0001492299-13-000006.txt : 20130422 0001492299-13-000006.hdr.sgml : 20130422 20130422140357 ACCESSION NUMBER: 0001492299-13-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130422 DATE AS OF CHANGE: 20130422 EFFECTIVENESS DATE: 20130422 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MITSUBISHI UFJ SECURITIES (USA), Inc. CENTRAL INDEX KEY: 0001492299 IRS NUMBER: 133498732 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15100 FILM NUMBER: 13773438 BUSINESS ADDRESS: STREET 1: 1633 BROADWAY STREET 2: 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-405-7183 MAIL ADDRESS: STREET 1: 1633 BROADWAY STREET 2: 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR 1 mususa03312013.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: Mar 31, 2013 ------------------- 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 April 22, 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: 7 --------- Form 13F Information Table Value Total: 5,072 --------- (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 --------------------------------------------------------------------------------------- HECKMANN CORP COM 422680108 429 100,000 SH DEFINED 1 100,000 0 0 HECKMANN CORP PUT 422680958 429 100,000 SH PUT DEFINED 1 100,000 0 0 SPRINT NEXTEL CORP CALL 852061900 932 150,000 SH CALL DEFINED 1 150,000 0 0 TESLA MOTORS INC COM 88160R101 1,300 34,300 SH DEFINED 1 34,300 0 0 TESLA MOTORS INC PUT 88160R951 1,300 34,300 SH PUT DEFINED 1 34,300 0 0 BGS ACQUISITION CORP *W G1082J118 0 53,333 SH DEFINED 1 53,333 0 0 BGS ACQUISITION CORP UNIT G1082J126 682 68,000 SH DEFINED 1 68,000 0 0