Managers / Q2 2021 · view latest →

OTA Financial Group L.P.

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

Reported Value

$90M

Q2 2021

Positions

Filings on Record

2019–present window

Filed

Jul 28, 2021

original filing

Summary

Ota Financial Group L.P. reported $90M in U.S.-listed holdings across 95 positions for Q2 2021.

Its largest position, OXY/WS, represents 9.7% of the portfolio.

Compared with Q1 2021, the fund opened 70 new positions and exited 35.

Portfolio Metrics

Turnover

+51.2%

vs prior filed quarter

Top-10 Concentration

+48.3%

share of reported value

Largest Position

+9.7%

Occidental Petroleum

New / Exited

70 / 35

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

Portfolio Composition

By security type

Other · 32.6% · $29M
Common Stock · 28.1% · $25M
ETP · 10.3% · $9M
Equity WRT · 10.0% · $9M
REIT · 8.9% · $8M
Other · 10.1% · $9M

Quarter-over-Quarter Changes full breakdown →

vs Q1 2021 (amended baseline)

Issuer	Move	Share Δ	Shares now	Value Δ	Value now
WRI WEINGARTEN REALTY INVESTORS	NEW	+147.3K	147.3K	+$5M	$5M
MTB M & T BANK CORP	NEW	+25.4K	25.4K	+$4M	$4M
PAYO PAYONEER GLOBAL INC	NEW	+334.1K	334.1K	+$3M	$3M
VER VEREIT INC	NEW	+71.1K	71.1K	+$3M	$3M
ATHENE HOLDING LTD-CLASS A	NEW	+29.6K	29.6K	+$2M	$2M
VCIT VANGUARD INT-TERM CORPORATE	NEW	+20.9K	20.9K	+$2M	$2M
ALUSSA ENERGY ACQUISITION -A	NEW	+179.8K	179.8K	+$2M	$2M
CCL CARNIVAL CORP	NEW	+61.9K	61.9K	+$2M	$2M

