Executive Director

0001597694-14-000005.txt : 20140801 0001597694-14-000005.hdr.sgml : 20140801 20140801092356 ACCESSION NUMBER: 0001597694-14-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140801 DATE AS OF CHANGE: 20140801 EFFECTIVENESS DATE: 20140801 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: 141008306 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 false 0001597694 XXXXXXXX 06-30-2014 06-30-2014 Mitsubishi UFJ Securities International PLC

ROPEMAKER PLACE 25 ROPEMAKER STREET LONDON X0 EC2Y 9AJ

13F HOLDINGS REPORT 028-15731 N George Mandl Executive Director 2124057000 George Mandl New York NY 08-01-2014 0 148 1167247 false INFORMATION TABLE 2 June2014.xml Ryland Group Inc/The COM 783764103 552160 14000 SH SOLE None 552160 0 0 Micron Technology Inc COM 595112103 26360000 800000 SH SOLE None 26360000 0 0 SPDR S&P 500 ETF Trust COM 78462F103 195720000 1000000 SH SOLE None 195720000 0 0 VirnetX Holding Corp COM 92823T108 140880 8000 SH SOLE None 140880 0 0 Visa Inc COM 92826C839 21071000 100000 SH SOLE None 21071000 0 0 Agilent Technologies Inc COM 00846U101 11488000 200000 SH SOLE None 11488000 0 0 Agilent Technologies Inc COM 00846U101 40208000 700000 SH SOLE None 40208000 0 0 American Airlines Group Inc COM 02376R102 17184000 400000 SH SOLE None 17184000 0 0 AngloGold Ashanti Ltd COM 35128206 4990900 290000 SH SOLE None 4990900 0 0 AngloGold Ashanti Ltd COM 35128206 6884000 400000 SH SOLE None 6884000 0 0 Apple Inc COM 37833100 3717200 40000 SH SOLE None 3717200 0 0 Apple Inc COM 37833100 929300 10000 SH SOLE None 929300 0 0 Apple Inc COM 37833100 5575800 60000 SH SOLE None 5575800 0 0 Apple Inc COM 37833100 6505100 70000 SH SOLE None 6505100 0 0 Apple Inc COM 37833100 7434400 80000 SH SOLE None 7434400 0 0 Apple Inc COM 37833100 18586000 200000 SH SOLE None 18586000 0 0 Apple Inc COM 37833100 2602040 28000 SH SOLE None 2602040 0 0 Apple Inc COM 37833100 37971198 408600 SH SOLE None 37971198 0 0 Apple Inc COM 37833100 45015292 484400 SH SOLE None 45015292 0 0 Apple Inc COM 37833100 4646500 50000 SH SOLE None 4646500 0 0 Apple Inc COM 37833100 13939500 150000 SH SOLE None 13939500 0 0 Bank of America Corp COM 60505104 15984800 1040000 SH SOLE None 15984800 0 0 Bank of America Corp COM 60505104 1844400 120000 SH SOLE None 1844400 0 0 Bank of America Corp COM 60505104 2459200 160000 SH SOLE None 2459200 0 0 Barrick Gold Corp COM 67901108 10980000 600000 SH SOLE None 10980000 0 0 Barrick Gold Corp COM 67901108 183000 10000 SH SOLE None 183000 0 0 Barrick Gold Corp COM 67901108 11565600 632000 SH SOLE None 11565600 0 0 Caterpillar Inc COM 149123101 1086700 10000 SH SOLE None 1086700 0 0 Facebook Inc COM 30303M102 672900 10000 SH SOLE None 672900 0 0 Facebook Inc COM 30303M102 13458000 200000 SH SOLE None 13458000 0 0 General Motors Co COM 37045V100 36300000 1000000 SH SOLE None 36300000 0 0 Hewlett-Packard Co COM 428236103 6736000 200000 SH SOLE None 6736000 0 0 Market