Compliance Control Room Officer

0001597694-18-000005.txt : 20180501 0001597694-18-000005.hdr.sgml : 20180501 20180501081638 ACCESSION NUMBER: 0001597694-18-000005 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180501 DATE AS OF CHANGE: 20180501 EFFECTIVENESS DATE: 20180501 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: 18793289 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 true false 0001597694 XXXXXXXX 03-31-2018 03-31-2018 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 Control Room Officer (44)2075772823 Herby Lai London X0 05-01-2018 0 211 4711158 false INFORMATION TABLE 2 march2018final.xml 3M Co COM 88579Y101 31830 145000 SH SOLE NONE 145000 0 0 Abbott Laboratories COM 002824100 10786 180000 SH SOLE NONE 180000 0 0 Aetna Inc COM 00817Y108 5915 35000 SH SOLE NONE 35000 0 0 Aflac Inc COM 001055102 10065 230000 SH SOLE NONE 230000 0 0 Akamai Technologies Inc COM 00971T101 13422 189100 SH SOLE NONE 189100 0 0 Albemarle Corp COM 012653101 1229 13247 SH SOLE NONE 13247 0 0 Allegheny Technologies Inc COM 01741R102 1388 58613 SH SOLE NONE 58613 0 0 Allstate Corp/The COM 020002101 4171 44000 SH SOLE NONE 44000 0 0 Alphabet Inc COM 02079K305 96143 92700 SH SOLE NONE 92700 0 0 Altria Group Inc COM 02209S103 21002 337000 SH SOLE NONE 337000 0 0 Amazon.com Inc COM 023135106 51026 35255 SH SOLE NONE 35255 0 0 Ameren Corp COM 023608102 14158 250000 SH SOLE NONE 250000 0 0 Amgen Inc COM 031162100 18753 110000 SH SOLE NONE 110000 0 0 Andeavor COM 03349M105 8960 89100 SH SOLE NONE 89100 0 0 Anthem Inc COM 036752103 48334 220000 SH SOLE NONE 220000 0 0 Apple Inc COM 037833100 89931 536007 SH SOLE NONE 536007 0 0 Applied Materials Inc COM 038222105 6906 124190 SH SOLE NONE 124190 0 0 Archer-Daniels-Midland Co COM 039483102 8674 200000 SH SOLE NONE 200000 0 0 Assured Guaranty Ltd COM G0585R106 10860 300000 SH SOLE NONE 300000 0 0 AT&T Inc COM 00206R102 18121 508289 SH SOLE NONE 508289 0 0 athenahealth Inc COM 04685W103 4863 34000 SH SOLE NONE 34000 0 0 AutoZone Inc COM 053332102 4541 7000 SH SOLE NONE 7000 0 0 Ball Corp COM 058498106 27797 700000 SH SOLE NONE 700000 0 0 Bank of America Corp COM 060505104 89610 2988000 SH SOLE NONE 2988000 0 0 Becton Dickinson and Co COM 075887109 11919 55000 SH SOLE NONE 55000 0 0 Berkshire Hathaway Inc COM 084670702 27329 137000 SH SOLE NONE 137000 0 0 Biogen Inc COM 09062X103 5476 20000 SH SOLE NONE 20000 0 0 Boeing Co/The COM 097023105 29259 89237 SH SOLE NONE 89237 0 0 BorgWarner Inc COM 099724106 258 5145 SH SOLE NONE 5145 0 0 Broadcom Ltd COM Y09827109 32048 136000 SH SOLE NONE 136000 0 0 Brookfield Asset Management In COM 112585104 33606 861682 SH SOLE NONE 861682 0 0 Cadence Design Systems Inc COM 127387108 3236 88000 SH SOLE NONE 88000 0 0 Caterpillar Inc COM 149123101 8300 56316 SH SOLE NONE 56316 0 0 Celgene Corp COM 151020104 2319 26000 SH SOLE NONE 26000 0 0 Charter Communications Inc COM 16119P108 6224 20000 SH SOLE NONE 20000 0 0 Chevron Corp COM 166764100 