0001317346-21-000004.txt : 20210414 0001317346-21-000004.hdr.sgml : 20210414 20210414131211 ACCESSION NUMBER: 0001317346-21-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210414 DATE AS OF CHANGE: 20210414 EFFECTIVENESS DATE: 20210414 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: 21825195 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 03-31-2021 03-31-2021 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 04-14-2021 2 60 125105 false 1 0001268580 028-11280 OTA LLC 2 0001425475 028-12833 OTA TRADING FUND 1 LLC INFORMATION TABLE 2 012021.xml ALPHABET INC-CL C CL C 02079K107 38743 18729 SH DFND 2 38743 0 0 ALTITUDE ACQUISITION CORP-A CL A 02156Y103 2166 216000 SH DFND 1 2 2166 0 0 APOLLO GLOBAL MANAGEMENT INC CL A 03768E105 2701 57467 SH DFND 2 2701 0 0 CBRE CLARION GL R/E INCOME F COM 12504G100 348 44641 SH DFND 2 348 0 0 CF FINANCE ACQUISITION III CL A 12529D108 241 24100 SH DFND 1 2 241 0 0 CIT GROUP INC COM 125581801 1216 23615 SH DFND 2 1216 0 0 CANOO INC *W EXP 12/21/202 13803R110 239 84493 SH DFND 2 239 0 0 COHEN & STEERS MLP INCOME AN SHS 19249B106 923 288542 SH DFND 2 923 0 0 CUSHING MLP & INFRASTRUCTURE COM 231631300 475 19080 SH DFND 2 475 0 0 DESKTOP METAL INC-A CL A 25058X105 355 23876 SH DFND 2 355 0 0 DIGITAL MEDIA SOLUTIONS-A *W EXP 07/15/202 25401G114 252 153836 SH DFND 2 252 0 0 DISCOVERY INC-C COM SER C 25470F302 1488 40354 SH DFND 2 1488 0 0 ELECTRAMECCANICA VEHICLES CO *W EXP 08/03/202 284849114 289 99820 SH DFND 2 289 0 0 EXPERIENCE INVESTMENT CORP-A CL A 30217C109 440 42793 SH DFND 1 2 440 0 0 FALCON CAPITAL ACQUISITIO-A CL A 30606L108 1033 103700 SH DFND 1 2 1033 0 0 FISKER INC *W EXP 12/01/202 33813J114 399 46722 SH DFND 2 399 0 0 FOREST ROAD ACQUISITION-CL A COM 34619R102 2357 233000 SH DFND 1 2 2357 0 0 FORUM MERGER III CORP - A CL A 349885103 218 21900 SH DFND 2 218 0 0 FOX CORP - CLASS A COM 35137L105 1184 32794 SH DFND 2 1184 0 0 GS ACQUISITION HOLDINGS-A CL A 36258Q105 718 68900 SH DFND 2 718 0 0 GIGCAPITAL3 INC COM 37519D107 200 18800 SH DFND 1 2 200 0 0 GOLDMAN SACHS MLP & ENERGY R COM 38148G206 1049 108398 SH DFND 2 1049 0 0 INVITAE CORP COM 46185L103 2388 62500 SH DFND 2 2388 0 0 ISHARES 5-10Y INV GRADE CORP ISHS 5-10YR INVT 464288638 1783 30107 SH DFND 2 1783 0 0 ISHARES CORE MSCI EMERGING CORE MSCI EMKT 46434G103 806 12538 SH DFND 2 806 0 0 ISHARES BROAD USD HIGH YIELD BROAD USD HIGH 46435U853 1434 34820 SH DFND 2 1434 0 0 LIBERTY TRIPADVISOR HDG-A COM SER A 531465102 432 67796 SH DFND 2 432 0 0 NB MLP & ENERGY INCOME COM 64129H104 1282 305322 SH DFND 2 1282 0 0 NOBLE MIDSTREAM PARTNERS LP COM UNIT REPST 65506L105 2638 181935 SH DFND 2 2638 0 0 OCCIDENTAL PETROLEUM CORP *W EXP 08/03/202 674599162 5444 457154 SH DFND 2 5444 0 0 PETROLEO BRAS SA ADR ADR NON VTG 71654V101 200 23511 SH DFND 2 200 0 0 PLAINS ALL AMER PIPELINE LP UNIT LTD PARTN 726503105 3630 398958 SH DFND 2 3630 0 0 PORCH GROUP INC *W EXP 12/23/202 733245112 226 36841 SH DFND 2 226 0 0 REVOLUTION ACCELERATION AC-A CL A 76156P106 328 32400 SH DFND 1 2 328 0 0 RIOT BLOCKCHAIN INC COM 767292105 10915 204900 SH DFND 2 10915 0 0 SPARTAN ACQUISIT CORP II- A COM 846775104 246 23600 SH DFND 1 2 246 0 0 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 9945 741662 SH DFND 2 9945 0 0 SPROTT PHYSICAL GOLD AND SIL UNIT 85208R101 1595 91836 SH DFND 2 1595 0 0 STARBOARD VALUE ACQUISITI-A CL A 85521J109 987 99400 SH DFND 2 987 0 0 TCF FINANCIAL CORP COM 872307103 1973 42477 SH DFND 2 1973 0 0 TEKLA WORLD HEALTHCARE FUND SHS 87911L108 442 29386 SH DFND 2 442 0 0 TORTOISE ENERGY INFRASTRUCT COM 89147L886 903 36972 SH DFND 2 903 0 0 TORTOISE MIDSTREAM ENERGY COM 89148B200 1227 47739 SH DFND 2 1227 0 0 TORTOISE PIPELINE & ENERGY COM 89148H207 410 20058 SH DFND 2 410 0 0 UNDER ARMOUR INC-CLASS C CL C 904311206 1867 101181 SH DFND 2 1867 0 0 VANGUARD TOTAL BOND MARKET TOTAL BND MRKT 921937835 7472 88206 SH DFND 2 7472 0 0 AJAX I COM G0190X100 203 19800 SH DFND 2 203 0 0 BRIDGETOWN HOLDINGS LTD CL A G1355U113 330 30421 SH DFND 1 2 330 0 0 CITIC CAPITAL ACQUISITION CO CL A G21513109 1189 118900 SH DFND 1 2 1189 0 0 D8 HOLDINGS CORP CL A G2614K110 444 44720 SH DFND 2 444 0 0 CC NEUBERGER PRIN HLDGS CL A G3166T103 899 91200 SH DFND 2 899 0 0 FTAC OLYMPUS ACQUISITION COR SHS G37288100 475 45000 SH DFND 1 2 475 0 0 HORIZON ACQUISITION CORPORAT CL A G46044106 722 70800 SH DFND 1 2 722 0 0 NEXTGEN ACQUISITION CORP CL A G65305107 740 74600 SH DFND 1 2 740 0 0 QELL ACQUISITION C CL A G7307X105 1008 99100 SH DFND 1 2 1008 0 0 SOCIAL CAPITAL HEDOSOPHA HLD CL A G8251L105 890 83161 SH DFND 1 2 890 0 0 SUSTAINABLE OPPORTNTS ACQ CO ORD SHS A G8598Y109 381 38400 SH DFND 2 381 0 0 THUNDER BRDG ACQUISTION II L SHS G8857S116 588 56500 SH DFND 1 2 588 0 0 TORTOISE ACQUISITION CORP II CL A G89554102 767 70100 SH DFND 1 2 767 0 0 VG ACQUISITION CORP CL A G9446E105 862 84800 SH DFND 2 862 0 0