Managers / Q3 2022 · view latest →

OTA Financial Group L.P.

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

Reported Value

$117M

Q3 2022

Positions

105

Filings on Record

2019–present window

Filed

Oct 17, 2022

original filing

Summary

Ota Financial Group L.P. reported $117M in U.S.-listed holdings across 105 positions for Q3 2022.

Its largest position, OXY/WS, represents 17.6% of the portfolio.

Compared with Q2 2022, the fund opened 62 new positions and exited 50.

Portfolio Metrics

Turnover

+41.1%

vs prior filed quarter

Top-10 Concentration

+66.8%

share of reported value

Largest Position

+17.6%

Occidental Petroleum

New / Exited

62 / 50

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

Equity WRT · 34.5% · $40M
Common Stock · 20.5% · $24M
Other · 19.1% · $22M
Closed-End Fund · 13.5% · $16M
ETP · 8.1% · $9M
Other · 4.3% · $5M

Quarter-over-Quarter Changes full breakdown →

vs Q2 2022 (amended baseline)

Issuer	Move	Share Δ	Shares now	Value Δ	Value now
EXEEZ CHESAPEAKE ENERGY CORP	NEW	+146.2K	146.2K	+$12M	$12M
EXEEW CHESAPEAKE ENERGY CORP	NEW	+101.9K	101.9K	+$8M	$8M
GOOG ALPHABET INC-CL C	NEW	+30.3K	30.3K	+$3M	$3M
BTX BLACKROCK INNOV & GROW TR	NEW	+374.0K	374.0K	+$3M	$3M
IGIB ISHARES 5-10Y INV GRADE CORP	NEW	+41.7K	41.7K	+$2M	$2M
BMEZ BLACKROCK HEALTH SCI TR II	NEW	+106.5K	106.5K	+$2M	$2M
ECAT BLACKROCK ESG CAPITAL ALLOC	NEW	+104.7K	104.7K	+$1M	$1M
BROOKFIELD ASSET MANAGEMEN-A	NEW	+27.2K	27.2K	+$1M	$1M

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

Holdings — Q3 2022

104 positions (from 105 filing rows — )

