Managers / Q3 2021 · 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 $83M in U.S.-listed holdings across 70 positions for Q3 2021.
Its largest position, BND, represents 16.4% of the portfolio.
Compared with Q2 2021, the fund opened 46 new positions and exited 71.
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 · 30.0% · $25M
- Equity WRT · 22.7% · $19M
- ETP · 22.2% · $18M
- Other · 12.9% · $11M
- Closed-End Fund · 8.1% · $7M
- Other · 4.0% · $3M
Quarter-over-Quarter Changes full breakdown →
vs Q2 2021 (amended baseline)
| Issuer | Move | Share Δ | Shares now | Value Δ | Value now |
|---|---|---|---|---|---|
| EXEEZCHESAPEAKE ENERGY CORP | NEW | +110.5K | 110.5K | +$4M | $4M |
| PERSHING SQUARE TONTINE -A | NEW | +86.6K | 86.6K | +$2M | $2M |
| ISHARES IBOXX HIGH YLD CORP | NEW | +18.7K | 18.7K | +$2M | $2M |
| GWBGREAT WESTERN BANCORP INC | NEW | +47.3K | 47.3K | +$2M | $2M |
| SCHZSCHWAB US AGGREGATE BOND ETF | NEW | +27.5K | 27.5K | +$1M | $1M |
| EXEEWCHESAPEAKE ENERGY CORP | NEW | +36.4K | 36.4K | +$1M | $1M |
| SPRING VALLEY ACQUIS-CLASS A | NEW | +117.7K | 117.7K | +$1M | $1M |
| GREENSKY INC-CLASS A | NEW | +86.0K | 86.0K | +$961,000 | $961,000 |
Value changes conflate price moves with buying and selling — share changes are the real signal. Share counts are not split-adjusted.
Holdings — Q3 2021
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 ↗.