0001374022-11-000005.txt : 20110524
0001374022-11-000005.hdr.sgml : 20110524
20110523200509
ACCESSION NUMBER: 0001374022-11-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110331
FILED AS OF DATE: 20110524
DATE AS OF CHANGE: 20110523
EFFECTIVENESS DATE: 20110524
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: 11866547
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
mus0331.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, 2011
-------------------
Check here if Amendment [ ]; Amendment Number:
---
This Amendment (Check only one.):
[ ] is a restatement.
[ ] adds new holdings entries.
Mitsubishi UFJ Securities Holdings Co., Ltd.(MUSHD) is the parent
holding company of a number of operating subsidiaries, some of
which are or may be institutional investment managers for the
purposes of the reporting requirements under section 13(F) of
the Securities Exchange Act of 1934(the Act) and the rules
promulgated thereunder. MUSHD itself does not directly exercise
investment discretion with respect to any section 13(F) securities
positions except those included in the FORM 13F INFORMAITON TABLE
below.
To the extent that MUSHD'S ownership interest in such operating
subsidiaries is deemed the exercise of investment discretion
regarding certain of such subsidiaries' managed accounts,
the information required by FORM 13F with respect to such accounts
is included in the report separatetly filed by each of the
operating subsidiaries that are institutional investment managers
subject to section 13(F) of the Act.
Institutional Investment Manager Filing this Report:
Name: Mitsubishi UFJ Securities Holdings Co., Ltd.
------------------------------------------------
Address: Mejirodai Bldg., 3-29-20, Mejirodai, Bunkyo-ku,
------------------------------------------------
Tokyo, 112-8688, Japan
------------------------------------------------
Form 13F File Number: 28- 13570
----------
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: Shingo Sumimoto
---------------------------------------------
Title: General Manager, Corporate Planning Division
---------------------------------------------
Phone: 81-3-6742-1100
---------------------------------------------
Signature, Place, and Date of Signing:
/s/ Shingo Sumimoto, Tokyo, Japan 18 May 2011
Report Type (Check only one.):
[ ] 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).)
[X] 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
28- 13569 Kokusai Asset Management Co., Ltd.
----- ----------------------------------
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
---------
Form 13F Information Table Entry Total: 71
---------
Form 13F Information Table Value Total: 107,379
---------
(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- 13582 Mitsubishi UFJ Financial Group, Inc.
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-------------------------------------------------------------------------
-------------------------------------------------------------------------
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
---------------------------------------------------------------------------------------
ABERCROMBIE &
FITCH CO CL A 002896207 294 5,000 SH DEFINED 5,000 0 0
ACTIVISION BLIZZARD
INC COM 00507V109 323 29,430 SH DEFINED 29,430 0 0
ADVANCED MICRO DEVICES
INC COM 007903107 379 44,100 SH DEFINED 44,100 0 0
AES CORP COM 00130H105 325 24,980 SH DEFINED 24,980 0 0
APACHE CORP COM 037411105 626 4,780 SH DEFINED 4,780 0 0
APPLE INC COM 037833100 1,052 3,020 SH DEFINED 3,020 0 0
BANK OF AMERICA
CORPORATION COM 060505104 20,407 42,040 SH DEFINED 42,040 0 0
BECKMAN COULTER
INC COM 075811109 415 5,000 SH DEFINED 5,000 0 0
BJS WHOLESALE
CLUB INC COM 05548J106 488 10,000 SH DEFINED 10,000 0 0
BOSTON SCIENTIFIC
CORP COM 101137107 317 44,030 SH DEFINED 44,030 0 0
BROADCOM CORP CL A 111320107 310 7,870 SH DEFINED 7,870 0 0
BUCYRUS INTERNATIONAL
INC COM 118759109 2,744 30,000 SH DEFINED 30,000 0 0
CAPITAL ONE FINANCIAL
