Director, Compliance

0001597694-15-000006.txt : 20150515 0001597694-15-000006.hdr.sgml : 20150515 20150515104423 ACCESSION NUMBER: 0001597694-15-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150515 DATE AS OF CHANGE: 20150515 EFFECTIVENESS DATE: 20150515 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: 15866385 BUSINESS ADDRESS: STREET 1: ROPEMAKER PLACE STREET 2: 25 ROPEMAKER STREET CITY: LONDON STATE: X0 ZIP: EC2Y 9AJ 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 03-31-2015 03-31-2015 Mitsubishi UFJ Securities International PLC

ROPEMAKER PLACE 25 ROPEMAKER STREET LONDON X0 EC2Y 9AJ

13F HOLDINGS REPORT 028-15731 N Konrad Matthaei Director, Compliance 212-405-7020 Konrad R. Matthaei New York NY 05-15-2015 0 127 385247 false INFORMATION TABLE 2 marchfinal.xml Mobileye NV COM N51488117 2898 68939 SH SOLE NONE 68939 0 0 Apple Inc COM 37833100 6613 53146 SH SOLE NONE 53146 0 0 Applied Materials Inc COM 38222105 2820 125000 SH SOLE NONE 125000 0 0 Bank of America Corp COM 60505104 2201 143000 SH SOLE NONE 143000 0 0 Bed Bath & Beyond Inc COM 75896100 1720 22400 SH SOLE NONE 22400 0 0 eBay Inc COM 278642103 173 3000 SH SOLE NONE 3000 0 0 Facebook Inc COM 30303M102 576 7000 SH SOLE NONE 7000 0 0 Fifth Street Finance Corp COM 31678A103 242 33143 SH SOLE NONE 33143 0 0 FireEye Inc COM 31816Q101 6560 167134 SH SOLE NONE 167134 0 0 General Electric Co COM 369604103 2506 101000 SH SOLE NONE 101000 0 0 Gilead Sciences Inc COM 375558103 1757 17900 SH SOLE NONE 17900 0 0 Horizon Technology Finance Cor COM 44045A102 61 4387 SH SOLE NONE 4387 0 0 Intrexon Corp COM 46122T102 2722 60000 SH SOLE NONE 60000 0 0 KCAP Financial Inc COM 48668E101 21 3100 SH SOLE NONE 3100 0 0 MGM Resorts International COM 552953101 1073 51000 SH SOLE NONE 51000 0 0 Medidata Solutions Inc COM 58471A105 103 2100 SH SOLE NONE 2100 0 0 Medley Capital Corp COM 58503F106 371 40583 SH SOLE NONE 40583 0 0 MetLife Inc COM 59156R108 758 15000 SH SOLE NONE 15000 0 0 Micron Technology Inc COM 595112103 1411 52000 SH SOLE NONE 52000 0 0 Oasis Petroleum Inc COM 674215108 213 15000 SH SOLE NONE 15000 0 0 Pacific Coast Oil Trust COM 694103102 457 119363 SH SOLE NONE 119363 0 0 PennantPark Floating Rate Capi COM 70806A106 78 5559 SH SOLE NONE 5559 0 0 Permian Basin Royalty Trust COM 714236106 41 5100 SH SOLE NONE 5100 0 0 Prospect Capital Corp COM 74348T102 8862 1048806 SH SOLE NONE 1048806 0 0 QUALCOMM Inc COM 747525103 527 7600 SH SOLE NONE 7600 0 0 Rambus Inc COM 750917106 314 24982 SH SOLE NONE 24982 0 0 Salesforce.com inc COM 79466L302 1102 16500 SH SOLE NONE 16500 0 0 SanDisk Corp COM 80004C101 286 4500 SH SOLE NONE 4500 0 0 Splunk Inc COM 848637104 1628 27500 SH SOLE NONE 27500 0 0 Stellus Capital Investment Cor COM 858568108 85 7015 SH SOLE NONE 7015 0 0 THL Credit Inc COM 872438106 356 28985 SH SOLE NONE 28985 0 0 Tableau Software Inc COM 87336U105 1305 14100 SH SOLE NONE 14100 0 0 Tesla Motors Inc COM 88160R101 1953 10345 SH SOLE NONE 10345 0 0 Twitter Inc COM 90184L102 3250 64895 SH SOLE NONE 64895 0 0 VirnetX Holding Corp COM 92823T108 68 11224 SH SOLE NONE 11224 0 0 Whiting Petroleum Corp COM 966387102 797 25800 SH SOLE NONE 25800 0 0 Yahoo! Inc COM 984332106 267 6000 SH SOLE NONE 6000 0 0 Alibaba Group Holding Ltd ADR 01609W102 2664 32000 