Compliance Associate

0001597694-17-000006.txt : 20171109 0001597694-17-000006.hdr.sgml : 20171109 20171109084630 ACCESSION NUMBER: 0001597694-17-000006 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171109 DATE AS OF CHANGE: 20171109 EFFECTIVENESS DATE: 20171109 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MUFG Securities EMEA 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: 171188423 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 FORMER COMPANY: FORMER CONFORMED NAME: Mitsubishi UFJ Securities International PLC DATE OF NAME CHANGE: 20140121 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001597694 XXXXXXXX 09-30-2017 09-30-2017 true 1 RESTATEMENT MUFG Securities EMEA plc

ROPEMAKER PLACE 25 ROPEMAKER STREET LONDON X0 EC2Y 9AJ

13F HOLDINGS REPORT 028-15731 N Herby Lai Compliance Associate (44)2075772823 Herby Lai London X0 11-09-2017 0 119 2800839 false INFORMATION TABLE 2 september2017final1.xml Activision Blizzard Inc COM 00507V109 6451 100000 SH SOLE NONE 100000 0 0 Albemarle Corp COM 012653101 331 2429 SH SOLE NONE 2429 0 0 Alphabet Inc COM 02079K305 13632 14000 SH SOLE NONE 14000 0 0 Altria Group Inc COM 02209S103 8435 133000 SH SOLE NONE 133000 0 0 Amazon.com Inc COM 023135106 953 991 SH SOLE NONE 991 0 0 Apple Inc COM 037833100 96977 629233 SH SOLE NONE 629233 0 0 Ball Corp COM 058498106 4130 100000 SH SOLE NONE 100000 0 0 Boeing Co/The COM 097023105 36729 144483 SH SOLE NONE 144483 0 0 Brookfield Asset Management In COM 112585104 27123 656734 SH SOLE NONE 656734 0 0 Bunge Ltd COM G16962105 4307 62000 SH SOLE NONE 62000 0 0 Cardinal Health Inc COM 14149Y108 7361 110000 SH SOLE NONE 110000 0 0 Caterpillar Inc COM 149123101 956 7666 SH SOLE NONE 7666 0 0 CBS Corporation Class B Common Stoc COM 124857202 1740 30000 SH SOLE NONE 30000 0 0 Charter Communications Inc COM 16119P108 7268 20000 SH SOLE NONE 20000 0 0 Chevron Corp COM 166764100 38188 325000 SH SOLE NONE 325000 0 0 Cisco Systems Inc COM 17275R102 15134 450000 SH SOLE NONE 450000 0 0 Citrix Systems Inc COM 177376100 67218 875000 SH SOLE NONE 875000 0 0 Coach Inc COM 189754104 337 8367 SH SOLE NONE 8367 0 0 Cognizant Technology Solutions COM 192446102 6188 85300 SH SOLE NONE 85300 0 0 CONSOL Energy Inc COM 20854P109 8013 473000 SH SOLE NONE 473000 0 0 Convergys Corp COM 212485106 3107 120000 SH SOLE NONE 120000 0 0 Delta Air Lines Inc COM 247361702 437 9057 SH SOLE NONE 9057 0 0 DowDuPont Inc COM 26078J100 28073 405500 SH SOLE NONE 405500 0 0 Eli Lilly & Co COM 532457108 9409 110000 SH SOLE NONE 110000 0 0 Esperion Therapeutics Inc COM 29664W105 9022 180000 SH SOLE NONE 180000 0 0 Exxon Mobil Corp COM 30231G102 7032 85772 SH SOLE NONE 85772 0 0 FireEye Inc COM 31816Q101 406 24183 SH SOLE NONE 24183 0 0 First Data Corp COM 32008D106 9020 500000 SH SOLE NONE 500000 0 0 Ford Motor Co COM 345370860 1307 109230 SH SOLE NONE 109230 0 0 Freeport-McMoRan Inc COM 35671D857 525 37358 SH SOLE NONE 37358 0 0 General Dynamics Corp COM 369550108 12335 60000 SH