Compliance Analyst

0001597694-15-000010.txt : 20151110 0001597694-15-000010.hdr.sgml : 20151110 20151109115600 ACCESSION NUMBER: 0001597694-15-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151109 DATE AS OF CHANGE: 20151109 EFFECTIVENESS DATE: 20151109 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: 151214712 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 09-30-2015 09-30-2015 Mitsubishi UFJ Securities International PLC

ROPEMAKER PLACE 25 ROPEMAKER STREET LONDON X0 EC2Y 9AJ

13F HOLDINGS REPORT 028-15731 N Herby Lai Compliance Analyst (44)2075772823 Herby Lai London X0 11-09-2015 0 183 261485 false INFORMATION TABLE 2 septemberfinal.xml Maiden Holdings Ltd COM G5753U112 167 12000 SH SOLE NONE 12000 0 0 Transocean Ltd COM H8817H100 760 58854 SH SOLE NONE 58854 0 0 Ambarella Inc COM G037AX101 3569 61751 SH SOLE NONE 61751 0 0 Mobileye NV COM N51488117 2120 46624 SH SOLE NONE 46624 0 0 Amsurg Corp COM 03232P405 956 12300 SH SOLE NONE 12300 0 0 Anthem Inc COM 36752103 10 73 SH SOLE NONE 73 0 0 Citrix Systems Inc COM 177376100 7 100 SH SOLE NONE 100 0 0 Dycom Industries Inc COM 267475101 573 7920 SH SOLE NONE 7920 0 0 General Motors Co COM 37045V100 259 8622 SH SOLE NONE 8622 0 0 Intrexon Corp COM 46122T102 1272 40000 SH SOLE NONE 40000 0 0 Linkedin Corp COM 53578A108 142 748 SH SOLE NONE 748 0 0 Netflix Inc COM 64110L106 2557 24762 SH SOLE NONE 24762 0 0 Nextera Energy Inc COM 65339F101 589 6034 SH SOLE NONE 6034 0 0 Splunk Inc COM 848637104 408 7372 SH SOLE NONE 7372 0 0 Sunpower Corp COM 867652406 578 28825 SH SOLE NONE 28825 0 0 T-Mobile Us Inc COM 872590104 6004 150805 SH SOLE NONE 150805 0 0 Tesla Motors Inc COM 88160R101 74 296 SH SOLE NONE 296 0 0 Twitter Inc COM 90184L102 1489 55265 SH SOLE NONE 55265 0 0 Whiting Petroleum Corp COM 966387102 232 15200 SH SOLE NONE 15200 0 0 Yahoo! Inc COM 984332106 23 800 SH SOLE NONE 800 0 0 Weyerhaeuser Co REIT 962166104 366 13400 SH SOLE NONE 13400 0 0 Allscripts Healthcare So Note MDRX 1 1/4 07/01/20 01988PAD0 1318 1326000 PRN SOLE NONE 77156 0 0 Dominion Resources Inc Note D 6 1/8 25746U703 5 8800 PRN SOLE NONE 6779 0 0 Dominion Resources Inc Note D 6 25746U885 28 50000 PRN SOLE NONE 38515 0 0 Frontier Communications Note FTR 11 1/8 35906A207 58 62356 PRN SOLE NONE 1061380 0 0 Gilead Sciences Inc Note GILD 1 5/8 05/01/16 375558AP8 4569 1055000 PRN SOLE NONE 46817 0 0 J2 Global Communications Note JCOM 3 1/4 06/15/29 48123VAC6 3105 2604000 PRN SOLE NONE 37539 0 0 Newmont Mining Corp Note NEM 1 5/8 07/15/17 651639AJ5 623 627000 PRN SOLE NONE 14186 0 0 Nextera Energy Inc Note NEE 6.371 65339F846 4 8633 PRN SOLE NONE 3773 0 0 Nextera Energy Inc