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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 MICROCHIP TECHNOLOGY 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 COM 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 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 CORP 7,015 97,438 0.03%
92 MEDIDATA SOLUTIONS INC 1 08/01/2018 74,738 81,229 0.02% PRN
93 TESLA 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 COM 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
101 3-D SYS CORP DEL 12,000 556 0.08% Put
102 NEWMONT CORP 22,900 528 0.08%
103 EBAY INC 8,000 453 0.07% Put
104 NICHOLAS FINANCIAL INC 34,500 400 0.06%
105 INTERDIGITAL INC 10,000 398 0.06% Put
106 KCAP FINL INC 47,000 391 0.06%
107 THL CR INC 28,985 374 0.06%
108 3-D SYS CORP DEL 8,000 371 0.06% Put
109 VIRNETX HLDG CORP 60,000 360 0.05% Put
110 SALESFORCE COM INC 6,000 345 0.05% Call
111 BLACKROCK INC 40,000 342 0.05%
112 FIFTH STREET FINANCE CORP 35,943 330 0.05%
113 FACEBOOK INC 4,000 316 0.05% Call
114 RAMBUS INC DEL 19,982 249 0.04%
115 TWITTER INC 4,500 232 0.03%
116 TOLL BROTHERS INC 7,000 218 0.03%
117 CHERRY HILL MTG INVT CORP COM 11,667 218 0.03%
118 HOME LN SERVICING SOLUTIONS LT ORD SHS 10,000 212 0.03%
119 TWITTER INC 4,000 206 0.03% Put
120 AG MTG INVT TR INC 9,895 176 0.03%
121 MTGE INVT CORP 7,758 146 0.02%
122 MICRON TECHNOLOGY INC 4,000 137 0.02%
123 VIRNETX HLDG CORP 20,000 120 0.02% Put
124 PACIFIC COAST OIL TR 10,000 103 0.02%
125 STELLUS CAP INVT CORP 7,015 97 0.01%
126 3-D SYS CORP DEL 2,000 93 0.01% Put
127 PENNANTPARK FLOATING RATE CA 5,559 77 0.01%
128 PERMIAN BASIN RTY TR 4,500 61 0.01%
129 HORIZON TECHNOLOGY FIN CORP COM 4,387 59 0.01%
130 VIRNETX HLDG CORP 8,000 48 0.01% Call
131 The Ryland Group Inc (Acquired 10/1/15) 1,000 33 0.00%
132 ARBOR RLTY TR INC COM 4,455 30 0.00%
133 VIRNETX HLDG CORP 2,824 17 0.00%
134 STRATEGIC GLOBAL INCOME FD COM 1,900 17 0.00%
135 FULL CIRCLE CAP CORP 835 5 0.00%
Page 3 of 3
Restatement filing (0001597694-14-000011) filed in 2014.11.17
#
Name
Shares
Value ($)
%
Options
Notes
1 APPLE COMPUTER INC 484,400 48,803,300 7.28% Call
2 APPLE COMPUTER INC 408,600 41,166,450 6.14% Call
3 GILEAD SCIENCES 8,067,000 37,791,072 5.64% PRN
4 MICRON TECHNOLOGY INC 1,100,000 37,686,000 5.62% Call
5 MYLAN INC 9,955,000 33,942,867 5.07% PRN
6 GENERAL MTRS CO 1,000,000 31,940,000 4.77% Call
7 BANK AMERICA CORP 1,000,000 17,050,000 2.54% Call
8 GILEAD SCIENCES INC 150,000 15,967,500 2.38% Call
9 APPLE COMPUTER INC 153,700 15,485,275 2.31%
10 APPLE COMPUTER INC 150,000 15,112,500 2.26% Call
11 Electronic Arts, Inc. 11,398,000 14,040,170 2.10% PRN
12 AMERICAN RLTY CAP PPTYS INC SR CONV NT 3 18 13,615,000 13,562,855 2.02% PRN
13 MGM RESORTS INTERNATIONAL 10,543,000 13,337,844 1.99% PRN
14 APPLE COMPUTER INC 120,000 12,090,000 1.80% Put
15 EBAY INC 200,000 11,326,000 1.69% Call
16 OMNICARE INC 10,070,000 10,483,273 1.56% PRN
17 MICROCHIP TECHNOLOGY INC 5,517,000 10,278,281 1.53% PRN
18 TESLA INC 5,000,000 10,083,600 1.51% PRN
19 APPLE COMPUTER INC 100,000 10,075,000 1.50% Call
20 APPLE COMPUTER INC 100,000 10,075,000 1.50% Put
21 BARRICK GOLD CORP 600,000 8,796,000 1.31% Call
22 YAHOO INC 200,000 8,150,000 1.22% Call
23 APPLE COMPUTER INC 80,000 8,060,000 1.20% Call
24 APPLE COMPUTER INC 80,000 8,060,000 1.20% Put
25 UNITED STATES STL CORP NEW 200,000 7,834,000 1.17% Put
26 SUNPOWER CORP SR CV DEB0.75 18 5,000,000 7,508,900 1.12% PRN
27 ALLERGAN PLC 30,000 7,238,400 1.08%
28 APPLE COMPUTER INC 70,000 7,052,500 1.05% Call
29 APPLE COMPUTER INC 70,000 7,052,500 1.05% Call
30 INTEL CORP 200,000 6,964,000 1.04% Put
31 SUNPOWER CORP 4,294,000 6,629,507 0.99% PRN
32 ARES CAP CORP 6,000,000 6,263,160 0.93% PRN
33 POWERSHARES QQQ TRUST 60,000 5,927,400 0.88% Put
34 Developers Diversified Realty Corp 5,000,000 5,782,050 0.86% PRN
35 VEREIT Inc 5,500,000 5,537,950 0.83% PRN
36 AMAZON COM INC 16,000 5,159,040 0.77% Call
37 APPLE COMPUTER INC 50,000 5,037,500 0.75% Call
38 VISA INC 23,222 4,954,878 0.74%
39 CATERPILLAR INC 50,000 4,951,500 0.74% Put
40 UNITED STATES STL CORP NEW 3,000,000 4,930,500 0.74% PRN
41 ANGLOGOLD ASHANTI LTD SPONSORE 400,000 4,800,000 0.72% Call
42 MEDIDATA SOLUTIONS INC 1 08/01/2018 4,338,000 4,714,755 0.70% PRN
43 SunEdison Inc 243,400 4,595,392 0.69%
44 POWERSHARES QQQ TRUST 40,000 3,951,600 0.59% Put
45 SINA CORP 95,000 3,908,300 0.58%
46 AMAZON COM INC 12,000 3,869,280 0.58% Put
47 Spirit Realty Capital Inc 3,500,000 3,409,455 0.51% PRN
48 NUANCE COMMUNICATIONS INC SR CV NT 2.75 31 3,375,000 3,339,124 0.50% PRN
49 AMAZON COM INC 10,000 3,224,400 0.48%
50 TABLEAU SOFTWARE INC 42,500 3,087,625 0.46%
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