OTA Financial Group L.P. - Q1 2014 holdings

$105 Million is the total value of OTA Financial Group L.P.'s 63 reported holdings in Q1 2014. The portfolio turnover from Q4 2013 to Q1 2014 was 121.9% .

 Value Shares↓ Weighting
GTPPP BuyGOODYEAR TIRE & RUBBERconv 5.875%$17,279,000
+178.8%
238,631
+157.4%
16.48%
+324.2%
OCRPRB BuyOMNICARE CAP TRUST IIii pfd b tr 4.00%$11,595,000
+79.9%
157,974
+81.8%
11.06%
+173.7%
NewEXTERRAN HOLDING EXH4 20140615note 4.250% 6/1$9,512,00050,000
+100.0%
9.08%
RDSA BuyROYAL DUTCH SHELL PLCspons adr a$8,414,000
+38.2%
115,166
+34.8%
8.03%
+110.3%
GM SellGENERAL MOTORS CO$4,075,000
-64.3%
118,401
-57.6%
3.89%
-45.6%
EPRPRC SellEPR PROPERTIESc cnv 5.75%$3,923,000
+1.9%
182,502
-3.1%
3.74%
+55.1%
EFG NewISHARES MSCI EAFE GROWTH ETFetf$3,086,00043,500
+100.0%
2.94%
TWC NewTIME WARNER CABLE$3,030,00022,091
+100.0%
2.89%
PHYS SellSPROTT PHYSICAL GOLD TRUSTunit$2,946,000
-61.6%
276,153
-64.2%
2.81%
-41.6%
UN NewUNILEVER N V -NY SHARES$2,525,00061,411
+100.0%
2.41%
4945SC SellKINDER MORGAN ENERGY PARTNERut ltd partner$2,210,000
-23.0%
29,891
-16.0%
2.11%
+17.1%
WY BuyWEYERHAEUSER CO$2,057,000
+172.8%
70,112
+193.3%
1.96%
+315.0%
FXY NewCURRENCYSHARES JAPANESE YENjapanese yen$1,867,00019,757
+100.0%
1.78%
DXJ NewWISDOMTREE JAPAN HEDGED EQjapn hedge eqt$1,718,00036,311
+100.0%
1.64%
IEMG BuyISHARES CORE MSCI EMERGINGinc core msci emkt$1,677,000
+97.3%
34,186
+100.1%
1.60%
+200.2%
FRX NewFOREST LABORATORIES INC$1,576,00017,087
+100.0%
1.50%
EFV NewISHARES MSCI EAFE VALUE ETFetf$1,411,00024,535
+100.0%
1.35%
BBL NewBHP BILLITON PLC SP ADRadr$1,347,00021,826
+100.0%
1.28%
EPL NewEPL OIL & GAS INC$1,318,00034,151
+100.0%
1.26%
PPLPRW NewPPL CORPORATION99/99/9999s$1,198,00021,911
+100.0%
1.14%
SPAB NewSPDR BARCLAYS AGGREGATE BONDetf$1,194,00020,915
+100.0%
1.14%
NEEPRO SellNEXTERA ENERGY INCunit 09/01/2015$1,184,000
-12.5%
19,311
-19.2%
1.13%
+33.3%
VEU NewVANGUARD FTSE ALL-WORLD EX-Uallwrld ex us$1,125,00022,368
+100.0%
1.07%
EEP BuyENBRIDGE ENERGY PARTNERS$1,102,000
+139.0%
40,215
+160.1%
1.05%
+263.7%
CLF NewCLIFFS NATURAL RESOURCES INC$1,047,00051,194
+100.0%
1.00%
EWT NewISHARES INCetf$970,00067,469
+100.0%
0.92%
BAC NewBANK OF AMERICA CORP$965,00056,116
+100.0%
0.92%
TIAIY NewTELECOM ITALIA SPA-SPON ADRspon adr svgs$865,00092,455
+100.0%
0.82%
SLV NewISHARES SILVER TRUSTishares$846,00044,470
+100.0%
0.81%
SWK NewSTANLEY BLACK & DECKER INC$836,00010,301
+100.0%
0.80%
DEM SellWISDOMTREE EMG MKTS EQ INCOMetf$691,000
-27.9%
14,091
-25.0%
0.66%
+9.7%
EEMV SellISHARES MSCI EMERGING MARKETetf$669,000
-63.0%
11,705
-62.3%
0.64%
-43.7%