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

Holdings — Q2 2021

95 positions

Export to Excel

#	Issuer	Class	% Portfolio	Value ↓	Shares
1	OXY/WS OCCIDENTAL PETROLEUM CORP history →	*W EXP 08/03/202	9.72%	$9M	630.6K
2	RIOT RIOT BLOCKCHAIN INC history →	COM	6.93%	$6M	165.9K
3	BND VANGUARD TOTAL BOND MARKET history →	TOTAL BND MRKT	6.01%	$5M	63.1K
4	WRI WEINGARTEN REALTY INVESTORS history →	SH BEN INT	5.24%	$5M	147.3K
5	MTB M & T BANK CORP history →	COM	4.09%	$4M	25.4K
6	PAYO PAYONEER GLOBAL INC history →	COM	3.84%	$3M	334.1K
7	VER VEREIT INC history →	COM	3.62%	$3M	71.1K
8	SPROTT PHYSICAL GOLD TRUST	UNIT	3.42%	$3M	220.2K
9	GS ACQUISITION HOLDINGS-A	CL A	3.04%	$3M	263.3K
10	PAA PLAINS ALL AMER PIPELINE LP history →	UNIT LTD PARTN	2.34%	$2M	186.1K
11	ATHENE HOLDING LTD-CLASS A	CL A	2.21%	$2M	29.6K
12	VCIT VANGUARD INT-TERM CORPORATE history →	INT-TERM CORP	2.20%	$2M	20.9K
13	ALUSSA ENERGY ACQUISITION -A	CL A	1.97%	$2M	179.8K
14	CCL CARNIVAL CORP history →	99/99/9999	1.81%	$2M	61.9K
15	CITIC CAPITAL ACQUISITION-A	CL A	1.72%	$2M	156.3K
16	XILINX INC	COM	1.69%	$2M	10.6K
17	GIGCAPITAL4 INC	COM	1.46%	$1M	133.9K
18	NML NB MLP & ENERGY INCOME history →	COM	1.37%	$1M	247.3K
19	GREENVISION ACQUISITION CORP	COM	1.36%	$1M	120.4K
20	NTG TORTOISE MIDSTREAM ENERGY history →	COM	1.27%	$1M	38.4K
21	INVITAE CORP	COM	1.22%	$1M	32.6K
22	COHEN & STEERS MLP INCOME AN	SHS	1.05%	$951,000	233.7K
23	TREBIA ACQUISITION CORP-A	CL A	1.05%	$949,000	96.0K
24	TYG TORTOISE ENERGY INFRASTRUCT	COM	0.96%	$863,000	30.0K
25	SOCIAL CAPITAL HEDOSOPH VI-A	CL A	0.92%	$827,000	81.1K
26	890 5TH AVENUE PARTNERS-CL A	CL A	0.89%	$800,000	81.2K
27	FLAGSTAR BANCORP INC	COM PAR .001	0.89%	$799,000	18.9K
28	HOSTESS BRANDS INC	*W EXP 11/04/202	0.83%	$747,000	307.6K
29	BROOKFIELD PROPERTY REIT I-A	CL A	0.81%	$730,000	38.7K
30	ION ACQUISITION CORP 2 LTD-A	CL A	0.80%	$725,000	73.3K
31	ISHARES CORE TOTAL BOND ETF	CORE TOTAL USD	0.78%	$701,000	13.1K
32	CWEN CLEARWAY ENERGY INC-C	CL C	0.76%	$687,000	26.0K
33	CIT GROUP INC	COM	0.74%	$664,000	12.9K
34	EEM ISHARES MSCI EMERGING MARKET	ETF	0.73%	$661,000	12.0K
35	OPENDOOR TECHNOLOGIES INC	*W EXP 12/18/202	0.72%	$653,000	100.4K
36	GOLDMAN SACHS MLP & ENERGY R	COM	0.72%	$645,000	56.4K
37	FAR PEAK ACQUISITION CORP-A	CL A	0.69%	$621,000	62.5K
38	XAWPX ABERDEEN GLBL PREM PROP	COM SH BEN INT	0.68%	$615,000	96.7K
39	SLV ISHARES SILVER TRUST	TR ISHARES	0.62%	$558,000	23.1K
40	SOARING EAGLE ACQU - CL A	SHS	0.61%	$549,000	55.2K
41	SWITCHBACK II CORP -CLASS A	CL A	0.58%	$521,000	52.7K
42	DPCM CAPITAL INC - CLASS A	CL A	0.57%	$513,000	52.0K
43	LIBERTY TRIPADVISOR HDG-A	COM SER A	0.57%	$511,000	125.7K
44	SPROTT PHYSICAL SILVER TRUST	UNIT	0.56%	$504,000	54.3K
45	SRV CUSHING MLP & INFRASTRUCTURE	COM	0.51%	$456,000	15.5K
46	IG ACQUISITION CORP-CLASS A	CL A	0.48%	$433,000	44.5K
47	CEL-SCI CORP	PUT	0.47%	$420,000	48.5K