CORP COM 14040H105 57 1,100 SH DEFINED 1,100 0 0
CHINA DIGITAL SPONSORED
TV HLDG CO LTD ADR 16938G107 5,476 772,320 SH DEFINED 772,320 0 0
CISCO SYS INC COM 17275R102 175 10,190 SH DEFINED 10,190 0 0
CITIGROUP INC COM 172967101 1,953 77,810 SH DEFINED 77,810 0 0
COMCAST CORP
NEW CL A 20030N101 45 1,810 SH DEFINED 1,810 0 0
D R HORTON INC COM 23331A109 320 27,440 SH DEFINED 27,440 0 0
DEERE & CO COM 244199105 934 9,640 SH DEFINED 9,640 0 0
DOLLAR TREE INC COM 256746108 1,388 25,000 SH DEFINED 25,000 0 0
EL PASO
CORPORATION COM 28336L109 324 18,000 SH DEFINED 18,000 0 0
EXCO RESOURCES
INC COM 269279402 1,654 80,050 SH DEFINED 80,050 0 0
EXXON MOBIL
CORPORATION COM 30231G102 229 2,720 SH DEFINED 2,720 0 0
FAMILY DLR
STORES INC COM 307000109 770 15,000 SH DEFINED 15,000 0 0
FIFTH THIRD
BANCORP COM 316773100 325 23,390 SH DEFINED 23,390 0 0
FOCUS MEDIA SPONS
HLDG LTD ADR 34415V109 375 12,240 SH DEFINED 12,240 0 0
FRONTIER COMMUNICATIONS
CORP COM 35906A108 328 39,870 SH DEFINED 39,870 0 0
GAMESTOP CORP CL A 36467W109 450 20,000 SH DEFINED 20,000 0 0
GENERAL ELECTRIC
CO COM 369604103 154 7,670 SH DEFINED 7,670 0 0
GENWORTH COM
FINANCIAL INC CL A 37247D106 325 24,140 SH DEFINED 24,140 0 0
HUDSON CITY SPONS
BANCORP ADR 443683107 319 32,990 SH DEFINED 32,990 0 0
HUNTINGTON
BANCSHARES INC COM 446150104 332 50,070 SH DEFINED 50,070 0 0
INFOSYS SPONS
TECHNOLOGIES ADR 456788108 95 1,320 SH DEFINED 1,320 0 0
INTERPUBLIC GROUP
COS INC COM 460690100 325 25,830 SH DEFINED 25,830 0 0
ISHARES INC MSCI
JAPAN 464286848 138 13,390 SH DEFINED 13,390 0 0
JPMORGAN CHASE
& CO COM 46625H100 136 2,960 SH DEFINED 2,960 0 0
KEYCORP NEW COM 493267108 333 37,520 SH DEFINED 37,520 0 0
LEAP WIRELESS COM
INTL INC NEW 521863308 387 25,000 SH DEFINED 25,000 0 0
MARSHALL & ILSLEY
CORP NEW COM 571837103 80 10,000 SH DEFINED 10,000 0 0
MERCK & CO INC COM 58933Y105 6 170 SH DEFINED 170 0 0
METLIFE INC COM 59156R108 66 1,480 SH DEFINED 1,480 0 0
MGM RESORTS INTERNATIONAL
COM 552953101 326 24,970 SH DEFINED 24,970 0 0
MICRON TECHNOLOGY
INC COM 595112103 324 28,270 SH DEFINED 28,270 0 0
MICROSOFT CORP COM 594918104 142 5,580 SH DEFINED 5,580 0 0
MOSAIC COMPANY COM 61945A107 458 5,810 SH DEFINED 5,810 0 0
MURPHY OIL CORP COM 626717102 312 4,250 SH DEFINED 4,250 0 0
NOKIA CORP SPONS
ADR 654902204 245 28,800 SH DEFINED 28,800 0 0
NOMURA HLDGS SPONS
INC ADR 65535H208 1,155 222,200 SH DEFINED 222,200 0 0
NOVELL INC COM 670006105 445 75,100 SH DEFINED 75,100 0 0
OLD REP INTL
CORP COM 680223104 326 25,670 SH DEFINED 25,670 0 0
ORACLE CORP COM 68389X105 212 6,340 SH DEFINED 6,340 0 0
PEOPLES UNITED
FINANCIAL INC COM 712704105 328 26,100 SH DEFINED 26,100 0 0
PFIZER INC COM 717081103 37 1,810 SH DEFINED 1,810 0 0
PLAINS EXPL&
PRODTN CO COM 726505100 442 12,200 SH DEFINED 12,200 0 0
POTASH CORP
SASK INK COM 73755L107 524 8,890 SH DEFINED 8,890 0 0
PROGRESS ENERGY
INC COM 743263105 1,559 33,784 SH DEFINED 33,784 0 0
PULTE GROUP INC COM 745867101 327 44,210 SH DEFINED 44,210 0 0
QUICKSILVER
RESOURCES INC COM 74837R104 758 53,000 SH DEFINED 53,000 0 0
QWEST COMMUNICATIONS
INTL IN COM 749121109 329 48,210 SH DEFINED 48,210 0 0
REGIONS FINANCIAL
CORP NEW COM 7591EP100 331 45,580 SH DEFINED 45,580 0 0
SIRIUS XM RADIO
INC COM 82967N108 315 191,170 SH DEFINED 191,170 0 0
SOUTHWEST AIRLS
CO COM 844741108 326 25,830 SH DEFINED 25,830 0 0
SPDR S&P 500 TR UNIT
ETF TRUST 78462F103 37,500 150,000 SH DEFINED 150,000 0 0
SPDR S&P 500 CALL
ETF TRUST 78462F903 12,500 50,000 SH CALL DEFINED 50,000 0 0
SPRINT NEXTEL COM
CORPORATION SER1 852061100 330 71,110 SH DEFINED 71,110 0 0
STEEL DYNAMICS
INC COM 858119100 291 15,500 SH DEFINED 15,500 0 0
SUNPOWER COM
CORPORATION CL A 867652109 201 11,720 SH DEFINED 11,720 0 0
SUNTECH PWR HLDGS
CO LTD ADR 86800C104 1,199 121,630 SH DEFINED 121,630 0 0
VISA INC COM
CL A 92826C839 218 2,960 SH DEFINED 2,960 0 0
XEROX CORP COM 984121103 324 30,430 SH DEFINED 30,430 0 0
YAHOO INC COM 984332106 417 25,000 SH DEFINED 25,000 0 0