SEC 13F Intelligence

Managers / Q1 2019 · view latest →

OTA Financial Group L.P.

CIK 0001317346 · 1 MANHATTANVILLE ROAD, PURCHASE, NY, 10577 · 914-694-5800

Reported Value
$117M
Q1 2019
Positions
36
Filings on Record
21
2019–present window
Filed
May 20, 2019
amendment (RESTATEMENT)

Summary

Ota Financial Group L.P. reported $117M in U.S.-listed holdings across 36 positions for Q1 2019.

The portfolio is heavily concentrated: GOOGL alone accounts for 33.4% of reported value.

Compared with Q4 2018, the fund opened 21 new positions and exited 47.

Portfolio Metrics

Turnover
+57.4%
vs prior filed quarter
Top-10 Concentration
+78.0%
share of reported value
Largest Position
+33.4%
Alphabet
New / Exited
21 / 47
positions this quarter

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
Q4 ’18: $213MQ4 ’18Q1 ’19: $117MQ2 ’19: $128MQ3 ’19: $121MQ3 ’19Q4 ’19: $150MQ1 ’20: $80MQ2 ’20: $88MQ2 ’20Q3 ’20: $108MQ4 ’20: $151MQ1 ’21: $125MQ1 ’21Q2 ’21: $90MQ3 ’21: $83MQ4 ’21: $146MQ4 ’21Q1 ’22: $157MQ2 ’22: $209MQ3 ’22: $117MQ3 ’22Q4 ’22: $100MQ1 ’23: $114MQ2 ’23: $143MQ2 ’23filingsflow.com

Portfolio Composition

By security type
Common Stock: 64.0%Other: 25.9%Closed-End Fund: 5.2%PUBLIC: 3.9%ETP: 1.1%
  • Common Stock · 64.0% · $75M
  • Other · 25.9% · $30M
  • Closed-End Fund · 5.2% · $6M
  • PUBLIC · 3.9% · $5M
  • ETP · 1.1% · $1M

Quarter-over-Quarter Changes full breakdown →

vs Q4 2018 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
GOOGLALPHABET INC-CL ANEW+33.1K33.1K+$39M$39M
BROOKFIELD PROPERTY REIT I-ANEW+720.7K720.7K+$15M$15M
CHTRCHARTER COMMUNICATIONS INC-ANEW+34.3K34.3K+$12M$12M
DOWDUPONT INCNEW+56.8K56.8K+$3M$3M
COUSINS PROPERTIES INCNEW+277.4K277.4K+$3M$3M
SUNTRUST BANKS INCNEW+44.8K44.8K+$3M$3M
FISFIDELITY NATIONAL INFO SERVNEW+20.4K20.4K+$2M$2M
FDCFIRST DATA CORP- CLASS ANEW+59.4K59.4K+$2M$2M

Value changes conflate price moves with buying and selling — share changes are the real signal. Share counts are not split-adjusted.

