0001317346-20-000012.txt : 20200716 0001317346-20-000012.hdr.sgml : 20200716 20200715173630 ACCESSION NUMBER: 0001317346-20-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200716 DATE AS OF CHANGE: 20200715 EFFECTIVENESS DATE: 20200716 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: 201030253 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 06-30-2020 06-30-2020 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 07-15-2020 2 42 157304 false 1 0001268580 028-11280 OTA LLC 2 0001425475 028-12833 OTA TRADING FUND 1 LLC INFORMATION TABLE 2 022020.xml AMERICAN INTERNATIONAL GROUP W EXP 01/19/202 026874156 852 609095 SH DFND 1 2 852 0 0 CARNIVAL PLC-ADR ADR 14365C103 843 67068 SH DFND 2 843 0 0 XTRACKERS USD HIGH YIELD COR XTRACK USD HIGH 233051432 2009 42990 SH DFND 2 2009 0 0 DRAFTKINGS INC - CL A W EXP 06/30/202 26142R112 325 21256 SH DFND 2 325 0 0 GCI LIBERTY INC - CLASS A CLASS A 36164V305 1263 17767 SH DFND 2 1263 0 0 HIGHLAND INCOME FUND HIGHLAND INCOME 43010E404 480 59688 SH DFND 2 480 0 0 HOSTESS BRANDS INC W EXP 11/04/202 44109J114 456 530923 SH DFND 2 456 0 0 INVESCO EMERGING MARKETS SOV TR II EMRNG MKT SVRG 46138E784 859 32110 SH DFND 2 859 0 0 INVITAE CORP COM 46185L103 390 12877 SH DFND 2 390 0 0 ISHARES CORE U.S. AGGREGATE CORE US AGGBD ET 464287226 10780 91198 SH DFND 2 10780 0 0 ISHARES SHORT-TERM CORPORATE ETF 464288646 1297 23714 SH DFND 2 1297 0 0 ISHARES MSCI INDONESIA ETF ETF 46429B309 240 13354 SH DFND 2 240 0 0 ISHARES BROAD USD HIGH YIELD BROAD USD HIGH 46435U853 741 19410 SH DFND 2 741 0 0 LENNAR CORP CL B CL B 526057302 9625 208851 SH DFND 2 9625 0 0 LIBERTY BROADBAND-C COM SER C 530307305 5159 41625 SH DFND 2 5159 0 0 LIBERTY MEDIA COR-SIRIUSXM A COM A SIRIUSXM 531229409 4760 137915 SH DFND 2 4760 0 0 LIBERTY MEDIA COR-SIRIUSXM C COM C SIRIUSXM 531229607 3364 97677 SH DFND 2 3364 0 0 LIBERTY TRIPADVISOR HDG-A COM SER A 531465102 428 200997 SH DFND 2 428 0 0 NAVIDEA BIOPHARMACEUTICALS I COM 63937X202 258 65600 SH DFND 1 2 258 0 0 NIKOLA CORP PUT 654110955 3038 45000 SH DFND 1 2 3038 0 0 NUVEEN EQTY PREM INCM FD COM 6706ER101 560 50937 SH DFND 2 560 0 0 NUVEEN S&P500 DYNAM OVERWR COM 6706EW100 869 67732 SH DFND 2 869 0 0 NUVEEN CREDIT STRAT INCM SHS 67073D102 243 41742 SH DFND 2 243 0 0 NUVEEN DOW30 DYN OVERWRT FD SHS 67075F105 230 16968 SH DFND 2 230 0 0 PLAINS GP HOLDINGS LP-CL A LTD PARTNR INT A 72651A207 3119 350472 SH DFND 2 3119 0 0 PUTNAM PREMIER INCOME TRUST SH BEN INT 746853100 734 155032 SH DFND 2 734 0 0 ROYAL DUTCH SHELL-SPON ADR-B SPON ADR B 780259107 908 29836 SH DFND 2 908 0 0 SPDR PORT SHRT TRM CORP BND PORTFOLIO SHORT 78464A474 842 26892 SH DFND 2 842 0 0 SPDR BBG BARC ST HIGH YIELD BLOOMBERG SRT TR 78468R408 1423 56480 SH DFND 2 1423 0 0 SPDR BBG BARC HIGH YIELD BND BLOOMBERG BRCLYS 78468R622 2566 25366 SH DFND 2 2566 0 0 SPDR NUV BBG BARC MUNI BOND NUVEEN BRC MUNIC 78468R721 2267 43890 SH DFND 2 2267 0 0 SCHWAB US AGGREGATE BOND ETF US AGGREGATE B 808524839 2552 45377 SH DFND 2 2552 0 0 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 5625 393089 SH DFND 2 5625 0 0 SPROTT PHYSICAL SILVER TRUST UNIT 85207K107 6503 983880 SH DFND 2 6503 0 0 TD AMERITRADE HOLDING CORP COM 87236Y108 774 21286 SH DFND 2 774 0 0 T-MOBILE US INC - RIGHTS RIGHT 07/27/2020 872590112 518 3085242 SH DFND 2 518 0 0 VANGUARD INT-TERM CORPORATE INT-TERM CORP 92206C870 11105 116725 SH DFND 2 11105 0 0 DELPHI TECHNOLOGIES PLC SHS G2709G107 281 19777 SH DFND 2 281 0 0