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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
1 MTGE INVT CORP 7,758 146,006 0.04%
2 3-D SYS CORP DEL 120 5,564 0.00% Put
3 3-D SYS CORP DEL 20 927 0.00% Put
4 3-D SYS CORP DEL 80 3,710 0.00% Put
5 ACTAVIS PLC 30,000 7,238,400 1.86%
6 AG MTG INVT TR INC 9,895 176,131 0.05%
7 ALIBABA GROUP HLDG LTD 27,000 2,398,950 0.62%
8 AMAZON COM INC 16,000 5,159,040 1.33% Call
9 AMAZON COM INC 40 12,898 0.00% Put
10 AMAZON COM INC 10,000 3,224,400 0.83%
11 AMAZON COM INC 8,000 2,579,520 0.66% Call
12 AMAZON COM INC 60 19,346 0.00% Put
13 AMAZON COM INC 120 38,693 0.01% Put
14 AMERICAN RLTY CAP PPTYS INC SR CONV NT 3 18 814,245 811,127 0.21% PRN
15 ANGLOGOLD ASHANTI LTD SPONSORE 250,000 3,000,000 0.77% Call
16 ANGLOGOLD ASHANTI LTD SPONSORE 400,000 4,800,000 1.24% Call
17 APPLE COMPUTER INC 150,000 15,112,500 3.89% Call
18 APPLE COMPUTER INC 50,000 5,037,500 1.30% Call
19 APPLE COMPUTER INC 484,400 48,803,300 12.57% Call
20 APPLE COMPUTER INC 408,600 41,166,450 10.60% Call
21 APPLE COMPUTER INC 153,700 15,485,275 3.99%
22 APPLE COMPUTER INC 100,000 10,075,000 2.59% Call
23 APPLE COMPUTER INC 10,000 1,007,500 0.26% Call
24 APPLE COMPUTER INC 20,000 2,015,000 0.52% Call
25 APPLE COMPUTER INC 1,000 100,750 0.03% Put
26 APPLE COMPUTER INC 200 20,150 0.01% Put
27 APPLE COMPUTER INC 200 20,150 0.01% Put
28 APPLE COMPUTER INC 70,000 7,052,500 1.82% Call
29 APPLE COMPUTER INC 800 80,600 0.02% Put
30 APPLE COMPUTER INC 10,000 1,007,500 0.26% Call
31 APPLE COMPUTER INC 80,000 8,060,000 2.08% Call
32 APPLE COMPUTER INC 20,000 2,015,000 0.52% Call
33 APPLE COMPUTER INC 70,000 7,052,500 1.82% Call
34 APPLE COMPUTER INC 1,200 120,900 0.03% Put
35 ARBOR RLTY TR INC COM 4,455 30,027 0.01%
36 ARES CAP CORP 313,660 327,417 0.08% PRN
37 ARES CAPITAL CORP 42,900 693,264 0.18%
38 ASSURANT INC 216,567 403,468 0.10% PRN
39 BANK AMERICA CORP 1,000,000 17,050,000 4.39% Call
40 BANK AMERICA CORP 73,000 1,244,650 0.32%
41 BARRICK GOLD CORP 600,000 8,796,000 2.26% Call
42 BED BATH & BEYOND INC 28,100 1,849,823 0.48%
43 BLACKROCK INC 40,000 341,600 0.09%
44 CATERPILLAR INC 500 49,515 0.01% Put
45 CATERPILLAR INC 14,000 1,386,420 0.36% Call
46 CHERRY HILL MTG INVT CORP 11,667 218,173 0.06%
47 COSTCO WHSL CORP NEW 9,000 1,127,880 0.29%
48 Developers Diversified Realty Corp 331,494 383,342 0.10% PRN
49 EBAY INC 80 4,530 0.00% Put
50 EBAY INC 200,000 11,326,000 2.92% Call
