0001268580-18-000009.txt : 20180419 0001268580-18-000009.hdr.sgml : 20180419 20180419155223 ACCESSION NUMBER: 0001268580-18-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180419 DATE AS OF CHANGE: 20180419 EFFECTIVENESS DATE: 20180419 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OTA Financial Group L.P. CENTRAL INDEX KEY: 0001317346 IRS NUMBER: 134078069 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11283 FILM NUMBER: 18763785 BUSINESS ADDRESS: STREET 1: 1 MANHATTANVILLE ROAD CITY: PURCHASE STATE: NY ZIP: 10577 BUSINESS PHONE: 914-694-5800 MAIL ADDRESS: STREET 1: 1 MANHATTANVILLE ROAD CITY: PURCHASE STATE: NY ZIP: 10577 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001317346 XXXXXXXX 03-31-2018 03-31-2018 true 1 RESTATEMENT OTA Financial Group L.P.

1 MANHATTANVILLE ROAD PURCHASE NY 10577

13F HOLDINGS REPORT 028-11283 N James Santori 914-460-4007 James Santori Purchase NY 04-19-2018 2 59 297192 false 1 0001268580 028-11280 OTA LLC 2 0001425475 028-12833 OTA SWAPS LLC INFORMATION TABLE 2 012018.xml ABEONA THERAPEUTICS INC W EXP 12/24/201 00289Y115 338 35584 SH DFND 1 2 338 0 0 AETNA INC COM 00817Y108 4959 29345 SH DFND 2 4959 0 0 ALPHABET INC-CL C CL C 02079K107 10908 10572 SH DFND 2 10908 0 0 ALPINE TOTAL DYNAMIC DIVIDEN COM SH BEN INT N 021060207 460 51528 SH DFND 2 460 0 0 ALTABA INC COM 021346101 4700 63487 SH DFND 2 4700 0 0 AMERICAN INTERNATIONAL GROUP COM 026874784 870 16000 SH DFND 2 870 0 0 BANK OF AMERICA CORPORATION WT EXP 011619 W EXP 01/16/201 060505146 128797 7088496 SH DFND 1 2 128797 0 0 BLACKROCK FLT RT INC COM 091941104 259 18540 SH DFND 2 259 0 0 BLACKROCK ENHANCED GLOBAL DI COM 092501105 380 32911 SH DFND 2 380 0 0 BLACKROCK ENHANCED EQUITY DI COM 09251A104 426 48904 SH DFND 2 426 0 0 BLACKROCK ENHANCED INTERNATI COM BENE INTER 092524107 428 70316 SH DFND 2 428 0 0 BLACKROCK MUNIVEST FUND II COM 09253T101 201 14062 SH DFND 2 201 0 0 CENTRAL GARDEN AND PET CO-A CL A NON-VTG 153527205 1436 36269 SH DFND 2 1436 0 0 CHARTER COMMUNICATIONS INC-A CL A 16119P108 9249 29719 SH DFND 2 9249 0 0 CHICAGO BRDG &IRON CO NV COM 167250109 717 49861 SH DFND 2 717 0 0 DISCOVERY INC-C COM SER C 25470F302 377 19342 SH DFND 2 377 0 0 EATON VANCE TAX MAN GLBL BR COM 27829C105 431 37393 SH DFND 2 431 0 0 ENBRIDGE ENERGY PARTNERS COM 29250R106 447 46406 SH DFND 2 447 0 0 EXPRESS SCRIPTS HOLDING CO COM 30219G108 690 10000 SH DFND 2 690 0 0 FIRST TRUST INTERMEDIATE DUR COM 33718W103 897 38579 SH DFND 2 897 0 0 FIRST TRUST HIGH INCOME LONG COM 33738E109 402 26740 SH DFND 2 402 0 0 FIRST TRUST MLP AND ENERGY I COM 33739B104 474 38771 SH DFND 2 474 0 0 HRG GROUP INC