48	EAST STONE ACQUISITION CORP	SHS	0.45%	$404,000	40.1K
49	XTTPX TORTOISE PIPELINE & ENERGY	COM	0.43%	$388,000	16.2K
50	ALTITUDE ACQUISITION CORP-A	CL A	0.43%	$386,000	39.5K
51	VPC IMPACT ACQUISITION HLD-A	CL A	0.40%	$359,000	36.0K
52	ADX ADAMS DIVERSIFIED EQUITY	COM	0.40%	$357,000	18.1K
53	YUCAIPA ACQUISITION CORP-A	COM	0.40%	$357,000	36.2K
54	VECTOR ACQUISITION CORP-A	CL A	0.39%	$353,000	32.5K
55	DISCOVERY INC-C	COM SER C	0.38%	$345,000	11.9K
56	ONB OLD NATIONAL BANCORP	COM	0.38%	$343,000	19.5K
57	SUSTAINABLE OPPORTUNITIES-A	ORD SHS A	0.38%	$341,000	34.3K
58	FALCON CAPITAL ACQUISITIO-A	CL A	0.36%	$329,000	35.5K
59	D8 HOLDINGS CORP-A	CL A	0.35%	$320,000	32.1K
60	AST SPACEMOBILE INC	*W EXP 04/06/202	0.34%	$311,000	54.6K
61	AUSTERLITZ ACQUISITION COR-A	CL A	0.34%	$311,000	31.4K
62	CHINA YUNHONG HOLDINGS LTD-A	SHS	0.34%	$303,000	29.9K
63	CHURCHILL CAPITAL CORP VII-A	CL A	0.34%	$303,000	31.2K
64	DECARBONIZATION PLUS ACQUI-A	CL A	0.33%	$296,000	30.0K
65	THW TEKLA WORLD HEALTHCARE FUND	SHS	0.32%	$290,000	17.7K
66	SVF INVESTMENT CORP-CL A	SHS	0.32%	$289,000	29.3K
67	FUSION ACQUISITION CORP-A	CL A	0.31%	$279,000	28.1K
68	SEVEN OAKS ACQUISITION COR-A	CL A	0.31%	$278,000	28.2K
69	RMG ACQUISITION CORP II-CL A	SHS	0.29%	$266,000	26.8K
70	ISLEWORTH HEALTHCARE ACQUISI	COM	0.29%	$262,000	26.8K
71	EXEEL CHESAPEAKE ENERGY CORP	*W EXP 09/02/202	0.28%	$257,000	12.4K
72	WARRIOR TECHNOLOGIES ACQ-A	CL A	0.28%	$256,000	26.5K
73	CHURCHILL CAPITAL CORP V-A	CL A	0.28%	$253,000	25.2K
74	THIMBLE POINT ACQUISITION-A	CL A	0.27%	$246,000	24.9K
75	CADENCE BANCORP	CL A	0.27%	$242,000	11.6K
76	TASTEMAKER ACQUISITION COR-A	CL A	0.26%	$235,000	24.1K
77	SKILLZ INC	*W EXP 12/16/202	0.26%	$232,000	22.8K
78	ISD PGIM HIGH YIELD BOND FUND	COM	0.25%	$230,000	14.2K
79	STAR PEAK CORP II -CLASS A	CL A	0.25%	$229,000	23.2K
80	MCAP ACQUISITION CORP-A	CL A	0.25%	$227,000	23.6K
81	DUDDELL STREET ACQUISITION-A	CL A	0.25%	$225,000	23.3K
82	ITIQUIRA ACQUISITION CORP-A	SHS	0.25%	$222,000	23.1K
83	AFRICAN GOLD ACQUISITION C-A	CL A	0.24%	$219,000	22.8K
84	ELECTRAMECCANICA VEHICLES CO	*W EXP 08/03/202	0.24%	$218,000	98.4K
85	HEALTHCARE CAPITAL CORP-CL A	CL A	0.24%	$218,000	22.6K
86	ETV EATON VANCE T/M BUY-WRITE OP	COM	0.24%	$216,000	13.3K
87	CA HEALTHCARE ACQUISITION-A	CL A	0.24%	$214,000	21.7K
88	LEO HOLDINGS III CORP-A	CL A	0.24%	$213,000	21.6K
89	MONTES ARCHIMEDES ACQUISIT-A	CL A	0.23%	$211,000	21.4K
90	CENTRICUS ACQUISITION CORP-A	SHS	0.23%	$211,000	21.4K
91	BIT BLACKROCK MULTI-SECTOR INCOM	COM	0.23%	$210,000	11.3K
92	HEALTH ASSURANCE ACQUISIT-A	CL A	0.23%	$210,000	21.0K
93	MEDICUS SCIENCES ACQUISITI-A	SHS	0.23%	$209,000	21.7K
94	PUCK GOAL ACQUISITIONS CORP	COM	0.23%	$203,000	21.1K
95	SABA CAPITAL INCOME & OPPORT	SHARES	0.22%	$202,000	43.0K

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 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 ↗.