial Group L.P.
CIK 0001317346 · 1 MANHATTANVILLE ROAD, PURCHASE, NY, 10577 · 914-694-5800
Reported Value
$213M
Q4 2018
Positions
62
Filings on Record
21
2019–present window
Filed
Jan 24, 2019
original filing
Summary
Ota Financial Group L.P. reported $213M in U.S.-listed holdings across 62 positions for Q4 2018.
The portfolio is heavily concentrated: Bank Of America Corporation Wt Exp 011619 alone accounts for 66.2% of reported value.
Portfolio Metrics
Top-10 Concentration
+84.4%
share of reported value
Largest Position
+66.2%
Bank Of America Corporation Wt Exp 011619
Methodology: turnover is min(value bought, value sold) ÷ average reported value across the two quarters — value-based, so market moves inflate it slightly versus a share-based measure. Concentration and largest position are shares of the filing’s total reported value, options excluded, with multiple share classes and repeated sub-manager rows for the same issuer combined into one position — the same rule the holdings table uses by default. New/exited counts compare against the prior filed quarter. All figures derive solely from the fund’s 13F filings.
Reported Value by Quarter
13F Reported Value
Portfolio Composition
By security type
- Other · 78.4% · $167M
- Common Stock · 12.1% · $26M
- Closed-End Fund · 5.0% · $11M
- PUBLIC · 3.7% · $8M
- ETP · 0.6% · $1M
- ADR · 0.3% · $615,000
Quarter-over-Quarter Changes full breakdown →
| Issuer | Move | Share Δ | Shares now | Value Δ | Value now |
|---|---|---|---|---|---|
| BANK OF AMERICA CORPORATION WT EXP 011619 | NEW | +10.99M | 10.99M | +$141M | $141M |
| RANDGOLD RESOURCES ADR | NEW | +121.3K | 121.3K | +$10M | $10M |
| SPROTT PHYSICAL SILVER TRUST | NEW | +1.15M | 1.15M | +$6M | $6M |
| QTS REALTY TRUST INC | NEW | +64.8K | 64.8K | +$6M | $6M |
| LIBERTY MEDIA COR-SIRIUSXM A | NEW | +124.4K | 124.4K | +$5M | $5M |
| LIBERTY MEDIA COR-SIRIUSXM C | NEW | +112.7K | 112.7K | +$4M | $4M |
| SPDR BBG BARC HIGH YIELD BND | NEW | +73.9K | 73.9K | +$2M | $2M |
| MB FINANCIAL INC | NEW | +46.8K | 46.8K | +$2M | $2M |
Value changes conflate price moves with buying and selling — share changes are the real signal. Share counts are not split-adjusted.
Holdings — Q4 2018
62 positions
| # | Issuer | Class | % Portfolio | Value ↓ | Shares |
|---|---|---|---|---|---|
| 1 | BANK OF AMERICA CORPORATION WT EXP 011619 | W EXP 01/16/201 | 66.15% | $141M | 10.99M |
| 2 | RANDGOLD RESOURCES ADR | ADR | 4.67% | $10M | 121.3K |
| 3 | SPROTT PHYSICAL SILVER TRUST | TR UNIT | 3.03% | $6M | 1.15M |
| 4 | QTS REALTY TRUST INC | 6.50% CON PFD B | 2.87% | $6M | 64.8K |
| 5 | LIBERTY MEDIA COR-SIRIUSXM A | COM A SIRIUSXM | 2.15% | $5M | 124.4K |
| 6 | LIBERTY MEDIA COR-SIRIUSXM C | COM C SIRIUSXM | 1.96% | $4M | 112.7K |
