Compliance Associate

0001597694-18-000003.txt : 20180206 0001597694-18-000003.hdr.sgml : 20180206 20180206100239 ACCESSION NUMBER: 0001597694-18-000003 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180206 DATE AS OF CHANGE: 20180206 EFFECTIVENESS DATE: 20180206 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: 18576498 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 12-31-2017 12-31-2017 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 02-06-2018 0 165 4301823 false INFORMATION TABLE 2 december2017finalrevised.xml 3M Co COM 88579Y101 21183 90000 SH SOLE NONE 90000 0 0 AbbVie Inc COM 00287Y109 29013 300000 SH SOLE NONE 300000 0 0 Aetna Inc COM 00817Y108 10823 60000 SH SOLE NONE 60000 0 0 Albemarle Corp COM 012653101 1456 11383 SH SOLE NONE 11383 0 0 Allegheny Technologies Inc COM 01741R102 800 33133 SH SOLE NONE 33133 0 0 Alphabet Inc COM 02079K305 83745 79500 SH SOLE NONE 79500 0 0 Alphabet Inc COM 02079K107 39763 38000 SH SOLE NONE 38000 0 0 Altria Group Inc COM 02209S103 33777 473000 SH SOLE NONE 473000 0 0 Amazon.com Inc COM 023135106 745 637 SH SOLE NONE 637 0 0 Ameren Corp COM 023608102 1947 33000 SH SOLE NONE 33000 0 0 AMETEK Inc COM 031100100 6522 90000 SH SOLE NONE 90000 0 0 Amgen Inc COM 031162100 13912 80000 SH SOLE NONE 80000 0 0 Apple Inc COM 037833100 201640 1191515 SH SOLE NONE 1191515 0 0 Applied Materials Inc COM 038222105 49523 968765 SH SOLE NONE 968765 0 0 Aptiv PLC COM G6095L109 5259 62000 SH SOLE NONE 62000 0 0 Arconic Inc COM 03965L100 4088 150000 SH SOLE NONE 150000 0 0 Ball Corp COM 058498106 17839 471300 SH SOLE NONE 471300 0 0 Bank of America Corp COM 060505104 14465 490000 SH SOLE NONE 490000 0 0 Berkshire Hathaway Inc COM 084670702 7929 40000 SH SOLE NONE 40000 0 0 Biogen Inc COM 09062X103 6371 20000 SH SOLE NONE 20000 0 0 Boeing Co/The COM 097023105 41923 142154 SH SOLE NONE 142154 0 0 BorgWarner Inc COM 099724106 267 5230 SH SOLE NONE 5230 0 0 Bristol-Myers Squibb Co COM 110122108 27576 450000 SH SOLE NONE 450000 0 0 Broadcom Ltd COM Y09827109 34938 136000 SH SOLE NONE 136000 0 0 Brookfield Asset Management In COM 112585104 28681 658735 SH SOLE NONE 658735 0 0 CR Bard Inc COM 067383109 49686 150000 SH SOLE NONE 150000 0 0 Calpine Corp COM 131347304 8473 560000 SH SOLE NONE 560000 0 0 Caterpillar Inc COM 149123101 29163 185066 SH SOLE NONE 185066 0 0 Chevron Corp COM 166764100 30672 245000 SH SOLE NONE 245000 0 0 Cincinnati Financial Corp COM 172062101 4498 60000 SH SOLE NONE 60000 0 0 Cisco Systems Inc COM 17275R102 19150 500000 SH SOLE NONE 500000 0 0 Citigroup Inc COM 172967424 95787 1287290 SH SOLE NONE 1287290 0 0 Citrix Systems Inc COM 177376100 79314 901300 SH SOLE NONE 901300 0 0 CNX Resources Corp COM 12653C108 6920 473000 SH SOLE NONE 473000 0 0 ConocoPhillips COM 20825C104 7465 136000 SH SOLE NONE 136000 0 0 CONSOL Energy Inc COM 20854L108 2336 59125 SH SOLE NONE 59125 0 0 Convergys