13F-HR filed by MUFG Securities EMEA plc
MUFG Securities EMEA plc filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-12, with 105 holding rows worth $388,375,000.
- Accession
- 0001597694-14-000009
- Filer
- CIK 1597694
- Filed
- 2014-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 135 entries on the cover page, a total value of $388,375,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $388,375,433 with VALUE read as dollars, detected, 13F file number 028-15731. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| APPLE INC | 37833100 | COM | 1,473,000 | $148,404,750 | dollars, detected | callThe CUSIP as filed is malformed. |
| Micron Technology,Inc. | 595112103 | COM | 1,100,000 | $37,686,000 | dollars, detected | call |
| GENERAL MTRS CO COM | 37045V100 | Stock | 1,000,000 | $31,940,000 | dollars, detected | call |
| Bank of America | 60505104 | COM | 1,000,000 | $17,050,000 | dollars, detected | callThe CUSIP as filed is malformed. |
| Gilead Sciences,Inc. | 375558103 | COM | 150,000 | $15,967,500 | dollars, detected | call |
| APPLE INC | 37833100 | COM | 153,700 | $15,485,275 | dollars, detected | The CUSIP as filed is malformed. |
| EBAY INC. COM | 278642103 | Stock | 200,000 | $11,326,000 | dollars, detected | call |
| BARRICK GOLD | 67901108 | COM | 600,000 | $8,796,000 | dollars, detected | callThe CUSIP as filed is malformed. |
| YAHOO INC | 984332106 | COM | 200,000 | $8,150,000 | dollars, detected | call |
| ANGLOGOLD ASHANTI LTD | 35128206 | ADR | 650,000 | $7,800,000 | dollars, detected | callThe CUSIP as filed is malformed. |
| AMAZON.COM INC | 23135106 | COM | 24,000 | $7,738,560 | dollars, detected | callThe CUSIP as filed is malformed. |
| ACTAVIS PLC | G0083B108 | SHS | 30,000 | $7,238,400 | dollars, detected | |
| Visa Inc | 92826C839 | COM | 23,222 | $4,954,878 | dollars, detected | |
| SUNEDISON INC | 86732Y109 | COM | 243,400 | $4,595,392 | dollars, detected | |
| SINA CORP | G81477104 | ORD | 95,000 | $3,908,300 | dollars, detected | |
| Tesla Motors, Inc | 88160R101 | COM | 13,850 | $3,361,118 | dollars, detected | |
| AMAZON.COM INC | 23135106 | COM | 10,000 | $3,224,400 | dollars, detected | The CUSIP as filed is malformed. |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 42,500 | $3,087,625 | dollars, detected | |
| MYLAN INC | 628530AJ6 | CORPORATE OBLIG | 747,373 | $2,548,264 | dollars, detected | principal |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 27,000 | $2,398,950 | dollars, detected | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 60,000 | $2,350,200 | dollars, detected | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 218,315 | $2,161,319 | dollars, detected | |
| LIBERTY MEDIA CORP DELAWARE | 531229102 | CL A | 43,600 | $2,057,048 | dollars, detected | |
| YAHOO INC | 984332106 | COM | 50,000 | $2,037,500 | dollars, detected | |
| Oracle Corporation | 68389X105 | COM | 50,000 | $1,914,000 | dollars, detected | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 40,474 | $1,872,732 | dollars, detected | |
| BED, BATH, AND BEYOND | 75896100 | COM | 28,100 | $1,849,823 | dollars, detected | The CUSIP as filed is malformed. |
| META PLATFORMS INC CL A | 30303M102 | COM | 22,000 | $1,738,880 | dollars, detected | |
| GILEAD SCIENCES INC | 375558AP8 | CORPORATE OBLIG | 355,293 | $1,664,425 | dollars, detected | principal |
| META PLATFORMS INC CL A | 30303M102 | COM | 20,000 | $1,580,800 | dollars, detected | call |
| TWITTER INC | 90184L102 | COM | 27,790 | $1,433,408 | dollars, detected | |
| Caterpillar Inc. | 149123101 | COM | 14,000 | $1,386,420 | dollars, detected | call |
| SPLUNK INC | 848637104 | COM | 25,000 | $1,384,000 | dollars, detected | |
| METLIFE INC COM | 59156R108 | Stock | 25,500 | $1,369,860 | dollars, detected | |
| Bank of America | 60505104 | COM | 73,000 | $1,244,650 | dollars, detected | The CUSIP as filed is malformed. |
| INTERDIGITAL INC COM | 45867G101 | Stock | 30,000 | $1,194,600 | dollars, detected | |
| Costco Wholesale Corporation | 22160K105 | COM | 9,000 | $1,127,880 | dollars, detected | |
| TWITTER INC | 90184L102 | COM | 20,000 | $1,031,600 | dollars, detected | call |
| Intel Corp | 458140100 | COM | 25,000 | $870,500 | dollars, detected | |
| MEDLEY CAP CORP | 58503F106 | COM | 71,752 | $847,391 | dollars, detected | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 814,245 | $811,127 | dollars, detected | principal |
| MGM RESORTS INTL | 55303QAE0 | CORPORATE OBLIG | 567,537 | $717,985 | dollars, detected | principal |
| ARES CAPITAL CORP | 04010L103 | COM | 42,900 | $693,264 | dollars, detected | |
| NEWMONT CORP | 651639106 | COM | 22,900 | $527,845 | dollars, detected | |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 359,122 | $442,371 | dollars, detected | principal |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 216,567 | $403,468 | dollars, detected | principal |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 34,500 | $399,855 | dollars, detected | |
| KCAP FINANCIAL INC | 48668E101 | COM | 47,000 | $390,570 | dollars, detected | |
| DDR CORP | 251591AX1 | NOTE | 331,494 | $383,342 | dollars, detected | principal |
| THL CREDIT INC | 872438106 | COM | 28,985 | $373,907 | dollars, detected | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 363,144 | $365,650 | dollars, detected | principal |
| Salesforce.com, Inc | 79466L302 | COM | 6,000 | $345,180 | dollars, detected | call |