Note NEE 5.799 65339F861 0 192 PRN SOLE NONE 97 0 0 Nuance Communications Note NUAN 2 3/4 11/01/31 67020YAF7 1443 1430000 PRN SOLE NONE 44274 0 0 Sandisk Corp Note SNDK 1 1/2 08/15/17 80004CAD3 1250 1005000 PRN SOLE NONE 19829 0 0 Sandisk Corp Note SNDK 0 1/2 10/15/20 80004CAF8 347 363000 PRN SOLE NONE 3957 0 0 Southwestern Energy Co Note SWN 6 1/4 845467208 3 10000 PRN SOLE NONE 18501 0 0 Stillwater Mining Compan Note SWC 1 3/4 10/15/32 86074QAL6 1842 1800000 PRN SOLE NONE 108893 0 0 T-Mobile Us Inc Note TMUS 5 1/2 872590203 72 104265 PRN SOLE NONE 168065 0 0 Tesla Motors Inc Note TSLA 0 1/4 03/01/19 88160RAB7 1593 1649000 PRN SOLE NONE 4582 0 0 Tesla Motors Inc Note TSLA 1 1/4 03/01/21 88160RAC5 1718 1813000 PRN SOLE NONE 5038 0 0 Tyson Foods Inc Note TSN 4 3/4 902494301 25 49700 PRN SOLE NONE 52682 0 0 Wpx Energy Inc Note WPX 6 1/4 98212B202 0 881 PRN SOLE NONE 3634 0 0 Arcelormittal Note MTNA 6 L0302D178 9 105271 PRN SOLE NONE 131747 0 0 Stanley Black & Decker I Note SWK 4 3/4 854502309 1 660 PRN SOLE NONE 908 0 0 Barrick Gold Corp CALL 67901908 1272 200000 SH Call SOLE NONE 200000 0 0 Kinross Gold Corp CALL 496902904 1032 600000 SH Call SOLE NONE 600000 0 0 Allergan Plc CALL G0177J908 8154 30000 SH Call SOLE NONE 30000 0 0 Amazon.Com Inc CALL 23135906 2048 4000 SH Call SOLE NONE 4000 0 0 Amazon.Com Inc CALL 23135906 1024 2000 SH Call SOLE NONE 2000 0 0 Amazon.Com Inc CALL 23135906 4095 8000 SH Call SOLE NONE 8000 0 0 Amazon.Com Inc CALL 23135906 1024 2000 SH Call SOLE NONE 2000 0 0 Amazon.Com Inc CALL 23135906 4095 8000 SH Call SOLE NONE 8000 0 0 Amazon.Com Inc CALL 23135906 512 1000 SH Call SOLE NONE 1000 0 0 Amazon.Com Inc CALL 23135906 512 1000 SH Call SOLE NONE 1000 0 0 Apple Inc CALL 37833900 3861 35000 SH Call SOLE NONE 35000 0 0 Apple Inc CALL 37833900 4964 45000 SH Call SOLE NONE 45000 0 0 Apple Inc CALL 37833900 1103 10000 SH Call SOLE NONE 10000 0 0 Apple Inc CALL 37833900 1103 10000 SH Call SOLE NONE 10000 0 0 Apple Inc CALL 37833900 2206 20000 SH Call SOLE NONE 20000 0 0 Apple Inc CALL 37833900 2206 20000 SH Call SOLE NONE 20000 0 0 Bank Of America Corp CALL 60505904 156 10000 SH Call SOLE NONE 10000 0 0 Bank Of America Corp CALL 60505904 701 45000 SH Call SOLE NONE 45000 0 0 Bed Bath & Beyond Inc CALL 75896900 3136 55000 SH Call SOLE NONE 55000 0 0 Bed Bath & Beyond Inc CALL 75896900 570 10000 SH Call SOLE NONE 10000 0 0 Bed Bath & Beyond Inc CALL 75896900 285 5000 SH Call SOLE NONE 5000 0 0 Bristol-Myers Squibb Co CALL 110122908 1480 25000 SH Call SOLE NONE 25000 0 0 Bristol-Myers Squibb Co CALL 110122908 2960 50000 SH Call SOLE NONE 50000 0 0 Caterpillar Inc CALL 149123901 980 15000 SH Call