Dark
Light
System
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 ALLERGAN 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 FULL CIRCLE CAP CORP 835 5 0.00%
2 STRATEGIC GLOBAL INCOME FD COM 1,900 17 0.00%
3 VIRNETX HLDG CORP 2,824 17 0.00%
4 ARBOR RLTY TR INC COM 4,455 30 0.00%
5 The Ryland Group Inc (Acquired 10/1/15) 1,000 33 0.00%
6 VIRNETX HLDG CORP 8,000 48 0.01% Call
7 HORIZON TECHNOLOGY FIN CORP COM 4,387 59 0.01%
8 PERMIAN BASIN RTY TR 4,500 61 0.01%
9 PENNANTPARK FLOATING RATE CA 5,559 77 0.01%
10 3-D SYS CORP DEL 2,000 93 0.01% Put
11 STELLUS CAP INVT CORP 7,015 97 0.01%
12 PACIFIC COAST OIL TR 10,000 103 0.02%
13 VIRNETX HLDG CORP 20,000 120 0.02% Put
14 MICRON TECHNOLOGY INC 4,000 137 0.02%
15 MTGE INVT CORP 7,758 146 0.02%
16 AG MTG INVT TR INC 9,895 176 0.03%
17 TWITTER INC 4,000 206 0.03% Put
18 HOME LN SERVICING SOLUTIONS LT ORD SHS 10,000 212 0.03%
19 CHERRY HILL MTG INVT CORP COM 11,667 218 0.03%
20 TOLL BROTHERS INC 7,000 218 0.03%
21 TWITTER INC 4,500 232 0.03%
22 RAMBUS INC DEL 19,982 249 0.04%
23 FACEBOOK INC 4,000 316 0.05% Call
24 FIFTH STREET FINANCE CORP 35,943 330 0.05%
25 BLACKROCK INC 40,000 342 0.05%
26 SALESFORCE COM INC 6,000 345 0.05% Call
27 VIRNETX HLDG CORP 60,000 360 0.05% Put
28 3-D SYS CORP DEL 8,000 371 0.06% Put
29 THL CR INC 28,985 374 0.06%
30 KCAP FINL INC 47,000 391 0.06%
31 INTERDIGITAL INC 10,000 398 0.06% Put
32 NICHOLAS FINANCIAL INC 34,500 400 0.06%
33 EBAY INC 8,000 453 0.07% Put
34 NEWMONT CORP 22,900 528 0.08%
35 3-D SYS CORP DEL 12,000 556 0.08% Put
36 SALESFORCE COM INC 10,000 575 0.09% Put
37 TOLL BROTHERS INC 20,000 623 0.09% Put
38 TOLL BROTHERS INC 20,000 623 0.09% Put
39 Ryland Group Inc/The 20,000 665 0.10% Put
40 Ryland Group Inc/The 20,000 665 0.10% Put
41 ARES CAPITAL CORP 42,900 693 0.10%
42 INTERDIGITAL INC 20,000 796 0.12% Put
43 MEDLEY CAP CORPORATION 71,752 847 0.13%
44 INTEL CORP 25,000 871 0.13%
45 STANDARD PAC CORP NEW 800,000 907 0.14% PRN
46 TESLA INC PUT 4,000 971 0.14% Put
47 APPLE INC CALL 10,000 1,008 0.15% Call
48 APPLE INC CALL 10,000 1,008 0.15% Call
49 TWITTER INC 20,000 1,032 0.15% Call
50 COSTCO WHSL CORP NEW 9,000 1,128 0.17%
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