118659 1040500 SH SOLE NONE 1040500 0 0 Cigna Corp COM 125509109 46045 274500 SH SOLE NONE 274500 0 0 Cincinnati Financial Corp COM 172062101 4456 60000 SH SOLE NONE 60000 0 0 Cisco Systems Inc COM 17275R102 7892 184000 SH SOLE NONE 184000 0 0 Citigroup Inc COM 172967424 22592 334700 SH SOLE NONE 334700 0 0 Citrix Systems Inc COM 177376100 23014 248000 SH SOLE NONE 248000 0 0 CME Group Inc COM 12572Q105 11807 73000 SH SOLE NONE 73000 0 0 CNX Resources Corp COM 12653C108 7298 473000 SH SOLE NONE 473000 0 0 Comerica Inc COM 200340107 27436 286000 SH SOLE NONE 286000 0 0 ConocoPhillips COM 20825C104 18736 316000 SH SOLE NONE 316000 0 0 CONSOL Energy Inc COM 20854L108 1713 59125 SH SOLE NONE 59125 0 0 Consolidated Edison Inc COM 209115104 11301 145000 SH SOLE NONE 145000 0 0 Convergys Corp COM 212485106 2714 120000 SH SOLE NONE 120000 0 0 Corning Inc COM 219350105 4879 175000 SH SOLE NONE 175000 0 0 Cummins Inc COM 231021106 5997 37000 SH SOLE NONE 37000 0 0 CVS Health Corp COM 126650100 1306 21000 SH SOLE NONE 21000 0 0 Darden Restaurants Inc COM 237194105 8525 100000 SH SOLE NONE 100000 0 0 DaVita Inc COM 23918K108 3620 54900 SH SOLE NONE 54900 0 0 Delta Air Lines Inc COM 247361702 51 931 SH SOLE NONE 931 0 0 DowDuPont Inc COM 26078J100 18665 292970 SH SOLE NONE 292970 0 0 DXC Technology Co COM 23355L106 43731 435000 SH SOLE NONE 435000 0 0 EOG Resources Inc COM 26875P101 15791 150000 SH SOLE NONE 150000 0 0 Esperion Therapeutics Inc COM 29664W105 13019 180000 SH SOLE NONE 180000 0 0 Express Scripts Holding Co COM 30219G108 16579 240000 SH SOLE NONE 240000 0 0 Exxon Mobil Corp COM 30231G102 76436 1024472 SH SOLE NONE 1024472 0 0 Facebook Inc COM 30303M102 29032 181690 SH SOLE NONE 181690 0 0 FireEye Inc COM 31816Q101 2046 120879 SH SOLE NONE 120879 0 0 Ford Motor Co COM 345370860 484 43661 SH SOLE NONE 43661 0 0 Freeport-McMoRan Inc COM 35671D857 4972 283000 SH SOLE NONE 283000 0 0 General Dynamics Corp COM 369550108 21869 99000 SH SOLE NONE 99000 0 0 General Electric Co COM 369604103 11330 840514 SH SOLE NONE 840514 0 0 General Motors Co COM 37045V100 38459 1058300 SH SOLE NONE 1058300 0 0 Gilead Sciences Inc COM 375558103 24349 322980 SH SOLE NONE 322980 0 0 Goldman Sachs Group Inc/The COM 38141G104 10 38 SH SOLE NONE 38 0 0 Alphabet Inc COM 02079K107 39208 38000 SH SOLE NONE 38000 0 0 GoPro Inc COM 38268T103 135 28287 SH SOLE NONE 28287 0 0 Halliburton Co COM 406216101 3286 70000 SH SOLE NONE 70000 0 0 Harley-Davidson Inc COM 412822108 11 249 SH SOLE NONE 249 0 0 Hartford Financial Services Gr COM 416515104 8707 169000 SH SOLE NONE 169000 0 0 HCA Healthcare Inc COM 40412C101 2231 23000 SH SOLE NONE 23000 0 0 Honeywell International Inc COM 438516106 2890 20000 SH SOLE NONE 20000 0 0 HP Inc COM 40434L105 19070 870000 SH SOLE NONE 870000 0 0 Huntington Ingalls Industries COM 446413106 1547 6000 SH SOLE NONE 6000 0 0 Illumina Inc COM 452327109 610 2581 SH SOLE NONE 2581 0 0 Ingersoll-Rand PLC COM G47791101 31639 370000 