Executive Director

0001597694-15-000003.txt : 20150204 0001597694-15-000003.hdr.sgml : 20150204 20150204134545 ACCESSION NUMBER: 0001597694-15-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141231 FILED AS OF DATE: 20150204 DATE AS OF CHANGE: 20150204 EFFECTIVENESS DATE: 20150204 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: 15574664 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 false false 0001597694 XXXXXXXX 12-31-2014 12-31-2014 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 02-04-2015 0 124 379356 false INFORMATION TABLE 2 MUSIdecemberfinal.xml Nicholas Financial Inc COM 65373J209 63 4202 SH SOLE None 4202 0 0 AG Mortgage Investment Trust I COM 1228105 17 895 SH SOLE None 895 0 0 AngloGold Ashanti Ltd COM 35128206 93 10700 SH SOLE None 10700 0 0 Apple Inc COM 37833100 35057 317600 SH SOLE None 317600 0 0 Arbor Realty Trust Inc COM 38923108 2 355 SH SOLE None 355 0 0 Ares Capital Corp COM 04010L103 288 18459 SH SOLE None 18459 0 0 Bank of America Corp COM 60505104 1395 78000 SH SOLE None 78000 0 0 Bed Bath & Beyond Inc COM 75896100 5896 77400 SH SOLE None 77400 0 0 BlackRock Kelso Capital Corp COM 92533108 328 40000 SH SOLE None 40000 0 0 Cherry Hill Mortgage Investmen COM 164651101 133 7167 SH SOLE None 7167 0 0 Costco Wholesale Corp COM 22160K105 425 3000 SH SOLE None 3000 0 0 Cree Inc COM 225447101 983 30500 SH SOLE None 30500 0 0 eBay Inc COM 278642103 112 2000 SH SOLE None 2000 0 0 Facebook Inc COM 30303M102 2653 34000 SH SOLE None 34000 0 0 Fifth Street Finance Corp COM 31678A103 265 33143 SH SOLE None 33143 0 0 Full Circle Capital Corp COM 359671104 4 835 SH SOLE None 835 0 0 Halliburton Co COM 406216101 4916 125000 SH SOLE None 125000 0 0 Horizon Technology Finance Cor COM 44045A102 61 4387 SH SOLE None 4387 0 0 Host Hotels & Resorts Inc COM 44107P104 1766 74300 SH SOLE None 74300 0 0 InterDigital Inc/PA COM 45867G101 2201 41600 SH SOLE None 41600 0 0 KCAP Financial Inc COM 48668E101 321 47000 SH SOLE None 47000 0 0 Keurig Green Mountain Inc COM 49271M100 530 4000 SH SOLE None 4000 0 0 KINDER MORGAN INC COM 49456B119 533 125000 SH SOLE None 125000 0 0 Liberty Media Corp COM 531229102 734 20800 SH SOLE None 20800 0 0 MGM Resorts International COM 552953101 2159 101000 SH SOLE None 101000 0 0 Medley Capital Corp COM 58503F106 201 21752 SH SOLE None 21752 0 0 MetLife Inc COM 59156R108 1130 20900 SH SOLE None 20900 0 0 Micron Technology Inc COM 595112103 245 7000 SH SOLE None 7000 0 0 Pacific Coast Oil Trust COM 694103102 51 10000 SH SOLE None 10000 0 0 PennantPark Floating Rate Capi COM 70806A106 76 5559 SH SOLE None 5559 0 0 Permian Basin Royalty Trust COM 714236106 43 4500 SH SOLE None 4500 0 0 Prospect Capital Corp COM 74348T102 5978 723706 SH SOLE None 723706 0 0 Rambus Inc COM 750917106 222 19982 SH SOLE None 19982 0 0 Ryland Group Inc/The COM 783764103 347 9000 SH SOLE None 9000 0 0 SPDR S&P 500 ETF Trust COM 78462F103 5139 25000 SH SOLE None 25000 0 0 salesforce.com inc COM 79466L302 119 2000 SH SOLE None 2000 0 0 Energy Select Sector SPDR Fund COM 81369Y506 3562 45000 SH SOLE None 45000 0 0 Splunk Inc COM 848637104 1474 25000 SH SOLE None 25000 0 0 Stellus Capital Investment Cor COM 858568108 83 7015 