SH SOLE NONE 32000 0 0 Acorda Therapeutics Inc Note ACOR 1 3/4 06/15/21 00484MAA4 4661 4567000 PRN SOLE NONE 107310 0 0 Allscripts Healthcare So Note MDRX 1 1/4 07/01/20 01988PAD0 1474 1500000 PRN SOLE NONE 87280 0 0 Chesapeake Energy Corp Note CHK 2 1/4 12/15/38 165167CB1 908 1000000 PRN SOLE NONE 12457 0 0 Gilead Sciences Inc Note GILD 1 5/8 05/01/16 375558AP8 1188 276000 PRN SOLE NONE 12156 0 0 Microchip Technology Inc Note MCHP 2 1/8 12/15/37 595017AB0 657 336000 PRN SOLE NONE 13391 0 0 Mylan Inc Note MYL 3 3/4 09/15/15 628530AJ6 27155 6100000 PRN SOLE NONE 457958 0 0 NXP Semiconductor NB Note NXPI 1 12/01/19 N6596XAA7 1191 1000000 PRN SOLE NONE 9724 0 0 Nuance Communications Note NUAN 2 3/4 11/01/31 67020YAF7 253 255000 PRN SOLE NONE 7895 0 0 Sandisk Corp Note SNDK 0 1/2 10/15/20 80004CAF8 5038 5015000 PRN SOLE NONE 54538 0 0 Stillwater Mining Compan Note SWC 1 3/4 10/15/32 86074QAL6 2883 2529000 PRN SOLE NONE 152995 0 0 Sunpower Corp Note SPWR 0 3/4 06/01/18 867652AG4 4262 3040000 PRN SOLE NONE 121865 0 0 Teleflex Inc Note TFX 3 7/8 08/01/17 879369AA4 9046 4603000 PRN SOLE NONE 75068 0 0 Tesla Motors Inc Note TSLA 1 1/4 03/01/21 88160RAC5 5913 7000000 PRN SOLE NONE 19452 0 0 Teva Pharm Fin Co Llc Note TEVA 0 1/4 02/01/26 88163VAE9 134 90000 PRN SOLE NONE 2127 0 0 Barrick Gold Corp CALL 67901908 1096 100000 SH Call SOLE NONE 100000 0 0 Actavis, Inc. Common Stock CALL G0083B908 5655 19000 SH Call SOLE NONE 19000 0 0 Actavis, Inc. Common Stock CALL G0083B908 7441 25000 SH Call SOLE NONE 25000 0 0 Actavis, Inc. Common Stock CALL G0083B908 8929 30000 SH Call SOLE NONE 30000 0 0 Actavis, Inc. Common Stock CALL G0083B908 8929 30000 SH Call SOLE NONE 30000 0 0 AbbVie Inc CALL 00287Y909 8781 150000 SH Call SOLE NONE 150000 0 0 AbbVie Inc CALL 00287Y909 5854 100000 SH Call SOLE NONE 100000 0 0 Amazon.com Inc CALL 23135906 2977 8000 SH Call SOLE NONE 8000 0 0 American Airlines Group Inc CALL 02376R902 5278 100000 SH Call SOLE NONE 100000 0 0 American Airlines Group Inc CALL 02376R902 2639 50000 SH Call SOLE NONE 50000 0 0 Apple Inc CALL 37833900 12443 100000 SH Call SOLE NONE 100000 0 0 Apple Inc CALL 37833900 2489 20000 SH Call SOLE NONE 20000 0 0 Apple Inc CALL 37833900 1530 12300 SH Call SOLE NONE 12300 0 0 Apple Inc CALL 37833900 622 5000 SH Call SOLE NONE 5000 0 0 Applied Materials Inc CALL 38222905 2256 100000 SH Call SOLE NONE 100000 0 0 Bed Bath & Beyond Inc CALL 75896900 384 5000 SH Call SOLE NONE 5000 0 0 Bed Bath & Beyond Inc CALL 75896900 768 10000 SH Call SOLE NONE 10000 0 0 Facebook Inc CALL 30303M902 822 10000 SH Call SOLE NONE 10000 0 0 Facebook Inc CALL 30303M902 822 10000 SH Call SOLE NONE 10000 0 0 Facebook Inc CALL 30303M902 411 5000 SH Call SOLE NONE 5000 0 0 Facebook Inc CALL 30303M902 411 5000 SH Call SOLE NONE 5000 0 0 Facebook Inc CALL 30303M902 658 8000 SH Call SOLE NONE 8000 0 0 General Electric Co CALL 369604903 12405 500000 SH Call SOLE NONE 500000 0 0 Google Inc CALL 38259P906 10960 20000 SH Call SOLE NONE 20000 0 0 Halliburton Co CALL 406216901 4388 100000 SH Call SOLE NONE 100000 0 0 Keurig Green Mountain Inc CALL 49271M900 1117 10000 SH Call SOLE NONE 10000 0 0 Keurig Green Mountain Inc CALL 49271M900 559 5000 SH Call SOLE NONE 5000 0 0 Keurig Green Mountain Inc CALL 49271M900 559 5000 SH