OTA FINANCIAL GROUP L.P. Information

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

Report Date: 12/31/2014

Position Statistics

Total Positions 106
New Positions 45
Increased Positions 58
Decreased Positions 48
Positions with Activity 106
Sold Out Positions 35
Total Mkt Value (in $ millions) 120

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

Sector Weighting

Basic Materials 0.78%
Capital Goods
Conglomerates
Consumer Cyclical 5.38%
Consumer/Non-Cyclical
Energy 5.8%
Financial 35.24%
Healthcare 3.64%
Services 19.67%
Technology 3.53%
Transportation 1.67%
Utilities 11.42%

106 Positions as of 12/31/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
SPDR S&P 500 ETF TR TR UNIT 15,406 15,406 New 73,200
OMNICARE CAP TR II PFD B TR 4.00% 13,359 -2,370 (15.07) 143,848
NEXTERA ENERGY INC CORP UNIT 11,659 10,620 1,021.58 181,214
RAMCO-GERSHENSON PPTYS TR PERP PFD-D CV 7,753 7,753 New 114,453
GENERAL MTRS CO WT EXP 071016 5,328 4,656 692.67 193,054
DIRECTV COM 4,389 4,389 New 49,912
TIME WARNER CABLE INC COM 3,335 -1,353 (28.87) 21,129
EPR PPTYS PFD C CNV 5.75% 2,914 -749 (20.45) 118,949
TRIQUINT SEMICONDUCTOR INC COM 2,812 1,126 66.79 102,075
ALLERGAN INC COM 2,769 2,769 New 11,764
PIMCO DYNAMIC CR INCOME FD COM SHS 2,475 1,884 318.60 118,615
TARGA RESOURCES PARTNERS LP COM UNIT 2,400 2,400 New 54,947
ROYAL DUTCH SHELL PLC SPONS ADR A 2,102 330 18.60 33,714
ALLIANCEBERNSTEIN GBL HGH INCM COM 2,060 2,060 New 162,455
GENESEE & WYO INC UNIT 100115 2,008 56 2.89 15,150
TRIPADVISOR INC COM 1,768 1,768 New 20,093
WISCONSIN ENERGY CORP COM 1,605 375 30.52 31,802
LIBERTY BROADBAND CORP COM SER C 1,466 1,466 New 27,810
CYPRESS SEMICONDUCTOR CORP COM 1,439 1,439 New 92,811
SUSQUEHANNA BANCSHARES INC PA COM 1,327 1,327 New 98,701