Executive Director

0001597694-14-000011.txt : 20141117 0001597694-14-000011.hdr.sgml : 20141117 20141117122125 ACCESSION NUMBER: 0001597694-14-000011 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141117 DATE AS OF CHANGE: 20141117 EFFECTIVENESS DATE: 20141117 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Mitsubishi UFJ Securities International PLC CENTRAL INDEX KEY: 0001597694 IRS NUMBER: 980209105 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-15731 FILM NUMBER: 141227011 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/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0001597694 XXXXXXXX 09-30-2014 09-30-2014 true 1 RESTATEMENT 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 11-17-2014 0 135 669994 false INFORMATION TABLE 2 septemberfinalrev.xml Alibaba Group Holding Ltd ADR 01609W102 2398950 27000 SH SOLE None 2398950 0 0 Amazon.com Inc COM 23135106 5159040 16000 SH Call SOLE None 5159040 0 0 Amazon.com Inc COM 23135106 2579520 8000 SH Call SOLE None 2579520 0 0 AngloGold Ashanti Ltd COM 35128206 3000000 250000 SH Call SOLE None 3000000 0 0 AngloGold Ashanti Ltd COM 35128206 4800000 400000 SH Call SOLE None 4800000 0 0 Apple Inc COM 37833100 7052500 70000 SH Call SOLE None 7052500 0 0 Apple Inc COM 37833100 10075000 100000 SH Call SOLE None 10075000 0 0 Apple Inc COM 37833100 1007500 10000 SH Call SOLE None 1007500 0 0 Apple Inc COM 37833100 7052500 70000 SH Call SOLE None 7052500 0 0 Apple Inc COM 37833100 2015000 20000 SH Call SOLE None 2015000 0 0 Apple Inc COM 37833100 1007500 10000 SH Call SOLE None 1007500 0 0 Apple Inc COM 37833100 41166450 408600 SH Call SOLE None 41166450 0 0 Apple Inc COM 37833100 48803300 484400 SH Call SOLE None 48803300 0 0 Apple Inc COM 37833100 5037500 50000 SH Call SOLE None 5037500 0 0 Apple Inc COM 37833100 15112500 150000 SH Call SOLE None 15112500 0 0 Apple Inc COM 37833100 2015000 20000 SH Call SOLE None 2015000 0 0 Apple Inc COM 37833100 8060000 80000 SH Call SOLE None 8060000 0 0 Bank of America Corp COM 60505104 17050000 1000000 SH Call SOLE None 17050000 0 0 Barrick Gold Corp COM 67901108 8796000 600000 SH Call SOLE None 8796000 0 0 Caterpillar Inc COM 149123101 1386420 14000 SH Call SOLE None 1386420 0 0 eBay Inc COM 278642103 11326000 200000 SH Call SOLE None 11326000 0 0 Facebook Inc COM 30303M102 316160 4000 SH Call SOLE None 316160 0 0 Facebook Inc COM 30303M102 1264640 16000 SH Call SOLE None 1264640 0 0 General Motors Co COM 37045V100 31940000 1000000 SH Call SOLE None 31940000 0 0 Gilead Sciences Inc COM 375558103 15967500 150000 SH Call SOLE None 15967500 0 0 Micron Technology Inc COM 595112103 37686000 1100000 SH Call SOLE None 37686000 0 0 salesforce.com inc COM 79466L302 345180 6000 SH Call SOLE None 345180 0 0 Twitter Inc COM 