0000950123-13-009456.txt : 20131114 0000950123-13-009456.hdr.sgml : 20131114 20131114064533 ACCESSION NUMBER: 0000950123-13-009456 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131114 DATE AS OF CHANGE: 20131114 EFFECTIVENESS DATE: 20131114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Mitsubishi UFJ Securities Holdings Co., Ltd. CENTRAL INDEX KEY: 0001374022 IRS NUMBER: 000000000 STATE OF INCORPORATION: M0 FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13570 FILM NUMBER: 131216714 BUSINESS ADDRESS: STREET 1: MEJIRODAI BUILDING, 3-29-20 CITY: MEJIRODAI, BUNKYO-KU, TOKYO STATE: M0 ZIP: 112-8688 BUSINESS PHONE: (81) 3-6742-1100 MAIL ADDRESS: STREET 1: MEJIRODAI BUILDING, 3-29-20 CITY: MEJIRODAI, BUNKYO-KU, TOKYO STATE: M0 ZIP: 112-8688 FORMER COMPANY: FORMER CONFORMED NAME: Mitsubishi UFJ Securities Co., Ltd. DATE OF NAME CHANGE: 20060828 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001374022 XXXXXXXX 09-30-2013 09-30-2013 Mitsubishi UFJ Securities Holdings Co., Ltd.

MEJIRODAI BUILDING, 3-29-20 MEJIRODAI, BUNKYO-KU, TOKYO M0 112-8688

13F COMBINATION REPORT 028-13570 28-13569 Kokusai Asset Management Co., Ltd. 28-14928 Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. 28-15100 Mitsubishi UFJ Securities (USA), Inc N Kazuo Ozaki 81-3-6742-1100 Kazuo Ozaki Tokyo M0 11-13-2013 1 59 237936 false 1 28-13582 Mitsubishi UFJ Financial Group, Inc. INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F AGCO CORP NOTE 1.250%12/1 001084AM4 12664 8505000 PRN DFND 01 8505000 0 0 ALCOA INC NOTE 5.250% 3/1 013817AT8 6514 5041000 PRN DFND 01 5041000 0 0 ALLIANCE DATA SYSTEMS CORP NOTE 4.750% 5/1 018581AC2 17781 4000000 PRN DFND 01 4000000 0 0 ALLIANT TECHSYSTEMS INC NOTE 3.000% 8/1 018804AK0 1316 1003000 PRN DFND 01 1003000 0 0 ANNALY CAP MGMT INC NOTE 5.000% 5/1 035710AB8 627 615000 PRN DFND 01 615000 0 0 APPLE INC COM 037833100 8295 17400 SH DFND 01 17400 0 0 ARCELORMITTAL SA LUXEMBOURG NOTE 5.000% 5/1 03938LAK0 1414 1390000 PRN DFND 01 1390000 0 0 ARCHER DANIELS MIDLAND CO NOTE 0.875% 2/1 039483AW2 3053 3000000 PRN DFND 01 3000000 0 0 BANK OF AMERICA CORPORATION COM 060505104 5520 400000 SH DFND 01 400000 0 0 BLACKBERRY LTD COM 09228F103 397 50000 SH DFND 01 50000 0 0 CHART INDS INC NOTE 2.000% 8/0 16115QAC4 2875 1545000 PRN DFND 01 1545000 0 0 CHIMERA INVT CORP COM 16934Q109 152 50000 SH DFND 01 50000 0 0 ELECTRONIC ARTS INC COM 285512109 1349 52800 SH DFND 01 52800 0 0 EVERTEC INC COM 30040P103 1111 50000 SH DFND 01 50000 0 0 FACEBOOK INC CL A 30303M102 502 10000 SH DFND 01 10000 0 0 GENERAL ELECTRIC CO COM 369604103 60 2500 SH Call DFND 01 2500 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V126 13039 701000 SH DFND 01 701000 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V118 4976 188341 SH DFND 01 188341 0 0 GILEAD SCIENCES INC NOTE 1.625% 5/0 375558AP8 14 5000 PRN DFND 01 5000 0 0 GOLDCORP INC NEW NOTE 2.000% 8/0 380956AB8 15557 15400000 