Corp COM 212485106 2820 120000 SH SOLE NONE 120000 0 0 Cummins Inc COM 231021106 6182 35000 SH SOLE NONE 35000 0 0 Delphi Technologies PLC COM G2709G107 1084 20666 SH SOLE NONE 20666 0 0 Delta Air Lines Inc COM 247361702 5590 99814 SH SOLE NONE 99814 0 0 Dollar General Corp COM 256677105 7813 84000 SH SOLE NONE 84000 0 0 DowDuPont Inc COM 26078J100 29877 419500 SH SOLE NONE 419500 0 0 DXC Technology Co COM 23355L106 8755 92260 SH SOLE NONE 92260 0 0 Ecolab Inc COM 278865100 6843 51000 SH SOLE NONE 51000 0 0 Edwards Lifesciences Corp COM 28176E108 2254 20000 SH SOLE NONE 20000 0 0 Eli Lilly & Co COM 532457108 13851 164000 SH SOLE NONE 164000 0 0 EOG Resources Inc COM 26875P101 16187 150000 SH SOLE NONE 150000 0 0 Esperion Therapeutics Inc COM 29664W105 11851 180000 SH SOLE NONE 180000 0 0 Exxon Mobil Corp COM 30231G102 29129 348272 SH SOLE NONE 348272 0 0 Facebook Inc COM 30303M102 464 2632 SH SOLE NONE 2632 0 0 FireEye Inc COM 31816Q101 227 15983 SH SOLE NONE 15983 0 0 First Data Corp COM 32008D106 5092 304700 SH SOLE NONE 304700 0 0 Ford Motor Co COM 345370860 11786 943661 SH SOLE NONE 943661 0 0 General Dynamics Corp COM 369550108 20142 99000 SH SOLE NONE 99000 0 0 General Electric Co COM 369604103 8408 481849 SH SOLE NONE 481849 0 0 General Motors Co COM 37045V100 73780 1799958 SH SOLE NONE 1799958 0 0 Genuine Parts Co COM 372460105 6850 72100 SH SOLE NONE 72100 0 0 Gilead Sciences Inc COM 375558103 35718 498580 SH SOLE NONE 498580 0 0 Goldman Sachs Group Inc/The COM 38141G104 59955 235338 SH SOLE NONE 235338 0 0 GoPro Inc COM 38268T103 267 35287 SH SOLE NONE 35287 0 0 Halliburton Co COM 406216101 11973 245000 SH SOLE NONE 245000 0 0 Harley-Davidson Inc COM 412822108 13 249 SH SOLE NONE 249 0 0 Honeywell International Inc COM 438516106 3067 20000 SH SOLE NONE 20000 0 0 HP Inc COM 40434L105 5274 251000 SH SOLE NONE 251000 0 0 Huntsman Corp COM 447011107 2930 88000 SH SOLE NONE 88000 0 0 Illumina Inc COM 452327109 604 2766 SH SOLE NONE 2766 0 0 Intel Corp COM 458140100 7184 155633 SH SOLE NONE 155633 0 0 IBM COM 459200101 16109 105000 SH SOLE NONE 105000 0 0 Johnson Controls International COM G51502105 25709 674597 SH SOLE NONE 674597 0 0 Johnson & Johnson COM 478160104 86626 620000 SH SOLE NONE 620000 0 0 JPMorgan Chase & Co COM 46625H100 19784 185000 SH SOLE NONE 185000 0 0 Lockheed Martin Corp COM 539830109 16053 50000 SH SOLE NONE 50000 0 0 Lowe's Cos Inc COM 548661107 9294 100000 SH SOLE NONE 100000 0 0 McDonald's Corp COM 580135101 27367 159000 SH SOLE NONE 159000 0 0 MEDNAX Inc COM 58502B106 11238 210300 SH SOLE NONE 210300 0 0 Medtronic PLC COM G5960L103 7268 90000 SH SOLE NONE 90000 0 0 Merck & Co Inc COM 58933Y105 67243 1195000 SH SOLE NONE 1195000 0 0 Microsoft Corp COM 594918104 55344 647000 SH SOLE NONE 647000 0 0 Mondelez International Inc COM 609207105 112050 2618000 SH SOLE NONE 2618000 0 0 Monsanto Co COM 61166W101 54653 