Page 1 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
51 ANGLOGOLD ASHANTI LTD SPONSORE 250,000 3,000,000 0.45% Call
52 REDWOOD TR INC NOTE 4.625 4/1 3,033,000 2,997,757 0.45% PRN
53 TESLA INC 12,000 2,912,160 0.43% Put
54 HEALTH CARE REIT INC 2,333,000 2,870,267 0.43% PRN
55 TELEFLEX INC SR SUB NT CONV 3.875 percent 08/01/17 B/E DTD 08/09/10 1,500,000 2,606,985 0.39% PRN
56 KEURIG GREEN MTN INC 20,000 2,602,600 0.39% Put
57 AMAZON COM INC 8,000 2,579,520 0.39% Call
58 HCI GROUP INC 2%15 DUE 12/15/15 2,500,000 2,430,550 0.36% PRN
59 ALIBABA GROUP HLDG LTD 27,000 2,398,950 0.36%
60 UNITED STATES STL CORP NEW 60,000 2,350,200 0.35%
61 PROSPECT CAPITAL CORPORATION 218,315 2,161,319 0.32%
62 LIBERTY MEDIA SER A 43,600 2,057,048 0.31%
63 YAHOO INC 50,000 2,037,500 0.30%
64 APPLE COMPUTER INC 20,000 2,015,000 0.30% Put
65 APPLE COMPUTER INC 20,000 2,015,000 0.30% Put
66 APPLE COMPUTER INC 20,000 2,015,000 0.30% Call
67 APPLE COMPUTER INC 20,000 2,015,000 0.30% Call
68 SPIRIT RLTY CAP INC NEW 2,000,000 1,947,520 0.29% PRN
69 AMAZON COM INC 6,000 1,934,640 0.29% Put
70 ORACLE CORP 50,000 1,914,000 0.29%
71 VALERO ENERGY CORP NEW 40,474 1,872,732 0.28%
72 BED BATH & BEYOND INC 28,100 1,849,823 0.28%
73 FACEBOOK INC 22,000 1,738,880 0.26%
74 TESLA INC 6,950 1,686,626 0.25%
75 TESLA INC 6,900 1,674,492 0.25%
76 TESLA INC 1,660,000 1,577,050 0.24% PRN
77 CATERPILLAR INC 14,000 1,386,420 0.21% Call
78 SPLUNK INC 25,000 1,384,000 0.21%
79 METLIFE INC 25,500 1,369,860 0.20%
80 AMAZON COM INC 4,000 1,289,760 0.19% Put
81 FACEBOOK INC 16,000 1,264,640 0.19% Call
82 BANK AMERICA CORP 73,000 1,244,650 0.19%
83 TWITTER INC 23,290 1,201,298 0.18%
84 INTERDIGITAL INC 30,000 1,194,600 0.18%
85 TIBCO SOFTWARE INC 50,000 1,181,500 0.18% Put
86 COSTCO WHSL CORP NEW 9,000 1,127,880 0.17%
87 TWITTER INC 20,000 1,031,600 0.15% Call
88 APPLE COMPUTER INC 10,000 1,007,500 0.15% Call
89 APPLE COMPUTER INC 10,000 1,007,500 0.15% Call
90 TESLA INC 4,000 970,720 0.14% Put
91 STANDARD PAC CORP NEW 800,000 906,904 0.14% PRN
92 INTEL CORP 25,000 870,500 0.13%
93 MEDLEY CAP CORPORATION 71,752 847,391 0.13%
94 INTERDIGITAL INC 20,000 796,400 0.12% Put
95 ARES CAPITAL CORP 42,900 693,264 0.10%
96 The Ryland Group Inc (Acquired 10/1/15) 20,000 664,800 0.10% Put
97 The Ryland Group Inc (Acquired 10/1/15) 20,000 664,800 0.10% Put
98 TOLL BROTHERS INC 20,000 623,200 0.09% Put
99 TOLL BROTHERS INC 20,000 623,200 0.09% Put
100 SALESFORCE COM INC 10,000 575,300 0.09% Put
Page 2 of 3