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-
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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.
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FORM 13F INFORMATION TABLE
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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