90184L102 1031600 20000 SH Call SOLE None 1031600 0 0 VirnetX Holding Corp COM 92823T108 48000 8000 SH Call SOLE None 48000 0 0 Yahoo! Inc COM 984332106 8150000 200000 SH Call SOLE None 8150000 0 0 VirnetX Holding Corp COM 92823T108 120000 20000 SH Put SOLE None 120000 0 0 VirnetX Holding Corp COM 92823T108 360000 60000 SH Put SOLE None 360000 0 0 Intel Corp COM 458140100 6964000 200000 SH Put SOLE None 6964000 0 0 Amazon.com Inc COM 23135106 1934640 6000 SH Put SOLE None 1934640 0 0 Amazon.com Inc COM 23135106 3869280 12000 SH Put SOLE None 3869280 0 0 Amazon.com Inc COM 23135106 1289760 4000 SH Put SOLE None 1289760 0 0 Apple Inc COM 37833100 8060000 80000 SH Put SOLE None 8060000 0 0 Apple Inc COM 37833100 12090000 120000 SH Put SOLE None 12090000 0 0 Apple Inc COM 37833100 2015000 20000 SH Put SOLE None 2015000 0 0 Apple Inc COM 37833100 10075000 100000 SH Put SOLE None 10075000 0 0 Apple Inc COM 37833100 2015000 20000 SH Put SOLE None 2015000 0 0 eBay Inc COM 278642103 453040 8000 SH Put SOLE None 453040 0 0 InterDigital Inc/PA COM 45867G101 398200 10000 SH Put SOLE None 398200 0 0 InterDigital Inc/PA COM 45867G101 796400 20000 SH Put SOLE None 796400 0 0 Keurig Green Mountain Inc COM 49271M100 2602600 20000 SH Put SOLE None 2602600 0 0 Tesla Motors Inc COM 88160R101 970720 4000 SH Put SOLE None 970720 0 0 Tesla Motors Inc COM 88160R101 2912160 12000 SH Put SOLE None 2912160 0 0 TIBCO Software Inc COM 88632Q103 1181500 50000 SH Put SOLE None 1181500 0 0 Powershares QQQ Trust Series 1 COM 73935A104 3951600 40000 SH Put SOLE None 3951600 0 0 Powershares QQQ Trust Series 1 COM 73935A104 5927400 60000 SH Put SOLE None 5927400 0 0 United States Steel Corp COM 912909108 7834000 200000 SH Put SOLE None 7834000 0 0 3D Systems Corp COM 88554D205 92740 2000 SH Put SOLE None 92740 0 0 3D Systems Corp COM 88554D205 370960 8000 SH Put SOLE None 370960 0 0 3D Systems Corp COM 88554D205 556440 12000 SH Put SOLE None 556440 0 0 Caterpillar Inc COM 149123101 4951500 50000 SH Put SOLE None 4951500 0 0 salesforce.com inc COM 79466L302 575300 10000 SH Put SOLE None 575300 0 0 Ryland Group Inc/The COM 783764103 664800 20000 SH Put SOLE None 664800 0 0 Ryland Group Inc/The COM 783764103 664800 20000 SH Put SOLE None 664800 0 0 Toll Brothers Inc COM 889478103 623200 20000 SH Put SOLE None 623200 0 0 Toll Brothers Inc COM 889478103 623200 20000 SH Put SOLE None 623200 0 0 Twitter Inc COM 90184L102 206320 4000 SH Put SOLE None 206320 0 0 Tesla Motors Inc *W 88160R101 1686626 6950 SH SOLE None 1686626 0 0 Twitter Inc *W 90184L102 1201298 23290 SH SOLE None 1201298 0 0 Visa Inc *W 92826C839 4954878 23222 SH SOLE None 4954878 0 0 Splunk Inc COM 848637104 1384000 25000 SH SOLE None 1384000 0 0 Yahoo! Inc COM 984332106 2037500 50000 SH SOLE None 