0001545545-12-000006.txt : 20120815 0001545545-12-000006.hdr.sgml : 20120815 20120814195011 ACCESSION NUMBER: 0001545545-12-000006 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120815 DATE AS OF CHANGE: 20120814 EFFECTIVENESS DATE: 20120815 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. CENTRAL INDEX KEY: 0001545545 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-14928 FILM NUMBER: 121035034 BUSINESS ADDRESS: STREET 1: MEJIRODAI BLDG., 3-29-20 STREET 2: MEJIRODAI, BUNKYO-KU CITY: TOKYO STATE: M0 ZIP: 112-8688 BUSINESS PHONE: 81-3-6742-1040 MAIL ADDRESS: STREET 1: MEJIRODAI BLDG., 3-29-20 STREET 2: MEJIRODAI, BUNKYO-KU CITY: TOKYO STATE: M0 ZIP: 112-8688 13F-HR/A 1 mumss201203.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: Mar 31, 2012 ------------------- Check here if Amendment [ X ]; Amendment Number: 01 --- This Amendment (Check only one.): [ X ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. ---------------------------------------------------- Address: Mejirodai Bldg., 3-29-20, Mejirodai, Bunkyo-ku, ---------------------------------------------------- Tokyo , 112 - 8688, Japan ---------------------------------------------------- Form 13F File Number: 28-14928 ---------- The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager Name: Tetsurou Shinohara --------------------------------------------- Title: General Manager, Corporate Planning Division --------------------------------------------- Phone: 81-3-6742-1040 --------------------------------------------- Signature, Place, and Date of Signing: /s/ Tetsurou Shinohara, Tokyo, Japan Aug 14, 2012 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 --------- Form 13F Information Table Entry Total: 224 --------- Form 13F Information Table Value Total: 207,648 --------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name 01 28- 13582 Mitsubishi UFJ Financial Group, Inc. 02 28- 13570 Mitsubishi UFJ Securities Holdings Co., Ltd. ------------------------------------------------------------------------- ------------------------------------------------------------------------- FORM 13F INFORMATION TABLE ---------------------------- ------------------ --------- ---------- -------------------- --------- ------- ---------------------- COLUMN1 COLUMN2 COLUMN3 COLUMN4 COLUMN5 COLUMN6 COLUMN7 COLUMN8 ---------------------------- ------------------ --------- ---------- ----------- --- ---- --------- ------- ---------------------- NAME OF TITLE VALUE SHRS OR SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRM CALL DSCRETN MANAGER SOLE SHARED NONE ---------------------------- ------------------ --------- ---------- ----------- --- ---- --------- ------- ---------------------- 3M CO COM 88579Y101 55 620 SH DEFINED 01 02 620 0 0 ABBOTT LABS COM 002824100 8 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TOOL WKS COM 452308109 25 430 SH DEFINED 01 02 430 0 0 INFOSYS ADR 456788108 14 240 SH DEFINED 01 02 240 0 0 INTEL CORP COM 458140100 339 12,070 SH DEFINED 01 02 12,070 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 75 360 SH DEFINED 01 02 360 0 0 INTERNATIONAL GAME TECHNOLOG COM 459902102 6 350 SH DEFINED 01 02 350 0 0 INTUIT COM 461202103 89 1,480 SH DEFINED 01 02 1,480 0 0 INTUITIVE SURGICAL COM 46120E602 43 80 SH DEFINED 01 02 80 0 0 INVESCO COM G491BT108 111 4,180 SH DEFINED 01 02 4,180 0 0 IRON MTN COM 462846106 4 130 SH DEFINED 01 02 130 0 0 ISHARES MSCI JAPAN 464286848 1 55 SH DEFINED 01 02 55 0 0 JOHNSON & JOHNSON COM 478160104 113 1,720 SH DEFINED 01 02 1,720 0 0 JPMORGAN CHASE & CO COM 46625H100 186 4,040 SH DEFINED 01 02 4,040 0 0 KEYCORP COM 493267108 29 3,410 SH DEFINED 01 02 3,410 0 0 KIMCO RLTY CORP COM 49446R109 40 2,060 SH DEFINED 01 02 2,060 0 0 KKR & CO L P DEL COM 48248M102 110 7,400 SH DEFINED 01 02 7,400 0 0 KLA-TENCOR CORP COM 482480100 60 1,110 SH DEFINED 01 02 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