0001317346-21-000012.txt : 20211012 0001317346-21-000012.hdr.sgml : 20211012 20211012103253 ACCESSION NUMBER: 0001317346-21-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211012 DATE AS OF CHANGE: 20211012 EFFECTIVENESS DATE: 20211012 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: 211317546 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 LIVE false true false 0001317346 XXXXXXXX 09-30-2021 09-30-2021 true 1 RESTATEMENT OTA Financial Group L.P.

1 MANHATTANVILLE ROAD PURCHASE NY 10577

13F HOLDINGS REPORT 028-11283 N James Santori 914-460-4007 James Santori Purchase NY 10-12-2021 2 70 82984 false 1 0001268580 028-11280 OTA LLC 2 0001425475 028-12833 OTA TRADING FUND 1 LLC INFORMATION TABLE 2 032021.xml ABERDEEN GLBL PREM PROP COM SH BEN INT 00302L108 491 81118 SH DFND 2 491 0 0 ADAMS DIVERSIFIED EQUITY COM 006212104 309 15624 SH DFND 2 309 0 0 AGRICO ACQUISITION CORP-A SHS G41089106 551 55100 SH DFND 1 2 551 0 0 AMERANT BANCORP INC - B CL B 023576200 358 15434 SH DFND 2 358 0 0 APOLLO STRATEGIC GROWTH-CL A CL A G0411R106 200 20515 SH DFND 1 2 200 0 0 AST SPACEMOBILE INC *W EXP 04/06/202 00217D118 626 159492 SH DFND 2 626 0 0 BETTER WORLD ACQUISITION COR COM 08772B104 337 33496 SH DFND 1 2 337 0 0 BLACKROCK ENH CAP AND INC COM 09256A109 203 10075 SH DFND 2 203 0 0 BLUE SAFARI GROUP ACQUISIT-A SHS G1195R106 204 20688 SH DFND 1 2 204 0 0 BROOKFIELD REAL ASSETS INCOM COM SHS BEN INT 112830104 214 10276 SH DFND 2 214 0 0 BURGUNDY TECHNOLOGY ACQUIS-A CL A G1702T116 412 41505 SH DFND 1 2 412 0 0 CADENCE BANCORP CL A 12739A100 420 19137 SH DFND 2 420 0 0 CHESAPEAKE ENERGY CORP *W EXP 09/02/202 165167180 433 14825 SH DFND 2 433 0 0 CHESAPEAKE ENERGY CORP *W EXP 99/99/999 165167172 3522 110530 SH DFND 2 3522 0 0 CHESAPEAKE ENERGY CORP *W EXP 99/99/999 165167164 1318 36410 SH DFND 2 1318 0 0 CLEARWAY ENERGY INC-A CL A 18539C105 879 31204 SH DFND 2 879 0 0 CLOVER LEAF CAPITAL CORP -A CL A 18915E105 313 31415 SH DFND 1 2 313 0 0 CUSHING MLP & INFRASTRUCTURE COM 231631300 443 13948 SH DFND 2 443 0 0 DATCHAT INC *W EXP 08/13/202 23816M115 206 23971 SH DFND 2 206 0 0 DESKTOP METAL INC-A CL A 25058X105 541 75590 SH DFND 2 541 0 0 DISCOVERY INC-C COM SER C 25470F302 732 30165 SH DFND 2 732 0 0 EAST STONE ACQUISITION CORP SHS G2911D108 284 27901 SH DFND 1 2 284 0 0 EATON VANCE FLOAT RT INC TR COM 278279104 218 15009 SH DFND 2 218 0 0 EATON VANCE TAX-MANAGED GLOB COM 27829F108 286 28658 SH DFND 2 286 0 0 FAR PEAK ACQUISITION CORP-A CL A G3312L103 453 45600 SH DFND 1 2 453 0 0 FOX CORP - 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