0001317346-22-000009.txt : 20221017 0001317346-22-000009.hdr.sgml : 20221017 20221017155248 ACCESSION NUMBER: 0001317346-22-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221017 DATE AS OF CHANGE: 20221017 EFFECTIVENESS DATE: 20221017 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: 221313757 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 09-30-2022 09-30-2022 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 10-17-2022 2 105 116518 false 1 0001268580 028-11280 OTA LLC 2 0001425475 028-12833 OTA TRADING FUND 1 LLC INFORMATION TABLE 2 032022.xml ACHARI VENTURES HOLDINGS COR COM 00444X101 201 20017 SH DFND 1 2 201 0 0 ADARA ACQUISITION CORP-CL A CL A 00653H102 1035 104106 SH DFND 1 2 1035 0 0 ALLIANCE WRLD DLR G F II COM 01879R106 283 31900 SH DFND 2 283 0 0 ALPHABET INC-CL C CL C 02079K107 2915 30323 SH DFND 2 2915 0 0 ANZU SPECIAL ACQUISITION -A CL A 03737A101 356 36271 SH DFND 2 356 0 0 ARROWROOT ACQUISITION CORP-A COM 04282M102 253 25864 SH DFND 1 2 253 0 0 ATLANTIC COASTAL ACQUISITI-A COM 048453104 232 23664 SH DFND 1 2 232 0 0 B RILEY PRINCIPAL 250 MERG-A COM 05602L104 230 23587 SH DFND 1 2 230 0 0 BANNER ACQUISITION CORP COM 06654K101 595 60187 SH DFND 1 2 595 0 0 BANNIX ACQUISITION CORP COM 066644105 261 26196 SH DFND 1 2 261 0 0 BARINGS GL SH DUR HI YLD COM 06760L100 264 21608 SH DFND 2 264 0 0 BELONG ACQUISITION CORP-A COM 08069M102 239 24254 SH DFND 1 2 239 0 0 BENESSERE CAPITAL ACQUI-CL A CL A 08179B103 279 26994 SH DFND 2 279 0 0 BITE ACQUISITION CORP COMMON STOCK 09175K105 336 34215 SH DFND 1 2 336 0 0 BLACKROCK FLT RT INC COM 091941104 215 19801 SH DFND 2 215 0 0 BLACKROCK MUN INC TR SBI SH BEN INT 09248F109 213 22430 SH DFND 2 213 0 0 BLACKROCK ENHANCED EQTY DVD COM 09251A104 396 48850 SH DFND 2 396 0 0 BLACKROCK CORP HI YLD COM 09255P107 226 26494 SH DFND 2 226 0 0 BLACKROCK FLOAT RT INCOME ST COM 09255X100 409 37220 SH DFND 2 409 0 0 BLACKROCK ENHANCE CAP & INC COM 09256A109 233 14199 SH DFND 2 233 0 0 BLACKROCK HEALTH SCI TR II SHS 09260E105 1590 106499 SH DFND 2 1590 0 0 BLACKROCK INNOV & GROW TR SHS BEN INT 09260Q108 2718 373990 SH DFND 2 2718 0 0 BLACKROCK CAPITAL ALLOCATION COM 09260U109 1024 75308 SH DFND 2 1024 0 0 BLACKROCK ESG CAPITAL ALLOC SHS BEN INT 09262F100 1341 104741 SH DFND 2 1341 0 0 BROADSCALE ACQUISITION -CL A CL A 11134Y101 438 44508 SH DFND 2 438 0 0 CHESAPEAKE ENERGY CORP *W EXP 02/09/202 165167164 8167 101870 SH DFND 2 8167 0 0 CHESAPEAKE ENERGY CORP *W EXP 02/09/202 165167172 11550 146213 SH DFND 2 11550 0 0 CLARIM ACQUISITION CORP-CL A CL A 18049C108 215 21772 SH DFND 1 2 215 0 0 CLASS ACCELERATION CORP-A COM 18274B106 241 24431 SH DFND 1 2 241 0 0 CLEARBRIDGE MLP & MIDSTREAM COM 184692200 1013 33999 SH DFND 2 1013 0 0 CLEARBRIDGE ENERGY MIDSTREAM COM 18469P209 858 34321 SH DFND 2 858 0 0 CLEARWAY ENERGY INC-A CL A 18539C105 350 12056 SH DFND 2 350 0 0 CLOVER LEAF CAPITAL CORP -A CL A 18915E105 451 43655 SH DFND 1 2 451 0 0 COLOMBIER ACQUISITION CORP-A CL A 19533H108 278 28661 SH DFND 1 2 278 0 0 D AND Z MEDIA ACQUISITION-A CL A 23305Q106 319 32409 SH DFND 1 2 319 0 0 DIAMONDHEAD HOLDINGS CORP-A CL A 25278L105 235 23863 SH DFND 1 2 235 0 0 DILA CAPITAL ACQUISITION - 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