Vectors Gold Miners ETF COM 57060U100 264500 10000 SH SOLE None 264500 0 0 Market Vectors Gold Miners ETF COM 57060U100 264500 10000 SH SOLE None 264500 0 0 Pandora Media Inc COM 698354107 5864600 198800 SH SOLE None 5864600 0 0 Ryland Group Inc/The COM 783764103 236640 6000 SH SOLE None 236640 0 0 Tesla Motors Inc COM 88160R101 1920480 8000 SH SOLE None 1920480 0 0 Tesla Motors Inc COM 88160R101 3360840 14000 SH SOLE None 3360840 0 0 Toll Brothers Inc COM 889478103 369000 10000 SH SOLE None 369000 0 0 Toll Brothers Inc COM 889478103 221400 6000 SH SOLE None 221400 0 0 Twitter Inc COM 90184L102 409700 10000 SH SOLE None 409700 0 0 Twitter Inc COM 90184L102 245820 6000 SH SOLE None 245820 0 0 Twitter Inc COM 90184L102 819400 20000 SH SOLE None 819400 0 0 Twitter Inc COM 90184L102 409700 10000 SH SOLE None 409700 0 0 Twitter Inc COM 90184L102 983280 24000 SH SOLE None 983280 0 0 Valero Energy Corp COM 91913Y100 10020000 200000 SH SOLE None 10020000 0 0 VirnetX Holding Corp COM 92823T108 1204524 68400 SH SOLE None 1204524 0 0 VirnetX Holding Corp COM 92823T108 1056600 60000 SH SOLE None 1056600 0 0 VirnetX Holding Corp COM 92823T108 105660 6000 SH SOLE None 105660 0 0 VirnetX Holding Corp COM 92823T108 105660 6000 SH SOLE None 105660 0 0 Ryland Group Inc/The COM 783764103 394400 10000 SH SOLE None 394400 0 0 Apple Inc COM 37833100 33454800 360000 SH SOLE None 33454800 0 0 Apple Inc COM 37833100 1858600 20000 SH SOLE None 1858600 0 0 Apple Inc COM 37833100 26317776 283200 SH SOLE None 26317776 0 0 Apple Inc COM 37833100 22303200 240000 SH SOLE None 22303200 0 0 Bank of America Corp COM 60505104 860720 56000 SH SOLE None 860720 0 0 Bank of America Corp COM 60505104 614800 40000 SH SOLE None 614800 0 0 Bank of America Corp COM 60505104 307400 20000 SH SOLE None 307400 0 0 Caterpillar Inc COM 149123101 738956 6800 SH SOLE None 738956 0 0 Citigroup Inc COM 172967424 4710000 100000 SH SOLE None 4710000 0 0 Hewlett-Packard Co COM 428236103 6736000 200000 SH SOLE None 6736000 0 0 MetLife Inc COM 59156R108 1111200 20000 SH SOLE None 1111200 0 0 Ryland Group Inc/The COM 783764103 788800 20000 SH SOLE None 788800 0 0 3D Systems Corp COM 88554D205 358800 6000 SH SOLE None 358800 0 0 3D Systems Corp COM 88554D205 358800 6000 SH SOLE None 358800 0 0 Twitter Inc COM 90184L102 6145500 150000 SH SOLE None 6145500 0 0 VirnetX Holding Corp COM 92823T108 352200 20000 SH SOLE None 352200 0 0 SunTrust Banks Inc *W 867914103 632948 15800 SH SOLE None 632948 0 0 AG Mortgage Investment Trust I COM 1228105 189300 10000 SH SOLE None 189300 0 0 Aegerion Pharmaceuticals Inc COM 00767E102 1251510 39000 SH SOLE None 1251510 0 0 Amazon.com Inc COM 23135106 324780 1000 SH SOLE None 324780 0 0 American Capital Mortgage Inve COM 02504A104 355515 17758 SH SOLE None 355515 0 0 Apple Inc COM 37833100 41976481 451700 SH SOLE None 41976481 0 0 Arbor Realty Trust Inc COM 38923108 332210 47800 SH SOLE None 332210 0 0 Ares Capital Corp