Filed: 10/17/2022ACC: 0001317346-22-000009
📋 What this filing means
OTA FINANCIAL GROUP L.P. filed this quarterly 13F‑HR report disclosing 105 equity positions with a total reported market value of $116.5K. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
105
Positions
$116.5K
Total AUM (reported)
7.27M
Total Shares
Allocation by class
*W EXP 08/03/202$20.5K17.6%
*W EXP 02/09/202$19.7K16.9%
COM$19.1K16.4%
UNIT$17.1K14.7%
CL A$10.5K9.0%
US AGGREGATE B$4.1K3.5%
SHS BEN INT$4.1K3.5%
Portfolio Concentration
Top 3$49.2K42.2%
4–10$26.8K23.0%
11–25$15.7K13.4%
Rest$24.8K21.3%
Top 3 weight
42.2%
Top 10 weight
65.3%
Voting Authority Distribution
Total shares with voting rights: 116.52K
Sole
Full voting authority
116.52K
shares
% of voting shares100.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
0.00
shares
% of voting shares0.0%
Investment Discretion (by position count)
Sole0
Shared0
Other105
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings105
Rows:
OCCIDENTAL PETROLEUM CORP
DFNDShares518.26K
TypeSH
Market value$20.5K
17.62%
Sole
20.53K
Shared
0.00
None
0.00
SPROTT PHYSICAL GOLD TRUST
DFNDShares1.34M
TypeSH
Market value$17.1K
14.71%
Sole
17.14K
Shared
0.00
None
0.00
CHESAPEAKE ENERGY CORP
DFNDShares146.21K
TypeSH
Market value$11.6K
9.91%
Sole
11.55K
Shared
0.00
None
0.00
CHESAPEAKE ENERGY CORP
DFNDShares101.87K
TypeSH
Market value$8.2K
7.01%
Sole
8.17K
Shared
0.00
None
0.00
SCHWAB US AGGREGATE BOND ETF
DFNDShares90.71K
TypeSH
Market value$4.1K
3.53%
Sole
4.11K
Shared
0.00
None
0.00
SOUTH JERSEY INDUSTRIES
DFNDShares54.63K
TypeSH
Market value$3.6K
3.12%
Sole
3.64K
Shared
0.00
None
0.00
SPDR BLOOMBERG SHORT TERM HI
DFNDShares137.45K
TypeSH
Market value$3.3K
2.80%
Sole
3.27K
Shared
0.00
None
0.00
ALPHABET INC-CL C
DFNDShares30.32K
TypeSH
Market value$2.9K
2.50%
Sole
2.92K
Shared
0.00
None
0.00
BLACKROCK INNOV & GROW TR
DFNDShares373.99K
TypeSH
Market value$2.7K
2.33%
Sole
2.72K
Shared
0.00
None
0.00
ISHARES 5-10Y INV GRADE CORP
DFNDShares41.66K
TypeSH
Market value$2.0K
1.73%
Sole
2.01K
Shared
0.00
None
0.00
LIBERTY BROADBAND-C
DFNDShares24.70K
TypeSH
Market value$1.8K
1.56%
Sole
1.82K
Shared
0.00
None
0.00
SORRENTO THERAPEUTICS INC
DFNDShares1.10M
TypeSH
Market value$1.7K
1.48%
Sole
1.72K
Shared
0.00
None
0.00
BLACKROCK HEALTH SCI TR II
DFNDShares106.50K
TypeSH
Market value$1.6K
1.36%
Sole
1.59K
Shared
0.00
None
0.00
BLACKROCK ESG CAPITAL ALLOC
DFNDShares104.74K
TypeSH
Market value$1.3K
1.15%
Sole
1.34K
Shared
0.00
None
0.00
BROOKFIELD ASSET MANAGEMEN-A
DFNDShares27.17K
TypeSH
Market value$1.1K
0.95%
Sole
1.11K
Shared
0.00
None
0.00
ADARA ACQUISITION CORP-CL A
DFNDShares104.11K
TypeSH
Market value$1.0K
0.89%
Sole
1.03K
Shared
0.00
None
0.00
BLACKROCK CAPITAL ALLOCATION
DFNDShares75.31K
TypeSH
Market value$1.0K
0.88%
Sole
1.02K
Shared
0.00
None
0.00
CLEARBRIDGE MLP & MIDSTREAM
DFNDShares34K
TypeSH
Market value$1.0K
0.87%
Sole
1.01K
Shared
0.00
None
0.00
TORTOISE MIDSTREAM ENERGY
DFNDShares28.57K
TypeSH
Market value$922.00
0.79%
Sole
922.00
Shared
0.00
None
0.00
CLEARBRIDGE ENERGY MIDSTREAM
