OTA FINANCIAL GROUP L.P. Information

1 MANHATTANVILLE ROAD, PURCHASE, New York, 10577, (914) 694-5800

Report Date: 03/31/2014

Position Statistics

Total Positions 154
New Positions 43
Increased Positions 51
Decreased Positions 103
Positions with Activity 154
Sold Out Positions 92
Total Mkt Value (in $ millions) 90

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 4.67%
Capital Goods 0%
Conglomerates 0%
Consumer Cyclical 20.22%
Consumer/Non-Cyclical 2.59%
Energy 11.29%
Financial 28.22%
Healthcare 1.45%
Services 9.42%
Technology 0.17%
Transportation 0%
Utilities 5.7%

154 Positions as of 03/31/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
GOODYEAR TIRE & RUBR CO COM 13,673 8,361 157.37 658,001
OMNICARE CAP TR II PFD B TR 4.00% 12,534 5,641 81.85 157,974
ROYAL DUTCH SHELL PLC SPONS ADR A 8,009 2,067 34.78 115,166
EPR PPTYS PFD C CNV 5.75% 4,261 -134 (3.06) 182,502
GENERAL MTRS CO COM 3,707 -5,028 (57.56) 118,401
TIME WARNER CABLE INC COM 3,005 3,005 New 22,091
ISHARES EAFE GRWTH ETF 2,841 2,841 New 43,500
SPROTT PHYSICAL GOLD TRUST UNIT 2,828 -5,068 (64.19) 276,153
KINDER MORGAN ENERGY PARTNERS UT LTD PARTNER 2,782 -531 (16.04) 29,891
UNILEVER N V N Y SHS NEW 2,344 2,344 New 61,411
WEYERHAEUSER CO COM 2,333 1,537 193.31 70,112
CURRENCYSHS JAPANESE YEN TR JAPANESE YEN 1,796 1,796 New 19,757
WISDOMTREE TR JAPN HEDGE EQT 1,749 1,749 New 36,311
ISHARES INC CORE MSCI EMKT 1,676 838 100.14 34,186
ENBRIDGE ENERGY PARTNERS L P COM 1,456 896 160.11 40,215
ACTAVIS PLC SHS 1,315 1,315 New 5,683
ISHARES EAFE VALUE ETF 1,278 1,278 New 24,535
SPDR SERIES TRUST BRCLYS AGG ETF 1,220 1,220 New 20,915
NEXTERA ENERGY INC CORP UNIT 1,190 -282 (19.18) 19,311
PPL CORP CORP UNIT CONSIS 1,183 1,183 New 21,911