-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Kt2FQ1Q/nNuuxGHwUGI4gnG3ZxJ63cH2wkbKdUXeCuiM104LyVpG3ycHatqo5El5 8uI5jnHaDp35DY3OLT49dw== 0001317346-11-000003.txt : 20110214 0001317346-11-000003.hdr.sgml : 20110214 20110214100051 ACCESSION NUMBER: 0001317346-11-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110214 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: 11602646 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 form13f40.txt 13F-HR OTA FINANCIAL GROUP LP 4TH QUARTER 2010 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2010 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 Financial Group LP Address: 1 Manhattanville Road Purchase, NY 10577 Form 13F File Number: 28-11283 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 February 14, 2011 - ---------------------------- ----------------------------- ------------------- [Signature] [City, State] [Date] Report Type (Check only one): [X] 13F HOLDINGS REPORT.(Check here if all holdings of this reporting manager are reported in this report.) [ ] 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).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 281 Form 13F Information Table Value Total: 225,589 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13f file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name 1 28-11280 OTA LLC 2 28-12833 OTA SWAPS LLC NAME OF ISSUER TITLE OF CLASS CUSIP VALUE AMOUNT TYPE INVSTMT OTHER VOTE DISCRETION MANAGERS AUTHORITY SOLE BABCOCK & WILCOX CO CALL 05615F902 260 10000 CALL DEFINED 2 10000 FORD WARRANT *W EXP 01/01/201 345370134 997 122334 SH DEFINED 1 122334 GLOBAL X BRAZIL MID CAP ETF MID CAP 37950E788 262 14188 SH DEFINED 1 14188 GM MOTORS PFD B PFD CNV SRB 37045V209 3484 64395 SH DEFINED 1 64395 VALE CAPITAL II 6.75% 6/15/12 Series VALEP 6.75%12 91912F300 4358 45000 SH DEFINED 1 45000 ABERCROMBIE & FITCH CO CL A 002896207 386 6700 SH DEFINED 2 6700 ABERDEEN ASIA PAC INC FD COM 003009107 112 16752 SH DEFINED 1 16752 ACE GLOBAL CALL H0023R905 1804 29000 CALL DEFINED 2 29000 ACME PACKET INC COM 004764106 600 11300 SH DEFINED 2 11300 Adams Express Co COM 006212104 217 20283 SH DEFINED 1 20283 ADVANCE AUTO PARTS INC CALL 00751Y906 327 5000 CALL DEFINED 2 5000 AFFIRMATIVE INS HLDGS INC COM 008272106 209 78339 SH DEFINED 1 78339 AGL RESOURCES INC COM 001204106 267 7467 SH DEFINED 1 7467 AGNICO EAGLE MINES LTD COM 008474108 556 7252 SH DEFINED 2 7252 AKAMAI TECHNOLOGIES INC COM 00971T101 268 5700 SH DEFINED 2 5700 ALBEMARLE CORP CALL 012653901 279 5000 CALL DEFINED 2 5000 Alere Inc CALL 01449J905 276 7500 CALL DEFINED 2 7500 ALLIANT TECHSYSTEMS INC COM 018804104 535 7200 SH DEFINED 2 7200 AMER SCIENCE & ENGIN COM 029429107 400 4700 SH DEFINED 2 4700 AMERICA MOVIL S A DE C V SHS 02364W204 1067 18739 SH DEFINED 1 18739 AMERICAN INTL GROUP UNIT 99/99/9999 026874115 942 107271 SH DEFINED 1 107271 AMPHENOL CORP CL A NEW CALL 032095901 267 5000 CALL DEFINED 2 5000 ANGLOGOLD ASHANTI LTD MAND BD CV 13 03512Q206 840 15153 SH DEFINED 1 15153 ANGLOGOLD ASHANTI LTD CALL 035128906 728 15000 CALL DEFINED 2 15000 ANIXTER INTL INC CALL 035290905 568 9300 CALL DEFINED 2 9300 ANNTAYLOR STORES CORP PUT 036115953 259 10000 PUT DEFINED 2 10000 APACHE CORP COM 037411105 1062 8914 SH DEFINED 1 8914 APTARGROUP INC COM 038336103 337 7100 SH DEFINED 2 7100 ARCHER DANIELS UNIT 99/99/9999 039483201 206 5308 SH DEFINED 1 5308 ARVINMERITOR INC COM 043353101 289 14100 SH DEFINED 2 14100 ASBURY AUTOMOTIVE GROUP INC COM 043436104 221 12000 SH DEFINED 2 12000 ASSURANT INC COM 04621X108 338 8800 