COM 04010L103 1086781 60850 SH SOLE None 1086781 0 0 Aspen Aerogels Inc COM 04523Y105 55250 5000 SH SOLE None 55250 0 0 Bank of America Corp COM 60505104 1736810 113000 SH SOLE None 1736810 0 0 BlackRock Kelso Capital Corp COM 92533108 364400 40000 SH SOLE None 364400 0 0 Bluebird Bio Inc COM 09609G100 2024925 52500 SH SOLE None 2024925 0 0 Caterpillar Inc COM 149123101 1086700 10000 SH SOLE None 1086700 0 0 Cherry Hill Mortgage Investmen COM 164651101 316128 15767 SH SOLE None 316128 0 0 Costco Wholesale Corp COM 22160K105 806120 7000 SH SOLE None 806120 0 0 Facebook Inc COM 30303M102 1278510 19000 SH SOLE None 1278510 0 0 Fifth Street Finance Corp COM 31678A103 492483 50100 SH SOLE None 492483 0 0 Full Circle Capital Corp COM 359671104 6521 835 SH SOLE None 6521 0 0 General Electric Co COM 369604103 4940640 188000 SH SOLE None 4940640 0 0 General Motors Co COM 37045V100 1815000 50000 SH SOLE None 1815000 0 0 Gilead Sciences Inc COM 375558103 7047350 85000 SH SOLE None 7047350 0 0 Hertz Global Holdings Inc COM 42805T105 700750 25000 SH SOLE None 700750 0 0 Horizon Technology Finance Cor COM 44045A102 64138 4387 SH SOLE None 64138 0 0 Hornbeck Offshore Services Inc COM 440543106 582465 12414 SH SOLE None 582465 0 0 InterDigital Inc/PA COM 45867G101 1577400 33000 SH SOLE None 1577400 0 0 KCAP Financial Inc COM 48668E101 399030 47000 SH SOLE None 399030 0 0 Liberty Media Corp COM 531229102 1025100 7500 SH SOLE None 1025100 0 0 Medley Capital Corp COM 58503F106 1590081 121752 SH SOLE None 1590081 0 0 Merck & Co Inc COM 58933Y105 4338750 75000 SH SOLE None 4338750 0 0 MetLife Inc COM 59156R108 1555680 28000 SH SOLE None 1555680 0 0 NetApp Inc COM 64110D104 1826000 50000 SH SOLE None 1826000 0 0 Nicholas Financial Inc COM 65373J209 495420 34500 SH SOLE None 495420 0 0 NIKE Inc COM 654106103 535095 6900 SH SOLE None 535095 0 0 OpenTable Inc COM 68372A104 2072000 20000 SH SOLE None 2072000 0 0 Pacific Coast Oil Trust COM 694103102 130600 10000 SH SOLE None 130600 0 0 PennantPark Floating Rate Capi COM 70806A106 79438 5559 SH SOLE None 79438 0 0 Permian Basin Royalty Trust COM 714236106 64125 4500 SH SOLE None 64125 0 0 Prospect Capital Corp COM 74348T102 1934929 182111 SH SOLE None 1934929 0 0 Rambus Inc COM 750917106 285743 19982 SH SOLE None 285743 0 0 Ryland Group Inc/The COM 783764103 631040 16000 SH SOLE None 631040 0 0 Stellus Capital Investment Cor COM 858568108 106635 7259 SH SOLE None 106635 0 0 Strategic Global Income Fund I COM 862719101 17765 1900 SH SOLE None 17765 0 0 SunEdison Inc COM 86732Y109 9548500 422500 SH SOLE None 9548500 0 0 THL Credit Inc COM 872438106 405790 28985 SH SOLE None 405790 0 0 Toll Brothers Inc COM 889478103 295200 8000 SH SOLE None 295200 0 0 Twitter Inc COM 90184L102 1126675 27500 SH SOLE None 1126675 0 0 Valero Energy Corp COM 91913Y100 1401497 27974 SH SOLE None 1401497 0 0 Verizon Communications Inc COM 92343V104 1061634 21697 SH SOLE None 1061634 0 0 VirnetX