| 7 | SPDR BBG BARC HIGH YIELD BND | BLOOMBERG BRCLYS | 1.17% | $2M | 73.9K |
| 8 | MB FINANCIAL INC | COM | 0.87% | $2M | 46.8K |
| 9 | SPROTT PHYSICAL GOLD TRUST | UNIT | 0.78% | $2M | 160.2K |
| 10 | CENTERSTATE BANK CORP | COM | 0.71% | $2M | 71.4K |
| 11 | LEN/BLENNAR CORP CL B | CL B | 0.70% | $1M | 47.4K |
| 12 | ALTABA INC | COM | 0.68% | $1M | 25.0K |
| 13 | TAHOE RESOURCES INC | COM | 0.67% | $1M | 390.7K |
| 14 | HARRIS CORP | COM | 0.67% | $1M | 10.5K |
| 15 | ZIONS BANCORPORATION | W EXP 05/21/202 | 0.66% | $1M | 150.1K |
| 16 | PIMCO DYNAMIC CREDIT AND MOR | SHS | 0.66% | $1M | 66.6K |
| 17 | HESS CORP | DEP PDF SR A | 0.58% | $1M | 24.9K |
| 18 | GCI LIBERTY INC - CLASS A | CLASS A | 0.51% | $1M | 26.5K |
| 19 | GREAT ELM CAPITAL CORP | COM | 0.47% | $992,000 | 126.4K |
| 20 | EFAISHARES MSCI EAFE ETF | ETF | 0.46% | $982,000 | 16.7K |
| 21 | JPCNUVEEN PFD & CONV INC FD | COM | 0.46% | $980,000 | 117.6K |
| 22 | THWTEKLA WORLD HEALTHCARE FUND | SHS | 0.46% | $976,000 | 84.3K |
| 23 | TWENTY-FIRST CENTURY FOX-A | CL A | 0.42% | $897,000 | 18.6K |
| 24 | TORTOISE ENERGY INFRASTRUCT | COM | 0.39% | $825,000 | 41.5K |
| 25 | FCB FINANCIAL HOLDINGS-CL A | CL A | 0.37% | $789,000 | 23.5K |
| 26 | SPROTT PHYSICAL GOLD AND SIL | TR UNIT | 0.36% | $772,000 | 61.6K |
| 27 | WESTERN GAS PARTNERS LP | COM UNIT LP IN | 0.34% | $718,000 | 17.0K |
| 28 | SPRINT CORP | COM SER 1 | 0.33% | $702,000 | 120.8K |
| 29 | ABERDEEN ASIA PAC INC FD | COM | 0.32% | $682,000 | 176.5K |
| 30 | XEXGXEATON VANCE TAX-MANAGED GLOB | COM | 0.30% | $643,000 | 86.3K |
| 31 | GUGGENHEIM ENHANCED EQUITY I | COM | 0.29% | $615,000 | 90.8K |
| 32 | ROYAL DUTCH SHELL PLC | SPONS ADR A | 0.29% | $615,000 | 10.6K |
| 33 | ETJEATON VANCE RISK-MANAGED DIV | COM | 0.29% | $608,000 | 74.9K |
| 34 | AMERICA MOVIL S A DE C V | ADR | 0.28% | $605,000 | 43.7K |
| 35 | XMYDXBLACKROCK MUNIYIELD FUND | COM | 0.27% | $570,000 | 45.6K |
| 36 | ALLIANZGI CONVERTIBLE & INCO | COM | 0.25% | $541,000 | 104.4K |
| 37 | VBTXVERITEX HOLDINGS INC | COM | 0.23% | $491,000 | 23.0K |
| 38 | PTYPIMCO CORPORATE & INCOME OPP | COM | 0.23% | $491,000 | 32.0K |
| 39 | ETWEATON VANCE TAX MAN GLBL BR | COM | 0.21% | $441,000 | 46.3K |
| 40 | ALLIANZGI DIVERSIFIED INCOME | COM | 0.21% | $438,000 | 23.6K |
| 41 | GOVERNMENT PROPERTIES INCOME | COM SHS BEN INT | 0.20% | $428,000 | 62.4K |
| 42 | EPR PROPERTIES | CONV PFD 9% SR E | 0.20% | $422,000 | 12.4K |
| 43 | Liberty Global PLC | CL C | 0.20% | $420,000 | 20.4K |
| 44 | UNION BANKSHARES CORP | COM | 0.19% | $408,000 | 14.5K |
| 45 | XSSPXNUVEEN EQU PREM & GRWTH FD | COM | 0.19% | $399,000 | 28.5K |
| 46 | LIBERTY TRIPADVISOR HDG-A | COM SER A | 0.18% | $381,000 | 24.0K |
| 47 | DOMINION ENERGY MIDSTREAM PA | COM UT REP LTD | 0.17% | $365,000 | 20.3K |
