13F-HR 1 mususa12312012.txt 13-F FOR MITSUBISHI UFJ SECURITIES (USA) INC. 12312012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: Dec 31, 2012 ------------------- Check here if Amendment [ ]; Amendment Number: --- This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Mitsubishi UFJ Securities (USA) Inc. ------------------------------------------------ Address: 1633 Broadway, 29th fl. ------------------------------------------------ New York, NY 10019-6708 ------------------------------------------------ Form 13F File Number: 28- ---------- The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager Name: George Mandl --------------------------------------------- Title: Executive Director, Deputy Chief Compliance Officer --------------------------------------------- Phone: 212-405-7183 --------------------------------------------- Signature, Place, and Date of Signing: -------------------------------------------------------- George Mandl, New York, NY January 25, 2013 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: Form 13F File Number Name ----- ---------------------------------- Mitsubishi UFJ Securities (USA) Inc. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 --------- Form 13F Information Table Entry Total: 10 --------- Form 13F Information Table Value Total: 18,433 --------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name 01 28-13570 Mitsubishi UFJ Securities Holdings Co., Ltd. ------- ------------------------------------- ------------------------------------------------------------------------- ------------------------------------------------------------------------- FORM 13F INFORMATION TABLE --------------------------------------------------------------------------------------- COLUM1 COLUM2 COLUM3 COLUM4 COLUM5 COLUM6 COLUM7 COLUM8 -------------- ------- ------ ------ --------------- ------- ------- ---------------- NAME OF TITLE VALUE SHRS/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRM CALL DSCRETN MANAGER SOLE SHARED NONE --------------------------------------------------------------------------------------- APPLE INC COM 037833100 6,120 11,500 SH DEFINED 01 11,500 0 0 APPLE INC PUT 037833100 7,983 15,000 SH PUT DEFINED 01 15,000 0 0 CHESAPEAKE ENERGY CORP COM 165167107 289 17,400 SH DEFINED 01 17,400 0 0 CHESAPEAKE ENERGY CORP PUT 165167107 289 17,400 SH PUT DEFINED 01 17,400 0 0 GREEN MOUNTAIN COFEE ROASTERS COM 393122106 827 20,000 SH DEFINED 01 20,000 0 0 GREEN MOUNTAIN COFEE ROASTERS PUT 393122106 827 20,000 SH PUT DEFINED 01 20,000 0 0 GREEN MOUNTAIN GOOGLE INC COM 38259P508 707 1,000 SH DEFINED 01 1,000 0 0 GOOGLE INC PUT 38259P508 707 1,000 SH PUT DEFINED 01 1,000 0 0 BGS ACQUISITION CORP *W G1082J118 8 53,333 SH DEFINED 01 53,333 0 0 BGS ACQUISITION CORP UNIT G1082J126 676 68,000 SH DEFINED 01 68,000 0 0