13F-HR/A filed by MUFG Securities EMEA plc
MUFG Securities EMEA plc filed this 13F-HR/A for the quarter ended 2014-09-30, filed 2014-11-17, with 105 holding rows worth $669,994,000.
- Accession
- 0001597694-14-000011
- Filer
- CIK 1597694
- Filed
- 2014-11-17
- 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, amendment of type restatement, 135 entries on the cover page, a total value of $669,994,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $669,993,662 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. |
| GILEAD SCIENCES INC | 375558AP8 | CORPORATE OBLIG | 8,067,000 | $37,791,072 | dollars, detected | principal |
| Micron Technology,Inc. | 595112103 | COM | 1,100,000 | $37,686,000 | dollars, detected | call |
| APPLE INC | 37833100 | COM | 340,000 | $34,255,000 | dollars, detected | putThe CUSIP as filed is malformed. |
| MYLAN INC | 628530AJ6 | CORPORATE OBLIG | 9,955,000 | $33,942,867 | dollars, detected | principal |
| 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. |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 11,398,000 | $14,040,170 | dollars, detected | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 13,615,000 | $13,562,855 | dollars, detected | principal |
| MGM RESORTS INTL | 55303QAE0 | CORPORATE OBLIG | 10,543,000 | $13,337,844 | dollars, detected | principal |
| EBAY INC. COM | 278642103 | Stock | 200,000 | $11,326,000 | dollars, detected | call |
| OMNICARE INC | 681904AL2 | DBCV 3.250%12/1 | 10,070,000 | $10,483,273 | dollars, detected | principal |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 5,517,000 | $10,278,281 | dollars, detected | principal |
| TESLA MOTORS INC 1.500 | 88160RAA9 | NOTE 1.500% 6/0 | 5,000,000 | $10,083,600 | dollars, detected | principal |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 100,000 | $9,879,000 | dollars, detected | put |
| 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 |
| UNITED STATES STL CORP NEW | 912909108 | COM | 200,000 | $7,834,000 | dollars, detected | put |
| 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. |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 5,000,000 | $7,508,900 | dollars, detected | principal |
| ACTAVIS PLC | G0083B108 | SHS | 30,000 | $7,238,400 | dollars, detected | |
| AMAZON.COM INC | 23135106 | COM | 22,000 | $7,093,680 | dollars, detected | putThe CUSIP as filed is malformed. |
| Intel Corp | 458140100 | COM | 200,000 | $6,964,000 | dollars, detected | put |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 4,294,000 | $6,629,507 | dollars, detected | principal |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 6,000,000 | $6,263,160 | dollars, detected | principal |
| DDR CORP | 251591AX1 | NOTE | 5,000,000 | $5,782,050 | dollars, detected | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 5,500,000 | $5,537,950 | dollars, detected | principal |
| Visa Inc | 92826C839 | COM | 23,222 | $4,954,878 | dollars, detected | |
| Caterpillar Inc. | 149123101 | COM | 50,000 | $4,951,500 | dollars, detected | put |
| UNITED STATES STL CORP NEW | 912909AH1 | NOTE 2.750% 4/0 | 3,000,000 | $4,930,500 | dollars, detected | principal |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 4,338,000 | $4,714,755 | dollars, detected | principal |
| 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 | 16,000 | $3,882,880 | dollars, detected | put |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 3,500,000 | $3,409,455 | dollars, detected | principal |
| Tesla Motors, Inc | 88160R101 | COM | 13,850 | $3,361,118 | dollars, detected | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 3,375,000 | $3,339,124 | dollars, detected | principal |
| 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 | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 3,033,000 | $2,997,757 | dollars, detected | principal |
| HEALTH CARE REIT INC | 42217KAR7 | NOTE | 2,333,000 | $2,870,267 | dollars, detected | principal |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 1,500,000 | $2,606,985 | dollars, detected | principal |
| KEURIG GREEN MTN INC | 49271M100 | COM | 20,000 | $2,602,600 | dollars, detected | put |
| HOME INNS & HOTELS MGMT INC | 43713WAB3 | NOTE 2.000%12/1 | 2,500,000 | $2,430,550 | 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 | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 2,000,000 | $1,947,520 | dollars, detected | principal |
| 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 | |
| META PLATFORMS INC CL A | 30303M102 | COM | 20,000 | $1,580,800 | dollars, detected | call |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 1,660,000 | $1,577,050 | dollars, detected | principal |
| 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 | |
| RYLAND GROUP INC | 783764103 | COM | 40,000 | $1,329,600 | dollars, detected | put |
| TOLL BROTHERS INC COM | 889478103 | Stock | 40,000 | $1,246,400 | dollars, detected | put |
| 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 | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 30,000 | $1,194,600 | dollars, detected | put |
| TIBCO SOFTWARE INC | 88632Q103 | COM | 50,000 | $1,181,500 | dollars, detected | put |
| Costco Wholesale Corporation | 22160K105 | COM | 9,000 | $1,127,880 | dollars, detected | |
| TWITTER INC | 90184L102 | COM | 20,000 | $1,031,600 | dollars, detected | call |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 22,000 | $1,020,140 | dollars, detected | put |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 800,000 | $906,904 | dollars, detected | principal |
| Intel Corp | 458140100 | COM | 25,000 | $870,500 | dollars, detected | |
| MEDLEY CAP CORP | 58503F106 | COM | 71,752 | $847,391 | dollars, detected | |
| ARES CAPITAL CORP | 04010L103 | COM | 42,900 | $693,264 | dollars, detected | |
| Salesforce.com, Inc | 79466L302 | COM | 10,000 | $575,300 | dollars, detected | put |
| NEWMONT CORP | 651639106 | COM | 22,900 | $527,845 | dollars, detected | |
| VIRNETX HLDG CORP | 92823T108 | COM | 80,000 | $480,000 | dollars, detected | put |
| EBAY INC. COM | 278642103 | Stock | 8,000 | $453,040 | dollars, detected | put |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 34,500 | $399,855 | dollars, detected | |
| KCAP FINANCIAL INC | 48668E101 | COM | 47,000 | $390,570 | dollars, detected | |
| THL CREDIT INC | 872438106 | COM | 28,985 | $373,907 | dollars, detected | |
| Salesforce.com, Inc | 79466L302 | COM | 6,000 | $345,180 | dollars, detected | call |
| 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 | |
| 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 | |
| TWITTER INC | 90184L102 | COM | 4,000 | $206,320 | dollars, detected | put |
| AG MTG INVT TR INC COM | 1228105 | COM | 9,895 | $176,131 | dollars, detected | The CUSIP as filed is malformed. |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 7,758 | $146,006 | dollars, detected | |
| Micron Technology,Inc. | 595112103 | COM | 4,000 | $137,040 | dollars, detected | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 10,000 | $102,500 | dollars, detected | |
| STELLUS CAP INVT CORP | 858568108 | COM | 7,015 | $97,438 | dollars, detected | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 5,559 | $76,603 | dollars, detected | |
| 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 | |
| VIRNETX HLDG CORP | 92823T108 | COM | 8,000 | $48,000 | dollars, detected | call |
| 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. |
| VIRNETX HLDG CORP | 92823T108 | COM | 2,824 | $16,944 | dollars, detected | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 1,900 | $16,777 | dollars, detected | |
| Full Circle Capital Corp. | 359671104 | COM | 835 | $5,336 | dollars, detected |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001597694-14-000009 | superseded | 2014-11-12 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001597694-14-000011 | this filing | 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 |