SH DEFINED 2 8800 BALL CORP CALL 058498906 310 4500 CALL DEFINED 2 4500 BALLY TECHNOLOGIES INC CALL 05874B907 438 10200 CALL DEFINED 2 10200 BANCO SANTANDER CHILE NEW CALL 05965X909 468 5000 CALL DEFINED 2 5000 BANK HAWAII CORP CALL 062540909 296 6200 CALL DEFINED 2 6200 BANK OF AMERICA CORP 7.25%CNV PFD L 060505682 1461 1527 SH DEFINED 1 1527 BANK OF AMERICA CORP WT EXP 011619 *W EXP 01/16/2019 060505146 142 19984 SH DEFINED 1 19984 BARRICK GOLD CORP COM 067901108 233 4400 SH DEFINED 2 4400 BEAZER HOMES USA SUB7.5%2013 07556Q402 1358 48200 SH DEFINED 1 48200 BHP BILLITON PLC SP ADR ADR 05545E209 720 8955 SH DEFINED 1 8955 BLACKROCK BUILD AMERICA BOND SHS 09248X100 267 15436 SH DEFINED 1 15436 BLACKROCK DIVIDEND ACHIEVERS COM 09250N107 613 59375 SH DEFINED 1 59375 BlackRock Muni Intermediate Du COM 09253X102 241 17555 SH DEFINED 1 17555 BlackRock Real Asset Equity Tr COM 09254B109 149 10211 SH DEFINED 1 10211 BOEING CO PUT 097023955 664 10000 PUT DEFINED 2 10000 BOISE INC *W EXP 06/18/201 09746Y113 133 177654 SH DEFINED 1 177654 BUCYRUS INTL INC NEW PUT 118759959 574 6400 PUT DEFINED 2 6400 BUCYRUS INTL INC NEW CALL 118759909 3363 37500 CALL DEFINED 2 37500 BUNGE LIMITED CALL G16962905 817 12500 CALL DEFINED 2 12500 C H ROBINSON WORLDWIDE INC PUT 12541W959 570 7000 PUT DEFINED 2 7000 C H ROBINSON WORLDWIDE INC CALL 12541W909 660 8100 CALL DEFINED 2 8100 CABOT MICROELECTRONICS CORP COM 12709P103 526 12700 SH DEFINED 2 12700 CABOT OIL & GAS CORP COM 127097103 454 12000 SH DEFINED 2 12000 Calamos Convertible and High I SHS 12811P108 229 18132 SH DEFINED 1 18132 CALIPER LIFE SCIENCES INC *W EXP 08/10/201 130872112 15 25000 SH DEFINED 1 25000 CARNIVAL CORP CALL 143658900 468 10000 CALL DEFINED 2 10000 CATERPILLAR INC DEL CALL 149123901 706 7500 CALL DEFINED 2 7500 CDN IMPERIAL BK OF COMMERCE CALL 136069901 393 5000 CALL DEFINED 2 5000 Central GoldTrust UNIT 153546106 855 15733 SH DEFINED 1 15733 CENTURYTEL INC COM 156700106 2147 46523 SH DEFINED 1 46523 CF INDS HLDGS INC CALL 125269900 10176 74700 CALL DEFINED 2 74700 CHEESECAKE FACTORY INC CALL 163072901 438 14000 CALL DEFINED 2 14000 CHEVRON CORP PUT 166764950 367 4000 PUT DEFINED 2 4000 CHUBB CORP PUT 171232951 301 5000 PUT DEFINED 2 5000 CHURCH & DWIGHT INC COM 171340102 676 9800 SH DEFINED 2 9800 CITIGROUP INC COM 172967101 1980 418627 SH DEFINED 1 2 418627 CITRIX SYS INC COM 177376100 581 8500 SH DEFINED 2 8500 CLEARBRIDGE ENERGY MLP FUND COM 184692101 976 44427 SH DEFINED 1 44427 CLOROX CO COM 189054109 1169 18477 SH DEFINED 2 18477 COLGATE PALMOLIVE PUT 194162953 398 5000 PUT DEFINED 2 5000 COMCAST CORP NEW CL A 20030N101 264 12022 SH DEFINED 1 12022 CONAGRA FOODS INC CALL 205887902 314 13900 CALL DEFINED 2 13900 CONCHO RESOURCES INC COM 20605P101 246 2810 SH DEFINED 2 2810 CONCHO RESOURCES INC CALL 20605P901 2231 25100 CALL DEFINED 2 25100 CONCUR TECHNOLOGIES INC CALL 206708909 242 4600 CALL DEFINED 2 4600 CONTINENTAL RESOURCES COM 212015101 235 4000 SH DEFINED 2 4000 CON-WAY INC CALL 205944901 395 10700 CALL DEFINED 2 10700 COOPER COMPANIES INC -NEW COM 216648402 752 13353 SH DEFINED 2 13353 COPART INC PUT 217204956 277 7400 PUT DEFINED 2 7400 COSTCO WHOLESALE CORP PUT 22160K955 362 5000 PUT DEFINED 2 5000 COSTCO WHOLESALE CORP COM 22160K105 685 9500 SH DEFINED 2 9500 CROWN CASTLE INTL CORP COM 228227104 236 5400 SH DEFINED 2 5400 CSX CORP CALL 126408903 1312 20000 CALL DEFINED 2 20000 CUMMINS INC COM 231021106 2427 22065 SH DEFINED 2 22065 CYMER INC COM 232572107 419 9300 SH DEFINED 2 9300 D R HORTON INC CALL 23331A909 176 14300 