2037500 0 0 American Capital Mortgage Inve COM 02504A104 146006 7758 SH SOLE None 146006 0 0 Ares Capital Corp COM 04010L103 693264 42900 SH SOLE None 693264 0 0 BlackRock Kelso Capital Corp COM 92533108 341600 40000 SH SOLE None 341600 0 0 Costco Wholesale Corp COM 22160K105 1127880 9000 SH SOLE None 1127880 0 0 Horizon Technology Finance Cor COM 44045A102 59049 4387 SH SOLE None 59049 0 0 KCAP Financial Inc COM 48668E101 390570 47000 SH SOLE None 390570 0 0 Nicholas Financial Inc COM 65373J209 399855 34500 SH SOLE None 399855 0 0 PennantPark Floating Rate Capi COM 70806A106 76603 5559 SH SOLE None 76603 0 0 THL Credit Inc COM 872438106 373907 28985 SH SOLE None 373907 0 0 Liberty Media Corp COM 531229102 2057048 43600 SH SOLE None 2057048 0 0 Full Circle Capital Corp COM 359671104 5336 835 SH SOLE None 5336 0 0 Valero Energy Corp COM 91913Y100 1872732 40474 SH SOLE None 1872732 0 0 Amazon.com Inc COM 23135106 3224400 10000 SH SOLE None 3224400 0 0 Apple Inc COM 37833100 15485275 153700 SH SOLE None 15485275 0 0 Bank of America Corp COM 60505104 1244650 73000 SH SOLE None 1244650 0 0 Bed Bath & Beyond Inc COM 75896100 1849823 28100 SH SOLE None 1849823 0 0 Facebook Inc COM 30303M102 1738880 22000 SH SOLE None 1738880 0 0 Fifth Street Finance Corp COM 31678A103 329957 35943 SH SOLE None 329957 0 0 Intel Corp COM 458140100 870500 25000 SH SOLE None 870500 0 0 InterDigital Inc/PA COM 45867G101 1194600 30000 SH SOLE None 1194600 0 0 MetLife Inc COM 59156R108 1369860 25500 SH SOLE None 1369860 0 0 Micron Technology Inc COM 595112103 137040 4000 SH SOLE None 137040 0 0 Newmont Mining Corp COM 651639106 527845 22900 SH SOLE None 527845 0 0 Prospect Capital Corp COM 74348T102 2161319 218315 SH SOLE None 2161319 0 0 Rambus Inc COM 750917106 249375 19982 SH SOLE None 249375 0 0 Ryland Group Inc/The COM 783764103 33240 1000 SH SOLE None 33240 0 0 Strategic Global Income Fund I COM 862719101 16777 1900 SH SOLE None 16777 0 0 Tesla Motors Inc COM 88160R101 1674492 6900 SH SOLE None 1674492 0 0 Toll Brothers Inc COM 889478103 218120 7000 SH SOLE None 218120 0 0 United States Steel Corp COM 912909108 2350200 60000 SH SOLE None 2350200 0 0 VirnetX Holding Corp COM 92823T108 16944 2824 SH SOLE None 16944 0 0 SINA Corp/China COM G81477104 3908300 95000 SH SOLE None 3908300 0 0 Home Loan Servicing Solutions COM G6648D109 211900 10000 SH SOLE None 211900 0 0 Actavis PLC COM G0083B108 7238400 30000 SH SOLE None 7238400 0 0 Oracle Corp COM 68389X105 1914000 50000 SH SOLE None 1914000 0 0 Tableau Software Inc COM 87336U105 3087625 42500 SH SOLE None 3087625 0 0 AG Mortgage Investment Trust I COM 1228105 176131 9895 SH SOLE None 176131 0 0 Arbor Realty Trust Inc COM 38923108 30027 4455 SH SOLE None 30027 0 0 Cherry Hill Mortgage Investmen COM 