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 2014-11-18, with 105 holding rows worth $669,999,000.
- Accession
- 0001597694-14-000012
- Filer
- CIK 1597694
- Filed
- 2014-11-18
- 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 $669,999,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $669,999,000 with VALUE read as thousands by filing date, 13F file number 028-15731. The quarter's positions are built on this report. 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 | 037833900 | CALL | 1,473,000 | $148,407,000 | thousands by filing date | call |
| GILEAD SCIENCES INC | 375558AP8 | CORPORATE OBLIG | 8,067,000 | $37,791,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112903 | CALL | 1,100,000 | $37,686,000 | thousands by filing date | call |
| APPLE INC | 037833950 | PUT | 340,000 | $34,255,000 | thousands by filing date | put |
| MYLAN INC | 628530AJ6 | CORPORATE OBLIG | 9,955,000 | $33,943,000 | thousands by filing date | principal |
| GENERAL MTRS CO | 37045V900 | CALL | 1,000,000 | $31,940,000 | thousands by filing date | call |
| BANK OF AMER CORP | 060505904 | CALL | 1,000,000 | $17,050,000 | thousands by filing date | call |
| GILEAD SCIENCES INC | 375558903 | COM | 150,000 | $15,968,000 | thousands by filing date | call |
| APPLE INC | 37833100 | COM | 153,700 | $15,485,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 11,398,000 | $14,040,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 13,615,000 | $13,563,000 | thousands by filing date | principal |
| MGM RESORTS INTL | 55303QAE0 | CORPORATE OBLIG | 10,543,000 | $13,338,000 | thousands by filing date | principal |
| EBAY INC. | 278642903 | CALL | 200,000 | $11,326,000 | thousands by filing date | call |
| OMNICARE INC | 681904AL2 | DBCV 3.250%12/1 | 10,070,000 | $10,483,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 5,517,000 | $10,278,000 | thousands by filing date | principal |
| TESLA MOTORS INC 1.500 | 88160RAA9 | NOTE 1.500% 6/0 | 5,000,000 | $10,084,000 | thousands by filing date | principal |
| POWERSHARES QQQ NASDAQ 100 | 73935A954 | COM | 100,000 | $9,879,000 | thousands by filing date | put |
| BARRICK GOLD CORP | 067901908 | COM | 600,000 | $8,796,000 | thousands by filing date | call |
| YAHOO! INC | 984332906 | COM | 200,000 | $8,150,000 | thousands by filing date | call |
| UNITED STATES STEEL CORP | 912909958 | COM | 200,000 | $7,834,000 | thousands by filing date | put |
| ANGLOGOLD ASHANTI-SPON ADR | 035128906 | COM | 650,000 | $7,800,000 | thousands by filing date | call |
| AMAZON COM INC | 023135906 | CALL | 24,000 | $7,739,000 | thousands by filing date | call |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 5,000,000 | $7,509,000 | thousands by filing date | principal |
| ACTAVIS PLC | G0083B108 | SHS | 30,000 | $7,238,000 | thousands by filing date | |
| AMAZON COM INC | 023135956 | PUT | 22,000 | $7,094,000 | thousands by filing date | put |
| INTEL CORP | 458140950 | PUT | 200,000 | $6,964,000 | thousands by filing date | put |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 4,294,000 | $6,630,000 | thousands by filing date | principal |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 6,000,000 | $6,263,000 | thousands by filing date | principal |
| DDR CORP | 251591AX1 | NOTE | 5,000,000 | $5,782,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 5,500,000 | $5,538,000 | thousands by filing date | principal |
| Visa Inc | 92826C839 | COM | 23,222 | $4,955,000 | thousands by filing date | |
| CATERPILLAR INC | 149123951 | PUT | 50,000 | $4,952,000 | thousands by filing date | put |
| UNITED STATES STL CORP NEW | 912909AH1 | NOTE 2.750% 4/0 | 3,000,000 | $4,931,000 | thousands by filing date | principal |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 4,338,000 | $4,715,000 | thousands by filing date | principal |
| SUNEDISON INC | 86732Y109 | COM | 243,400 | $4,595,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 95,000 | $3,908,000 | thousands by filing date | |
| TESLA INC | 88160R951 | PUT | 16,000 | $3,883,000 | thousands by filing date | put |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 3,500,000 | $3,409,000 | thousands by filing date | principal |
| Tesla Motors, Inc | 88160R101 | COM | 13,850 | $3,361,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 3,375,000 | $3,339,000 | thousands by filing date | principal |
| AMAZON.COM INC | 23135106 | COM | 10,000 | $3,224,000 | thousands by filing date | The CUSIP as filed is malformed. |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 42,500 | $3,088,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 3,033,000 | $2,998,000 | thousands by filing date | principal |
| HEALTH CARE REIT INC | 42217KAR7 | NOTE | 2,333,000 | $2,870,000 | thousands by filing date | principal |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 1,500,000 | $2,607,000 | thousands by filing date | principal |
| KEURIG GREEN MTN INC | 49271M950 | Cmn | 20,000 | $2,603,000 | thousands by filing date | put |