Call SOLE NONE 5000 0 0 Keurig Green Mountain Inc CALL 49271M900 112 1000 SH Call SOLE NONE 1000 0 0 Keurig Green Mountain Inc CALL 49271M900 201 1800 SH Call SOLE NONE 1800 0 0 Keurig Green Mountain Inc CALL 49271M900 559 5000 SH Call SOLE NONE 5000 0 0 Keurig Green Mountain Inc CALL 49271M900 670 6000 SH Call SOLE NONE 6000 0 0 Merck & Co Inc CALL 58933Y905 11496 200000 SH Call SOLE NONE 200000 0 0 Merck & Co Inc CALL 58933Y905 345 6000 SH Call SOLE NONE 6000 0 0 Merck & Co Inc CALL 58933Y905 2874 50000 SH Call SOLE NONE 50000 0 0 MetLife Inc CALL 59156R908 253 5000 SH Call SOLE NONE 5000 0 0 Microsoft Corp CALL 594918904 203 5000 SH Call SOLE NONE 5000 0 0 Microsoft Corp CALL 594918904 203 5000 SH Call SOLE NONE 5000 0 0 Micron Technology Inc CALL 595112903 2713 100000 SH Call SOLE NONE 100000 0 0 Micron Technology Inc CALL 595112903 2713 100000 SH Call SOLE NONE 100000 0 0 Petroleo Brasileiro SA CALL 71654V908 60 10000 SH Call SOLE NONE 10000 0 0 QUALCOMM Inc CALL 747525903 693 10000 SH Call SOLE NONE 10000 0 0 Tableau Software Inc CALL 87336U905 2313 25000 SH Call SOLE NONE 25000 0 0 3D Systems Corp CALL 88554D905 137 5000 SH Call SOLE NONE 5000 0 0 3D Systems Corp CALL 88554D905 274 10000 SH Call SOLE NONE 10000 0 0 3D Systems Corp CALL 88554D905 82 3000 SH Call SOLE NONE 3000 0 0 TiVo Inc CALL 888706908 53 5000 SH Call SOLE NONE 5000 0 0 Twitter Inc CALL 90184L902 1002 20000 SH Call SOLE NONE 20000 0 0 Yahoo! Inc CALL 984332906 222 5000 SH Call SOLE NONE 5000 0 0 Amazon.com Inc PUT 23135956 11163 30000 SH Put SOLE NONE 30000 0 0 Apple Inc PUT 37833950 1493 12000 SH Put SOLE NONE 12000 0 0 Apple Inc PUT 37833950 1866 15000 SH Put SOLE NONE 15000 0 0 Apple Inc PUT 37833950 622 5000 SH Put SOLE NONE 5000 0 0 Bed Bath & Beyond Inc PUT 75896950 768 10000 SH Put SOLE NONE 10000 0 0 Caterpillar Inc PUT 149123951 400 5000 SH Put SOLE NONE 5000 0 0 Caterpillar Inc PUT 149123951 2401 30000 SH Put SOLE NONE 30000 0 0 Caterpillar Inc PUT 149123951 400 5000 SH Put SOLE NONE 5000 0 0 Caterpillar Inc PUT 149123951 1601 20000 SH Put SOLE NONE 20000 0 0 Costco Wholesale Corp PUT 22160K955 454 3000 SH Put SOLE NONE 3000 0 0 Costco Wholesale Corp PUT 22160K955 909 6000 SH Put SOLE NONE 6000 0 0 Facebook Inc PUT 30303M952 822 10000 SH Put SOLE NONE 10000 0 0 Keurig Green Mountain Inc PUT 49271M950 559 5000 SH Put SOLE NONE 5000 0 0 Keurig Green Mountain Inc PUT 49271M950 559 5000 SH Put SOLE NONE 5000 0 0 Keurig Green Mountain Inc PUT 49271M950 559 5000 SH Put SOLE NONE 5000 0 0 Keurig Green Mountain Inc PUT 49271M950 1117 10000 SH Put SOLE NONE 10000 0 0 Keurig Green Mountain Inc PUT 49271M950 559 5000 SH Put SOLE NONE 5000 0 0 Keurig Green Mountain Inc PUT 49271M950 1341 12000 SH Put SOLE NONE 12000 0 0 Micron Technology Inc PUT 595112953 136 5000 SH Put SOLE NONE 5000 0 0 Rambus Inc PUT 750917956 96 7600 SH Put SOLE NONE 7600 0 0 Tesla Motors Inc PUT 88160R951 1321 7000 SH Put SOLE NONE 7000 0 0 Twitter Inc PUT 90184L952 10016 200000 SH Put SOLE NONE 200000 0 0 Twitter Inc PUT 90184L952 5008 100000 SH Put SOLE NONE 100000 0 0 Twitter Inc PUT 90184L952 501 10000 SH Put SOLE NONE 10000 0 0 Visa Inc PUT 92826C959 78492 1200000 SH Put SOLE NONE 1200000 0 0 Cherry Hill Mortgage Investmen REIT 164651101 121 6867 SH SOLE NONE 6867 0 0