Export to Excel

#	Issuer	Class	% Portfolio	Value ↓	Shares
1	OXY/WS OCCIDENTAL PETROLEUM CORP history →	*W EXP 08/03/202	17.62%	$21M	518.3K
2	EXEEZ CHESAPEAKE ENERGY CORP	*W EXP 02/09/202	16.92%	$20M	248.1K
3	SPROTT PHYSICAL GOLD TRUST	UNIT	14.71%	$17M	1.34M
4	SCHZ SCHWAB US AGGREGATE BOND ETF history →	US AGGREGATE B	3.53%	$4M	90.7K
5	SOUTH JERSEY INDUSTRIES	UNIT 04/01/2024	3.12%	$4M	54.6K
6	SJNK SPDR BLOOMBERG SHORT TERM HI history →	SHT TE	2.80%	$3M	137.5K
7	GOOG ALPHABET INC-CL C history →	CL C	2.50%	$3M	30.3K
8	BTX BLACKROCK INNOV & GROW TR history →	SHS BEN INT	2.33%	$3M	374.0K
9	IGIB ISHARES 5-10Y INV GRADE CORP history →	ISHS 5-10YR INVT	1.73%	$2M	41.7K
10	LBRDK LIBERTY BROADBAND-C history →	COM SER C	1.56%	$2M	24.7K
11	SORRENTO THERAPEUTICS INC	CALL	1.48%	$2M	1.10M
12	BMEZ BLACKROCK HEALTH SCI TR II history →	SHS	1.36%	$2M	106.5K
13	ECAT BLACKROCK ESG CAPITAL ALLOC history →	SHS BEN INT	1.15%	$1M	104.7K
14	BROOKFIELD ASSET MANAGEMEN-A	CL A EXCH LT VTG	0.95%	$1M	27.2K
15	ADARA ACQUISITION CORP-CL A	CL A	0.89%	$1M	104.1K
16	BCAT BLACKROCK CAPITAL ALLOCATION	COM	0.88%	$1M	75.3K
17	CLEARBRIDGE MLP & MIDSTREAM	COM	0.87%	$1M	34.0K
18	NTG TORTOISE MIDSTREAM ENERGY	COM	0.79%	$922,000	28.6K
19	EMO CLEARBRIDGE ENERGY MIDSTREAM	COM	0.74%	$858,000	34.3K
20	PAGP PLAINS GP HOLDINGS LP-CL A	LTD PARTNR INT A	0.62%	$726,000	66.6K
21	GLOBAL CONSUMER ACQUISITION	COM	0.56%	$647,000	63.6K
22	TRADEUP ACQUISITION CORP	COM	0.55%	$643,000	64.0K
23	DUKE REALTY CORP	COM	0.51%	$598,000	12.4K
24	BANNER ACQUISITION CORP	COM	0.51%	$595,000	60.2K
25	FLAME ACQUISITION CORP -CL A	CL A	0.51%	$592,000	60.3K
26	EMERGING MARKETS HORIZON -A	SHS	0.46%	$541,000	54.2K
27	IIM INVESCO VALUE MUNICIPAL INCO	COM	0.40%	$471,000	40.9K
28	CLOVER LEAF CAPITAL CORP -A	CL A	0.39%	$451,000	43.7K
29	BROADSCALE ACQUISITION -CL A	CL A	0.38%	$438,000	44.5K
30	FIRST RESERVE SUSTAINABLE-A	COM	0.36%	$424,000	43.2K
31	GORES TECHNOLOGY PRTNR II-A	COM	0.36%	$419,000	42.7K
32	NAD NUVEEN DIV ADV MUNI	COM	0.35%	$410,000	37.3K
33	TYG TORTOISE ENERGY INFRASTRUCT	COM	0.35%	$409,000	13.7K
34	XFRAX BLACKROCK FLOAT RT INCOME ST	COM	0.35%	$409,000	37.2K
35	SPORTSMAP TECH ACQUISITION C	COM	0.35%	$403,000	40.2K
36	BDJ BLACKROCK ENHANCED EQTY DVD	COM	0.34%	$396,000	48.9K
37	JFR NUVEEN FLOAT RATE INC FD	COM	0.34%	$394,000	48.6K
38	XETYX EATON VANCE TAX-MANAGED DIVE	COM	0.33%	$389,000	35.9K
39	VCV INVESCO CA V M I	COM	0.33%	$388,000	43.2K
40	DILA CAPITAL ACQUISITION - A	CL A	0.33%	$387,000	38.9K
41	TASTEMAKER ACQUISITION COR-A	CL A	0.33%	$386,000	38.7K
42	NML NB MLP & ENERGY INCOME	COM	0.32%	$374,000	61.2K
43	FAST ACQUISITION CORP II-A	CL A	0.32%	$373,000	38.0K
44	MANA CAPITAL ACQUISITION COR	COMMON STOCK	0.31%	$362,000	36.1K
45	ANZU SPECIAL ACQUISITION -A	CL A	0.31%	$356,000	36.3K
46	MISSION ADVANCEMENT CORP-A	CL A	0.30%	$355,000	36.2K
47	THUNDER BRIDGE CAPITAL PAR-A	CL A	0.30%	$353,000	35.9K
48	TG VENTURE ACQUISITION CORP	COM	0.30%	$352,000	35.4K
49	EG ACQUISITION CORP-A	CL A	0.30%	$351,000	36.0K
