0001374022-12-000003.txt : 20120327 0001374022-12-000003.hdr.sgml : 20120327 20120327064248 ACCESSION NUMBER: 0001374022-12-000003 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120327 DATE AS OF CHANGE: 20120327 EFFECTIVENESS DATE: 20120327 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-13570 FILM NUMBER: 12715732 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/A 1 mushd1231.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: Dec 31, 2011 ------------------- Check here if Amendment [ X ]; Amendment Number: 01 --- This Amendment (Check only one.): [ X ] 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 26th March 2012 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. ----- -------------------------------------------------- 28- Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. ----- -------------------------------------------------- FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 --------- Form 13F Information Table Entry Total: 76 --------- Form 13F Information Table Value Total: 178,619 --------- (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 --------------------------------------------------------------------------------------- ADOBE SYS INC COM 00724F101 427 15,100 CALL DEFINED 15,100 0 0 AFFYMAX INC COM 00826A109 73 11,000 CALL DEFINED 11,000 0 0 AMAZON COM INC COM 023135106 87 500 SH DEFINED 500 0 0 AMAZON COM INC COM 023135106 7,011 40,500 PUT DEFINED 40,500 0 0 APPLE INC COM 037833100 1,620 4,000 SH DEFINED 4,000 0 0 APPLE INC COM 037833100 101,250 250,000 CALL DEFINED 250,000 0 0 ASSURED GUARANTY LTD COM G0585R106 197 15,000 SH DEFINED 15,000 0 0 ASSURED GUARANTY LTD COM G0585R106 657 50,000 CALL DEFINED 50,000 0 0 AUSTRALIA ACQUISITION CORP SHS G06368107 296 30,000 SH DEFINED 30,000 0 0 AUTODESK INC COM 052769106 30 1,000 SH DEFINED 1,000 0 0 BANK OF AMERICA CORPORATION COM 060505104 2,371 426,500 SH DEFINED 426,500 0 0 BANK OF AMERICA CORPORATION COM 060505104 6 1,000 PUT DEFINED 1,000 0 0 BARCLAYS BK PLC IPTH S&P MT ETN 06740C519 401 6,612 SH DEFINED 6,612 0 0 BEST BUY INC COM 086516101 467 20,000 SH DEFINED 20,000 0 0 BEST BUY INC COM 086516101 467 20,000 PUT DEFINED 20,000 0 0 BLUE NILE INC IPATH S&P MT ETN 09578R103 184 4,500 SH DEFINED 4,500 0 0 BLUE NILE INC IPATH S&P MT ETN 09578R103 184 4,500 PUT DEFINED 4,500 0 0 BLUE WOLF MONGOLIA HOLDINGS SHS G11962100 337 35,000 SH DEFINED 35,000 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 2,114 60,000 CALL DEFINED 60,000 0 0 BROADCOM CORP CL A 111320107 2,642 90,000 SH DEFINED 90,000 0 0 C&J ENERGY SVCS COM 12467B304 21 1,000 SH DEFINED 1,000 0 0 INC CAMPBELL SOAP COM 134429109 133 4,000 SH DEFINED 4,000 0 0 INC CAZADOR ACQUISITION CORPORAT SHS G19867103 98 10,000 SH DEFINED 10,000 0 0 CHINA DIGITAL SPONSORED TV HLDG CO LTD ADR 16938G107 2,448 772,320 SH DEFINED 772,320 0 0 CLOUD PEAK ENERGY INC COM 18911Q102 58 3,000 SH DEFINED 3,000 0 0 CLOUD PEAK ENERGY INC COM 18911Q102 193 10,000 CALL DEFINED 10,000 0 0 DELL INC COM 24702R101 146 10,000 SH DEFINED 10,000 0 0 DELL INC COM 24702R101 146 10,000 PUT DEFINED 10,000 0 0 DOLLAR TREE INC COM 256746108 77 926 SH DEFINED 926 