SH SOLE NONE 370000 0 0 Ingredion Inc COM 457187102 6188 48000 SH SOLE NONE 48000 0 0 Intel Corp COM 458140100 16881 324133 SH SOLE NONE 324133 0 0 Intercontinental Exchange Inc COM 45866F104 19580 270000 SH SOLE NONE 270000 0 0 IBM COM 459200101 20633 134480 SH SOLE NONE 134480 0 0 Intuitive Surgical Inc COM 46120E602 276 669 SH SOLE NONE 669 0 0 IQVIA Holdings Inc COM 46266C105 1962 20000 SH SOLE NONE 20000 0 0 Johnson & Johnson COM 478160104 3845 30000 SH SOLE NONE 30000 0 0 Johnson Controls International COM G51502105 63326 1796998 SH SOLE NONE 1796998 0 0 JPMorgan Chase & Co COM 46625H100 29142 265000 SH SOLE NONE 265000 0 0 Juniper Networks Inc COM 48203R104 2749 113000 SH SOLE NONE 113000 0 0 Kansas City Southern COM 485170302 9118 83000 SH SOLE NONE 83000 0 0 KeyCorp COM 493267108 2160 110500 SH SOLE NONE 110500 0 0 L3 Technologies Inc COM 502413107 4784 23000 SH SOLE NONE 23000 0 0 Liberty Media Corp-Liberty Sir COM 531229607 5719 140000 SH SOLE NONE 140000 0 0 Lockheed Martin Corp COM 539830109 30076 89000 SH SOLE NONE 89000 0 0 Marathon Petroleum Corp COM 56585A102 27051 370000 SH SOLE NONE 370000 0 0 Masco Corp COM 574599106 756 18700 SH SOLE NONE 18700 0 0 Mastercard Inc COM 57636Q104 52548 300000 SH SOLE NONE 300000 0 0 McDonald's Corp COM 580135101 7506 48000 SH SOLE NONE 48000 0 0 McKesson Corp COM 58155Q103 10791 76600 SH SOLE NONE 76600 0 0 MEDNAX Inc COM 58502B106 37139 667600 SH SOLE NONE 667600 0 0 Medtronic PLC COM G5960L103 14039 175000 SH SOLE NONE 175000 0 0 Merck & Co Inc COM 58933Y105 69558 1277000 SH SOLE NONE 1277000 0 0 Micron Technology Inc COM 595112103 13035 250000 SH SOLE NONE 250000 0 0 Microsoft Corp COM 594918104 145393 1593000 SH SOLE NONE 1593000 0 0 Mondelez International Inc COM 609207105 25789 618000 SH SOLE NONE 618000 0 0 Monsanto Co COM 61166W101 66280 568000 SH SOLE NONE 568000 0 0 Motorola Solutions Inc COM 620076307 5160 49000 SH SOLE NONE 49000 0 0 Newfield Exploration Co COM 651290108 576 23600 SH SOLE NONE 23600 0 0 Newmont Mining Corp COM 651639106 22469 575100 SH SOLE NONE 575100 0 0 NextEra Energy Inc COM 65339F101 4083 25000 SH SOLE NONE 25000 0 0 NIKE Inc COM 654106103 22390 337000 SH SOLE NONE 337000 0 0 Norfolk Southern Corp COM 655844108 6789 50000 SH SOLE NONE 50000 0 0 Northern Trust Corp COM 665859104 13201 128000 SH SOLE NONE 128000 0 0 NVIDIA Corp COM 67066G104 21741 93878 SH SOLE NONE 93878 0 0 Occidental Petroleum Corp COM 674599105 45472 700000 SH SOLE NONE 700000 0 0 Oracle Corp COM 68389X105 9425 206000 SH SOLE NONE 206000 0 0 O'Reilly Automotive Inc COM 67103H107 1558 6300 SH SOLE NONE 6300 0 0 Parker-Hannifin Corp COM 701094104 3763 22000 SH SOLE NONE 22000 0 0 PayPal Holdings Inc COM 70450Y103 3414 45000 SH SOLE NONE 45000 0 0 PepsiCo Inc COM 713448108 18337 168000 SH SOLE NONE 168000 0 0 Pfizer Inc COM 717081103 32828 925000 SH SOLE NONE 925000 0 0 Philip Morris International In COM 718172109 23876 240200 SH SOLE NONE 240200 0 0 Pinnacle Foods