PDI NewPIMCO DYNAMIC INCOME FUND$585,00019,325
+100.0%
0.56%
FXI NewISHARES CHINA LARGE-CAP ETFetf$552,00015,432
+100.0%
0.53%
MLU SellMETLIFE INCunit 99/99/9999$537,000
-23.6%
17,450
-21.7%
0.51%
+16.1%
BTT NewBLACKROCK MUNICIPAL TARGET$524,00027,484
+100.0%
0.50%
M102SC NewNUVEEN EQTY PREM OPPTYFD$494,00039,290
+100.0%
0.47%
COFWS NewCAPITAL ONE FINANCIAL CORP*w exp 11/14/201$490,00013,865
+100.0%
0.47%
GDX BuyMARKET VECTORS GOLD MINERSetf$482,000
+14.2%
20,449
+2.2%
0.46%
+73.6%
AMOV SellAMERICA MOVIL S A DE C V$420,000
-52.9%
21,305
-44.0%
0.40%
-28.3%
RNP NewCOHEN & STEERS REIT & PFD$402,00023,675
+100.0%
0.38%
KYN NewKAYNE ANDERSON MLP INVESTMEN$384,00010,486
+100.0%
0.37%
BGR NewBLACKROCK ENRGY & RES$379,00015,725
+100.0%
0.36%
JFR NewNUVEEN FLOATING RATE INC FD$362,00030,318
+100.0%
0.34%
JPC NewNUVEEN PFD & CONV INC FD$347,00037,401
+100.0%
0.33%
VALE NewVALE SA-SP ADRadr$337,00024,402
+100.0%
0.32%
KFN NewKKR FINANCIAL HOLDINGS LLC$330,00028,608
+100.0%
0.32%
PBR NewPETROLEO BRASILEIRO S.A.-ADRadr$328,00025,006
+100.0%
0.31%
JPMWS BuyJPMORGAN CHASE & CO*w exp 10/28/201$320,000
+30.1%
15,866
+25.0%
0.30%
+98.1%
EOI NewEATON VANCE ENHANCED EQ INCM$302,00023,171
+100.0%
0.29%
FIF NewFIRST TRUST ENERGY INFRASTRU$267,00012,696
+100.0%
0.26%
EPI SellWISDOMTREE INDIA EARNINGSindia erngs fd$262,000
-48.8%
13,831
-53.0%
0.25%
-22.1%
PLUG NewPLUG POWER INC$261,00036,830
+100.0%
0.25%
PNCWS NewPNC FINANCIAL SERVICES GROUP*w exp 12/31/201$244,00010,345
+100.0%
0.23%
RSX NewMARKET VECTORS RUSSIA ETFetf$240,00010,017
+100.0%
0.23%
PXH NewPOWERSHARES FTSE RAFI EM MKTemer mrkt port$230,00011,588
+100.0%
0.22%
ETW NewEATON VANCE TAX MAN GLBL BR$229,00019,002
+100.0%
0.22%
CEF NewCENTRAL FUND CANADA LTD-Acl a$225,00016,420
+100.0%
0.22%
EXG NewEATON VANCE TAX-MANAGED GLOB$208,00020,667
+100.0%
0.20%
NQS SellNUVEEN SEL QUAL MUNI$207,000
-26.3%
15,653
-31.1%
0.20%
+11.9%
HYI NewWESTERN ASSET HIGH YIELD DEF$205,00011,473
+100.0%
0.20%
PTY NewPIMCO CORPORATE & INCOME OPP$203,00011,241
+100.0%
0.19%
EMD NewWESTERN ASSET EMERGING MARKE$201,00011,604
+100.0%
0.19%
PMO ExitPUTNAM MUN OPPTYS TR SBIsh ben int$0-19,354
-100.0%
-0.13%
MIY ExitBLACKROCK MUNIYIELD MI QUALI$0-16,780
-100.0%
-0.13%
FSTO ExitFOREST OIL CORP$0-58,296
-100.0%
-0.13%
NNC ExitNUVEEN NC PREMIUM INC MUNI$0-17,700
-100.0%
-0.13%
VHC ExitVIRNETX HOLDING CORP$0-10,962
-100.0%
-0.13%
CBB ExitCINCINNATI BELL INC$0-60,523
-100.0%
-0.14%
HK ExitHALCON RESOURCES CORP$0-56,122
-100.0%
-0.14%
RKUS ExitRUCKUS WIRELESS INC$0-15,141
-100.0%
-0.14%
CRUS ExitCIRRUS LOGIC INC$0-10,618
-100.0%
-0.14%