SH SOLE None 7015 0 0 Strategic Global Income Fund COM 862719101 16 1900 SH SOLE None 1900 0 0 THL Credit Inc COM 872438106 341 28985 SH SOLE None 28985 0 0 Tableau Software Inc COM 87336U105 1399 16500 SH SOLE None 16500 0 0 Twitter Inc COM 90184L102 2619 73000 SH SOLE None 73000 0 0 VirnetX Holding Corp COM 92823T108 92 16824 SH SOLE None 16824 0 0 AMAG PHARMACEUTICALS INC Note AMAG 2 1/2 02/15/19 00163UAA4 585 350000 PRN SOLE None 12918 0 0 ACORDA THERAPEUTICS INC Note ACOR 1 3/4 06/15/21 00484MAA4 3457 3000000 PRN SOLE None 70490 0 0 AMERICAN REALTY CAP PROP Note ARCP 3 08/01/18 02917TAA2 1853 2000000 PRN SOLE None 119610 0 0 COLONY FINANCIAL INC Note CLNY 3 7/8 01/15/21 19624RAB2 408 400000 PRN SOLE None 16118 0 0 CTRIP.COM INTER LTD. Note CTRP 1 1/4 10/15/18 22943FAD2 1462 1500000 PRN SOLE None 19135 0 0 ELECTRONIC ARTS INC Note EA 0 3/4 07/15/16 285512AA7 1558 1035000 PRN SOLE None 32610 0 0 GILEAD SCIENCES INC Note GILD 1 5/8 05/01/16 375558AP8 11171 2697000 PRN SOLE None 118783 0 0 MEDICINES COMPANY Note MDCO 1 3/8 06/01/17 584688AC9 2896 2487000 PRN SOLE None 89044 0 0 MEDIDATA SOLUTIONS INC Note MDSO 1 08/01/18 58471AAB1 2216 2000000 PRN SOLE None 34457 0 0 MICROCHIP TECHNOLOGY INC Note MCHP 2 1/8 12/15/37 595017AB0 8928 5000000 PRN SOLE None 197875 0 0 MYLAN INC Note MYL 3 3/4 09/15/15 628530AJ6 30041 7098000 PRN SOLE None 532883 0 0 NXP SEMICONDUCTOR NV Note NXPI 1 12/01/19 N6596XAA7 1538 1500000 PRN SOLE None 14585 0 0 NUANCE COMMUNICATIONS Note NUAN 2 3/4 11/01/31 67020YAF7 100 100000 PRN SOLE None 3096 0 0 REDWOOD TRUST INC Note RWT 4 5/8 04/15/18 758075AB1 2411 2441000 PRN SOLE None 100403 0 0 STILLWATER MINING COMPAN Note SWC 1 3/4 10/15/32 86074QAL6 6389 5149000 PRN SOLE None 311494 0 0 SUNPOWER CORP Note SPWR 0 3/4 06/01/18 867652AG4 3678 3000000 PRN SOLE None 120261 0 0 TELEFLEX INC Note TFX 3 7/8 08/01/17 879369AA4 4691 2500000 PRN SOLE None 40771 0 0 TESLA MOTORS INC Note TSLA 1 1/2 06/01/18 88160RAA9 11120 6000000 PRN SOLE None 48184 0 0 TESLA MOTORS INC Note TSLA 1 1/4 03/01/21 88160RAC5 3503 3873000 PRN SOLE None 10762 0 0 UNITED STATES STEEL CORP Note X 2 3/4 04/01/19 912909AH1 3731 3000000 PRN SOLE None 118647 0 0 Barrick Gold Corp CALL 67901908 6450 600000 SH Call SOLE None 600000 0 0 ACTAVIS INC CALL G0083B908 25741 100000 SH Call SOLE None 100000 0 0 AngloGold Ashanti Ltd CALL 35128906 938 107800 SH Call SOLE None 107800 0 0 AngloGold Ashanti Ltd CALL 35128906 174 20000 SH Call SOLE None 20000 0 0 AngloGold Ashanti Ltd CALL 35128906 4350 500000 SH Call SOLE None 500000 0 0 AngloGold Ashanti Ltd CALL 35128906 6960 800000 SH Call SOLE None 800000 0 0 AngloGold Ashanti Ltd CALL 35128906 1392 160000 SH Call SOLE None 160000 0 0 AngloGold Ashanti Ltd CALL 35128906 1427 164000 SH Call SOLE None 164000 0 0 Apple Inc CALL 37833900 2208 20000 SH Call SOLE None 20000 0 0 Bed Bath & Beyond Inc CALL 75896900 3047 40000 SH Call SOLE None 40000 0 0 Bed Bath & Beyond Inc CALL 75896900 1523 20000 SH Call SOLE None 20000 0 0 Citigroup Inc CALL 172967904 1082 20000 SH Call SOLE None 20000 0 0 eBay Inc CALL 278642903 449 8000 SH Call SOLE None 8000 0 0 Facebook Inc CALL 30303M902 2341 30000 SH Call SOLE None 30000 0 0 General Motors