OTA Financial Group L.P. — Q1 2017 13F Holdings

Name: OTA Financial Group L.P. — 13F Holdings, Q1 2017
Creator: AlphaSMO
License: https://www.sec.gov/forms

CIK: 0001317346

Total reported value

$143.2M

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Full holdings list this quarter

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	TMUS 5.5 12-15-17	T-mobile US INC	Stock-Comm Services	36.20%	—	+23.46%
2	BAC	Bank of America Corporation	Stock-Financials	19.15%	—	+265.35%
3	✓		Stock-Other	4.65%	—	+13.10%
4	ARNC 5.375 10-01-17	Arconic INC	Stock-Other	3.70%	—	+108.83%
5	POT1EUR	Potash CORP Of Saskatchewan	Stock-Other	3.52%	—	+68.15%
6	✓	Privatebancorp INC Com	Stock-Other	2.56%	—	—
7	JCPB	JPMorgan Core Plus Bond ETF	ETF-Other	2.32%	—	-87.99%
8	LM03	Liberty Media Cor-siriusxm A	Stock-Other	2.19%	—	+12.83%
9	DUK	Du Pont E I De Nemour&Co	Stock-Utilities	1.97%	—	—
10	✓	Ramco-gershenson Pptys Tr	Stock-Other	1.59%	—	-30.93%
11	UL	Unilever PLC	Stock-Consumer Staples	1.42%	—	—
12	USA	Liberty All-Star Equity Fund	Stock-Other	1.40%	—	-74.49%
13	AMT 5.25 05-15-17 A	American Tower CORP	Stock-Real Estate	1.40%	—	—
14	✓	American Intl Group INC	Stock-Other	1.31%	—	—
15	✓	Pnc Financial Services Group	Stock-Other	0.89%	—	-95.63%
16	WELL 6.5 PERP I	Welltower INC	Stock-Real Estate	0.85%	—	—
17	PHYS	Sprott Physical Gold Trust	Stock-Other	0.82%	—	-75.26%
18	AUPH	Aurinia Pharmaceuticals INC	Stock-Other	0.81%	—	—
19	PNW	Pinnacle Financial Partners, Inc.	Stock-Utilities	0.79%	—	—
20	LM05	Liberty Media Corp-liberty-a	Stock-Other	0.66%	—	—
21	OKE	ONEOK, Inc.	Stock-Energy	0.66%	—	—
22	TRIP	Tripadvisor INC	Stock-Other	0.64%	—	—
23	LEN-B	Lennar CORP - B Shs	Stock-Other	0.59%	—	—
24	BKH 7.75 11-01-18	Black Hills CORP	Stock-Utilities	0.55%	—	—
25	WFC	Wells Fargo & Co	Stock-Financials	0.53%	—	—
26	EXC 6.5 06-01-17	Exelon CORP	Stock-Utilities	0.52%	—	—
27	XEXGX	Eaton Vance Tax-managed Glob	Stock-Other	0.50%	—	+63.76%
28	VEA	Vanguard Ftse Developed ETF	ETF-Other	0.49%	—	—
29	LGF-BEUR	Lions Gate Entertainment-b	Stock-Other	0.43%	—	—
30	SMHC	VanEck China Semiconductor ETF	ETF-Emerging Markets	0.40%	—	+26.09%
31	URNM	Sprott Uranium Miners ETF	ETF-Other	0.37%	—	—
32	EXE 6.25 01-15-18 B	Southwestern Energy Co	Stock-Energy	0.37%	—	—
33	XBGYX	Blackrock Enh Intl Dvd Tr	Stock-Other	0.36%	—	—
34	VOYA	Voya Financial, Inc.	Stock-Financials	0.36%	—	+55.29%
35	BIT	Blackrock Multi-sector INC	Stock-Other	0.35%	—	—
36	DYN 5.375 11-01-17 A	Dynegy INC	Stock-Other	0.33%	—	—
37	PRU	Prudential Financial, Inc.	Stock-Financials	0.32%	—	—
38	WFC	Wells Fargo & Company	Stock-Financials	0.29%	—	-92.95%
39	XJQCX	Nuveen Credit Strategies INC	Stock-Other	0.29%	—	—
40	EWH	Ishares Msci Hong Kong ETF	ETF-Other	0.28%	—	—
41	STL	Sterling Bancorp/de	Stock-Other	0.27%	—	—
42	VWO	Vanguard Ftse Emerging Marke	ETF-Emerging Markets	0.25%	—	—
43	USA	Liberty All Star Equity Fund	Stock-Other	0.24%	—	—
44	PSLV	Sprott Physical Silver Trust	Stock-Other	0.21%	—	-77.11%
45	USA	Liberty All-Star Equity Fund	Stock-Other	0.21%	—	—
46	TMLP	Tortoise MLP ETF	ETF-Other	0.19%	—	—
47	BLW	Blackrock LTD Durat INC Tr	Stock-Other	0.18%	—	-24.70%
48	XBOEX	Blackrock Enh Glbl Dvd Tr	Stock-Other	0.18%	—	—
49	NZF	Nuveen Municipal Credit Income Fund	Stock-Other	0.17%	—	—
50	SUN	Sunoco LP	Stock-Other	0.17%	—	—

