Executive Director and Deputy Chief Compliance Officer

0001597694-14-000003.txt : 20140205 0001597694-14-000003.hdr.sgml : 20140205 20140205100505 ACCESSION NUMBER: 0001597694-14-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140205 DATE AS OF CHANGE: 20140205 EFFECTIVENESS DATE: 20140205 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Mitsubishi UFJ Securities International PLC CENTRAL INDEX KEY: 0001597694 IRS NUMBER: 980209105 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15731 FILM NUMBER: 14574733 BUSINESS ADDRESS: BUSINESS PHONE: (0)20 7628 5555 MAIL ADDRESS: STREET 1: ROPEMAKER PLACE STREET 2: 25 ROPEMAKER STREET CITY: LONDON STATE: X0 ZIP: EC2Y 9AJ 13F-HR 1 primary_doc.xml 13F-HR LIVE false true true 0001597694 XXXXXXXX 12-31-2013 12-31-2013 Mitsubishi UFJ Securities International PLC

ROPEMAKER PLACE 25 ROPEMAKER STREET LONDON X0 EC2Y 9AJ

13F HOLDINGS REPORT 028-15731 N George Mandl Executive Director and Deputy Chief Compliance Officer 2124057000 George Mandl New York NY 02-05-2014 0 54 206519 false INFORMATION TABLE 2 13FDecemberFinal1.xml General Motors *W 37045V118 13147 422182 SH SOLE None 422182 0 0 General Motors *W 37045V126 18769 811826 SH SOLE None 811826 0 0 Hartford Financial Services Group *W 416515120 1022 37105 SH SOLE None 37105 0 0 JP Morgan Chase and Co *W 46634E114 602 31072 SH SOLE None 31072 0 0 Aegerion Pharmaceuticals Inc COM 00767E102 852 12000 SH SOLE None 12000 0 0 Amazon Com Inc COM 023135106 399 1000 SH SOLE None 1000 0 0 Apple Inc COM 037833100 21375 38100 SH SOLE None 38100 0 0 Arbor Realty Trust Inc COM 038923108 318 47800 SH SOLE None 47800 0 0 Archer Daniels Midland Company COM 039483102 3741 86200 SH SOLE None 86200 0 0 Barrick Gold Corporation COM 067901108 1763 100000 SH SOLE None 100000 0 0 Chimera Investment Corp COM 16934Q109 217 70000 SH SOLE None 70000 0 0 Facebook Inc COM 30303M102 3170 58000 SH SOLE None 58000 0 0 Ford Motor Co COM 345370860 1543 100000 SH SOLE None 100000 0 0 Gilead Sciences Inc COM 375558103 5889 78415 SH SOLE None 78415 0 0 Intrexon Corporation COM 46122T102 1071 45000 SH SOLE None 45000 0 0 KeyCorp Common Shares COM 493267108 1342 100000 SH SOLE None 100000 0 0 LinkedIn Corporation COM 53578A108 2168 10000 SH SOLE None 10000 0 0 MANNKIND CORP COM 56400P201 260 50000 SH SOLE None 50000 0 0 Medidata Solutions Inc COM 58471A105 1180 19500 SH SOLE None 19500 0 0 MetLife Inc COM 59156R108 1078 20000 SH SOLE None 20000 0 0 Nicholas Financial Incorporated COM 65373J209 370 23500 SH SOLE None 23500 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 760 50000 SH SOLE None 50000 0 0 Pandora Media Incorporated COM 698354107 45 1679 SH SOLE None 1679 0 0 Rambus Inc COM 750917106 190 20082 SH SOLE None 20082 