Co CALL 37045V900 34910 1000000 SH Call SOLE None 1000000 0 0 Gilead Sciences Inc CALL 375558903 18852 200000 SH Call SOLE None 200000 0 0 InterDigital Inc/PA CALL 45867G901 1058 20000 SH Call SOLE None 20000 0 0 Micron Technology Inc CALL 595112903 7002 200000 SH Call SOLE None 200000 0 0 Micron Technology Inc CALL 595112903 1050 30000 SH Call SOLE None 30000 0 0 salesforce.com inc CALL 79466L902 1186 20000 SH Call SOLE None 20000 0 0 salesforce.com inc CALL 79466L902 593 10000 SH Call SOLE None 10000 0 0 3D Systems Corp CALL 88554D905 1578 48000 SH Call SOLE None 48000 0 0 3D Systems Corp CALL 88554D905 1328 40400 SH Call SOLE None 40400 0 0 Toll Brothers Inc CALL 889478903 1028 30000 SH Call SOLE None 30000 0 0 Twitter Inc CALL 90184L902 717 20000 SH Call SOLE None 20000 0 0 Twitter Inc CALL 90184L902 1076 30000 SH Call SOLE None 30000 0 0 Twitter Inc CALL 90184L902 1435 40000 SH Call SOLE None 40000 0 0 Twitter Inc CALL 90184L902 1435 40000 SH Call SOLE None 40000 0 0 Twitter Inc CALL 90184L902 717 20000 SH Call SOLE None 20000 0 0 Twitter Inc CALL 90184L902 1435 40000 SH Call SOLE None 40000 0 0 VirnetX Holding Corp CALL 92823T908 55 10000 SH Call SOLE None 10000 0 0 Amazon.com Inc PUT 23135956 2483 8000 SH Put SOLE None 8000 0 0 Apple Inc PUT 37833950 2208 20000 SH Put SOLE None 20000 0 0 Apple Inc PUT 37833950 5519 50000 SH Put SOLE None 50000 0 0 Apple Inc PUT 37833950 1104 10000 SH Put SOLE None 10000 0 0 Bank of America Corp PUT 60505954 716 40000 SH Put SOLE None 40000 0 0 Bank of America Corp PUT 60505954 537 30000 SH Put SOLE None 30000 0 0 Caterpillar Inc PUT 149123951 1831 20000 SH Put SOLE None 20000 0 0 Caterpillar Inc PUT 149123951 915 10000 SH Put SOLE None 10000 0 0 Caterpillar Inc PUT 149123951 2746 30000 SH Put SOLE None 30000 0 0 Caterpillar Inc PUT 149123951 1831 20000 SH Put SOLE None 20000 0 0 Citigroup Inc PUT 172967954 541 10000 SH Put SOLE None 10000 0 0 Facebook Inc PUT 30303M952 7802 100000 SH Put SOLE None 100000 0 0 General Electric Co PUT 369604953 253 10000 SH Put SOLE None 10000 0 0 Keurig Green Mountain Inc PUT 49271M950 2648 20000 SH Put SOLE None 20000 0 0 Keurig Green Mountain Inc PUT 49271M950 2648 20000 SH Put SOLE None 20000 0 0 Keurig Green Mountain Inc PUT 49271M950 1324 10000 SH Put SOLE None 10000 0 0 Keurig Green Mountain Inc PUT 49271M950 5296 40000 SH Put SOLE None 40000 0 0 MetLife Inc PUT 59156R958 108 2000 SH Put SOLE None 2000 0 0 Powershares QQQ Trust Series 1 PUT 73935A954 2891 28000 SH Put SOLE None 28000 0 0 Powershares QQQ Trust Series 1 PUT 73935A954 2065 20000 SH Put SOLE None 20000 0 0 Tesla Motors Inc PUT 88160R951 2669 12000 SH Put SOLE None 12000 0 0 Tesla Motors Inc PUT 88160R951 1334 6000 SH Put SOLE None 6000 0 0 Tesla Motors Inc PUT 88160R951 890 4000 SH Put SOLE None 4000 0 0 3D Systems Corp PUT 88554D955 66 2000 SH Put SOLE None 2000 0 0 VirnetX Holding Corp PUT 92823T958 110 20000 SH Put SOLE None 20000 0 0 VirnetX Holding Corp PUT 92823T958 329 60000 SH Put SOLE None 60000 0 0 Tesla Motors Inc Equity swap 88160R101 1546 6950 SH SOLE None 6950 0 0 Twitter Inc Equity swap 90184L102 1512 42140 SH SOLE None 42140 0 0 Visa Inc Equity swap 92826C839 6089 23222 SH SOLE None 23222 0 0