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Institutional Investment Manager
MUFG Securities EMEA plc
MUFG Securities EMEA plc (CIK: 0001597694), located at Ropemaker Place, London, X0. Institutional holdings reported to the SEC.
Institutional Holdings (2014Q3)
Original 13F HR (0001597694-14-000009) filed in 2014.11.12
#
Name
Shares
Value ($)
%
Options
Notes
51 APPLE COMPUTER INC 10,000 1,007,500 0.26% Call
52 APPLE COMPUTER INC 10,000 1,007,500 0.26% Call
53 INTEL CORP 25,000 870,500 0.22%
54 MEDLEY CAP CORPORATION 71,752 847,391 0.22%
55 AMERICAN RLTY CAP PPTYS INC SR CONV NT 3 18 814,245 811,127 0.21% PRN
56 MGM RESORTS INTERNATIONAL 567,537 717,985 0.18% PRN
57 ARES CAPITAL CORP 42,900 693,264 0.18%
58 NEWMONT CORP 22,900 527,845 0.14%
59 Electronic Arts, Inc. 359,122 442,371 0.11% PRN
60 ASSURANT INC 216,567 403,468 0.10% PRN
61 NICHOLAS FINANCIAL INC 34,500 399,855 0.10%
62 KCAP FINL INC 47,000 390,570 0.10%
63 Developers Diversified Realty Corp 331,494 383,342 0.10% PRN
64 THL CR INC 28,985 373,907 0.10%
65 VEREIT Inc 363,144 365,650 0.09% PRN
66 SALESFORCE COM INC 6,000 345,180 0.09% Call
67 BLACKROCK INC 40,000 341,600 0.09%
68 FIFTH STREET FINANCE CORP 35,943 329,957 0.08%
69 ARES CAP CORP 313,660 327,417 0.08% PRN
70 FACEBOOK INC 4,000 316,160 0.08% Call
71 SUNPOWER CORP SR CV DEB0.75 18 200,436 301,010 0.08% PRN
72 SUNPOWER CORP 190,590 294,253 0.08% PRN
73 Spirit Realty Capital Inc 267,273 260,358 0.07% PRN
74 RAMBUS INC DEL 19,982 249,375 0.06%
75 TWITTER INC 4,500 232,110 0.06%
76 CHERRY HILL MTG INVT CORP 11,667 218,173 0.06%
77 TOLL BROTHERS INC 7,000 218,120 0.06%
78 HOME LN SERVICING SOLUTIONS LT ORD SHS 10,000 211,900 0.05%
79 UNITED STATES STL CORP NEW 118,647 194,997 0.05% PRN
80 AG MTG INVT TR INC 9,895 176,131 0.05%
81 SPIRIT RLTY CAP INC NEW 152,727 148,720 0.04% PRN
82 MTGE INVT CORP 7,758 146,006 0.04%
83 MICRON TECHNOLOGY INC 4,000 137,040 0.04%
84 OMNICARE INC 129,294 134,600 0.03% PRN
85 REDWOOD TR INC NOTE 4.625 4/1 124,753 123,304 0.03% PRN
86 APPLE COMPUTER INC 1,200 120,900 0.03% Put
87 STANDARD PAC CORP NEW 99,013 112,244 0.03% PRN
88 NUANCE COMMUNICATIONS INC SR CV NT 2.75 31 104,493 103,383 0.03% PRN
89 PACIFIC COAST OIL TR 10,000 102,500 0.03%
90 APPLE COMPUTER INC 1,000 100,750 0.03% Put
91 STELLUS CAP INVT CORPORATION 7,015 97,438 0.03%
92 MEDIDATA SOLUTIONS INC 1 08/01/2018 74,738 81,229 0.02% PRN
93 TESLA MOTORS INC 40,153 80,977 0.02% PRN
94 APPLE COMPUTER INC 800 80,600 0.02% Put
95 UNITED STATES STL CORP NEW 2,000 78,340 0.02% Put
96 PENNANTPARK FLOATING RATE CA 5,559 76,603 0.02%