SOLE NONE 15000 0 0 Caterpillar Inc CALL 149123901 980 15000 SH Call SOLE NONE 15000 0 0 Ebay Inc CALL 278642903 122 5000 SH Call SOLE NONE 5000 0 0 Facebook Inc CALL 30303M902 539 6000 SH Call SOLE NONE 6000 0 0 Facebook Inc CALL 30303M902 270 3000 SH Call SOLE NONE 3000 0 0 Facebook Inc CALL 30303M902 1798 20000 SH Call SOLE NONE 20000 0 0 Facebook Inc CALL 30303M902 3596 40000 SH Call SOLE NONE 40000 0 0 Facebook Inc CALL 30303M902 450 5000 SH Call SOLE NONE 5000 0 0 Facebook Inc CALL 30303M902 809 9000 SH Call SOLE NONE 9000 0 0 General Electric Co CALL 369604903 252 10000 SH Call SOLE NONE 10000 0 0 Keurig Green Mountain Inc CALL 49271M900 365 7000 SH Call SOLE NONE 7000 0 0 Keurig Green Mountain Inc CALL 49271M900 2096 40200 SH Call SOLE NONE 40200 0 0 Keurig Green Mountain Inc CALL 49271M900 1116 21400 SH Call SOLE NONE 21400 0 0 Keurig Green Mountain Inc CALL 49271M900 89 1700 SH Call SOLE NONE 1700 0 0 Keurig Green Mountain Inc CALL 49271M900 156 3000 SH Call SOLE NONE 3000 0 0 Keurig Green Mountain Inc CALL 49271M900 469 9000 SH Call SOLE NONE 9000 0 0 Keurig Green Mountain Inc CALL 49271M900 261 5000 SH Call SOLE NONE 5000 0 0 Keurig Green Mountain Inc CALL 49271M900 313 6000 SH Call SOLE NONE 6000 0 0 Keurig Green Mountain Inc CALL 49271M900 1929 37000 SH Call SOLE NONE 37000 0 0 Mcdonald'S Corp CALL 580135901 1478 15000 SH Call SOLE NONE 15000 0 0 Mcdonald'S Corp CALL 580135901 493 5000 SH Call SOLE NONE 5000 0 0 Metlife Inc CALL 59156R908 1179 25000 SH Call SOLE NONE 25000 0 0 Metlife Inc CALL 59156R908 283 6000 SH Call SOLE NONE 6000 0 0 Micron Technology Inc CALL 595112903 2996 200000 SH Call SOLE NONE 200000 0 0 Oasis Petroleum Inc CALL 674215908 174 20000 SH Call SOLE NONE 20000 0 0 Oasis Petroleum Inc CALL 674215908 43 5000 SH Call SOLE NONE 5000 0 0 Qualcomm Inc CALL 747525903 269 5000 SH Call SOLE NONE 5000 0 0 Qualcomm Inc CALL 747525903 537 10000 SH Call SOLE NONE 10000 0 0 Rambus Inc CALL 750917906 260 22000 SH Call SOLE NONE 22000 0 0 Ryland Group Inc/The CALL 783764903 204 5000 SH Call SOLE NONE 5000 0 0 Salesforce.Com Inc CALL 79466L902 694 10000 SH Call SOLE NONE 10000 0 0 Salesforce.Com Inc CALL 79466L902 1041 15000 SH Call SOLE NONE 15000 0 0 Salesforce.Com Inc CALL 79466L902 1389 20000 SH Call SOLE NONE 20000 0 0 Tesla Motors Inc CALL 88160R901 248 1000 SH Call SOLE NONE 1000 0 0 3D Systems Corp CALL 88554D905 116 10000 SH Call SOLE NONE 10000 0 0 3D Systems Corp CALL 88554D905 58 5000 SH Call SOLE NONE 5000 0 0 3D Systems Corp CALL 88554D905 61 5300 SH Call SOLE NONE 5300 0 0 3D Systems Corp CALL 88554D905 58 5000 SH Call SOLE NONE 5000 0 0 3D Systems Corp CALL 88554D905 39 