| APPLE INC | 37833100 | COM | 3,400 | $342,550 | dollars, detected | putThe CUSIP as filed is malformed. |
| BlackRock Kelso Capital Corp | 92533108 | CS | 40,000 | $341,600 | dollars, detected | The CUSIP as filed is malformed. |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 35,943 | $329,957 | dollars, detected | |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 313,660 | $327,417 | dollars, detected | principal |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 200,436 | $301,010 | dollars, detected | principal |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 190,590 | $294,253 | dollars, detected | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 267,273 | $260,358 | dollars, detected | principal |
| RAMBUS INC DEL COM | 750917106 | Stock | 19,982 | $249,375 | dollars, detected | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 11,667 | $218,173 | dollars, detected | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 7,000 | $218,120 | dollars, detected | |
| HOME LN SERVICING SOLUTIONS | G6648D109 | ORD SHS | 10,000 | $211,900 | dollars, detected | |
| UNITED STATES STL CORP NEW | 912909AH1 | NOTE 2.750% 4/0 | 118,647 | $194,997 | dollars, detected | principal |
| AG MTG INVT TR INC COM | 1228105 | COM | 9,895 | $176,131 | dollars, detected | The CUSIP as filed is malformed. |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 152,727 | $148,720 | dollars, detected | principal |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 7,758 | $146,006 | dollars, detected | |
| Micron Technology,Inc. | 595112103 | COM | 4,000 | $137,040 | dollars, detected | |
| OMNICARE INC | 681904AL2 | DBCV 3.250%12/1 | 129,294 | $134,600 | dollars, detected | principal |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 124,753 | $123,304 | dollars, detected | principal |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 99,013 | $112,244 | dollars, detected | principal |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 104,493 | $103,383 | dollars, detected | principal |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 10,000 | $102,500 | dollars, detected | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 1,000 | $98,790 | dollars, detected | put |
| STELLUS CAP INVT CORP | 858568108 | COM | 7,015 | $97,438 | dollars, detected | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 74,738 | $81,229 | dollars, detected | principal |
| TESLA MOTORS INC 1.500 | 88160RAA9 | NOTE 1.500% 6/0 | 40,153 | $80,977 | dollars, detected | principal |
| UNITED STATES STL CORP NEW | 912909108 | COM | 2,000 | $78,340 | dollars, detected | put |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 5,559 | $76,603 | dollars, detected | |
| AMAZON.COM INC | 23135106 | COM | 220 | $70,937 | dollars, detected | putThe CUSIP as filed is malformed. |
| Intel Corp | 458140100 | COM | 2,000 | $69,640 | dollars, detected | put |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 4,500 | $61,110 | dollars, detected | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 4,387 | $59,049 | dollars, detected | |
| HEALTH CARE REIT INC | 42217KAR7 | NOTE | 46,312 | $56,977 | dollars, detected | principal |
| Caterpillar Inc. | 149123101 | COM | 500 | $49,515 | dollars, detected | put |
| HOME INNS & HOTELS MGMT INC | 43713WAB3 | NOTE 2.000%12/1 | 50,640 | $49,233 | dollars, detected | principal |
| VIRNETX HLDG CORP | 92823T108 | COM | 8,000 | $48,000 | dollars, detected | call |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 24,463 | $42,516 | dollars, detected | principal |
| Tesla Motors, Inc | 88160R101 | COM | 160 | $38,829 | dollars, detected | put |
| RYLAND GROUP INC | 783764103 | COM | 1,000 | $33,240 | dollars, detected | |
| Arbor RealtyTrust REIT USD0.01 | 38923108 | REIT | 4,455 | $30,027 | dollars, detected | The CUSIP as filed is malformed. |
| KEURIG GREEN MTN INC | 49271M100 | COM | 200 | $26,026 | dollars, detected | put |
| VIRNETX HLDG CORP | 92823T108 | COM | 2,824 | $16,944 | dollars, detected | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 1,900 | $16,777 | dollars, detected | |
| RYLAND GROUP INC | 783764103 | COM | 400 | $13,296 | dollars, detected | put |
| TOLL BROTHERS INC COM | 889478103 | Stock | 400 | $12,464 | dollars, detected | put |
| INTERDIGITAL INC COM | 45867G101 | Stock | 300 | $11,946 | dollars, detected | put |
| TIBCO SOFTWARE INC | 88632Q103 | COM | 500 | $11,815 | dollars, detected | put |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 220 | $10,201 | dollars, detected | put |
| Salesforce.com, Inc | 79466L302 | COM | 100 | $5,753 | dollars, detected | put |
| Full Circle Capital Corp. | 359671104 | COM | 835 | $5,336 | dollars, detected | |
| VIRNETX HLDG CORP | 92823T108 | COM | 800 | $4,800 | dollars, detected | put |
| EBAY INC. COM | 278642103 | Stock | 80 | $4,530 | dollars, detected | put |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 4,613 | $4,382 | dollars, detected | principal |
| TWITTER INC | 90184L102 | COM | 40 | $2,063 | dollars, detected | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001597694-14-000009 | this filing | 2014-11-12 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001597694-14-000011 | superseded | 2014-11-17 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001597694-14-000012 | base | 2014-11-18 | acceptance time not in the bulk data set |