0001268580-12-000009.txt : 20121113
0001268580-12-000009.hdr.sgml : 20121112
20121113150254
ACCESSION NUMBER: 0001268580-12-000009
CONFORMED SUBMISSION TYPE: 13F-NT
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20121113
DATE AS OF CHANGE: 20121113
EFFECTIVENESS DATE: 20121113
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: OTA LLC
CENTRAL INDEX KEY: 0001268580
IRS NUMBER: 133545927
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-NT
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-11280
FILM NUMBER: 121198313
BUSINESS ADDRESS:
STREET 1: ONE MANHATTANVILLE RD
CITY: PURCHASE
STATE: NY
ZIP: 10577
BUSINESS PHONE: 914-460-4099
MAIL ADDRESS:
STREET 1: ONE MANHATTANVILLE RD
CITY: PURCHASE
STATE: NY
ZIP: 10577
13F-NT
1
form13fntota3rd2012.txt
13F-NT OTA LLC 3RD QUARTER 2012
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: September 30, 2012
Check here if Amendment [ ]; Amendment Number:
This Amendment (Check only one): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: OTA LLC
Address: 1 Manhattanville Road
Purchase, NY 10577
Form 13F File Number: 28-11280
The institutional investment manager filing this report and the person by whom
it is signed hereby represent that the person signing the report is authorized
to submit it, that all information contained herein is true, correct and
complete, and that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: John Hanratty
Title: Chief Compliance Officer
Phone: 914-460-4099
Signature, Place, and Date of Signing:
/s/ John Hanratty Purchase, NY November 13, 2012
---------------------------- ----------------------------- -------------------
[Signature] [City, State] [Date]
Report Type (Check only one):
[ ] 13F HOLDINGS REPORT.(Check here if all holdings of this
reporting manager are reported in this report.)
[X] 13F NOTICE. (Check here if no holdings reported in this report, and all
holdings are reported by other reporting manager(s).)
[ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for
this reporting manager are reported in this report and a portion are
reported by other reporting manager(s).)
List of Other Managers Reporting for this Manager:
Form 13F File Number Name
28-11283 OTA Financial Group LP