468000 SH SOLE NONE 468000 0 0 NextEra Energy Inc COM 65339F101 7810 50000 SH SOLE NONE 50000 0 0 NIKE Inc COM 654106103 12304 196700 SH SOLE NONE 196700 0 0 NiSource Inc COM 65473P105 2824 110000 SH SOLE NONE 110000 0 0 NVIDIA Corp COM 67066G104 22224 114854 SH SOLE NONE 114854 0 0 Parker-Hannifin Corp COM 701094104 5987 30000 SH SOLE NONE 30000 0 0 Pfizer Inc COM 717081103 114093 3150000 SH SOLE NONE 3150000 0 0 Philip Morris International In COM 718172109 13206 125000 SH SOLE NONE 125000 0 0 Potash Corp of Saskatchewan In COM 73755L107 255 12370 SH SOLE NONE 12370 0 0 Procter & Gamble Co/The COM 742718109 9188 100000 SH SOLE NONE 100000 0 0 Prudential Financial Inc COM 744320102 168 1461 SH SOLE NONE 1461 0 0 QUALCOMM Inc COM 747525103 25937 405134 SH SOLE NONE 405134 0 0 Raytheon Co COM 755111507 39449 210000 SH SOLE NONE 210000 0 0 Regeneron Pharmaceuticals Inc COM 75886F107 19782 52618 SH SOLE NONE 52618 0 0 Rockwell Collins Inc COM 774341101 8137 60000 SH SOLE NONE 60000 0 0 Roper Technologies Inc COM 776696106 4144 16000 SH SOLE NONE 16000 0 0 Schlumberger Ltd COM 806857108 7278 108000 SH SOLE NONE 108000 0 0 Seagate Technology PLC COM G7945M107 2300 54974 SH SOLE NONE 54974 0 0 Skyworks Solutions Inc COM 83088M102 290 3052 SH SOLE NONE 3052 0 0 Square Inc COM 852234103 1015 29286 SH SOLE NONE 29286 0 0 SunPower Corp COM 867652406 163 19391 SH SOLE NONE 19391 0 0 Synaptics Inc COM 87157D109 440 11006 SH SOLE NONE 11006 0 0 T Rowe Price Group Inc COM 74144T108 10493 100000 SH SOLE NONE 100000 0 0 Tapestry Inc COM 876030107 370 8367 SH SOLE NONE 8367 0 0 Target Corp COM 87612E106 21011 322000 SH SOLE NONE 322000 0 0 Tesla Inc COM 88160R101 435 1398 SH SOLE NONE 1398 0 0 Texas Instruments Inc COM 882508104 21410 205000 SH SOLE NONE 205000 0 0 Coca-Cola Co/The COM 191216100 31611 689000 SH SOLE NONE 689000 0 0 Home Depot Inc/The COM 437076102 78428 413800 SH SOLE NONE 413800 0 0 Progressive Corp/The COM 743315103 19881 353000 SH SOLE NONE 353000 0 0 Sherwin-Williams Co/The COM 824348106 14351 35000 SH SOLE NONE 35000 0 0 Time Warner Inc COM 887317303 59456 650000 SH SOLE NONE 650000 0 0 TJX Cos Inc/The COM 872540109 7646 100000 SH SOLE NONE 100000 0 0 Transocean Ltd COM H8817H100 2505 234570 SH SOLE NONE 234570 0 0 UnitedHealth Group Inc COM 91324P102 35274 160000 SH SOLE NONE 160000 0 0 Valero Energy Corp COM 91913Y100 11029 120000 SH SOLE NONE 120000 0 0 Verizon Communications Inc COM 92343V104 5293 100000 SH SOLE NONE 100000 0 0 Vertex Pharmaceuticals Inc COM 92532F100 5994 40000 SH SOLE NONE 40000 0 0 Walmart Inc COM 931142103 31501 319000 SH SOLE NONE 319000 0 0 Waste Management Inc COM 94106L109 14671 170000 SH SOLE NONE 170000 0 0 Wells Fargo & Co COM 949746101 24268 400000 SH SOLE NONE 400000 0 0 Zoetis Inc COM 98978V103 6772 94000 SH SOLE NONE 94000 0 0 Alibaba Group Holding Ltd ADR 01609W102 328 1902 SH SOLE NONE 1902 0 0 ClearBridge