0001317346-18-000005.txt : 20180716 0001317346-18-000005.hdr.sgml : 20180716 20180716111721 ACCESSION NUMBER: 0001317346-18-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180716 DATE AS OF CHANGE: 20180716 EFFECTIVENESS DATE: 20180716 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: 18953892 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 06-30-2018 06-30-2018 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 07-16-2018 2 65 261264 false 1 0001268580 028-11280 OTA LLC 2 0001425475 028-12833 OTA SWAPS LLC INFORMATION TABLE 2 022018.xml AV HOMES INC COM 00234P102 530 24783 SH DFND 2 530 0 0 ABEONA THERAPEUTICS INC W EXP 12/24/201 00289Y115 360 35426 SH DFND 1 2 360 0 0 ABERDEEN TTL DYN DIVID COM SH BEN INT 00326L100 265 30327 SH DFND 2 265 0 0 ALLIANZGI NFJ DIVIDEND INTER COM 01883A107 832 65963 SH DFND 2 832 0 0 ALTABA INC COM 021346101 2473 33781 SH DFND 2 2473 0 0 AMERICAN INTERNATIONAL GROUP COM 026874784 848 16000 SH DFND 2 848 0 0 BHP BILLITON PLC SP ADR ADR 05545E209 742 16510 SH DFND 2 742 0 0 BANK OF AMERICA CORPORATION WT EXP 011619 W EXP 01/16/201 060505146 126908 7776253 SH DFND 2 126908 0 0 BLACKROCK ENHANCED INTERNATI COM BENE INTER 092524107 1060 184804 SH DFND 2 1060 0 0 CADENCE BANCORP CL A 12739A100 2939 101824 SH DFND 2 2939 0 0 CALAMOS STRAT TOT RETURN FD COM SH BEN INT 128125101 707 55817 SH DFND 2 707 0 0 CARNIVAL PLC-ADR ADR 14365C103 611 10606 SH DFND 2 611 0 0 CONVERGYS CORP COM 212485106 1700 69572 SH DFND 2 1700 0 0 DISCOVERY INC-C COM SER C 25470F302 289 11349 SH DFND 2 289 0 0 DIVIDEND AND INCOME FUND COM 25538A204 221 18000 SH DFND 2 221 0 0 DR PEPPER SNAPPLE GROUP INC COM 26138E109 4270 35000 SH DFND 2 4270 0 0 EATON VANCE FLOAT RT INC TR COM 278279104 407 28095 SH DFND 2 407 0 0 FIRST TRUST MLP AND ENERGY I COM 33739B104 258 19870 SH DFND 2 258 0 0 FRONTIER COMMUNICATIONS PFD CONV SER-A 35906A207 813 82714 SH DFND 2 813 0 0 GOLDMAN SACHS MLP & ENERGY R COM 38148G107 208 33958 SH DFND 2 208 0 0 GUARANTY BANCORP COM 40075T607 1895 63620 SH DFND 2 1895 0 0 HOSTESS BRANDS INC W EXP 11/04/202 44109J114 711 418247 SH DFND 1 2 711 0 0 ILG INC COM 44967H101 389 11786 SH DFND 2 389 0 0 INVESCO SENIOR INCOME TRUST COM 46131H107 550 128511 SH DFND 2 550 0 0 ISHARES MSCI EMERGING MARKET ETF 464287234 446 10300 SH DFND 2 446 0 0 ISHARES MSCI INDONESIA ETF ETF 46429B309 558 24336 SH DFND 2 558 0 0 JPMORGAN CHASE & CO W EXP 10/28/201 46634E114 18762 295805 SH DFND 1 18762 0 0 KAYNE ANDERSON ENERGY DEVELO COM 48660Q102 513 29511 SH DFND 2 513 0 0 LENNAR CORP CL B CL B 526057302 2331 54624 SH DFND 2 2331 0 0 