97 INTEL CORP 2,000 69,640 0.02% Put
98 PERMIAN BASIN RTY TR 4,500 61,110 0.02%
99 POWERSHARES QQQ TRUST 600 59,274 0.02% Put
100 HORIZON TECHNOLOGY FIN CORP 4,387 59,049 0.02%
Page 2 of 3
Restatement filing (0001597694-14-000012) filed in 2014.11.18
#
Name
Shares
Value ($)
%
Options
Notes
1 APPLE INC 484,400 48,803 7.28% Call
2 APPLE INC 408,600 41,166 6.14% Call
3 GILEAD SCIENCES 8,067,000 37,791 5.64% PRN
4 Micron Technology Inc Call Opt 07/17 23.0 1,100,000 37,686 5.62% Call
5 MYLAN INC 9,955,000 33,943 5.07% PRN
6 GENERAL MTRS CO 1,000,000 31,940 4.77% Call
7 BANK AMER CORP 1,000,000 17,050 2.54% Call
8 GILEAD SCIENCES INC COM 150,000 15,968 2.38% Call
9 APPLE COMPUTER INC 153,700 15,485 2.31%
10 APPLE INC 150,000 15,113 2.26% Call
11 Electronic Arts, Inc. 11,398,000 14,040 2.10% PRN
12 AMERICAN RLTY CAP PPTYS INC SR CONV NT 3 18 13,615,000 13,563 2.02% PRN
13 MGM RESORTS INTERNATIONAL 10,543,000 13,338 1.99% PRN
14 Put - Apple, Inc. - 145 - Exp. 8/18/17 120,000 12,090 1.80% Put
15 EBAY INC 200,000 11,326 1.69% Call
16 OMNICARE INC 10,070,000 10,483 1.56% PRN
17 ASSURANT INC 5,517,000 10,278 1.53% PRN
18 TESLA MOTORS INC 5,000,000 10,084 1.51% PRN
19 APPLE INC 100,000 10,075 1.50% Call
20 Put - Apple, Inc. - 145 - Exp. 8/18/17 100,000 10,075 1.50% Put
21 BARRICK GOLD CORP 600,000 8,796 1.31% Call
22 YAHOO INC 200,000 8,150 1.22% Call
23 APPLE INC 80,000 8,060 1.20% Call
24 Put - Apple, Inc. - 145 - Exp. 8/18/17 80,000 8,060 1.20% Put
25 UNITED STATES STL CORP NEW 200,000 7,834 1.17% Put
26 SUNPOWER CORP SR CV DEB0.75 18 5,000,000 7,509 1.12% PRN
27 ACTAVIS PLC 30,000 7,238 1.08%
28 APPLE INC 70,000 7,053 1.05% Call
29 APPLE INC 70,000 7,053 1.05% Call
30 INTEL CORP 200,000 6,964 1.04% Put
31 SUNPOWER CORP 4,294,000 6,630 0.99% PRN
32 ARES CAP CORP 6,000,000 6,263 0.93% PRN
33 POWERSHARES QQQ TRUST PUT 60,000 5,927 0.88% Put
34 Developers Diversified Realty Corp 5,000,000 5,782 0.86% PRN
35 VEREIT Inc 5,500,000 5,538 0.83% PRN
36 AMAZON COM INC 16,000 5,159 0.77% Call
37 APPLE INC 50,000 5,038 0.75% Call
38 VISA INC 23,222 4,955 0.74%
39 CATERPILLAR INC DEL PUT 50,000 4,952 0.74% Put
40 UNITED STATES STL CORP NEW 3,000,000 4,931 0.74% PRN
41 ANGLOGOLD ASHANTI LTD 400,000 4,800 0.72% Call
42 MEDIDATA SOLUTIONS INC 1 08/01/2018 4,338,000 4,715 0.70% PRN
43 SUNEDISON INC 243,400 4,595 0.69%
44 POWERSHARES QQQ TRUST PUT 40,000 3,952 0.59% Put
45 SINA CORP 95,000 3,908 0.58%
46 AMAZON COM INC 12,000 3,869 0.58% Put
47 Spirit Realty Capital Inc 3,500,000 3,409 0.51% PRN
48 NUANCE COMMUNICATIONS INC SR CV NT 2.75 31 3,375,000 3,339 0.50% PRN
49 AMAZON COM INC 10,000 3,224 0.48%
