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. ------- ------------------------------------- ------------------------------------------------------------------------- ------------------------------------------------------------------------- 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