0 0 DYNEGY INC DEL COM 26817G300 69 25,000 SH DEFINED 25,000 0 0 E TRADE COM FINANCIAL CORP NEW 269246401 239 30,000 CALL DEFINED 30,000 0 0 F5 NETWORKS INC COM 315616102 106 1,000 PUT DEFINED 1,000 0 0 FAMILY DLR SPONSORED STORES INC ADR 307000109 709 12,300 SH DEFINED 12,300 0 0 FEDEX CORP CL B NEW 31428X106 1,670 20,000 CALL DEFINED 20,000 0 0 GENERAL MTRS CO COM 37045V100 203 10,000 CALL DEFINED 10,000 0 0 GOODRICH CORP COM 382388106 3,711 30,000 SH DEFINED 30,000 0 0 HASBRO INC COM 418056107 478 15,000 PUT DEFINED 15,000 0 0 HEALTHSPRING INC COM 42224N101 545 10,000 SH DEFINED 10,000 0 0 HEINZ H J CO COM 423074103 270 5,000 PUT DEFINED 5,000 0 0 HEWLETT PACKARD CO COM 428236103 258 10,000 CALL DEFINED 10,000 0 0 HOLLYFRONTIER CORP COM 436106108 1,001 42,789 SH DEFINED 42,789 0 0 HOME DEPOT INC COM 437076102 210 5,000 CALL DEFINED 5,000 0 0 ISHARES TR FTSE CHINA25 IDX 464287184 5,754 165,000 SH DEFINED 165,000 0 0 ISHARES TR MSCI EMERG MKT 464287234 9,485 250,000 SH DEFINED 250,000 0 0 JPMORGAN CHASE & CO COM 46625H100 2,494 75,000 SH DEFINED 75,000 0 0 JPMORGAN CHASE & CO COM 46625H100 2,494 75,000 PUT DEFINED 75,000 0 0 KINDER MORGAN INC DEL COM 49456B101 1,609 50,000 CALL DEFINED 50,000 0 0 MARATHON OIL CORP COM 565849106 1,000 34,153 SH DEFINED 34,153 0 0 MARATHON PETE COM 56585A102 166 5,000 SH DEFINED 5,000 0 0 CORP MBIA INC COM 55262C100 232 20,000 SH DEFINED 20,000 0 0 MBIA INC COM 55262C100 580 50,000 CALL DEFINED 50,000 0 0 MOTOROLA MOBILITY HLDGS IND COM 620097105 1,940 50,000 SH DEFINED 50,000 0 0 NEOPHOTONICS CORP COM 64051T100 789 172,276 SH DEFINED 172,276 0 0 NETAPP INC COM 64110D104 725 20,000 SH DEFINED 20,000 0 0 NETAPP INC COM 64110D104 725 20,000 CALL DEFINED 20,000 0 0 NETAPP INC COM 64110D104 725 20,000 PUT DEFINED 20,000 0 0 NIKE INC CL B 654106103 1,927 20,000 PUT DEFINED 20,000 0 0 OCWEN FINANCIAL COM CORP NEW 675746309 145 10,000 CALL DEFINED 10,000 0 0 ONYX PHARMACEUTICALS INC COM 683399109 220 5,000 CALL DEFINED 5,000 0 0 ORACLE CORP COM 68389X105 513 20,000 CALL DEFINED 20,000 0 0 PATRIOT COAL CORP COM 70336T104 85 10,000 CALL DEFINED 10,000 0 0 PFIZER INC COM 717081103 1,731 80,000 CALL DEFINED 80,000 0 0 PROCTER & GAMBLE CO COM 742718109 767 11,500 PUT DEFINED 11,500 0 0 SALESFORCE. COM INC COM 79466L302 710 7,000 PUT DEFINED 7,000 0 0 SELECT SECTOR SBI INT-FINL SPDR TR 81369Y605 650 50,000 CALL DEFINED 50,000 0 0 SK TELECOM SPONSORED CO LTD ADR 78440P108 578 42,470 SH DEFINED 42,470 0 0 SL GREEN RLTY COM 78440X101 167 2,500 SH DEFINED 2,500 0 0 CORP ST JOE CO COM 790148100 73 5,000 SH DEFINED 5,000 0 0 SUCCESSFACTORS INC COM 864596101 797 20,000 SH DEFINED 20,000 0 0 SUNOCO INC COM 86764P109 205 5,000 SH DEFINED 5,000 0 0 TESORO CORP COM 881609101 1,000 42,808 SH DEFINED 42,808 0 0 UNITED MICROELE SPONSORED CTRONICS CORP ADR 910873405 4,315 2,016,536 SH DEFINED 2,016,536 0 0 VALERO ENERGY CORP NEW COM 91913Y100 1,000 47,529 SH DEFINED 47,529 0 0 VALERO ENERGY CORP NEW COM 91913Y100 1,069 50,800 CALL DEFINED 50,800 0 0 WALTER ENERGY COM 93317Q105 61 1,000 SH DEFINED 1,000 0 0 INC WELLS FARGO & CO NEW COM 949746101 276 10,000 CALL DEFINED 10,000 0 0