Holding Corp COM 92823T108 784068 44524 SH SOLE None 784068 0 0 Visa Inc COM 92826C839 157871728 749237 SH SOLE None 157871728 0 0 Yahoo! Inc COM 984332106 2459100 70000 SH SOLE None 2459100 0 0 SINA Corp/China COM G81477104 3981600 80000 SH SOLE None 3981600 0 0 AMERICAN REALTY CAP PROP Note ARCP 3 08/01/18 02917TAA2 9768648 9615000 PRN SOLE None 9768648 0 0 AMERICAN REALTY CAP PROP Note ARCP 3 3/4 12/15/20 02917TAB0 1042200 1000000 PRN SOLE None 1042200 0 0 ARES CAPITAL CORP Note ARCC 5 3/4 02/01/16 04010LAB9 4803259 4491000 PRN SOLE None 4803259 0 0 DDR CORP Note DDR 1 3/4 11/15/40 251591AX1 8279724 6900000 PRN SOLE None 8279724 0 0 ELECTRONIC ARTS INC Note EA 0 3/4 07/15/16 285512AA7 10806644 8575000 PRN SOLE None 10806644 0 0 ENDO HEALTH SOLUTIONS Note ENDP 1 3/4 04/15/15 29264FAB2 9055696 3786000 PRN SOLE None 9055696 0 0 HOME INNS HTL MNGMT INC Note HMIN 2 12/15/15 43713WAB3 3954720 4000000 PRN SOLE None 3954720 0 0 MGM RESORTS INTL Note MGM 4 1/4 04/15/15 55303QAE0 6505121 4416000 PRN SOLE None 6505121 0 0 MICROCHIP TECHNOLOGY INC Note MCHP 2 1/8 12/15/37 595017AB0 21034200 11000000 PRN SOLE None 21034200 0 0 MYLAN INC Note MYL 3 3/4 09/15/15 628530AJ6 34868882 9026000 PRN SOLE None 34868882 0 0 OMNICARE INC Note OCR 3 1/4 12/15/35 681904AL2 9867936 9247000 PRN SOLE None 9867936 0 0 REDWOOD TRUST INC Note RWT 4 5/8 04/15/18 758075AB1 1145520 1105000 PRN SOLE None 1145520 0 0 REGIS CORP Note RGS 5 07/15/14 758932AA5 3593125 3575000 PRN SOLE None 3593125 0 0 ROVI CORP Note ROVI 2 5/8 02/15/40 779376AB8 10142 10000 PRN SOLE None 10142 0 0 SERVICENOW INC Note NOW 0 11/01/18 81762PAA0 1103270 1000000 PRN SOLE None 1103270 0 0 SINA CORP Note SINA 1 12/01/18 82922RAC7 5430242 5900000 PRN SOLE None 5430242 0 0 SPIRIT REALTY CAPITAL IN Note SRC 2 7/8 05/15/19 84860WAA0 8515215 8500000 PRN SOLE None 8515215 0 0 SPIRIT REALTY CAPITAL IN Note SRC 3 3/4 05/15/21 84860WAB8 7134009 7100000 PRN SOLE None 7134009 0 0 STANDARD PACIFIC CORP Note SPF 1 1/4 08/01/32 85375CBC4 3109186 2462000 PRN SOLE None 3109186 0 0 SUNPOWER CORP Note SPWR 4 1/2 03/15/15 867652AE9 7082152 3850000 PRN SOLE None 7082152 0 0 TESLA MOTORS INC Note TSLA 1 1/2 06/01/18 88160RAA9 7588538 3750000 PRN SOLE None 7588538 0 0 TESLA MOTORS INC Note TSLA 0 1/4 03/01/19 88160RAB7 2927160 3000000 PRN SOLE None 2927160 0 0 TESLA MOTORS INC Note TSLA 1 1/4 03/01/21 88160RAC5 4742857 4900000 PRN SOLE None 4742857 0 0 UNITED STATES STEEL CORP Note X 2 3/4 04/01/19 912909AH1 1870005 1500000 PRN SOLE None 1870005 0 0 WEBMD HEALTH CORP Note WBMD 2 1/2 01/31/18 94770VAF9 736204 700000 PRN SOLE None 736204 0 0 WEBMD HEALTH CORP Note WBMD 1 1/2 12/01/20 94770VAJ1 2790750 2500000 PRN SOLE None 2790750 0 0 YANDEX NV Note YNDX 1 1/8 12/15/18 98474TAA5 2473100 2500000 PRN SOLE None 2473100 0 0 Anglogold Ashanti Ltd ADR COM 35128206 4990900 290000 SH SOLE None 4990900 0 0 Anglogold Ashanti Ltd ADR COM 35128206 6884000 400000 SH SOLE None 6884000 0 0