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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 APPLE COMPUTER INC 484,400 48,803,300 12.57% Call
2 APPLE COMPUTER INC 408,600 41,166,450 10.60% Call
3 MICRON TECHNOLOGY INC 1,100,000 37,686,000 9.70% Call
4 GENERAL MTRS CO 1,000,000 31,940,000 8.22% Call
5 BANK AMERICA CORP 1,000,000 17,050,000 4.39% Call
6 GILEAD SCIENCES INC 150,000 15,967,500 4.11% Call
7 APPLE COMPUTER INC 153,700 15,485,275 3.99%
8 APPLE COMPUTER INC 150,000 15,112,500 3.89% Call
9 EBAY INC 200,000 11,326,000 2.92% Call
10 APPLE COMPUTER INC 100,000 10,075,000 2.59% Call
11 BARRICK GOLD CORP 600,000 8,796,000 2.26% Call
12 YAHOO INC 200,000 8,150,000 2.10% Call
13 APPLE COMPUTER INC 80,000 8,060,000 2.08% Call
14 ACTAVIS PLC 30,000 7,238,400 1.86%
15 APPLE COMPUTER INC 70,000 7,052,500 1.82% Call
16 APPLE COMPUTER INC 70,000 7,052,500 1.82% Call
17 AMAZON COM INC 16,000 5,159,040 1.33% Call
18 APPLE COMPUTER INC 50,000 5,037,500 1.30% Call
19 VISA INC 23,222 4,954,878 1.28%
20 ANGLOGOLD ASHANTI LTD SPONSORE 400,000 4,800,000 1.24% Call
21 SUNEDISON INC 243,400 4,595,392 1.18%
22 SINA CORP 95,000 3,908,300 1.01%
23 AMAZON COM INC 10,000 3,224,400 0.83%
24 TABLEAU SOFTWARE INC 42,500 3,087,625 0.80%
25 ANGLOGOLD ASHANTI LTD SPONSORE 250,000 3,000,000 0.77% Call
26 AMAZON COM INC 8,000 2,579,520 0.66% Call
27 MYLAN INC 747,373 2,548,264 0.66% PRN
28 ALIBABA GROUP HLDG LTD 27,000 2,398,950 0.62%
29 UNITED STATES STL CORP NEW 60,000 2,350,200 0.61%
30 PROSPECT CAPITAL CORPORATION 218,315 2,161,319 0.56%
31 LIBERTY MEDIA SER A 43,600 2,057,048 0.53%
32 YAHOO INC 50,000 2,037,500 0.52%
33 APPLE COMPUTER INC 20,000 2,015,000 0.52% Call
34 APPLE COMPUTER INC 20,000 2,015,000 0.52% Call
35 ORACLE CORP 50,000 1,914,000 0.49%
36 VALERO ENERGY CORP NEW 40,474 1,872,732 0.48%
37 BED BATH & BEYOND INC 28,100 1,849,823 0.48%
38 FACEBOOK INC 22,000 1,738,880 0.45%
39 TESLA INC 6,950 1,686,626 0.43%
40 TESLA INC 6,900 1,674,492 0.43%
41 GILEAD SCIENCES 355,293 1,664,425 0.43% PRN
42 CATERPILLAR INC 14,000 1,386,420 0.36% Call
43 SPLUNK INC 25,000 1,384,000 0.36%
44 METLIFE INC 25,500 1,369,860 0.35%
45 FACEBOOK INC 16,000 1,264,640 0.33% Call
46 BANK AMERICA CORP 73,000 1,244,650 0.32%
47 TWITTER INC 23,290 1,201,298 0.31%
48 INTERDIGITAL INC 30,000 1,194,600 0.31%
49 COSTCO WHSL CORP NEW 9,000 1,127,880 0.29%
50 TWITTER INC 20,000 1,031,600 0.27% 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 Electronic Arts, Inc. 11,398,000 14,040,170 2.10% PRN