PRN DFND 01 15400000 0 0 HARTFORD FINL SVCS GROUP INC *W EXP 06/26/201 416515120 825 36905 SH DFND 01 36905 0 0 HERTZ GLOBAL HOLDINGS INC NOTE 5.250% 6/0 42805TAA3 1348 500000 PRN DFND 01 500000 0 0 HERTZ GLOBAL HOLDINGS INC COM 42805T105 332 15000 SH DFND 01 15000 0 0 INTERDIGITAL INC COM 45867G101 1751 46891 SH DFND 01 46891 0 0 INTERNATIONAL GAME TECHNOLOG COM 459902102 787 41600 SH DFND 01 41600 0 0 INTREXON CORP COM ADDED 46122T102 2132 90000 SH DFND 01 90000 0 0 JPMORGAN CHASE & CO *W EXP 10/28/201 46634E114 1613 96224 SH DFND 01 96224 0 0 LEAP WIRELESS INTL INC NOTE 4.500% 7/1 521863AL4 8145 8002000 PRN DFND 01 8002000 0 0 LINEAR TECHNOLOGY CORP NOTE 3.000% 5/0 535678AC0 8120 7608000 PRN DFND 01 7608000 0 0 MANNKIND CORP COM 56400P201 428 75000 SH DFND 01 75000 0 0 MBIA INC COM 55262C100 1535 150000 SH DFND 01 150000 0 0 MEDIDATA SOLUTIONS INC COM 58471A105 1187 12000 SH DFND 01 12000 0 0 METLIFE INC COM 59156R108 1409 30000 SH DFND 01 30000 0 0 MGM RESORTS INTERNATIONAL NOTE 4.250% 4/1 55303QAE0 11665 9224000 PRN DFND 01 9224000 0 0 MICROCHIP TECHNOLOGY INC SDCV 2.125%12/1 595017AB0 3900 2500000 PRN DFND 01 2500000 0 0 MICRON TECHNOLOGY INC NOTE 1.875% 6/0 595112AH6 20028 15928000 PRN DFND 01 15928000 0 0 MYLAN INC NOTE 3.750% 9/1 628530AJ6 2894 1000000 PRN DFND 01 1000000 0 0 NEWMONT MINING CORP NOTE 1.250% 7/1 651639AH9 203 200000 PRN DFND 01 200000 0 0 OMNICARE INC DBCV 3.250%12/1 681904AL2 5310 5000000 PRN DFND 01 5000000 0 0 PANDORA MEDIA INC COM 698354107 1005 40000 SH DFND 01 40000 0 0 PRICELINE COM INC COM 741503403 328 324 SH DFND 01 324 0 0 RAMBUS INC DEL COM 750917106 1 82 SH DFND 01 82 0 0 REDWOOD TR INC NOTE 4.625% 4/1 758075AB1 1687 1600000 PRN DFND 01 1600000 0 0 REGENERON PHARMACEUTICALS COM 75886F107 1752 5600 SH DFND 01 5600 0 0 ROVI CORP NOTE 2.625% 2/1 779376AB8 1746 1725000 PRN DFND 01 1725000 0 0 RYLAND GROUP INC COM 783764103 122 3000 SH DFND 01 3000 0 0 SANDISK CORP NOTE 1.500% 8/1 80004CAD3 4975 3751000 PRN DFND 01 3751000 0 0 STANDARD PAC CORP NEW NOTE 1.250% 8/0 85375CBC4 6623 5403000 PRN DFND 01 5403000 0 0 STARWOOD PPTY TR INC NOTE 4.550% 3/0 85571BAA3 1040 1000000 PRN DFND 01 1000000 0 0 STARWOOD PPTY TR INC NOTE 4.000% 1/1 85571BAB1 2593 2500000 PRN DFND 01 2500000 0 0 STRATEGIC GLOBAL INCOME FD COM 862719101 18 1900 SH DFND 01 1900 0 0 SUNPOWER CORP DBCV 4.500% 3/1 867652AE9 2620 2000000 PRN DFND 01 2000000 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 909 50000 SH DFND 01 50000 0 0 TELEFLEX INC NOTE 3.875% 8/0 879369AA4 2299 1635000 PRN DFND 01 1635000 0 0 TESLA MTRS INC NOTE 1.500% 6/0 88160RAA9 20314 12000000 PRN DFND 01 12000000 0 0 TOLL BROTHERS INC COM 889478103 162 5000 SH DFND 01 5000 0 0 TYSON FOODS INC NOTE 3.250%10/1 902494AP8 12155 7099000 PRN DFND 01 7099000 0 0 UNITED STATES STL CORP NEW NOTE 4.000% 5/1 912909AE8 6398 6250000 PRN DFND 01 6250000 0 0 VIRNETX HLDG CORP COM 92823T108 367 18000 SH DFND 01 18000 0 0