1–50 of 58

Holding changes this quarter

Position changes disclosed by OTA Financial Group L.P. for the quarter ending Q1 2017, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	BAC	Bank of America Corporation	+15.3%	+265.35%	Add
2	TMUS 5.5 12-15-17	T-mobile US INC	+14.4%	+23.46%	Add
3	ARNC 5.375 10-01-17	Arconic INC	+2.6%	+108.83%	Add
4	POT1EUR	Potash CORP Of Saskatchewan	+1.7%	+68.15%	Add
5	LM03	Liberty Media Cor-siriusxm A	+0.8%	+12.83%	Add
6	PSLV	Sprott Physical Silver Trust	-0.5%	-77.11%	Trim
7	✓	Ramco-gershenson Pptys Tr	-0.6%	-30.93%	Trim
8	PHYS	Sprott Physical Gold Trust	-1.7%	-75.26%	Trim
9	USA	Liberty All-Star Equity Fund	-2.4%	-74.49%	Trim
10	WFC	Wells Fargo & Company	-3.1%	-92.95%	Trim
11	JCPB	JPMorgan Core Plus Bond ETF	-13.1%	-87.99%	Trim
12	✓	Pnc Financial Services Group	-15.1%	-95.63%	Trim
13	LSXMKUSD	Liberty Media Cor-siriusxm C	—	EXIT	Sold out
14	LBRDK	Liberty Broadband-c	—	EXIT	Sold out
15	GE	GE Aerospace	—	EXIT	Sold out
16	✓	Privatebancorp INC Com	—	NEW	New buy
17	DUK	Du Pont E I De Nemour&Co	—	NEW	New buy
18	✓	Northstar Realty Finance	—	EXIT	Sold out
19	UL	Unilever PLC	—	NEW	New buy
20	AMT 5.25 05-15-17 A	American Tower CORP	—	NEW	New buy
21	✓	American Intl Group INC	—	NEW	New buy
22	✓	Capital One Finl CORP	—	EXIT	Sold out
23	LEXEA	Liberty Expedia Hold-a	—	EXIT	Sold out
24	WELL 6.5 PERP I	Welltower INC	—	NEW	New buy
25	AUPH	Aurinia Pharmaceuticals INC	—	NEW	New buy
26	ETW	Eaton Vance T/m Glbl Buy-wr	—	EXIT	Sold out
27	PNW	Pinnacle Financial Partners, Inc.	—	NEW	New buy
28	HYG	Ishr Ibx Usd Hiyld Cb Etf-ui	—	EXIT	Sold out
29	HLT	Hilton Worldwide Holdings Inc.	—	EXIT	Sold out
30	LM05	Liberty Media Corp-liberty-a	—	NEW	New buy
31	OKE	ONEOK, Inc.	—	NEW	New buy
32	TRIP	Tripadvisor INC	—	NEW	New buy
33	LEN-B	Lennar CORP - B Shs	—	NEW	New buy
34	✓	Powershares India ETF Tr	—	EXIT	Sold out
35	✓	Suffolk Bancorp	—	EXIT	Sold out
36	BKH 7.75 11-01-18	Black Hills CORP	—	NEW	New buy
37	WFC	Wells Fargo & Co	—	NEW	New buy
38	WES	Western Midstream Partners, LP	—	EXIT	Sold out
39	POH3	Carnival Plc-adr	—	EXIT	Sold out
40	EXC 6.5 06-01-17	Exelon CORP	—	NEW	New buy
41	XEMDX	Western Asset Emrg Mrkt Dbt	—	EXIT	Sold out
42	VEA	Vanguard Ftse Developed ETF	—	NEW	New buy
43	LTRPAUSD	Liberty Tripadvisor Hdg-a	—	EXIT	Sold out
44	SMHC	VanEck China Semiconductor ETF	—	EXIT	Sold out
45	SGOL	abrdn Physical Gold Shares ETF	—	EXIT	Sold out
46	XIGDX	Voya Glbl Eqty Dvd & Prm Opp	—	EXIT	Sold out
47	LGF-BEUR	Lions Gate Entertainment-b	—	NEW	New buy
48	XXI	Twenty One Capital, Inc.	—	EXIT	Sold out
49	XGDVX	Gabelli Dividend & Income Tr	—	EXIT	Sold out
50	URNM	Sprott Uranium Miners ETF	—	NEW	New buy