52 FACEBOOK INC 22,000 1,738,880 0.26%
53 FACEBOOK INC 4,000 316,160 0.05% Call
54 FACEBOOK INC 16,000 1,264,640 0.19% Call
55 FIFTH STREET FINANCE CORP 35,943 329,957 0.05%
56 FULL CIRCLE CAP CORP 835 5,336 0.00%
57 GENERAL MTRS CO 1,000,000 31,940,000 4.77% Call
58 GILEAD SCIENCES 8,067,000 37,791,072 5.64% PRN
59 GILEAD SCIENCES INC 150,000 15,967,500 2.38% Call
60 HCI GROUP INC 2%15 DUE 12/15/15 2,500,000 2,430,550 0.36% PRN
61 HEALTH CARE REIT INC 2,333,000 2,870,267 0.43% PRN
62 HOME LN SERVICING SOLUTIONS LT ORD SHS 10,000 211,900 0.03%
63 HORIZON TECHNOLOGY FIN CORP 4,387 59,049 0.01%
64 INTEL CORP 200,000 6,964,000 1.04% Put
65 INTEL CORP 25,000 870,500 0.13%
66 INTERDIGITAL INC 30,000 1,194,600 0.18%
67 INTERDIGITAL INC 10,000 398,200 0.06% Put
68 INTERDIGITAL INC 20,000 796,400 0.12% Put
69 KCAP FINL INC 47,000 390,570 0.06%
70 KEURIG GREEN MTN INC 20,000 2,602,600 0.39% Put
71 LIBERTY MEDIA SER A 43,600 2,057,048 0.31%
72 MEDIDATA SOLUTIONS INC 1 08/01/2018 4,338,000 4,714,755 0.70% PRN
73 MEDLEY CAP CORPORATION 71,752 847,391 0.13%
74 METLIFE INC 25,500 1,369,860 0.20%
75 MGM RESORTS INTERNATIONAL 10,543,000 13,337,844 1.99% PRN
76 MICRON TECHNOLOGY INC 4,000 137,040 0.02%
77 MICRON TECHNOLOGY INC 1,100,000 37,686,000 5.62% Call
78 MYLAN INC 9,955,000 33,942,867 5.07% PRN
79 NEWMONT CORP 22,900 527,845 0.08%
80 NICHOLAS FINANCIAL INC 34,500 399,855 0.06%
81 NUANCE COMMUNICATIONS INC SR CV NT 2.75 31 3,375,000 3,339,124 0.50% PRN
82 OMNICARE INC 10,070,000 10,483,273 1.56% PRN
83 ORACLE CORP 50,000 1,914,000 0.29%
84 PACIFIC COAST OIL TR 10,000 102,500 0.02%
85 PENNANTPARK FLOATING RATE CA 5,559 76,603 0.01%
86 PERMIAN BASIN RTY TR 4,500 61,110 0.01%
87 POWERSHARES QQQ TRUST 60,000 5,927,400 0.88% Put
88 POWERSHARES QQQ TRUST 40,000 3,951,600 0.59% Put
89 PROSPECT CAPITAL CORPORATION 218,315 2,161,319 0.32%
90 RAMBUS INC DEL 19,982 249,375 0.04%
91 REDWOOD TR INC NOTE 4.625 4/1 3,033,000 2,997,757 0.45% PRN
92 SALESFORCE COM INC 6,000 345,180 0.05% Call
93 SALESFORCE COM INC 10,000 575,300 0.09% Put
94 SINA CORP 95,000 3,908,300 0.58%
95 SPIRIT RLTY CAP INC NEW 2,000,000 1,947,520 0.29% PRN
96 SPLUNK INC 25,000 1,384,000 0.21%
97 STANDARD PAC CORP NEW 800,000 906,904 0.14% PRN
98 STELLUS CAP INVT CORPORATION 7,015 97,438 0.01%
99 STRATEGIC GLOBAL INCOME FD COM 1,900 16,777 0.00%
100 SUNEDISON INC 243,400 4,595,392 0.69%
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