50 TABLEAU SOFTWARE INC 42,500 3,088 0.46%
Page 1 of 3
Restatement filing (0001597694-14-000011) filed in 2014.11.17
#
Name
Shares
Value ($)
%
Options
Notes
1 MTGE INVT CORP 7,758 146,006 0.02%
2 3-D SYS CORP DEL 2,000 92,740 0.01% Put
3 3-D SYS CORP DEL 8,000 370,960 0.06% Put
4 3-D SYS CORP DEL 12,000 556,440 0.08% Put
5 ACTAVIS PLC 30,000 7,238,400 1.08%
6 AG MTG INVT TR INC 9,895 176,131 0.03%
7 ALIBABA GROUP HLDG LTD 27,000 2,398,950 0.36%
8 AMAZON COM INC 10,000 3,224,400 0.48%
9 AMAZON COM INC 16,000 5,159,040 0.77% Call
10 AMAZON COM INC 8,000 2,579,520 0.39% Call
11 AMAZON COM INC 12,000 3,869,280 0.58% Put
12 AMAZON COM INC 6,000 1,934,640 0.29% Put
13 AMAZON COM INC 4,000 1,289,760 0.19% Put
14 AMERICAN RLTY CAP PPTYS INC SR CONV NT 3 18 13,615,000 13,562,855 2.02% PRN
15 ANGLOGOLD ASHANTI LTD SPONSORE 250,000 3,000,000 0.45% Call
16 ANGLOGOLD ASHANTI LTD SPONSORE 400,000 4,800,000 0.72% Call
17 APPLE COMPUTER INC 150,000 15,112,500 2.26% Call
18 APPLE COMPUTER INC 50,000 5,037,500 0.75% Call
19 APPLE COMPUTER INC 153,700 15,485,275 2.31%
20 APPLE COMPUTER INC 484,400 48,803,300 7.28% Call
21 APPLE COMPUTER INC 408,600 41,166,450 6.14% Call
22 APPLE COMPUTER INC 100,000 10,075,000 1.50% Call
23 APPLE COMPUTER INC 10,000 1,007,500 0.15% Call
24 APPLE COMPUTER INC 20,000 2,015,000 0.30% Call
25 APPLE COMPUTER INC 100,000 10,075,000 1.50% Put
26 APPLE COMPUTER INC 20,000 2,015,000 0.30% Put
27 APPLE COMPUTER INC 20,000 2,015,000 0.30% Put
28 APPLE COMPUTER INC 70,000 7,052,500 1.05% Call
29 APPLE COMPUTER INC 80,000 8,060,000 1.20% Put
30 APPLE COMPUTER INC 10,000 1,007,500 0.15% Call
31 APPLE COMPUTER INC 80,000 8,060,000 1.20% Call
32 APPLE COMPUTER INC 20,000 2,015,000 0.30% Call
33 APPLE COMPUTER INC 70,000 7,052,500 1.05% Call
34 APPLE COMPUTER INC 120,000 12,090,000 1.80% Put
35 ARBOR RLTY TR INC COM 4,455 30,027 0.00%
36 ARES CAP CORP 6,000,000 6,263,160 0.93% PRN
37 ARES CAPITAL CORP 42,900 693,264 0.10%
38 ASSURANT INC 5,517,000 10,278,281 1.53% PRN
39 BANK AMERICA CORP 1,000,000 17,050,000 2.54% Call
40 BANK AMERICA CORP 73,000 1,244,650 0.19%
41 BARRICK GOLD CORP 600,000 8,796,000 1.31% Call
42 BED BATH & BEYOND INC 28,100 1,849,823 0.28%
43 BLACKROCK INC 40,000 341,600 0.05%
44 CATERPILLAR INC 50,000 4,951,500 0.74% Put
45 CATERPILLAR INC 14,000 1,386,420 0.21% Call
46 CHERRY HILL MTG INVT CORP 11,667 218,173 0.03%
47 COSTCO WHSL CORP NEW 9,000 1,127,880 0.17%
48 Developers Diversified Realty Corp 5,000,000 5,782,050 0.86% PRN
49 EBAY INC 8,000 453,040 0.07% Put
50 EBAY INC 200,000 11,326,000 1.69% Call
Page 1 of 3