Inc COM 72348P104 8656 160000 SH SOLE NONE 160000 0 0 Platform Specialty Products Co COM 72766Q105 8860 920000 SH SOLE NONE 920000 0 0 Praxair Inc COM 74005P104 5628 39000 SH SOLE NONE 39000 0 0 Principal Financial Group Inc COM 74251V102 20344 334000 SH SOLE NONE 334000 0 0 Prudential Financial Inc COM 744320102 151 1461 SH SOLE NONE 1461 0 0 Public Service Enterprise Grou COM 744573106 7214 143600 SH SOLE NONE 143600 0 0 QUALCOMM Inc COM 747525103 16069 290000 SH SOLE NONE 290000 0 0 Quanta Services Inc COM 74762E102 3603 104900 SH SOLE NONE 104900 0 0 Raytheon Co COM 755111507 282 1308 SH SOLE NONE 1308 0 0 Regeneron Pharmaceuticals Inc COM 75886F107 3058 8879 SH SOLE NONE 8879 0 0 RPM International Inc COM 749685103 10726 225000 SH SOLE NONE 225000 0 0 S&P Global Inc COM 78409V104 17386 91000 SH SOLE NONE 91000 0 0 salesforce.com Inc COM 79466L302 930 8000 SH SOLE NONE 8000 0 0 Schlumberger Ltd COM 806857108 7385 114000 SH SOLE NONE 114000 0 0 Seagate Technology PLC COM G7945M107 1020 17431 SH SOLE NONE 17431 0 0 Signature Bank/New York NY COM 82669G104 2839 20000 SH SOLE NONE 20000 0 0 Skyworks Solutions Inc COM 83088M102 381 3802 SH SOLE NONE 3802 0 0 Square Inc COM 852234103 3945 80191 SH SOLE NONE 80191 0 0 SunPower Corp COM 867652406 306 38324 SH SOLE NONE 38324 0 0 Synaptics Inc COM 87157D109 334 7294 SH SOLE NONE 7294 0 0 Synopsys Inc COM 871607107 0 2 SH SOLE NONE 2 0 0 Synovus Financial Corp COM 87161C501 8989 180000 SH SOLE NONE 180000 0 0 Target Corp COM 87612E106 22356 322000 SH SOLE NONE 322000 0 0 Texas Instruments Inc COM 882508104 6026 58000 SH SOLE NONE 58000 0 0 Coca-Cola Co/The COM 191216100 26449 609000 SH SOLE NONE 609000 0 0 Home Depot Inc/The COM 437076102 9946 55800 SH SOLE NONE 55800 0 0 Progressive Corp/The COM 743315103 15951 261800 SH SOLE NONE 261800 0 0 Travelers Cos Inc/The COM 89417E109 16941 122000 SH SOLE NONE 122000 0 0 Walt Disney Co/The COM 254687106 19887 198000 SH SOLE NONE 198000 0 0 Thermo Fisher Scientific Inc COM 883556102 26220 127000 SH SOLE NONE 127000 0 0 Time Warner Inc COM 887317303 103830 1097800 SH SOLE NONE 1097800 0 0 TJX Cos Inc/The COM 872540109 8156 100000 SH SOLE NONE 100000 0 0 Transocean Ltd COM H8817H100 2892 292164 SH SOLE NONE 292164 0 0 Trinity Industries Inc COM 896522109 9763 299200 SH SOLE NONE 299200 0 0 Ultra Petroleum Corp COM 903914208 4587 1100000 SH SOLE NONE 1100000 0 0 UnitedHealth Group Inc COM 91324P102 23540 110000 SH SOLE NONE 110000 0 0 USG Corp COM 903293405 12126 300000 SH SOLE NONE 300000 0 0 Validus Holdings Ltd COM G9319H102 26980 400000 SH SOLE NONE 400000 0 0 Verizon Communications Inc COM 92343V104 50498 1056000 SH SOLE NONE 1056000 0 0 Vertex Pharmaceuticals Inc COM 92532F100 6519 40000 SH SOLE NONE 40000 0 0 VF Corp COM 918204108 5188 70000 SH SOLE NONE 70000 0 0 Walmart Inc COM 931142103 19573 220000 SH SOLE NONE 220000 0 0 Waste Management Inc COM 94106L109 31251 371500 SH SOLE NONE 371500 0 0 Wells Fargo & Co COM 949746101 