AEO ExitAMERICAN EAGLE OUTFITTERS$0-15,125
-100.0%
-0.14%
NUAN ExitNUANCE COMMUNICATIONS IN$0-14,351
-100.0%
-0.14%
BIOS ExitBIOSCRIP INC$0-29,570
-100.0%
-0.14%
N109SC ExitDEMAND MEDIA INC$0-38,095
-100.0%
-0.14%
FRAN ExitFRANCESCAS HOLDINGS CORP$0-12,075
-100.0%
-0.14%
FIO ExitFUSION-IO INC$0-25,028
-100.0%
-0.14%
CIE ExitCOBALT INTERNATIONAL ENERGY$0-13,699
-100.0%
-0.14%
IO ExitION GEOPHYSICAL CORP$0-68,629
-100.0%
-0.14%
AROPQ ExitAEROPOSTALE INC$0-25,041
-100.0%
-0.14%
MPA ExitBLACKROCK MUNIYIELD PENNSYLV$0-17,777
-100.0%
-0.14%
NESCQ ExitNUVERRA ENVIRONMENTAL SOLUTI$0-13,464
-100.0%
-0.14%
ACTG ExitACACIA RESEARCH CORP$0-15,636
-100.0%
-0.14%
MM ExitMILLENNIAL MEDIA INC$0-31,403
-100.0%
-0.14%
LQDT ExitLIQUIDITY SERVICES INC$0-10,092
-100.0%
-0.14%
EXD ExitEATON VANCE TAX-ADVANTAGED B$0-16,119
-100.0%
-0.14%
MYJ ExitBLACKROCK MUNIYIELD NJ FUND$0-16,780
-100.0%
-0.14%
NRK ExitNUVEEN NEW YORK AMT-FREE MUN$0-18,925
-100.0%
-0.14%
DSU ExitBLACKROCK DEBT STRATEGIES FD$0-58,594
-100.0%
-0.15%
EZPW ExitEZCORP INC-CL Acl a non vtg$0-20,036
-100.0%
-0.15%
NIHDQ ExitNII HOLDINGS INCcl b$0-85,275
-100.0%
-0.15%
AT ExitATLANTIC POWER CORP$0-67,598
-100.0%
-0.15%
DLLR ExitDFC GLOBAL CORP$0-20,853
-100.0%
-0.15%
HOV ExitHOVANIAN ENTERPRISES INCcl a$0-36,184
-100.0%
-0.15%
RVT ExitROYCE VALUE TR INC$0-15,104
-100.0%
-0.15%
PBRA ExitPETROLEO BRAS SA ADRsp adr non vtg$0-16,451
-100.0%
-0.15%
ERC ExitWELLS FARGO ADVANTAGE MULTI$0-17,704
-100.0%
-0.16%
NWS ExitNEWS CORP - CLASS Bcl b$0-14,176
-100.0%
-0.16%
AWF ExitALLIANCE WRLD DLR G F II$0-17,854
-100.0%
-0.16%
NPV ExitNUVEEN VIRGINIA PREMIUM INC$0-23,337
-100.0%
-0.17%
NMY ExitNUVEEN MD PREMIUM INC MUNI$0-23,259
-100.0%
-0.17%
NZH ExitNUVEEN CA DIV ADV MUNI 3$0-24,603
-100.0%
-0.18%
NMO ExitNUVEEN MUNI MKT OPPORTUNITY$0-23,461
-100.0%
-0.18%
NZF ExitNUVEEN DIV ADV MUNI 3$0-22,779
-100.0%
-0.18%
MUS ExitBLACKROCK MUNIHOLDINGS QUALI$0-23,615
-100.0%
-0.18%
MUE ExitBLACKROCK MUNIHOLDINGS QU II$0-23,357
-100.0%
-0.18%
NQI ExitNUVEEN INSURED QUALITY$0-23,365
-100.0%
-0.18%
VKQ ExitINVESCO MUNICIPAL TRUST$0-24,382
-100.0%
-0.18%
VKI ExitINVESCO AD MIT IIsh ben int$0-26,871
-100.0%
-0.18%
VMO ExitINVESCO MUNICIPAL OPPORTUNI$0-24,261
-100.0%
-0.18%
MUJ ExitBLACKROCK MUNIHOLDINGS NJ QU$0-21,696
-100.0%
-0.18%
VGM ExitINVESCO TRUST FOR INVESTMEN$0-23,560
-100.0%
-0.18%
NID ExitNUVEEN INTERMEDIATE DURATION$0-24,784
-100.0%
-0.18%
ICLDW ExitINTERCLOUD SYSTEMS INC*w exp 08/25/201$0-21,257
-100.0%
-0.18%
EWH ExitISHARES MSCI HONG KONG ETFetf$0-14,614
-100.0%
-0.19%
NQU ExitNUVEEN QUAL INC MUNI$0-25,175
-100.0%
-0.19%