CALL DEFINED 2 14300 DARDEN RESTAURANTS INC PUT 237194955 233 5000 PUT DEFINED 2 5000 DEVRY INC COM 251893103 259 5400 SH DEFINED 2 5400 DIGITAL GENERATION SYS INC COM 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SH DEFINED 1 23600 Hersha Hospitality Trust CALL 427825904 81 12000 CALL DEFINED 2 12000 HESS CORP COM 42809H107 221 2898 SH DEFINED 2 2898 HEWLETT PACKARD CO PUT 428236953 1709 40000 PUT DEFINED 2 40000 HEWLETT PACKARD CO COM 428236103 1098 26100 SH DEFINED 2 26100 HOME DEPOT INC CALL 437076902 706 20000 CALL DEFINED 2 20000 Home Inns & Hotels Management CALL 43713W907 321 8100 CALL DEFINED 2 8100 HONDA MOTOR ADR NEW PUT 438128958 200 5000 PUT DEFINED 2 5000 HONEYWELL INTERNATIONAL INC COM 438516106 893 16800 SH DEFINED 2 16800 HSBC HLDGS PLC CALL 404280906 774 15000 CALL DEFINED 2 15000 HUMANA INC PUT 444859952 275 5000 PUT DEFINED 2 5000 INDEPENDENCE HLDG CO NEW COM 453440307 641 79800 SH DEFINED 1 79800 Ingersoll-Rand Plc PUT G47791951 476 10000 PUT DEFINED 2 10000 Ingersoll-Rand Plc CALL G47791901 2587 54300 CALL DEFINED 2 54300 INTERDIGITAL COMMUNICATIONS CP COM 45867G101 391 9400 SH DEFINED 2 9400 IRIDIUM COMMUNICATIONS INC *W EXP 02/14/201 46269C110 77 32126 SH DEFINED 1 32126 IRON MOUNTAIN INC NEW PUT 462846956 372 15000 PUT DEFINED 2 15000 iShares JPMorgan USD Emerging JPMORGAN USD 464288281 456 4265 SH DEFINED 1 4265 iShares MSCI ACWI Index Fund MSCI ACWI INDX 464288257 597 12795 SH DEFINED 1 12795 iShares MSCI EAFE Value Index MSCI VAL IDX 464288877 545 10739 SH DEFINED 1 10739 iShares MSCI Emerging Markets MSCI EMERG MKT 464287234 14967 314317 SH DEFINED 1 314317 ISHARES MSCI JAPAN INDEX FUN MSCI JAPAN 464286848 1258 115324 SH DEFINED 1 115324 iShares MSCI Pacific ex-Japan IDX 464286665 914 19461 SH DEFINED 1 19461 ISHARES S&P EUROPE 350 EURO PLUS 464287861 3696 94111 SH DEFINED 1 94111 iShares S&P Global 100 Index F GLB100INDX 464287572 878 14112 SH DEFINED 1 14112 ISHARES S&P LATIN AMERICA 40 LTN AM 40 464287390 591 10985 SH DEFINED 1 10985 iShares Silver Trust ISHARES 46428Q109 3058 101358 SH DEFINED 1 101358 ITRON INC COM 465741106 238 4300 SH DEFINED 2 4300 ITT Educational Services Inc COM 45068B109 254 4000 SH DEFINED 2 4000 JC PENNY CO INC COM 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DEFINED 2 15000 PETROHAWK ENERGY CORP COM 716495106 448 24550 SH DEFINED 2 24550 PETROLEO BRAS SA ADR ADR NON VTG 71654V101 443 12987 SH DEFINED 1 12987 Petroleum & Resources Corp COM 716549100 528 19561 SH DEFINED 1 19561 PG&E CORP COM 69331C108 358 7500 SH DEFINED 2 7500 PHH CORP CALL 693320902 236 10000 CALL DEFINED 2 10000 PIMCO MUNI INCOME FD II COM 72200W106 414 41206 SH DEFINED 1 41206 PINNACLE WEST CAP CORP CALL 723484901 207 5000 CALL DEFINED 2 5000 POLO RALPH LAUREN CORP CL A 731572103 1031 9300 SH DEFINED 2 9300 POLYCOM INC PUT 73172K954 272 7000 PUT DEFINED 2 7000 POLYCOM INC COM 73172K104 506 13000 SH DEFINED 2 13000 PowerShares Emerging Markets S SOVEREIGN DEBT 73936T573 483 18124 SH DEFINED 1 18124 PowerShares FTSE RAFI Emerging EMER MRKT PORT 73936T763 282 10961 SH DEFINED 1 10961 PowerShares High Yield Corpora FDM HG YLD RAFI 73936T557 1662 91387 SH DEFINED 1 91387 PRAXAIR INC PUT 74005P954 952 10000 PUT DEFINED 2 10000 PRAXAIR INC COM 74005P104 2052 21500 SH DEFINED 2 21500 PRICE T ROWE GROUP INC PUT 74144T958 328 5000 PUT DEFINED 2 5000 PROCTER & GAMBLE CO CALL 742718909 1392 21500 CALL DEFINED 2 21500 PROLOGIS CALL 743410902 148 10000 CALL DEFINED 2 10000 PRUDENTIAL FINANICIAL, INC. 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