7599 145000 SH SOLE NONE 145000 0 0 Wynn Resorts Ltd COM 983134107 2188 12000 SH SOLE NONE 12000 0 0 Xerox Corp COM 984121608 1612 56000 SH SOLE NONE 56000 0 0 Zynga Inc COM 98986T108 9150 2500000 SH SOLE NONE 2500000 0 0 Alibaba Group Holding Ltd ADR 01609W102 270 1470 SH SOLE NONE 1470 0 0 Toyota Motor Corp ADR 892331307 3 20 SH SOLE NONE 20 0 0 Vale SA ADR 91912E105 266 20873 SH SOLE NONE 20873 0 0 ClearBridge All Cap Growth ETF ETF 524682101 5660 200000 SH SOLE NONE 200000 0 0 Legg Mason Global Infrastructu ETF 52468L703 5537 200000 SH SOLE NONE 200000 0 0 Equity Residential REIT 29476L107 1541 25000 SH SOLE NONE 25000 0 0 Visa Inc COM 92826C839 1407745 11768474 SH SOLE NONE 11768474 0 0 Amazon.com Inc CALL 023135106 2895 2000 SH Call SOLE NONE 2000 0 0 General Electric Co CALL 369604103 2022 150000 SH Call SOLE NONE 150000 0 0 NVIDIA Corp CALL 67066G104 27791 120000 SH Call SOLE NONE 120000 0 0 Tesla Inc CALL 88160R101 18629 70000 SH Call SOLE NONE 70000 0 0 Tesla Inc CALL 88160R101 3992 15000 SH Call SOLE NONE 15000 0 0 Albemarle Corp PUT 012653101 1855 20000 SH Put SOLE NONE 20000 0 0 Amazon.com Inc PUT 023135106 10855 7500 SH Put SOLE NONE 7500 0 0 Amazon.com Inc PUT 023135106 12302 8500 SH Put SOLE NONE 8500 0 0 Amazon.com Inc PUT 023135106 2895 2000 SH Put SOLE NONE 2000 0 0 Apple Inc PUT 037833100 3356 20000 SH Put SOLE NONE 20000 0 0 Apple Inc PUT 037833100 3356 20000 SH Put SOLE NONE 20000 0 0 Caterpillar Inc PUT 149123101 7369 50000 SH Put SOLE NONE 50000 0 0 Caterpillar Inc PUT 149123101 6190 42000 SH Put SOLE NONE 42000 0 0 Freeport-McMoRan Inc PUT 35671D857 2196 125000 SH Put SOLE NONE 125000 0 0 General Electric Co PUT 369604103 4718 350000 SH Put SOLE NONE 350000 0 0 General Motors Co PUT 37045V100 7631 210000 SH Put SOLE NONE 210000 0 0 Goldman Sachs Group Inc/The PUT 38141G104 3778 15000 SH Put SOLE NONE 15000 0 0 NVIDIA Corp PUT 67066G104 11580 50000 SH Put SOLE NONE 50000 0 0 NVIDIA Corp PUT 67066G104 6948 30000 SH Put SOLE NONE 30000 0 0 NVIDIA Corp PUT 67066G104 11580 50000 SH Put SOLE NONE 50000 0 0 NVIDIA Corp PUT 67066G104 26633 115000 SH Put SOLE NONE 115000 0 0 NVIDIA Corp PUT 67066G104 7110 30700 SH Put SOLE NONE 30700 0 0 NVIDIA Corp PUT 67066G104 23159 100000 SH Put SOLE NONE 100000 0 0 NVIDIA Corp PUT 67066G104 6948 30000 SH Put SOLE NONE 30000 0 0 NVIDIA Corp PUT 67066G104 6948 30000 SH Put SOLE NONE 30000 0 0 NVIDIA Corp PUT 67066G104 2316 10000 SH Put SOLE NONE 10000 0 0 QUALCOMM Inc PUT 747525103 1108 20000 SH Put SOLE NONE 20000 0 0 Seagate Technology PLC PUT G7945M107 2926 50000 SH Put SOLE NONE 50000 0 0 Tesla Inc PUT 88160R101 6653 25000 SH Put SOLE NONE 25000 0 0 Tesla Inc PUT 88160R101 9315 35000 SH Put SOLE NONE 35000 0 0 Tesla Inc PUT 88160R101 6653 25000 SH Put SOLE NONE 25000 0 0 Tesla Inc PUT 88160R101 2661 10000 SH Put SOLE NONE 10000 0 0 Tiffany & Co PUT 886547108 2442 25000 SH Put SOLE NONE 25000 0 0 Transocean Ltd PUT H8817H100 1980 200000 SH Put SOLE NONE 200000 0 0