| 48 | LKSDQLSC COMMUNICATIONS INC | COM | 0.17% | $363,000 | 51.9K |
| 49 | XMVFXBLACKROCK MUNIVEST FUND | COM | 0.16% | $347,000 | 42.1K |
| 50 | ALLIANZGI CONV & INCOME II | COM | 0.15% | $310,000 | 68.9K |
| 51 | NUVEEN ENERGY MLP TOT RET FD | COM | 0.14% | $301,000 | 37.1K |
| 52 | XETYXEATON VANCE TAX-MANAGED DIVE | COM | 0.14% | $294,000 | 28.9K |
| 53 | BTZBLACKROCK CREDIT ALLOCATION | COM | 0.14% | $290,000 | 26.0K |
| 54 | BENEFICIAL BANCORP INC | COM | 0.14% | $289,000 | 20.2K |
| 55 | CLMCORNERSTONE STRATEGIC VALUE | COM | 0.13% | $284,000 | 25.4K |
| 56 | CADENCE BANCORP | CL A | 0.13% | $284,000 | 17.0K |
| 57 | XEMDXWESTERN ASSET EMRG MRKT DBT | COM | 0.12% | $256,000 | 20.9K |
| 58 | NZFNUVEEN DIV ADV MUNI 3 | COM SH BEN INT | 0.12% | $250,000 | 18.7K |
| 59 | NUVEEN FLOATING RATE | SHS | 0.11% | $232,000 | 25.8K |
| 60 | BKLNINVESCO SENIOR LOAN ETF | ETF | 0.10% | $221,000 | 10.2K |
| 61 | GABGABELLI EQUITY TRUST | COM | 0.10% | $211,000 | 41.6K |
| 62 | CLEARBRIDGE ENERGY MIDSTREAM | COM | 0.10% | $206,000 | 26.5K |
Filing History
| Quarter | Reported Value | Positions | Filed | Type | Links |
|---|---|---|---|---|---|
| Q2 2023 | $143M | 7 | Aug 17, 2023 | 13F-HR | changes · EDGAR ↗ |
| Q1 2023 | $114M | 46 | May 4, 2023 | 13F-HR | changes · EDGAR ↗ |
| Q4 2022 | $100M | 70 | Feb 9, 2023 | 13F-HR | changes · EDGAR ↗ |
| Q3 2022 | $117M | 105 | Oct 17, 2022 | 13F-HR | changes · EDGAR ↗ |
| Q2 2022 | $209M | 93 | Jul 15, 2022 | 13F-HR | changes · EDGAR ↗ |
| Q1 2022 | $157M | 97 | Apr 19, 2022 | 13F-HR | changes · EDGAR ↗ |
| Q4 2021 | $146M | 82 | Jan 28, 2022 | 13F-HR | changes · EDGAR ↗ |
| Q3 2021 | $83M | 70 | Oct 12, 2021 | 13F-HR | changes · EDGAR ↗ |
| Q2 2021 | $90M | 95 | Jul 28, 2021 | 13F-HR | changes · EDGAR ↗ |
| Q1 2021 | $125M | 60 | Apr 14, 2021 | 13F-HR | changes · EDGAR ↗ |
| Q4 2020 | $151M | 58 | Jan 20, 2021 | 13F-HR | changes · EDGAR ↗ |
| Q3 2020 | $108M | 63 | Oct 28, 2020 | 13F-HR | changes · EDGAR ↗ |
| Q2 2020 | $88M | 38 | Jul 16, 2020 | 13F-HR | changes · EDGAR ↗ |
| Q1 2020 | $80M | 42 | Apr 16, 2020 | RESTATEMENT | changes · EDGAR ↗ |
| Q4 2019 | $150M | 54 | Jan 21, 2020 | 13F-HR | changes · EDGAR ↗ |
| Q3 2019 | $121M | 47 | Oct 28, 2019 | 13F-HR | changes · EDGAR ↗ |
| Q2 2019 | $128M | 48 | Jul 22, 2019 | 13F-HR | changes · EDGAR ↗ |
| Q1 2019 | $117M | 36 | May 20, 2019 | RESTATEMENT | changes · EDGAR ↗ |
| Q4 2018 | $213M | 62 | Jan 24, 2019 | 13F-HR | changes · EDGAR ↗ |
Other Included Managers
This filing reports holdings on behalf of 2 additional managers.
- OTA LLC028-11280
- OTA SWAPS LLC028-12833
13F filings are due up to 45 days after quarter end, so holdings shown here lag the fund’s current book. Source: original SEC filing on EDGAR ↗.