NMA ExitNUVEEN MUNI ADVANTAGE FD INC$0-26,568
-100.0%
-0.20%
USA ExitLIBERTY ALL STAR EQUITY FUNDsh ben int$0-54,180
-100.0%
-0.20%
SPXX ExitNUVEEN EQUITY PREM & GROWTH$0-23,404
-100.0%
-0.21%
JPS ExitNUV QLTY PFD INCOME FD 2$0-41,053
-100.0%
-0.21%
EMLC ExitMARKET VECTORS EMERGING MARKem lc curr dbt$0-15,328
-100.0%
-0.23%
CTR ExitCLEARBRIDGE ENERGY MLP TOTAL$0-16,426
-100.0%
-0.23%
ETJ ExitEATON VANCE RISK-MANAGED DIV$0-34,930
-100.0%
-0.25%
MYD ExitBLACKROCK MUNIYIELD FUND$0-30,758
-100.0%
-0.25%
NBB ExitNUVEEN BUILD AMERICAN BOND$0-21,389
-100.0%
-0.25%
GGN ExitGAMCO GLOBAL GOLD NATURAL REsh ben int$0-43,754
-100.0%
-0.25%
EIDO ExitISHARES MSCI INDONESIA ETFetf$0-17,476
-100.0%
-0.25%
LEN ExitLENNAR CORP CL Acl a$0-10,093
-100.0%
-0.25%
NPI ExitNUVEEN PREM INC MUNI$0-32,350
-100.0%
-0.25%
FAX ExitABERDEEN ASIA PAC INC FD$0-71,116
-100.0%
-0.26%
HIGWS Exit_DHARTFORD FINANCIAL SVCS GRP*w exp 06/26/201$0-15,331
-100.0%
-0.26%
IQI ExitINVESCO QUALITY MUNI INC TR$0-38,236
-100.0%
-0.27%
E103PS ExitWESTERN ASSET EMERGING MARKE$0-36,987
-100.0%
-0.27%
PML ExitPIMCO MUNI INCOME FD II$0-45,803
-100.0%
-0.31%
CMCSK ExitCOMCAST CORP NEW CL A SPL PAcl a spl$0-10,331
-100.0%
-0.32%
AOD ExitALPINE TOTAL DYNAMIC DIVIDEN$0-125,234
-100.0%
-0.33%
CII ExitBLACKROCK ENH CAP AND INC$0-40,122
-100.0%
-0.34%
COLE ExitCOLE REAL ESTATE INVESTMENT$0-39,456
-100.0%
-0.35%
PNG ExitPAA NATURAL GAS STORAGE LP$0-27,505
-100.0%
-0.40%
MMU ExitWESTERN ASSET MANAGED MUNICI$0-52,091
-100.0%
-0.40%
MUC ExitBLACKROCK MUNIHOLDINGS CA QU$0-54,880
-100.0%
-0.46%
EVT ExitEATON VANCE TAX ADVANTAGE$0-38,744
-100.0%
-0.46%
GHY ExitPRUDENTIAL GL SH DUR HI YLD$0-48,746
-100.0%
-0.53%
ITM ExitMARKET VECTORS INTERMEDIATEmktvec intmuetf$0-43,792
-100.0%
-0.60%
IIM ExitINVESCO VALUE MUNICIPAL INCO$0-74,854
-100.0%
-0.63%
EWJ ExitISHARES MSCI JAPAN ETFetf$0-93,954
-100.0%
-0.71%
VVR ExitINVESCO SENIOR INCOME TRUST$0-254,700
-100.0%
-0.80%
PCI ExitPIMCO DYNAMIC CREDIT INCOME$0-57,134
-100.0%
-0.80%
UTXPRA ExitUNITED TECHNOLOGIES CORPunit 99/99/9999$0-21,754
-100.0%
-0.89%
VWO ExitVANGUARD EMERG MARKETS VIPERetf$0-37,778
-100.0%
-0.97%
EFA ExitISHARES MSCI EAFE ETFetf$0-28,848
-100.0%
-1.21%
CEM ExitCLEARBRIDGE ENERGY MLP FUND$0-76,107
-100.0%
-1.30%
GWRU ExitGENESEE & WYOMING INCunit 10/01/2015$0-17,354
-100.0%
-1.39%
GMWSA ExitGENERAL MOTORS CO*w exp 07/10/201$0-97,623
-100.0%
-1.91%
PSLV ExitSPROTT PHYSICAL SILVER TRUSTtr unit$0-412,776
-100.0%
-1.96%
GMWSB ExitGENERAL MOTORS CO*w exp 07/10/201$0-158,877
-100.0%
-2.30%
ExitALLIANCE DATA SYSTEMS COnote 4.750% 5/1$0-99,890
-100.0%
-34.54%
Other managers