50	CWEN CLEARWAY ENERGY INC-A	CL A	0.30%	$350,000	12.1K
51	HAMILTON LANE ALL-CLASS A	CL A	0.29%	$341,000	34.6K
52	PFN PIMCO FLOATING RATE	COM	0.29%	$337,000	48.9K
53	BITE ACQUISITION CORP	COMMON STOCK	0.29%	$336,000	34.2K
54	HIX WESTERN ASSET HIGH INC II	COM	0.29%	$334,000	76.8K
55	OYSTER ENTERPRISES-CL A	CL A	0.29%	$333,000	33.8K
56	MDH ACQUISITION CORP -CL A	CL A	0.28%	$326,000	33.1K
57	PFL PIMCO FLOATING RATE INC FUND	COM	0.28%	$322,000	40.5K
58	RF ACQUISITION CORP - CL A	COM	0.27%	$320,000	32.5K
59	D AND Z MEDIA ACQUISITION-A	CL A	0.27%	$319,000	32.4K
60	FORTRESS VALUE ACQUIS IV-A	CL A	0.27%	$316,000	32.1K
61	GOLDMAN SACHS MLP & ENERGY R	COM	0.27%	$316,000	26.4K
62	EOS EATON VANCE ENH EQT INC II	COM	0.27%	$310,000	20.3K
63	M3-BRIGADE ACQUISITION II-A	CL A	0.26%	$304,000	31.1K
64	MEDTECH ACQUISITION CORP-A	CL A	0.26%	$298,000	30.1K
65	TLG ACQUISITION ONE COR-CL A	CL A	0.25%	$295,000	30.0K
66	TWELVE SEAS INVTMNT CO II -A	CL A	0.25%	$292,000	29.7K
67	LARKSPUR HEALTH ACQUISITIO-A	COM	0.25%	$290,000	29.0K
68	FG MERGER CORP	COMMON STOCK	0.24%	$285,000	28.5K
69	MERCURY ECOMMERCE ACQUISIT-A	COM	0.24%	$284,000	28.6K
70	XAWFX ALLIANCE WRLD DLR G F II	COM	0.24%	$283,000	31.9K
71	NBST NEWBURY STREET ACQUISITION C	COM	0.24%	$282,000	28.7K
72	MARBLEGATE ACQUISITION COR-A	CL A	0.24%	$279,000	28.0K
73	BENESSERE CAPITAL ACQUI-CL A	CL A	0.24%	$279,000	27.0K
74	COLOMBIER ACQUISITION CORP-A	CL A	0.24%	$278,000	28.7K
75	XEXGX EATON VANCE TAX-MANAGED GLOB	COM	0.23%	$271,000	37.4K
76	Greencity Acquisition Corp	COM	0.23%	$267,000	25.3K
77	BGH BARINGS GL SH DUR HI YLD	COM	0.23%	$264,000	21.6K
78	BANNIX ACQUISITION CORP	COM	0.22%	$261,000	26.2K
79	ARROWROOT ACQUISITION CORP-A	COM	0.22%	$253,000	25.9K
80	NORTHERN STAR INVESTMENT C-A	CLASS A	0.21%	$248,000	25.2K
81	UAA UNDER ARMOUR INC-CLASS A	CL A	0.21%	$244,000	36.7K
82	VELOCITY ACQUISITION CORP-A	CL A	0.21%	$241,000	24.6K
83	CLASS ACCELERATION CORP-A	COM	0.21%	$241,000	24.4K
84	BELONG ACQUISITION CORP-A	COM	0.21%	$239,000	24.3K
85	DIAMONDHEAD HOLDINGS CORP-A	CL A	0.20%	$235,000	23.9K
86	CII BLACKROCK ENHANCE CAP & INC	COM	0.20%	$233,000	14.2K
87	ATLANTIC COASTAL ACQUISITI-A	COM	0.20%	$232,000	23.7K
88	B RILEY PRINCIPAL 250 MERG-A	COM	0.20%	$230,000	23.6K
89	XDIAX NUVEEN DOW30 DYN OVERWRT FD	SHS	0.20%	$229,000	17.0K
90	WELSBACH TECHNOLOGY METALS	COM	0.19%	$227,000	22.8K
91	HYT BLACKROCK CORP HI YLD	COM	0.19%	$226,000	26.5K
92	SANDBRIDGE X2 CORP-A	CLASS A	0.19%	$225,000	22.9K
93	LONGVIEW ACQUISITION CORP -A	CL A	0.19%	$223,000	22.8K
94	EFT EATON VANCE FLOAT RT INC TR	COM	0.19%	$222,000	19.6K
95	NVG NUVEEN AMT-FR MUNI CREDIT FD	COM	0.19%	$221,000	19.0K
96	TDF TEMPLETON DRAGON FUND INC	COM	0.19%	$216,000	23.2K
97	CLARIM ACQUISITION CORP-CL A	CL A	0.18%	$215,000	21.8K
98	BGT BLACKROCK FLT RT INC	COM	0.18%	$215,000	19.8K
99	BLACKROCK MUN INC TR SBI	SH BEN INT	0.18%	$213,000	22.4K
100	PROPERTY SOLUTIONS ACQUISI-A	CL A	0.18%	$212,000	21.6K

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 ↗.