0 0 Regions Financial Corporation COM 7591EP100 1978 200000 SH SOLE None 200000 0 0 Strategic Global Income Fund COM 862719101 17 1900 SH SOLE None 1900 0 0 The Ryland Group Inc COM 783764103 217 5000 SH SOLE None 5000 0 0 Toll Brothers Inc COM 889478103 185 5000 SH SOLE None 5000 0 0 VALERO ENERGY CORP COM 91913Y100 2040 40474 SH SOLE None 40474 0 0 Virnetx Holding Corporation COM 92823T108 1280 65925 SH SOLE None 65925 0 0 AGCO CORPORATION Note AGCO 1 1/4 12/15/36 001084AM4 534 370000 PRN SOLE None 370000 0 0 ALLEGHENY TECHNOLOGIES Note ATI 4 1/4 06/01/14 01741RAD4 1497 1453000 PRN SOLE None 1453000 0 0 ALLIANCE DATA SYSTEMS CORPORATION Note ADS 4 3/4 05/15/14 018581AC2 21690 4000000 PRN SOLE None 4000000 0 0 ALLIANT TECHSYSTEMS INCORPORATED Note ATK 3 08/15/24 018804AK0 7988 5000000 PRN SOLE None 5000000 0 0 American Realty Capital Properties Note ARCP 3 08/01/18 02917TAA2 6000 6000000 PRN SOLE None 6000000 0 0 CHART INDUSTRIES INCORPORATED Note GTLS 2 08/01/18 16115QAC4 1540 1000000 PRN SOLE None 1000000 0 0 COMTECH TELECOMMUNICATIONS CORP Note CMTL 3 05/01/29 205826AF7 1588 1500000 PRN SOLE None 1500000 0 0 COVANTA HOLDING CORPORATION Note CVA 3 1/4 06/01/14 22282EAC6 12 10000 PRN SOLE None 10000 0 0 ELECTRONIC ARTS INCORPORATED Note EA 0 3/4 07/15/16 285512AA7 3188 3000000 PRN SOLE None 3000000 0 0 ENDO HEALTH SOLUTIONS INCOPORATED Note ENDP 1 3/4 04/15/15 29264FAB2 5681 2500000 PRN SOLE None 2500000 0 0 GENERAL CABLE CORPORATION Note BGC 4 1/2 11/15/29 369300AL2 1616 1500000 PRN SOLE None 1500000 0 0 Gilead Sciences Inc Note GILD 1 5/8 05/01/16 375558AP8 30 9000 PRN SOLE None 9000 0 0 LEUCADIA NATIONAL CORPORATION Note JEF 3 7/8 11/01/29 472319AG7 586 555000 PRN SOLE None 555000 0 0 LEAP WIRELESS INTERNATIONAL INC Note LEAP 4 1/2 07/15/14 521863AL4 6936 6800000 PRN SOLE None 6800000 0 0 LIVE NATION ENTERTAINMENT Note LYV 2 7/8 07/15/27 538034AB5 2626 2590000 PRN SOLE None 2590000 0 0 MGM RESORTS INTL Note MGM 4 1/4 04/15/15 55303QAE0 13731 10000000 PRN SOLE None 10000000 0 0 Omnicare Inc Note OCR 3 1/4 12/15/35 681904AL2 6523 6096000 PRN SOLE None 6096000 0 0 Rambus Inc Note RMBS 5 06/15/14 750917AC0 2578 2531000 PRN SOLE None 2531000 0 0 Redwood Trust Inc Note RWT 4 5/8 04/15/18 758075AB1 4924 4723000 PRN SOLE None 4723000 0 0 REGIS CORPORATION Note RGS 5 07/15/14 758932AA5 2104 2000000 PRN SOLE None 2000000 0 0 SANDISK CORPORATION Note SNDK 1 1/2 08/15/17 80004CAD3 7394 5000000 PRN SOLE None 5000000 0 0 SUNPOWER CORP Note SPWR 4 1/2 03/15/15 867652AE9 3259 2324000 PRN SOLE None 2324000 0 0 TAKE TWO INTERCATIVE SOFTWARE INC Note TTWO 1 3/4 12/01/16 874054AC3 57 48000 PRN SOLE None 48000 0 0 TESLA MOTORS INC Note TSLA 1 1/2 06/01/18 88160RAA9 17449 12500000 PRN SOLE None 12500000 0 0