0001425475-19-000005.txt : 20190722
0001425475-19-000005.hdr.sgml : 20190722
20190722162926
ACCESSION NUMBER: 0001425475-19-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190630
FILED AS OF DATE: 20190722
DATE AS OF CHANGE: 20190722
EFFECTIVENESS DATE: 20190722
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: 19965934
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
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true
false
0001317346
XXXXXXXX
06-30-2019
06-30-2019
true
1
RESTATEMENT
OTA Financial Group L.P.
1 MANHATTANVILLE ROAD
PURCHASE
NY
10577
13F HOLDINGS REPORT
028-11283
N
James Santori
Chief Financial Officer
914-460-4007
James Santori
Purchase
NY
07-22-2019
2
48
128346
false
1
0001268580
028-11280
OTA LLC
2
0001425475
028-12833
OTA SWAPS LLC
INFORMATION TABLE
2
022019.xml
ALPHABET INC-CL A
CL A
02079K305
21506
19862
SH
DFND
2
21506
0
0
ALTABA INC
COM
021346101
2470
35617
SH
DFND
2
2470
0
0
AMERICAN INTERNATIONAL GROUP
W EXP 01/19/202
026874156
15542
1268768
SH
DFND
1 2
15542
0
0
ANADARKO PETE CORP
COM
032511107
1128
16000
SH
DFND
2
1128
0
0
ANDEAVOR LOGISTICS LP
COM UNIT LP INT
03350F106
466
12827
SH
DFND
2
466
0
0
BECTON DICKINSON AND CO
PFD SHS CONV A
075887208
822
13290
SH
DFND
2
822
0
0
BROOKFIELD PROPERTY REIT I-A
CL A
11282X103
6273
332105
SH
DFND
2
6273
0
0
BROOKFIELD REAL ASSETS INCOM
SHS BEN INT
112830104
218
10078
SH
DFND
2
218
0
0
CHARTER COMMUNICATIONS INC-A
CL A
16119P108
10177
25755
SH
DFND
2
10177
0
0
COHEN & STEERS QUAL INC RLTY
COM
19247L106
539
39450
SH
DFND
2
539
0
0
DANAHER CORP
COM
235851102
1724
12068
SH
DFND
2
1724
0
0
DOUBLELINE INCOME SOLUTIONS
COM
258622109
318
15969
SH
DFND
2
318
0
0
FALCON MINERALS CORP
COM
30607B109
1029
122518
SH
DFND
2
1029
0
0
FIDELITY SOUTHERN CORP
COM
316394105
702
22699
SH
DFND
2
702
0
0
FIRST DATA CORP- CLASS A
CL A
32008D106
2665
98481
SH
DFND
2
2665
0
0
FOX CORP - CLASS A
COM
35137L105
2404
65630
SH
DFND
2
2404
0
0
GCI LIBERTY INC - CLASS A
CLASS A
36164V305
2460
40035
SH
DFND
2
2460
0
0
GREAT ELM CAPITAL CORP
COM
390320109
381
43874
SH
DFND
2
381
0
0
HEICO CORP-CLASS A
CL A
422806208
1542
14924
SH
DFND
2
1542
0
0
HERTZ GLOBAL HOLDINGS-RTS
RIGHT 07/12/2019
42806J114
255
131226
SH
DFND
2
255
0
0
HOSTESS BRANDS INC
W EXP 11/04/202
44109J114
1028
541275
SH
DFND
1 2
1028
0
0
ISHARES MSCI BRIC ETF
MSCI BRIC INDX
464286657
638
15040
SH
DFND
2
638
0
0
ISHARES CORE MSCI EAFE ETF
CORE MSCI EAFE
46432F842
962
15674
SH
DFND
2
962
0
0
KAR AUCTION SERVICES INC
COM
48238T109
2785
111427
SH
DFND
2
2785
0
0
LENNAR CORP CL B
CL B
526057302
1363
35413
SH
DFND
2
1363
0
0
LIBERTY BROADBAND-A
COM SER A
530307107
2053
19968
SH
DFND
2
2053
0
0
LIBERTY EXPEDIA HOLD-A
COM
53046P109
1453
30416
SH
DFND
2
1453
0
0
LIBERTY MEDIA COR-SIRIUSXM A
COM A SIRIUSXM
531229409
3029
80115
SH
DFND
2
3029
0
0
LIBERTY MEDIA COR-SIRIUSXM C
COM C SIRIUSXM
531229607
3414
89914
SH
DFND
2
3414
0
0
LIONS GATE ENTERTAINMENT-A
CL A VTG
535919401
200
16328
SH
DFND
2
200
0
0
MAGNOLIA OIL & GAS CORP
W EXP 07/31/202
559663117
549
164499
SH
DFND
2
549
0
0
NRC GROUP HOLDINGS CORP
COM
629375106
391
35199
SH
DFND
2
391
0
0
OAKTREE CAPITAL GROUP LLC
CL A
674001201
1486
30000
SH
DFND
2
1486
0
0
PIMCO MUNI INCOME FD II
COM
72200W106
591
39558
SH
DFND
2
591
0
0
PIMCO CORPORATE & INCOME OPP
COM
72201B101
270
14932
SH
DFND
2
270
0
0
PIMCO DYNAMIC INCOME FUND
SHS
72201Y101
423
13158
SH
DFND
2
423
0
0
PIMCO DYNAMIC CREDIT AND MOR
SHS
72202D106
300
12571
SH
DFND
2
300
0
0
QTS REALTY TRUST INC
6.50% CON PFD B
74736A301
3111
28083
SH
DFND
2
3111
0
0
ROYAL DUTCH SHELL-SPON ADR-B
SPON ADR B
780259107
751
11439
SH
DFND
2
751
0
0
SPDR BBG BARC ST HIGH YIELD
BLOOMBERG SRT TR
78468R408
368
13544
SH
DFND
2
368
0
0
SPROTT PHYSICAL GOLD TRUST
UNIT
85207H104
17432
1538608
SH
DFND
2
17432
0
0
SPROTT PHYSICAL SILVER TRUST
UNIT
85207K107
200
35114
SH
DFND
2
200
0
0
SPROTT PHYSICAL GOLD AND SIL
UNIT
85208R101
2978
225142
SH
DFND
2
2978
0
0
SUNTRUST BANKS INC
COM
867914103
2776
44179
SH
DFND
2
2776
0
0
TRIPADVISOR INC
COM
896945201
1068
23084
SH
DFND
2
1068
0
0
UDR INC
COM
902653104
590
13159
SH
DFND
2
590
0
0
WORLDPAY INC-CLASS A
CL A
981558109
2429
19823
SH
DFND
2
2429
0
0
ZIONS BANCORPORATION
W EXP 05/21/202
989701115
3087
232463
SH
DFND
2
3087
0
0