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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 MYLAN INC 747,373 2,548,264 0.66% PRN
2 GILEAD SCIENCES 355,293 1,664,425 0.43% PRN
3 AMERICAN RLTY CAP PPTYS INC SR CONV NT 3 18 814,245 811,127 0.21% PRN
4 MGM RESORTS INTERNATIONAL 567,537 717,985 0.18% PRN
5 Electronic Arts, Inc. 359,122 442,371 0.11% PRN
6 MICROCHIP TECHNOLOGY INC 216,567 403,468 0.10% PRN
7 Developers Diversified Realty Corp 331,494 383,342 0.10% PRN
8 VEREIT Inc 363,144 365,650 0.09% PRN
9 ARES CAP CORP 313,660 327,417 0.08% PRN
10 SUNPOWER CORP SR CV DEB0.75 18 200,436 301,010 0.08% PRN
11 SUNPOWER CORP 190,590 294,253 0.08% PRN
12 Spirit Realty Capital Inc 267,273 260,358 0.07% PRN
13 UNITED STATES STL CORP NEW 118,647 194,997 0.05% PRN
14 SPIRIT RLTY CAP INC NEW 152,727 148,720 0.04% PRN
15 OMNICARE INC 129,294 134,600 0.03% PRN
16 REDWOOD TR INC 124,753 123,304 0.03% PRN
17 STANDARD PAC CORP NEW 99,013 112,244 0.03% PRN
18 NUANCE COMMUNICATIONS INC SR CV NT 2.75 31 104,493 103,383 0.03% PRN
19 MEDIDATA SOLUTIONS INC 1 08/01/2018 74,738 81,229 0.02% PRN
20 TESLA INC 40,153 80,977 0.02% PRN
21 HEALTH CARE REIT INC 46,312 56,977 0.01% PRN
22 HCI GROUP INC 2%15 DUE 12/15/15 50,640 49,233 0.01% PRN
23 TELEFLEX INC 24,463 42,516 0.01% PRN
24 TESLA INC 4,613 4,382 0.00% PRN
25 APPLE COMPUTER INC 484,400 48,803,300 12.57% Call
26 APPLE COMPUTER INC 408,600 41,166,450 10.60% Call
27 MICRON TECHNOLOGY INC 1,100,000 37,686,000 9.70% Call
28 GENERAL MTRS CO 1,000,000 31,940,000 8.22% Call
29 BANK AMERICA CORP 1,000,000 17,050,000 4.39% Call
30 GILEAD SCIENCES INC 150,000 15,967,500 4.11% Call
31 APPLE COMPUTER INC 153,700 15,485,275 3.99%
32 APPLE COMPUTER INC 150,000 15,112,500 3.89% Call
33 EBAY INC 200,000 11,326,000 2.92% Call
34 APPLE COMPUTER INC 100,000 10,075,000 2.59% Call
35 BARRICK GOLD CORP 600,000 8,796,000 2.26% Call
36 YAHOO INC 200,000 8,150,000 2.10% Call
37 APPLE COMPUTER INC 80,000 8,060,000 2.08% Call
38 ALLERGAN PLC 30,000 7,238,400 1.86%
39 APPLE COMPUTER INC 70,000 7,052,500 1.82% Call
40 APPLE COMPUTER INC 70,000 7,052,500 1.82% Call
41 AMAZON COM INC 16,000 5,159,040 1.33% Call
42 APPLE COMPUTER INC 50,000 5,037,500 1.30% Call
43 VISA INC 23,222 4,954,878 1.28%
44 ANGLOGOLD ASHANTI LTD SPONSORE 400,000 4,800,000 1.24% Call
45 SunEdison Inc 243,400 4,595,392 1.18%
46 SINA CORP 95,000 3,908,300 1.01%
47 AMAZON COM INC 10,000 3,224,400 0.83%
48 TABLEAU SOFTWARE INC 42,500 3,087,625 0.80%
49 ANGLOGOLD ASHANTI LTD SPONSORE 250,000 3,000,000 0.77% Call
50 AMAZON COM INC 8,000 2,579,520 0.66% Call
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%
Page 1 of 3