164651101 218173 11667 SH SOLE None 218173 0 0 Medley Capital Corp COM 58503F106 847391 71752 SH SOLE None 847391 0 0 Pacific Coast Oil Trust COM 694103102 102500 10000 SH SOLE None 102500 0 0 Permian Basin Royalty Trust COM 714236106 61110 4500 SH SOLE None 61110 0 0 Stellus Capital Investment Cor COM 858568108 97438 7015 SH SOLE None 97438 0 0 Twitter Inc COM 90184L102 232110 4500 SH SOLE None 232110 0 0 SunEdison Inc COM 86732Y109 4595392 243400 SH SOLE None 4595392 0 0 ARES CAPITAL CORP Note ARCC 5 3/4 02/01/16 04010LAB9 6263160 6000000 PRN SOLE None 6263160 0 0 DDR CORP Note DDR 1 3/4 11/15/40 251591AX1 5782050 5000000 PRN SOLE None 5782050 0 0 ELECTRONIC ARTS INC Note EA 0 3/4 07/15/16 285512AA7 14040170 11398000 PRN SOLE None 14040170 0 0 GILEAD SCIENCES INC Note GILD 1 5/8 05/01/16 375558AP8 37791072 8067000 PRN SOLE None 37791072 0 0 HEALTH CARE REIT INC Note HCN 3 12/01/29 42217KAR7 2870267 2333000 PRN SOLE None 2870267 0 0 MGM RESORTS INTL Note MGM 4 1/4 04/15/15 55303QAE0 13337844 10543000 PRN SOLE None 13337844 0 0 NUANCE COMMUNICATIONS Note NUAN 2 3/4 11/01/31 67020YAF7 3339124 3375000 PRN SOLE None 3339124 0 0 OMNICARE INC Note OCR 3 1/4 12/15/35 681904AL2 10483273 10070000 PRN SOLE None 10483273 0 0 REDWOOD TRUST INC Note RWT 4 5/8 04/15/18 758075AB1 2997757 3033000 PRN SOLE None 2997757 0 0 STANDARD PACIFIC CORP Note SPF 1 1/4 08/01/32 85375CBC4 906904 800000 PRN SOLE None 906904 0 0 SUNPOWER CORP Note SPWR 4 1/2 03/15/15 867652AE9 6629507 4294000 PRN SOLE None 6629507 0 0 TELEFLEX INC Note TFX 3 7/8 08/01/17 879369AA4 2606985 1500000 PRN SOLE None 2606985 0 0 TESLA MOTORS INC Note TSLA 1 1/2 06/01/18 88160RAA9 10083600 5000000 PRN SOLE None 10083600 0 0 UNITED STATES STEEL CORP Note X 2 3/4 04/01/19 912909AH1 4930500 3000000 PRN SOLE None 4930500 0 0 AMERICAN REALTY CAP PROP Note ARCP 3 3/4 12/15/20 02917TAB0 5537950 5500000 PRN SOLE None 5537950 0 0 AMERICAN REALTY CAP PROP Note ARCP 3 08/01/18 02917TAA2 13562855 13615000 PRN SOLE None 13562855 0 0 HOME INNS HTL MNGMT INC Note HMIN 2 12/15/15 43713WAB3 2430550 2500000 PRN SOLE None 2430550 0 0 MEDIDATA SOLUTIONS INC Note MDSO 1 08/01/18 58471AAB1 4714755 4338000 PRN SOLE None 4714755 0 0 MICROCHIP TECHNOLOGY INC Note MCHP 2 1/8 12/15/37 595017AB0 10278281 5517000 PRN SOLE None 10278281 0 0 MYLAN INC Note MYL 3 3/4 09/15/15 628530AJ6 33942867 9955000 PRN SOLE None 33942867 0 0 SUNPOWER CORP Note SPWR 0 3/4 06/01/18 867652AG4 7508900 5000000 PRN SOLE None 7508900 0 0 TESLA MOTORS INC Note TSLA 1 1/4 03/01/21 88160RAC5 1577050 1660000 PRN SOLE None 1577050 0 0 SPIRIT REALTY CAPITAL IN Note SRC 2 7/8 05/15/19 84860WAA0 1947520 2000000 PRN SOLE None 1947520 0 0 SPIRIT REALTY CAPITAL IN Note SRC 3 3/4 05/15/21 84860WAB8 3409455 3500000 PRN SOLE None 3409455 0 0