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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 3-D SYS CORP DEL 20 927 0.00% Put
2 VIRNETX HLDG CORP 200 1,200 0.00% Put
3 TWITTER INC 40 2,063 0.00% Put
4 VIRNETX HLDG CORP 600 3,600 0.00% Put
5 3-D SYS CORP DEL 80 3,710 0.00% Put
6 INTERDIGITAL INC 100 3,982 0.00% Put
7 TESLA INC 4,613 4,382 0.00% PRN
8 EBAY INC 80 4,530 0.00% Put
9 FULL CIRCLE CAP CORP 835 5,336 0.00%
10 3-D SYS CORP DEL 120 5,564 0.00% Put
11 SALESFORCE COM INC 100 5,753 0.00% Put
12 TOLL BROTHERS INC 200 6,232 0.00% Put
13 TOLL BROTHERS INC 200 6,232 0.00% Put
14 The Ryland Group Inc (Acquired 10/1/15) 200 6,648 0.00% Put
15 The Ryland Group Inc (Acquired 10/1/15) 200 6,648 0.00% Put
16 INTERDIGITAL INC 200 7,964 0.00% Put
17 TESLA INC 40 9,707 0.00% Put
18 TIBCO SOFTWARE INC 500 11,815 0.00% Put
19 AMAZON COM INC 40 12,898 0.00% Put
20 STRATEGIC GLOBAL INCOME FD COM 1,900 16,777 0.00%
21 VIRNETX HLDG CORP 2,824 16,944 0.00%
22 AMAZON COM INC 60 19,346 0.00% Put
23 APPLE COMPUTER INC 200 20,150 0.01% Put
24 APPLE COMPUTER INC 200 20,150 0.01% Put
25 KEURIG GREEN MTN INC 200 26,026 0.01% Put
26 TESLA INC 120 29,122 0.01% Put
27 ARBOR RLTY TR INC COM 4,455 30,027 0.01%
28 The Ryland Group Inc (Acquired 10/1/15) 1,000 33,240 0.01%
29 AMAZON COM INC 120 38,693 0.01% Put
30 POWERSHARES QQQ TRUST 400 39,516 0.01% Put
31 TELEFLEX INC 24,463 42,516 0.01% PRN
32 VIRNETX HLDG CORP 8,000 48,000 0.01% Call
33 HCI GROUP INC 2%15 DUE 12/15/15 50,640 49,233 0.01% PRN
34 CATERPILLAR INC 500 49,515 0.01% Put
35 HEALTH CARE REIT INC 46,312 56,977 0.01% PRN
36 HORIZON TECHNOLOGY FIN CORP COM 4,387 59,049 0.02%
37 POWERSHARES QQQ TRUST 600 59,274 0.02% Put
38 PERMIAN BASIN RTY TR 4,500 61,110 0.02%
39 INTEL CORP 2,000 69,640 0.02% Put
40 PENNANTPARK FLOATING RATE CA 5,559 76,603 0.02%
41 UNITED STATES STL CORP NEW 2,000 78,340 0.02% Put
42 APPLE COMPUTER INC 800 80,600 0.02% Put
43 TESLA INC 40,153 80,977 0.02% PRN
44 MEDIDATA SOLUTIONS INC 1 08/01/2018 74,738 81,229 0.02% PRN
45 STELLUS CAP INVT CORP 7,015 97,438 0.03%
46 APPLE COMPUTER INC 1,000 100,750 0.03% Put
47 PACIFIC COAST OIL TR 10,000 102,500 0.03%
48 NUANCE COMMUNICATIONS INC SR CV NT 2.75 31 104,493 103,383 0.03% PRN
49 STANDARD PAC CORP NEW 99,013 112,244 0.03% PRN
50 APPLE COMPUTER INC 1,200 120,900 0.03% Put
Page 1 of 3
Restatement filing (0001597694-14-000012) filed in 2014.11.18
#
Name
Shares
Value ($)
%
Options
Notes
1 APPLE INC CALL 484,400 48,803 7.28% Call
2 APPLE INC CALL 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 Call GILD $70.0 Exp Jun 16, 2017 150,000 15,968 2.38% Call
9 APPLE COMPUTER INC 153,700 15,485 2.31%
10 APPLE INC CALL 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 APPLE INC 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 MICROCHIP TECHNOLOGY INC 5,517,000 10,278 1.53% PRN
18 TESLA INC 5,000,000 10,084 1.51% PRN
19 APPLE INC CALL 100,000 10,075 1.50% Call
20 APPLE INC 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 CALL 80,000 8,060 1.20% Call
24 APPLE INC 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 ALLERGAN PLC 30,000 7,238 1.08%
28 APPLE INC CALL 70,000 7,053 1.05% Call
29 APPLE INC CALL 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 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 CALL 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 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 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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