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OFG

OTA Financial Group Portfolio holdings

AUM $143M
1-Year Est. Return 16.9%
This Fund
S&P 500
This Quarter Est. Return
+3.12%
1 Year Est. Return
+16.9%
3 Year Est. Return
+319.94%
5 Year Est. Return
+374.97%
10 Year Est. Return
–
AUM
$178K
AUM Growth
-$217M
Cap. Flow
-$58M
Cap. Flow %
-32,518%
Top 10 Hldgs %
72.74%
Holding
124
New
46
Increased
10
Reduced
11
Closed
53

Top Buys

Rank Stock Value
1
GM.WS.A
GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016)
GM.WS.A
+$11.4M
2
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$5.37M
3
EEM icon
iShares MSCI Emerging Markets ETF
EEM
+$4.5M
4
SLV icon
iShares Silver Trust
SLV
+$3.64M
5
USIG icon
iShares Broad USD Investment Grade Corporate Bond ETF
USIG
+$2.48M

Top Sells

Rank Stock Value
1
NWSA
NEWS CORPORATION CL-A
NWSA
+$11.6M
2
OCR.PRB
OMNICARE CAP TR II SER B 4% TR PFD INCM EQTY REDM SEC PIERS
OCR.PRB
+$7.92M
3
PHYS icon
Sprott Physical Gold
PHYS
+$6.86M
4
NWS
THE NEWS CORPORATION LTD CL-B
NWS
+$6.02M
5
FXY icon
Invesco CurrencyShares Japanese Yen Trust
FXY
+$5.85M

Sector Composition

Rank Sector Weight
1 Energy 3.88%
2 Financials 1.62%
3 Real Estate 1.27%
4 Materials 1.06%
5 Communication Services 0.74%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BBN icon
51
BlackRock Taxable Municipal Bond Trust
BBN
$977M
$342 0.19%
+18,202
New +$351K
JFR icon
52
Nuveen Floating Rate Income Fund
JFR
$1.23B
$318 0.18%
+26,631
New +$326K
MTCN
53
DELISTED
ARCELORMITTAL 6% MANDATORILTY CONV SUB NT DUE 2016 (LUX)
MTCN
$315 0.18%
+14,683
New +$310K
EFT
54
Eaton Vance Floating-Rate Income Trust
EFT
$284M
$313 0.18%
+20,113
New +$328K
NRK icon
55
Nuveen New York AMT-Free Quality Municipal Income Fund
NRK
$902M
$311 0.17%
+25,490
New +$314K
TFI icon
56
State Street SPDR Nuveen ICE Municipal Bond ETF
TFI
$3.06B
$284 0.16%
+6,226
New +$279K
BAC icon
57
Bank of America
BAC
$438B
$266 0.15%
+19,301
New +$276K
NVG icon
58
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.68B
$265 0.15%
20,933
-10,470
-33% -$131K
HCBK
59
DELISTED
HUDSON CITY BANCORP INC
HCBK
$257 0.14%
28,405
-20,566
-42% -$194K
CTR
60
DELISTED
ClearBridge MLP and Midstream Total Return Fund Inc.
CTR
$255 0.14%
+2,338
New +$269K
WWAV.B
61
DELISTED
THE WHITEWAVE FOODS COMPANY CLASS B COM STK
WWAV.B
$248 0.14%
12,296
-24,485
-67% -$459K
TVIX
62
DELISTED
VelocityShares Daily 2x VIX Short Term ETN
TVIX
– –
0
– –
USA icon
63
Liberty All-Star Equity Fund
USA
$1.79B
$239 0.13%
+44,313
New +$243K
VMO icon
64
Invesco Municipal Opportunity Trust
VMO
$655M
$231 0.13%
+19,610
New +$229K
NWSA icon
65
News Corp Class A
NWSA
$15.3B
$230 0.13%
+14,344
New +$229K
OMX
66
DELISTED
OFFICEMAX INCORPORATED
OMX
$230 0.13%
+18,038
New +$204K
HTD
67
John Hancock Tax-Advantaged Dividend Income Fund
HTD
$921M
$215 0.12%
+12,408
New +$225K
CHY
68
Calamos Convertible and High Income Fund
CHY
$1.01B
$208 0.12%
16,650
-33,014
-66% -$408K
AFB
69
AllianceBernstein National Municipal Income Fund
AFB
$314M
– –
-31,610
Closed -$425K
AMLP icon
70
Alerian MLP ETF
AMLP
$12.8B
– –
-18,867
Closed -$1.68M
APA icon
71
CALL
APA Corp
APA
$12.2B
– –
-50,300
Closed -$4.19M
AWF
72
AllianceBernstein Global High Income Fund
AWF
$874M
– –
-26,558
Closed -$399K
BOE icon
73
BlackRock Enhanced Global Dividend Trust
BOE
$666M
– –
-39,491
Closed -$533K
C icon
74
Citigroup
C
$222B
– –
-10,377
Closed -$497K
CII icon
75
BlackRock Enhanced Captial and Income Fund
CII
$984M
– –
-36,077
Closed -$455K
1 2
3
4 5

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KCMRT
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LAM
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BFA
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CWAG
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PFG
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FNBOSM
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SAM
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OTA Financial Group's Q3 2013 Portfolio in Review

As of Q3 2013, OTA Financial Group held 124 positions worth $178K, down 100% from $218M the previous quarter. Its ten largest holdings account for 73% of the portfolio.

OTA Financial Group withdrew a net $58M in Q3 2013, closing 53 positions and reducing 11 holdings. Its most notable exit was NEWS CORPORATION CL-A, an estimated $11.6M position sold in full.

By sector, the portfolio is most concentrated in Energy at 3.9% of assets, up from 1.9% a quarter earlier, followed by Financials and Real Estate.

Against the trend, OTA Financial Group opened a new position in Vanguard FTSE Emerging Markets ETF worth $5.44K.

  • OTA Financial Group's largest Q3 2013 buy was Vanguard FTSE Emerging Markets ETF: 135,653 shares worth $5.44K.
  • OTA Financial Group added most to GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016) in Q3 2013, an estimated $11.4M increase.
  • OTA Financial Group's biggest Q3 2013 reduction was Sprott Physical Gold, cutting an estimated $6.86M.
  • OTA Financial Group fully exited NEWS CORPORATION CL-A in Q3 2013, selling an estimated $11.6M.
  • OTA Financial Group's ten largest holdings make up 73% of its $178K portfolio in Q3 2013.
  • OTA Financial Group opened 46 new positions and closed 53 in Q3 2013.
  • OTA Financial Group's portfolio value fell 100% quarter-over-quarter to $178K.

Based on OTA Financial Group's 13F filing for Q3 2013, filed 12 Nov 2013.