Managers / Q4 2019 · view latest →
OTA Financial Group L.P.
CIK 0001317346 · 1 MANHATTANVILLE ROAD, PURCHASE, NY, 10577 · 914-694-5800
Summary
Ota Financial Group L.P. reported $150M in U.S.-listed holdings across 54 positions for Q4 2019.
Its largest position, AIG, represents 18.0% of the portfolio.
Compared with Q3 2019, the fund opened 36 new positions and exited 29.
Portfolio Metrics
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
Portfolio Composition
- Common Stock · 69.3% · $104M
- Other · 13.0% · $20M
- PUBLIC · 6.2% · $9M
- ADR · 4.7% · $7M
- MLP · 3.7% · $6M
- Other · 3.1% · $5M
Quarter-over-Quarter Changes full breakdown →
vs Q3 2019 (amended baseline)
| Issuer | Move | Share Δ | Shares now | Value Δ | Value now |
|---|---|---|---|---|---|
| GOOGALPHABET INC-CL C | NEW | +15.6K | 15.6K | +$21M | $21M |
| CHTRCHARTER COMMUNICATIONS INC-A | NEW | +16.3K | 16.3K | +$8M | $8M |
| PAAPLAINS ALL AMER PIPELINE LP | NEW | +302.0K | 302.0K | +$6M | $6M |
| ENERGIZER HOLDINGS INC | NEW | +33.9K | 33.9K | +$4M | $4M |
| GCI LIBERTY INC - CLASS A | NEW | +48.7K | 48.7K | +$3M | $3M |
| AURINIA PHARMACEUTICALS INC | NEW | +140.0K | 140.0K | +$3M | $3M |
| INTERXION HOLDING NV | NEW | +32.3K | 32.3K | +$3M | $3M |
| LIBERTY TRIPADVISOR HDG-A | NEW | +302.7K | 302.7K | +$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 2019
| # | Issuer | Class | % Portfolio | Value ↓ | Shares |
|---|---|---|---|---|---|
| 1 | AIGAMERICAN INTERNATIONAL GROUPhistory → | W EXP 01/19/202 | 18.02% | $27M | 2.62M |
| 2 | GOOGALPHABET INC-CL Chistory → | CL C | 13.93% | $21M | 15.6K |
| 3 | SPROTT PHYSICAL GOLD AND SIL | UNIT | 8.16% | $12M | 833.8K |
| 4 | LIBERTY MEDIA COR-SIRIUSXM C | COM C SIRIUSXM | 7.82% | $12M | 243.2K |
| 5 | ZIONS BANCORPORATION | W EXP 05/21/202 | 6.60% | $10M | 507.0K |
| 6 | CHTRCHARTER COMMUNICATIONS INC-Ahistory → | CL A | 5.29% | $8M | 16.3K |
| 7 | ROYAL DUTCH SHELL PLC | SPONS ADR A | 4.53% | $7M | 115.0K |
| 8 | PAAPLAINS ALL AMER PIPELINE LPhistory → | UNIT LTD PARTN | 3.71% | $6M | 302.0K |
| 9 | LIBERTY MEDIA COR-SIRIUSXM A | COM A SIRIUSXM | 3.22% | $5M | 99.7K |
| 10 | SPROTT PHYSICAL GOLD TRUST | UNIT | 2.39% | $4M | 293.5K |
| 11 | ENERGIZER HOLDINGS INC | 7.5 MCNV PFD A | 2.37% | $4M | 33.9K |
| 12 | GCI LIBERTY INC - CLASS A | CLASS A | 2.31% | $3M | 48.7K |
| 13 | AURINIA PHARMACEUTICALS INC | PUT | 1.89% | $3M | 140.0K |
| 14 | SEMPRA ENERGY | 6.75% CNV PFD B · 6% PFD CONV A | 1.89% | $3M | 23.7K |
| 15 | INTERXION HOLDING NV | SHS | 1.81% | $3M | 32.3K |
| 16 | LIBERTY TRIPADVISOR HDG-A | COM SER A | 1.49% | $2M | 302.7K |
| 17 | LEN/BLENNAR CORP CL Bhistory → | CL B | 1.29% | $2M | 43.4K |
| 18 | QTS REALTY TRUST INC | 6.50% CON PFD B | 1.00% | $2M | 11.6K |