SOLE NONE 60000 0 0 General Motors Co COM 37045V100 51988 1287466 SH SOLE NONE 1287466 0 0 Gilead Sciences Inc COM 375558103 8497 104880 SH SOLE NONE 104880 0 0 Goldman Sachs Group Inc/The COM 38141G104 1862 7852 SH SOLE NONE 7852 0 0 Alphabet Inc COM 02079K107 35487 37000 SH SOLE NONE 37000 0 0 GoPro Inc COM 38268T103 37 3335 SH SOLE NONE 3335 0 0 Halliburton Co COM 406216101 8516 185000 SH SOLE NONE 185000 0 0 Harley-Davidson Inc COM 412822108 12 249 SH SOLE NONE 249 0 0 Huntsman Corp COM 447011107 5155 188000 SH SOLE NONE 188000 0 0 Hyatt Hotels Corp COM 448579102 3398 55000 SH SOLE NONE 55000 0 0 Illumina Inc COM 452327109 602 3024 SH SOLE NONE 3024 0 0 IBM COM 459200101 19586 135000 SH SOLE NONE 135000 0 0 Invesco Ltd COM G491BT108 1752 50000 SH SOLE NONE 50000 0 0 Johnson Controls International COM G51502105 55278 1371998 SH SOLE NONE 1371998 0 0 Johnson & Johnson COM 478160104 56554 435000 SH SOLE NONE 435000 0 0 Lockheed Martin Corp COM 539830109 15515 50000 SH SOLE NONE 50000 0 0 Macquarie Infrastructure Corp COM 55608B105 3248 45000 SH SOLE NONE 45000 0 0 MEDNAX Inc COM 58502B106 12289 285000 SH SOLE NONE 285000 0 0 Medtronic PLC COM G5960L103 6999 90000 SH SOLE NONE 90000 0 0 Merck & Co Inc COM 58933Y105 7363 115000 SH SOLE NONE 115000 0 0 Microsoft Corp COM 594918104 100562 1350000 SH SOLE NONE 1350000 0 0 Mondelez International Inc COM 609207105 90062 2215000 SH SOLE NONE 2215000 0 0 Monsanto Co COM 61166W101 21927 183000 SH SOLE NONE 183000 0 0 Newmont Mining Corp COM 651639106 8815 235000 SH SOLE NONE 235000 0 0 NextEra Energy Inc COM 65339F101 7328 50000 SH SOLE NONE 50000 0 0 NIKE Inc COM 654106103 6222 120000 SH SOLE NONE 120000 0 0 Norfolk Southern Corp COM 655844108 7934 60000 SH SOLE NONE 60000 0 0 NVIDIA Corp COM 67066G104 30578 171047 SH SOLE NONE 171047 0 0 Occidental Petroleum Corp COM 674599105 6100 95000 SH SOLE NONE 95000 0 0 PayPal Holdings Inc COM 70450Y103 833 13016 SH SOLE NONE 13016 0 0 Pfizer Inc COM 717081103 28560 800000 SH SOLE NONE 800000 0 0 Phillips 66 COM 718546104 4581 50000 SH SOLE NONE 50000 0 0 Potash Corp of Saskatchewan In COM 73755L107 392 20370 SH SOLE NONE 20370 0 0 Prudential Financial Inc COM 744320102 208 1961 SH SOLE NONE 1961 0 0 QUALCOMM Inc COM 747525103 925 17834 SH SOLE NONE 17834 0 0 Regeneron Pharmaceuticals Inc COM 75886F107 1586 3548 SH SOLE NONE 3548 0 0 Rockwell Collins Inc COM 774341101 7843 60000 SH SOLE NONE 60000 0 0 Seagate Technology PLC COM G7945M107 4769 143770 SH SOLE NONE 143770 0 0 Sempra Energy COM 816851109 11413 100000 SH SOLE NONE 100000 0 0 Skyworks Solutions Inc COM 83088M102 759 7452 SH SOLE NONE 7452 0 0 Synaptics Inc COM 87157D109 314 8006 SH SOLE NONE 8006 0 0 T Rowe Price Group Inc COM 74144T108 9065 100000 SH SOLE NONE 100000 0 0 Tesla Inc COM 88160R101 7081 20759 SH SOLE NONE 20759 0 0 Texas Instruments Inc COM 882508104 6275 70000 SH SOLE NONE 70000 0 0 Coca-Cola Co/The COM 191216100 19129 425000 SH SOLE NONE 425000 0 0 Goodyear Tire & Rubber Co/The COM 