COM 40434J100 300 18200 SH DFND 2 300 0 0 HOSTESS BRANDS INC W EXP 11/04/202 44109J114 928 393590 SH DFND 1 2 928 0 0 INVESCO SENIOR INCOME TRUST COM 46131H107 309 70285 SH DFND 2 309 0 0 ISHARES MSCI EMERGING MARKET ETF 464287234 1248 25857 SH DFND 2 1248 0 0 ISHARES MSCI INDONESIA ETF ETF 46429B309 644 23918 SH DFND 2 644 0 0 JPMORGAN CHASE & CO W EXP 10/28/201 46634E114 44861 645024 SH DFND 1 2 44861 0 0 KKR INCOME OPPORTUNITIES COM 48249T106 480 30228 SH DFND 2 480 0 0 LENNAR CORP CL B CL B 526057302 2349 49275 SH DFND 2 2349 0 0 LIBERTY EXPEDIA HOLD-A COM 53046P109 5766 146793 SH DFND 2 5766 0 0 LIBERTY MEDIA COR-SIRIUSXM A COM A SIRIUSXM 531229409 4890 118995 SH DFND 2 4890 0 0 LIBERTY MEDIA COR-SIRIUSXM C COM C SIRIUSXM 531229607 5252 128585 SH DFND 2 5252 0 0 LIBERTY TRIPADVISOR HDG-A COM SER A 531465102 1109 103214 SH DFND 2 1109 0 0 LIONS GATE ENTERTAINMENT-B CL B NON VTG 535919500 658 27339 SH DFND 2 658 0 0 MULESOFT INC -A CL A 625207105 1950 44356 SH DFND 2 1950 0 0 NUVEEN FLOATING RATE SHS 6706EN100 271 24847 SH DFND 2 271 0 0 NUVEEN DIV ADV MUNI 3 COM SH BEN INT 67070X101 608 43023 SH DFND 2 608 0 0 NUVEEN CREDIT STRAT INC FD SHS 67073D102 440 55453 SH DFND 2 440 0 0 PNC FINANCIAL SERVICES GROUP W EXP 12/31/201 693475121 9265 110273 SH DFND 1 9265 0 0 PRUDENTIAL GL SH DUR HI YLD COM 74433A109 1265 91200 SH DFND 2 1265 0 0 PRUDENTIAL SHORT DURATION HI COM 74442F107 212 15012 SH DFND 2 212 0 0 RSP PERMIAN INC COM 74978Q105 5296 112989 SH DFND 2 5296 0 0 ROCKWELL COLLINS INC COM 774341101 1618 12000 SH DFND 2 1618 0 0 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 10480 974910 SH DFND 2 10480 0 0 SPROTT PHYSICAL SILVER TRUST UNIT 85207K107 8407 1391938 SH DFND 2 8407 0 0 SPROTT PHYSICAL GOLD AND SIL UNIT 85208R101 10472 792194 SH DFND 2 10472 0 0 STERICYCLE INC DEP PFD A 1/10 858912207 464 10272 SH DFND 2 464 0 0 TCF FINANCIAL CORP W EXP 11/14/201 872275128 584 99891 SH DFND 2 584 0 0 TEMPLETON GLBL INC F INC COM 880198106 293 45855 SH DFND 2 293 0 0 TRI CONTL CORP COM 895436103 576 21897 SH DFND 2 576 0 0 TWENTY-FIRST CENTURY FOX-A CL A 90130A101 2175 59293 SH DFND 2 2175 0 0 VANGUARD FTSE DEVELOPED ETF ETF 921943858 1327 30000 SH DFND 2 1327 0 0 VANGUARD EMERG MARKETS VIPER ETF 922042858 469 10000 SH DFND 2 469 0 0 VISTRA ENERGY CORP COM 92840M102 715 34366 SH DFND 2 715 0 0 WELLS FARGO & CO W EXP 10/28/201 949746119 308 16075 SH DFND 2 308 0 0 WESTERN ASSET GLOBAL HIGH IN COM 95766B109 266 28350 SH DFND 2 266 0 0 WISDOMTREE INDIA EARNINGS INDIA ERNGS FD 97717W422 285 10872 SH DFND 2 285 0 0 ZIONS BANCORPORATION W EXP 05/22/202 989701115 2806 138272 SH DFND 2 2806 0 0