| 19 | XPERXPERI CORP | COM | 0.80% | $1M | 64.4K |
| 20 | BROOKFIELD PROPERTY PARTNERS | UNIT LTD PARTN | 0.77% | $1M | 63.4K |
| 21 | SPROTT PHYSICAL SILVER TRUST | UNIT | 0.75% | $1M | 170.7K |
| 22 | IBERIABANK CORP | COM | 0.67% | $1M | 13.4K |
| 23 | TCBITEXAS CAPITAL BANCSHARES INC | COM | 0.65% | $967,000 | 17.0K |
| 24 | PCYINVESCO EMERGING MARKETS SOV | EMRNG MKT SVRG | 0.60% | $892,000 | 30.2K |
| 25 | PARSLEY ENERGY INC-CLASS A | CL A | 0.59% | $887,000 | 46.9K |
| 26 | NUVEEN ENERGY MLP TOT RET FD | COM | 0.54% | $809,000 | 104.3K |
| 27 | ZZILLOW GROUP INC - C | CL C CAP STK | 0.53% | $791,000 | 17.2K |
| 28 | AVANTOR INC | 6.25 PFD CNV SR | 0.50% | $742,000 | 11.8K |
| 29 | GDXVANECK GOLD MINERS | ETF | 0.49% | $738,000 | 25.2K |
| 30 | BKLNINVESCO SENIOR LOAN ETF | ETF | 0.49% | $728,000 | 31.9K |
| 31 | INTL FLAVOR & FRAGRANCES | UNIT 09/15/2021 | 0.42% | $631,000 | 13.2K |
| 32 | AK STEEL HOLDING CORP | COM | 0.36% | $536,000 | 163.2K |
| 33 | VOYA NATURAL RESOURCES EQUIT | COM | 0.33% | $487,000 | 118.3K |
| 34 | UAUNDER ARMOUR INC-CLASS C | CL C | 0.32% | $481,000 | 25.1K |
| 35 | HOSTESS BRANDS INC | W EXP 11/04/202 | 0.30% | $453,000 | 230.4K |
| 36 | XAODXABERDEEN TTL DYN DIVID | COM SH BEN INT | 0.30% | $452,000 | 50.6K |
| 37 | UBERUBER TECHNOLOGIES INC | COM | 0.29% | $436,000 | 14.7K |
| 38 | PIMCO DYNAMIC CREDIT AND MOR | SHS | 0.22% | $331,000 | 13.2K |
| 39 | HBANHUNTINGTON BANCSHARES INC | COM | 0.22% | $324,000 | 21.5K |
| 40 | GABGABELLI EQUITY TRUST | COM | 0.22% | $322,000 | 52.9K |
| 41 | RABROOKFIELD REAL ASSETS INCOM | COM SHS BEN INT | 0.19% | $279,000 | 13.1K |
| 42 | APOLLO SENIOR FLOATING RATE | COM | 0.17% | $257,000 | 17.0K |
| 43 | XBOEXBLACKROCK ENHANCED GLOBAL DI | COM | 0.17% | $248,000 | 22.6K |
| 44 | MMUWESTERN ASSET MANAGED MUNICI | COM | 0.15% | $232,000 | 17.5K |
| 45 | AMANTERO MIDSTREAM CORP | COM | 0.15% | $222,000 | 29.3K |
| 46 | FCFFIRST COMMONWEALTH FINL CORP | COM | 0.14% | $214,000 | 14.8K |
| 47 | WHITING PETROLEUM CORP | COM | 0.14% | $213,000 | 29.0K |
| 48 | CENTENNIAL RESOURCE DEVELO-A | CL A | 0.14% | $211,000 | 45.9K |
| 49 | UGPULTRAPAR PARTICPAC-SPON ADR | COM | 0.14% | $208,000 | 33.3K |
| 50 | ABERDEEN ASIA PAC INC FD | COM | 0.14% | $207,000 | 48.8K |
| 51 | NOBLE CORP PLC | SHS USD | 0.14% | $206,000 | 169.5K |
| 52 | EXTRACTION OIL & GAS INC | COM | 0.14% | $204,000 | 96.6K |
| 53 | EQTEQT CORP | COM | 0.14% | $203,000 | 18.7K |
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 ↗ |
Other Included Managers
This filing reports holdings on behalf of 2 additional managers.
- OTA LLC028-11280
- OTA TRADING FUND 1 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 ↗.