Other managers that, in addition to the filing manager(s), that filed the EDGAR filing(s):

Original filings

The following EDGAR filing(s) were analyzed to create this report:

  • View 13F-HR filed 2014-04-30
Signatures

The EDGAR filing(s) were signed by:

Top long-term holdings
NameQuarters ownedLatest quarter ownedMax weighting
SPROTT PHYSICAL GOLD TRUST30Q4 202214.7%
SPROTT PHYSICAL SILVER TRUST23Q4 20227.4%
LIBERTY SIRIUSXM GROUP-A20Q2 20225.9%
LIBERTY SIRIUS GROUP-C18Q2 20229.1%
AMERICA MOVIL S A DE C V18Q4 20221.1%
LIBERTY BROADBAND-C16Q2 202312.7%
LENNAR CORP CL B16Q4 202010.9%
PNC FINANCIAL SERVICES GROUP14Q3 201815.9%
LIBERTY TRIPADVISOR HDG-A14Q1 20221.5%
JPMORGAN CHASE & CO13Q3 201827.3%

View OTA Financial Group L.P.'s complete holdings history.

Latest significant ownerships (13-D/G)
OTA Financial Group L.P. Q1 2014 significant holdings filed using form 13D/G when ownership exceeds 5% of a company's total stock issue.
FiledShares Percentage
China Mineral Acquisition CORPSold outFebruary 14, 200700.0%
VALLEY BANCORPSold outFebruary 14, 200700.0%

View OTA Financial Group L.P.'s complete significant-ownership history.

Latest filings
TypeFiled
13F-HR2023-08-17
13F-HR2023-05-04
13F-HR2023-02-09
13F-HR2022-10-17
13F-HR2022-07-15
13F-HR2022-04-19
13F-HR2022-01-28
13F-HR2021-10-12
13F-HR2021-07-28
13F-HR2021-04-14

View OTA Financial Group L.P.'s complete filings history.

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