382550101 15827 476000 SH SOLE NONE 476000 0 0 Home Depot Inc/The COM 437076102 36801 225000 SH SOLE NONE 225000 0 0 Progressive Corp/The COM 743315103 19368 400000 SH SOLE NONE 400000 0 0 Time Warner Inc COM 887317303 46615 455000 SH SOLE NONE 455000 0 0 TJX Cos Inc/The COM 872540109 7373 100000 SH SOLE NONE 100000 0 0 Transocean Ltd COM H8817H100 3131 291028 SH SOLE NONE 291028 0 0 Union Pacific Corp COM 907818108 8118 70000 SH SOLE NONE 70000 0 0 UnitedHealth Group Inc COM 91324P102 55817 285000 SH SOLE NONE 285000 0 0 Verizon Communications Inc COM 92343V104 12867 260000 SH SOLE NONE 260000 0 0 Vertex Pharmaceuticals Inc COM 92532F100 6082 40000 SH SOLE NONE 40000 0 0 Waste Management Inc COM 94106L109 6262 80000 SH SOLE NONE 80000 0 0 Toyota Motor Corp ADR 892331307 215 1800 SH SOLE NONE 1800 0 0 ClearBridge All Cap Growth ETF ETF 524682101 5231 200000 SH SOLE NONE 200000 0 0 Legg Mason Global Infrastructu ETF 52468L703 5884 200000 SH SOLE NONE 200000 0 0 Visa Inc COM 92826C839 1238514 11768474 SH SOLE NONE 11768474 0 0 BLACKHAWK NETWORK HOLD Note HAWK 1 1/2 01/15/22 09238EAB0 56124 500000 PRN SOLE NONE 10034 0 0 Amazon.com Inc CALL 023135106 1923 2000 SH Call SOLE NONE 2000 0 0 Amazon.com Inc CALL 023135106 1923 2000 SH Call SOLE NONE 2000 0 0 Goldman Sachs Group Inc/The CALL 38141G104 2372 10000 SH Call SOLE NONE 10000 0 0 NVIDIA Corp CALL 67066G104 5363 30000 SH Call SOLE NONE 30000 0 0 NVIDIA Corp CALL 67066G104 6257 35000 SH Call SOLE NONE 35000 0 0 Tesla Inc CALL 88160R101 8528 25000 SH Call SOLE NONE 25000 0 0 Tesla Inc CALL 88160R101 8528 25000 SH Call SOLE NONE 25000 0 0 Amazon.com Inc PUT 023135106 1923 2000 SH Put SOLE NONE 2000 0 0 Apple Inc PUT 037833100 3082 20000 SH Put SOLE NONE 20000 0 0 Caterpillar Inc PUT 149123101 6236 50000 SH Put SOLE NONE 50000 0 0 Caterpillar Inc PUT 149123101 5238 42000 SH Put SOLE NONE 42000 0 0 Exxon Mobil Corp PUT 30231G102 3279 40000 SH Put SOLE NONE 40000 0 0 General Motors Co PUT 37045V100 5653 140000 SH Put SOLE NONE 140000 0 0 NVIDIA Corp PUT 67066G104 7151 40000 SH Put SOLE NONE 40000 0 0 NVIDIA Corp PUT 67066G104 8939 50000 SH Put SOLE NONE 50000 0 0 NVIDIA Corp PUT 67066G104 13408 75000 SH Put SOLE NONE 75000 0 0 NVIDIA Corp PUT 67066G104 13408 75000 SH Put SOLE NONE 75000 0 0 NVIDIA Corp PUT 67066G104 5363 30000 SH Put SOLE NONE 30000 0 0 Regeneron Pharmaceuticals Inc PUT 75886F107 1788 4000 SH Put SOLE NONE 4000 0 0 Seagate Technology PLC PUT G7945M107 2488 75000 SH Put SOLE NONE 75000 0 0 Tesla Inc PUT 88160R101 11939 35000 SH Put SOLE NONE 35000 0 0 Tesla Inc PUT 88160R101 21319 62500 SH Put SOLE NONE 62500 0 0 Tesla Inc PUT 88160R101 3411 10000 SH Put SOLE NONE 10000 0 0 Tesla Inc PUT 88160R101 5117 15000 SH Put SOLE NONE 15000 0 0 Tesla Inc PUT 88160R101 8528 25000 SH Put SOLE NONE 25000 0 0 Tiffany & Co PUT 886547108 2295 25000 SH Put SOLE NONE 25000 0 0 Tiffany & Co PUT 886547108 1606 17500 SH Put SOLE NONE 17500 0 0 Transocean Ltd PUT H8817H100 2 200 SH Put SOLE NONE 200 0 0