Holdings — Q1 2019

36 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1GOOGLALPHABET INC-CL Ahistory →CL A33.42%$39M33.1K
2BROOKFIELD PROPERTY REIT I-ACL A12.66%$15M720.7K
3CHTRCHARTER COMMUNICATIONS INC-Ahistory →CL A10.22%$12M34.3K
4ALTABA INCCOM4.66%$5M73.3K
5LIBERTY MEDIA COR-SIRIUSXM CCOM C SIRIUSXM3.97%$5M121.0K
6QTS REALTY TRUST INC6.50% CON PFD B3.94%$5M42.3K
7DOWDUPONT INCCOM2.60%$3M56.8K
8COUSINS PROPERTIES INCCOM2.30%$3M277.4K
9SUNTRUST BANKS INCCOM2.28%$3M44.8K
10FISFIDELITY NATIONAL INFO SERVhistory →COM1.98%$2M20.4K
11LIBERTY MEDIA COR-SIRIUSXM ACOM A SIRIUSXM1.89%$2M57.7K
12SPROTT PHYSICAL SILVER TRUSTUNIT1.81%$2M380.9K
13LEN/BLENNAR CORP CL Bhistory →CL B1.74%$2M51.8K
14ZIONS BANCORPORATIONW EXP 05/21/2021.61%$2M144.5K
15SPRINT CORPCOM1.39%$2M286.1K
16FDCFIRST DATA CORP- CLASS Ahistory →CL A1.34%$2M59.4K
17FOXAFOX CORP - CLASS Ahistory →COM1.20%$1M38.1K
18SPROTT PHYSICAL GOLD AND SILUNIT1.20%$1M112.7K
19EXPEEXPEDIA GROUP INChistory →COM1.18%$1M11.5K
20EFAISHARES MSCI EAFE ETFhistory →ETF1.07%$1M19.3K
21DISWALT DISNEY CO/THEhistory →COM DISNEY1.04%$1M10.9K
22LIBERTY TRIPADVISOR HDG-ACOM SER A0.93%$1M76.6K
23MEDEQUITIES REALTY TRUST INCCOM0.68%$790,00071.0K
24ROWAN COMPANIES PLC-ACL A0.65%$760,00070.5K
25SPDR SERIES TRUSTBLOOMBERG BRCLYS0.61%$710,00019.8K
26CNCCENTENE CORPCOM0.52%$608,00011.5K
27GREAT ELM CAPITAL CORPCOM0.47%$552,00066.9K
28NEMNEWMONT GOLDCORP CORPCOM0.46%$540,00015.1K
29NUVEEN FLOATING RATESHS0.45%$523,00054.6K
30GHYPGIM GLOBAL HIGH YIELD FUNDCOM0.33%$379,00027.2K
31AIGAMERICAN INTERNATIONAL GROUPW EXP 01/19/2020.32%$376,00067.0K
32LKSDQLSC COMMUNICATIONS INCCOM0.29%$338,00051.9K
33GOLDMAN SACHS MLP INCOME OPPSHS0.25%$294,00036.7K
34TCF FINANCIAL CORPCOM0.20%$236,00011.4K
35VIKING THERAPEUTICS INCW EXP 04/13/2020.18%$214,00023.9K
36IIMINVESCO VALUE MUNICIPAL INCOCOM0.18%$211,00014.7K

Filing History

QuarterReported ValuePositionsFiledTypeLinks
Q2 2023$143M7Aug 17, 202313F-HRchanges · EDGAR ↗
Q1 2023$114M46May 4, 202313F-HRchanges · EDGAR ↗
Q4 2022$100M70Feb 9, 202313F-HRchanges · EDGAR ↗
Q3 2022$117M105Oct 17, 202213F-HRchanges · EDGAR ↗
Q2 2022$209M93Jul 15, 202213F-HRchanges · EDGAR ↗
Q1 2022$157M97Apr 19, 202213F-HRchanges · EDGAR ↗
Q4 2021$146M82Jan 28, 202213F-HRchanges · EDGAR ↗
Q3 2021$83M70Oct 12, 202113F-HRchanges · EDGAR ↗
Q2 2021$90M95Jul 28, 202113F-HRchanges · EDGAR ↗
Q1 2021$125M60Apr 14, 202113F-HRchanges · EDGAR ↗
Q4 2020$151M58Jan 20, 202113F-HRchanges · EDGAR ↗
Q3 2020$108M63Oct 28, 202013F-HRchanges · EDGAR ↗
Q2 2020$88M38Jul 16, 202013F-HRchanges · EDGAR ↗
Q1 2020$80M42Apr 16, 2020RESTATEMENTchanges · EDGAR ↗
Q4 2019$150M54Jan 21, 202013F-HRchanges · EDGAR ↗
Q3 2019$121M47Oct 28, 201913F-HRchanges · EDGAR ↗
Q2 2019$128M48Jul 22, 201913F-HRchanges · EDGAR ↗
Q1 2019$117M36May 20, 2019RESTATEMENTchanges · EDGAR ↗
Q4 2018$213M62Jan 24, 201913F-HRchanges · 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 ↗.