OTA Financial Group L.P.

Q4 2019 13F Holdings Report, Restatement, Stock Holdings

Signature - Title
James Santori - Chief Financial Officer
Location
Purchase
Holdings as of
December 31, 2019
Value $
$137M
Num holdings
54
Date filed
1/21/2020, 09:40 AM
Form type
13F-HR-1 - Restatement
Description
All US holdings of this investor are reported in this report. Top holdings included AIGWS, GOOG, CEF, LSXMKXXXX, and CHTR.
Previous filing
Q3 2019 - Oct 28, 2019
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2019 Q4 - Restatement compared to 2019 Q3 - Restatement by default.
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.

Person Signing this Report on Behalf of Reporting Manager:

Name Title City, State Date
James Santori Chief Financial Officer Purchase, New York 1/21/2020

Other Included Managers (2):

Num Name Location File Number
1 Ota Llc Purchase, NY 028-11280
2 Ota Trading Fund 1 Llc Purchase, NY 028-12833