OTA Financial Group L.P.

Q3 2021 13F Holdings Report, Restatement, Stock Holdings

Signature - Title
James Santori - Chief Financial Officer
Location
Purchase, NY
Holdings as of
30 Sep 2021
Value $
$83M
Num holdings
70
Filing time
12 Oct 2021, 10:32:53
Form type
13F-HR-1 - Restatement
Description
All US holdings of this investor are reported in this report. Top holdings included BND, OXYWS, PSLV, PHYS, and RIOT.
Previous filing
Q2 2021 - 28 Jul 2021
Next filing
Q4 2021 - 28 Jan 2022
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2021 Q3 - Restatement compared to 2021 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 12 Oct 2021

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