DFNDShares34.32K
TypeSH
Market value$858.00
0.74%
Sole
858.00
Shared
0.00
None
0.00
PLAINS GP HOLDINGS LP-CL A
DFNDShares66.57K
TypeSH
Market value$726.00
0.62%
Sole
726.00
Shared
0.00
None
0.00
GLOBAL CONSUMER ACQUISITION
DFNDShares63.57K
TypeSH
Market value$647.00
0.56%
Sole
647.00
Shared
0.00
None
0.00
TRADEUP ACQUISITION CORP
DFNDShares63.96K
TypeSH
Market value$643.00
0.55%
Sole
643.00
Shared
0.00
None
0.00
DUKE REALTY CORP
DFNDShares12.42K
TypeSH
Market value$598.00
0.51%
Sole
598.00
Shared
0.00
None
0.00
BANNER ACQUISITION CORP
DFNDShares60.19K
TypeSH
Market value$595.00
0.51%
Sole
595.00
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
OCCIDENTAL PETROLEUM CORPDFND | *W EXP 08/03/202 | 518.26K | SH | $20.5K 17.62% | 20.53K | 0.00 | 0.00 |
SPROTT PHYSICAL GOLD TRUSTDFND | UNIT | 1.34M | SH | $17.1K 14.71% | 17.14K | 0.00 | 0.00 |
CHESAPEAKE ENERGY CORPDFND | *W EXP 02/09/202 | 146.21K | SH | $11.6K 9.91% | 11.55K | 0.00 | 0.00 |
CHESAPEAKE ENERGY CORPDFND | *W EXP 02/09/202 | 101.87K | SH | $8.2K 7.01% | 8.17K | 0.00 | 0.00 |
SCHWAB US AGGREGATE BOND ETFDFND | US AGGREGATE B | 90.71K | SH | $4.1K 3.53% | 4.11K | 0.00 | 0.00 |
SOUTH JERSEY INDUSTRIESDFND | UNIT 04/01/2024 | 54.63K | SH | $3.6K 3.12% | 3.64K | 0.00 | 0.00 |
SPDR BLOOMBERG SHORT TERM HIDFND | SHT TE | 137.45K | SH | $3.3K 2.80% | 3.27K | 0.00 | 0.00 |
ALPHABET INC-CL CDFND | CL C | 30.32K | SH | $2.9K 2.50% | 2.92K | 0.00 | 0.00 |
BLACKROCK INNOV & GROW TRDFND | SHS BEN INT | 373.99K | SH | $2.7K 2.33% | 2.72K | 0.00 | 0.00 |
ISHARES 5-10Y INV GRADE CORPDFND | ISHS 5-10YR INVT | 41.66K | SH | $2.0K 1.73% | 2.01K | 0.00 | 0.00 |
LIBERTY BROADBAND-CDFND | COM SER C | 24.70K | SH | $1.8K 1.56% | 1.82K | 0.00 | 0.00 |
SORRENTO THERAPEUTICS INCDFND | CALL | 1.10M | SH | $1.7K 1.48% | 1.72K | 0.00 | 0.00 |
BLACKROCK HEALTH SCI TR IIDFND | SHS | 106.50K | SH | $1.6K 1.36% | 1.59K | 0.00 | 0.00 |
BLACKROCK ESG CAPITAL ALLOCDFND | SHS BEN INT | 104.74K | SH | $1.3K 1.15% | 1.34K | 0.00 | 0.00 |
BROOKFIELD ASSET MANAGEMEN-ADFND | CL A EXCH LT VTG | 27.17K | SH | $1.1K 0.95% | 1.11K | 0.00 | 0.00 |
ADARA ACQUISITION CORP-CL ADFND | CL A | 104.11K | SH | $1.0K 0.89% | 1.03K | 0.00 | 0.00 |
BLACKROCK CAPITAL ALLOCATIONDFND | COM | 75.31K | SH | $1.0K 0.88% | 1.02K | 0.00 | 0.00 |
CLEARBRIDGE MLP & MIDSTREAMDFND | COM | 34K | SH | $1.0K 0.87% | 1.01K | 0.00 | 0.00 |
TORTOISE MIDSTREAM ENERGYDFND | COM | 28.57K | SH | $922.00 0.79% | 922.00 | 0.00 | 0.00 |
CLEARBRIDGE ENERGY MIDSTREAMDFND | COM | 34.32K | SH | $858.00 0.74% | 858.00 | 0.00 | 0.00 |
PLAINS GP HOLDINGS LP-CL ADFND | LTD PARTNR INT A | 66.57K | SH | $726.00 0.62% | 726.00 | 0.00 | 0.00 |
GLOBAL CONSUMER ACQUISITIONDFND | COM | 63.57K | SH | $647.00 0.56% | 647.00 | 0.00 | 0.00 |
TRADEUP ACQUISITION CORPDFND | COM | 63.96K | SH | $643.00 0.55% | 643.00 | 0.00 | 0.00 |
DUKE REALTY CORPDFND | COM | 12.42K | SH | $598.00 0.51% | 598.00 | 0.00 | 0.00 |
BANNER ACQUISITION CORPDFND | COM | 60.19K | SH | $595.00 0.51% | 595.00 | 0.00 | 0.00 |
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