| HOME INNS & HOTELS MGMT INC | 43713WAB3 | NOTE 2.000%12/1 | 2,500,000 | $2,431,000 | thousands by filing date | principal |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 27,000 | $2,399,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 60,000 | $2,350,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 218,315 | $2,161,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229102 | CL A | 43,600 | $2,057,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 50,000 | $2,038,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 2,000,000 | $1,948,000 | thousands by filing date | principal |
| Oracle Corporation | 68389X105 | COM | 50,000 | $1,914,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 40,474 | $1,873,000 | thousands by filing date | |
| BED, BATH, AND BEYOND | 75896100 | COM | 28,100 | $1,850,000 | thousands by filing date | The CUSIP as filed is malformed. |
| META PLATFORMS INC CL A | 30303M102 | COM | 22,000 | $1,739,000 | thousands by filing date | |
| META PLATFORMS INC | 30303M902 | CALL | 20,000 | $1,581,000 | thousands by filing date | call |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 1,660,000 | $1,577,000 | thousands by filing date | principal |
| TWITTER INC | 90184L102 | COM | 27,790 | $1,433,000 | thousands by filing date | |
| CATERPILLAR INC | 149123901 | CALL | 14,000 | $1,386,000 | thousands by filing date | call |
| SPLUNK INC | 848637104 | COM | 25,000 | $1,384,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 25,500 | $1,370,000 | thousands by filing date | |
| RYLAND GROUP INC/THE | 783764953 | COM | 40,000 | $1,330,000 | thousands by filing date | put |
| TOLL BROTHERS INC | 889478953 | COM | 40,000 | $1,246,000 | thousands by filing date | put |
| Bank of America | 60505104 | COM | 73,000 | $1,245,000 | thousands by filing date | The CUSIP as filed is malformed. |
| INTERDIGITAL INC COM | 45867G101 | Stock | 30,000 | $1,195,000 | thousands by filing date | |
| INTERDIGITAL INC | 45867G951 | PUT | 30,000 | $1,194,000 | thousands by filing date | put |
| TIBCO SOFTWARE INC | 88632Q953 | COM | 50,000 | $1,182,000 | thousands by filing date | put |
| Costco Wholesale Corporation | 22160K105 | COM | 9,000 | $1,128,000 | thousands by filing date | |
| TWITTER INC | 90184L902 | COM | 20,000 | $1,032,000 | thousands by filing date | call |
| 3D SYS CORP DEL | 88554D955 | COM NEW | 22,000 | $1,020,000 | thousands by filing date | put |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 800,000 | $907,000 | thousands by filing date | principal |
| Intel Corp | 458140100 | COM | 25,000 | $871,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 71,752 | $847,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 42,900 | $693,000 | thousands by filing date | |
| SALESFORCE INC | 79466L952 | PUT | 10,000 | $575,000 | thousands by filing date | put |
| NEWMONT CORP | 651639106 | COM | 22,900 | $528,000 | thousands by filing date | |
| VIRNETX HOLDING CORP CMN STOCK | 92823T958 | Cmn | 80,000 | $480,000 | thousands by filing date | put |
| EBAY INC. | 278642953 | PUT | 8,000 | $453,000 | thousands by filing date | put |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 34,500 | $400,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 47,000 | $391,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 28,985 | $374,000 | thousands by filing date | |
| SALESFORCE INC | 79466L902 | CALL | 6,000 | $345,000 | thousands by filing date | call |
| BlackRock Kelso Capital Corp | 92533108 | CS | 40,000 | $342,000 | thousands by filing date | The CUSIP as filed is malformed. |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 35,943 | $330,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 19,982 | $249,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 7,000 | $218,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 11,667 | $218,000 | thousands by filing date | |
| HOME LN SERVICING SOLUTIONS | G6648D109 | ORD SHS | 10,000 | $212,000 | thousands by filing date | |
| TWITTER INC | 90184L952 | COM | 4,000 | $206,000 | thousands by filing date | put |
| AG MTG INVT TR INC COM | 1228105 | COM | 9,895 | $176,000 | thousands by filing date | The CUSIP as filed is malformed. |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 7,758 | $146,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 4,000 | $137,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 10,000 | $103,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 7,015 | $97,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 5,559 | $77,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 4,500 | $61,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 4,387 | $59,000 | thousands by filing date | |
| VIRNETX HOLDING CORP CMN STOCK | 92823T908 | Cmn | 8,000 | $48,000 | thousands by filing date | call |
| RYLAND GROUP INC | 783764103 | COM | 1,000 | $33,000 | thousands by filing date | |
| Arbor RealtyTrust REIT USD0.01 | 38923108 | REIT | 4,455 | $30,000 | thousands by filing date | The CUSIP as filed is malformed. |
| VIRNETX HLDG CORP | 92823T108 | COM | 2,824 | $17,000 | thousands by filing date | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 1,900 | $17,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 835 | $5,000 | thousands by filing date |
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 | superseded | 2014-11-17 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001597694-14-000012 | this filing | 2014-11-18 | acceptance time not in the bulk data set |