3400 SH Call SOLE NONE 3400 0 0 3D Systems Corp CALL 88554D905 105 9100 SH Call SOLE NONE 9100 0 0 Tivo Inc CALL 888706908 43 5000 SH Call SOLE NONE 5000 0 0 Toll Brothers Inc CALL 889478903 342 10000 SH Call SOLE NONE 10000 0 0 Toll Brothers Inc CALL 889478903 514 15000 SH Call SOLE NONE 15000 0 0 Toll Brothers Inc CALL 889478903 171 5000 SH Call SOLE NONE 5000 0 0 Twitter Inc CALL 90184L902 135 5000 SH Call SOLE NONE 5000 0 0 Twitter Inc CALL 90184L902 1374 51000 SH Call SOLE NONE 51000 0 0 Twitter Inc CALL 90184L902 539 20000 SH Call SOLE NONE 20000 0 0 Twitter Inc CALL 90184L902 269 10000 SH Call SOLE NONE 10000 0 0 Twitter Inc CALL 90184L902 135 5000 SH Call SOLE NONE 5000 0 0 Virnetx Holding Corp CALL 92823T908 5 1400 SH Call SOLE NONE 1400 0 0 Yahoo! Inc CALL 984332906 434 15000 SH Call SOLE NONE 15000 0 0 Yahoo! Inc CALL 984332906 867 30000 SH Call SOLE NONE 30000 0 0 Yahoo! Inc CALL 984332906 578 20000 SH Call SOLE NONE 20000 0 0 Barrick Gold Corp PUT 67901958 1208 190000 SH Put SOLE NONE 190000 0 0 Mylan Nv PUT N59465959 4026 100000 SH Put SOLE NONE 100000 0 0 Amazon.Com Inc PUT 23135956 15357 30000 SH Put SOLE NONE 30000 0 0 Amazon.Com Inc PUT 23135956 7166 14000 SH Put SOLE NONE 14000 0 0 Amazon.Com Inc PUT 23135956 1536 3000 SH Put SOLE NONE 3000 0 0 Amazon.Com Inc PUT 23135956 3071 6000 SH Put SOLE NONE 6000 0 0 Apple Inc PUT 37833950 1544 14000 SH Put SOLE NONE 14000 0 0 Apple Inc PUT 37833950 10809 98000 SH Put SOLE NONE 98000 0 0 Apple Inc PUT 37833950 1103 10000 SH Put SOLE NONE 10000 0 0 Apple Inc PUT 037833950 2758 25000 SH Put SOLE NONE 25000 0 0 Apple Inc PUT 037833950 552 5000 SH Put SOLE NONE 5000 0 0 Apple Inc PUT 037833950 2758 25000 SH Put SOLE NONE 25000 0 0 Apple Inc PUT 037833950 2758 25000 SH Put SOLE NONE 25000 0 0 Bank Of America Corp PUT 060505954 467 30000 SH Put SOLE NONE 30000 0 0 Bed Bath & Beyond Inc PUT 075896950 285 5000 SH Put SOLE NONE 5000 0 0 Bed Bath & Beyond Inc PUT 075896950 2087 36600 SH Put SOLE NONE 36600 0 0 Caterpillar Inc PUT 149123951 3268 50000 SH Put SOLE NONE 50000 0 0 Caterpillar Inc PUT 149123951 686 10500 SH Put SOLE NONE 10500 0 0 Costco Wholesale Corp PUT 22160K955 867 6000 SH Put SOLE NONE 6000 0 0 Costco Wholesale Corp PUT 22160K955 867 6000 SH Put SOLE NONE 6000 0 0 Facebook Inc PUT 30303M952 899 10000 SH Put SOLE NONE 10000 0 0 Facebook Inc PUT 30303M952 1349 15000 SH Put SOLE NONE 15000 0 0 Facebook Inc PUT 30303M952 3147 35000 SH Put SOLE NONE 35000 0 0 Facebook Inc PUT 30303M952 899 10000 SH Put SOLE NONE 10000 0 0 Facebook Inc PUT 30303M952 899 10000 SH Put SOLE NONE 10000 0 0 Facebook Inc PUT 30303M952 899 10000 SH Put SOLE NONE 10000 0 