OTA Financial Group L.P.

Q3 2022 13F Holdings Report, Restatement, Stock Holdings

Signature - Title
James Santori - Chief Financial Officer
Location
Purchase
Holdings as of
September 30, 2022
Value $
$95.1M
Num holdings
105
Date filed
10/17/2022, 03:52 PM
Form type
13F-HR-1 - Restatement
Description
All US holdings of this investor are reported in this report. Top holdings included OXYWS, PHYS, SCHZ, SJIIU, and SJNK.
Previous filing
Q2 2022 - Jul 15, 2022
Next filing
Q4 2022 - Feb 9, 2023
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2022 Q3 - Restatement compared to 2022 Q2 - 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 10/17/2022

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