All Cap Growth ETF ETF 524682101 5572 200000 SH SOLE NONE 200000 0 0 Legg Mason Global Infrastructu ETF 52468L703 5896 200000 SH SOLE NONE 200000 0 0 Visa Inc COM 92826C839 1341841 11768474 SH SOLE NONE 11768474 0 0 Amazon.com Inc CALL 023135106 2339 2000 SH Call SOLE NONE 2000 0 0 Boeing Co/The CALL 097023105 19169 65000 SH Call SOLE NONE 65000 0 0 General Electric Co CALL 369604103 2618 150000 SH Call SOLE NONE 150000 0 0 Goldman Sachs Group Inc/The CALL 38141G104 2548 10000 SH Call SOLE NONE 10000 0 0 Tesla Inc CALL 88160R101 3114 10000 SH Call SOLE NONE 10000 0 0 Tesla Inc CALL 88160R101 4670 15000 SH Call SOLE NONE 15000 0 0 Amazon.com Inc PUT 023135106 8771 7500 SH Put SOLE NONE 7500 0 0 Amazon.com Inc PUT 023135106 9940 8500 SH Put SOLE NONE 8500 0 0 Amazon.com Inc PUT 023135106 2339 2000 SH Put SOLE NONE 2000 0 0 Apple Inc PUT 037833100 23389 20000 SH Put SOLE NONE 20000 0 0 Apple Inc PUT 037833100 3385 20000 SH Put SOLE NONE 20000 0 0 Caterpillar Inc PUT 149123101 8462 50000 SH Put SOLE NONE 50000 0 0 Caterpillar Inc PUT 149123101 6618 42000 SH Put SOLE NONE 42000 0 0 Exxon Mobil Corp PUT 30231G102 6303 40000 SH Put SOLE NONE 40000 0 0 General Motors Co PUT 37045V100 17564 210000 SH Put SOLE NONE 210000 0 0 Goldman Sachs Group Inc/The PUT 38141G104 615 15000 SH Put SOLE NONE 15000 0 0 NVIDIA Corp PUT 67066G104 10190 40000 SH Put SOLE NONE 40000 0 0 NVIDIA Corp PUT 67066G104 3870 20000 SH Put SOLE NONE 20000 0 0 NVIDIA Corp PUT 67066G104 2903 15000 SH Put SOLE NONE 15000 0 0 NVIDIA Corp PUT 67066G104 9675 50000 SH Put SOLE NONE 50000 0 0 NVIDIA Corp PUT 67066G104 22253 115000 SH Put SOLE NONE 115000 0 0 NVIDIA Corp PUT 67066G104 19350 100000 SH Put SOLE NONE 100000 0 0 NVIDIA Corp PUT 67066G104 5805 30000 SH Put SOLE NONE 30000 0 0 NVIDIA Corp PUT 67066G104 5805 30000 SH Put SOLE NONE 30000 0 0 NVIDIA Corp PUT 67066G104 1935 10000 SH Put SOLE NONE 10000 0 0 QUALCOMM Inc PUT 747525103 3870 20000 SH Put SOLE NONE 20000 0 0 Regeneron Pharmaceuticals Inc PUT 75886F107 256 4000 SH Put SOLE NONE 4000 0 0 Seagate Technology PLC PUT G7945M107 28197 75000 SH Put SOLE NONE 75000 0 0 Seagate Technology PLC PUT G7945M107 2092 50000 SH Put SOLE NONE 50000 0 0 Tesla Inc PUT 88160R101 1464 35000 SH Put SOLE NONE 35000 0 0 Tesla Inc PUT 88160R101 25686 82500 SH Put SOLE NONE 82500 0 0 Tesla Inc PUT 88160R101 3114 10000 SH Put SOLE NONE 10000 0 0 Tesla Inc PUT 88160R101 10897 35000 SH Put SOLE NONE 35000 0 0 Tesla Inc PUT 88160R101 7784 25000 SH Put SOLE NONE 25000 0 0 Tesla Inc PUT 88160R101 3114 10000 SH Put SOLE NONE 10000 0 0 Tiffany & Co PUT 886547108 2599 25000 SH Put SOLE NONE 25000 0 0 Tiffany & Co PUT 886547108 1819 17500 SH Put SOLE NONE 17500 0 0 Transocean Ltd PUT H8817H100 3206 300200 SH Put SOLE NONE 300200 0 0 Visa Inc PUT 92826C839 28505 250000 SH Put SOLE NONE 250000 0 0 Toyota Motor Corp ADR 892331307 203 1600 SH SOLE NONE 1600 0 0