0 Facebook Inc PUT 30303M952 360 4000 SH Put SOLE NONE 4000 0 0 Fireeye Inc PUT 31816Q951 20683 650000 SH Put SOLE NONE 650000 0 0 Fireeye Inc PUT 31816Q951 6364 200000 SH Put SOLE NONE 200000 0 0 Gopro Inc PUT 38268T953 12488 400000 SH Put SOLE NONE 400000 0 0 Intrexon Corp PUT 46122T952 1590 50000 SH Put SOLE NONE 50000 0 0 Keurig Green Mountain Inc PUT 49271M950 391 7500 SH Put SOLE NONE 7500 0 0 Keurig Green Mountain Inc PUT 49271M950 469 9000 SH Put SOLE NONE 9000 0 0 Keurig Green Mountain Inc PUT 49271M950 287 5500 SH Put SOLE NONE 5500 0 0 Keurig Green Mountain Inc PUT 49271M950 261 5000 SH Put SOLE NONE 5000 0 0 Keurig Green Mountain Inc PUT 49271M950 886 17000 SH Put SOLE NONE 17000 0 0 Keurig Green Mountain Inc PUT 49271M950 605 11600 SH Put SOLE NONE 11600 0 0 Keurig Green Mountain Inc PUT 49271M950 1908 36600 SH Put SOLE NONE 36600 0 0 Keurig Green Mountain Inc PUT 49271M950 1470 28200 SH Put SOLE NONE 28200 0 0 Mcdonald'S Corp PUT 49271M950 1971 20000 SH Put SOLE NONE 20000 0 0 Metlife Inc PUT 59156R958 707 15000 SH Put SOLE NONE 15000 0 0 Metlife Inc PUT 59156R958 236 5000 SH Put SOLE NONE 5000 0 0 Micron Technology Inc PUT 595112953 150 10000 SH Put SOLE NONE 10000 0 0 Pioneer Natural Resources Co PUT 723787957 4866 40000 SH Put SOLE NONE 40000 0 0 Qualcomm Inc PUT 747525953 806 15000 SH Put SOLE NONE 15000 0 0 Qualcomm Inc PUT 747525953 269 5000 SH Put SOLE NONE 5000 0 0 Rambus Inc PUT 750917956 118 10000 SH Put SOLE NONE 10000 0 0 Ryland Group Inc/The PUT 783764953 204 5000 SH Put SOLE NONE 5000 0 0 Salesforce.Com Inc PUT 79466L952 694 10000 SH Put SOLE NONE 10000 0 0 Salesforce.Com Inc PUT 79466L952 1041 15000 SH Put SOLE NONE 15000 0 0 Salesforce.Com Inc PUT 79466L952 1041 15000 SH Put SOLE NONE 15000 0 0 Tesla Motors Inc PUT 88160R951 1987 8000 SH Put SOLE NONE 8000 0 0 Toll Brothers Inc PUT 889478953 171 5000 SH Put SOLE NONE 5000 0 0 Toll Brothers Inc PUT 889478953 171 5000 SH Put SOLE NONE 5000 0 0 Toll Brothers Inc PUT 889478953 514 15000 SH Put SOLE NONE 15000 0 0 Toll Brothers Inc PUT 889478953 856 25000 SH Put SOLE NONE 25000 0 0 Twitter Inc PUT 90184L952 862 32000 SH Put SOLE NONE 32000 0 0 Twitter Inc PUT 90184L952 242 9000 SH Put SOLE NONE 9000 0 0 Twitter Inc PUT 90184L952 296 11000 SH Put SOLE NONE 11000 0 0 Twitter Inc PUT 90184L952 404 15000 SH Put SOLE NONE 15000 0 0 Virnetx Holding Corp PUT 92823T958 7 2000 SH Put SOLE NONE 2000 0 0 Yahoo! Inc PUT 984332956 578 20000 SH Put SOLE NONE 20000 0 0 Yahoo! Inc PUT 984332956 867 30000 SH Put SOLE NONE 30000 0 0 Yahoo! Inc PUT 984332956 867 30000 SH Put SOLE NONE 30000 0 0 Yahoo! Inc PUT 984332956 145 5000 SH Put SOLE NONE 5000 0 0