LIBERTY ALL STAR EQUITY FUND SH BEN INT 530158104 417 65188 SH DFND 2 417 0 0 LIBERTY BROADBAND-C COM SER C 530307305 7835 103484 SH DFND 2 7835 0 0 LIBERTY EXPEDIA HOLD-A COM 53046P109 660 15026 SH DFND 2 660 0 0 LIBERTY MEDIA COR-SIRIUSXM A COM A SIRIUSXM 531229409 6995 155287 SH DFND 2 6995 0 0 LIBERTY MEDIA COR-SIRIUSXM C COM C SIRIUSXM 531229607 3997 88133 SH DFND 2 3997 0 0 MB FINANCIAL INC COM 55264U108 1903 40756 SH DFND 2 1903 0 0 MFS INTERMEDIATE HIGH INC FN SH BEN INT 59318T109 215 85455 SH DFND 2 215 0 0 NUVEEN DIV ADV MUNI 3 COM SH BEN INT 67070X101 574 40083 SH DFND 2 574 0 0 NUVEEN AMT-FR MUNI CREDIT FD COM 67071L106 950 65128 SH DFND 2 950 0 0 NUV QLTY PFD INCOME FD 2 COM 67072C105 1193 135452 SH DFND 2 1193 0 0 PGIM GLOBAL SHORT DURATION H COM 69346J106 644 47214 SH DFND 2 644 0 0 PNC FINANCIAL SERVICES GROUP W EXP 12/31/201 693475121 2185 31706 SH DFND 1 2185 0 0 PIMCO CORPORATE & INCOME OPP COM 72201B101 420 24038 SH DFND 2 420 0 0 PINNACLE FOODS INC COM 72348P104 2167 33319 SH DFND 2 2167 0 0 RSP PERMIAN INC COM 74978Q105 4416 100324 SH DFND 2 4416 0 0 RAMCO-GERSHENSON PROPERT PFD-D CV 751452608 558 10504 SH DFND 2 558 0 0 RICE MIDSTREAM PARTNERS LP UNIT LTD PARTN 762819100 303 17836 SH DFND 2 303 0 0 ROYCE VALUE TR INC COM 780910105 224 14193 SH DFND 2 224 0 0 SPDR BBG BARC HIGH YIELD BND BRCLYS 78464A417 934 26344 SH DFND 2 934 0 0 SPDR BBG BARC ST HIGH YIELD SRT TR 78468R408 562 20619 SH DFND 2 562 0 0 SPDR NUV BBG BARC MUNI BOND MUNIC 78468R721 655 13669 SH DFND 2 655 0 0 SPECTRA ENERGY PARTNERS LP COM 84756N109 1511 42660 SH DFND 2 1511 0 0 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 4482 440334 SH DFND 2 4482 0 0 SPROTT PHYSICAL SILVER TRUST UNIT 85207K107 9403 1601964 SH DFND 2 9403 0 0 SPRINT CORP COM SER 1 85207U105 1127 207275 SH DFND 2 1127 0 0 SPROTT PHYSICAL GOLD AND SIL UNIT 85208R101 8976 716405 SH DFND 2 8976 0 0 TCF FINANCIAL CORP COM 872275102 1235 50200 SH DFND 2 1235 0 0 TCF FINANCIAL CORP W EXP 11/14/201 872275128 225 28485 SH DFND 2 225 0 0 TALLGRASS ENERGY PARTNERS LP COM UNIT 874697105 765 17673 SH DFND 2 765 0 0 TRI CONTL CORP COM 895436103 272 10286 SH DFND 2 272 0 0 TRIPADVISOR INC COM 896945201 1721 30903 SH DFND 2 1721 0 0 TWENTY-FIRST CENTURY FOX - B CL B 90130A200 3471 70468 SH DFND 2 3471 0 0 WELLS FARGO & CO W EXP 10/28/201 949746119 1806 82047 SH DFND 2 1806 0 0 WILLIAMS PARTNERS LP COM UNIT LTD PAR 96949L105 7699 189700 SH DFND 2 7699 0 0 ZILLOW GROUP INC - C CL C CAP STK 98954M200 3429 58061 SH DFND 2 3429 0 0 ZIONS BANCORPORATION W EXP 05/22/202 989701115 4739 233474 SH DFND 2 4739 0 0