0001374022-12-000007.txt : 20121120 0001374022-12-000007.hdr.sgml : 20121120 20121119201305 ACCESSION NUMBER: 0001374022-12-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121120 DATE AS OF CHANGE: 20121119 EFFECTIVENESS DATE: 20121120 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: 121216262 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 mushd201209.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: Sep 30, 2012 ------------------- 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 INFORMATION 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 separately 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: Tetsurou Shinohara --------------------------------------------- Title: General Manager, Corporate Planning Division --------------------------------------------- Phone: 81-3-6742-1100 --------------------------------------------- Signature, Place, and Date of Signing: /s/ Tetsurou Shinohara, Tokyo, Japan Nov 14, 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- 14928 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: 20 --------- Form 13F Information Table Value Total: 79,050 --------- (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 ---------------------------- ------------------ --------- ---------- -------------------- --------- ------- ---------------------- COLUMN1 COLUMN2 COLUMN3 COLUMN4 COLUMN5 COLUMN6 COLUMN7 COLUMN8 ---------------------------- ------------------ --------- ---------- ----------- --- ---- --------- ------- ---------------------- NAME OF TITLE VALUE SHRS OR SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRM CALL DSCRETN MANAGERS SOLE SHARED NONE ---------------------------- ------------------ --------- ---------- ----------- --- ---- --------- ------- ---------------------- APPLE COM 037833100 10,474 15,700 SH DEFINED 01 15,700 0 0 APPLE COM 037833100 35,557 53,300 SH PUT DEFINED 01 53,300 0 0 ARCELORMITTAL SA LUXEMBOURG NOTE 5.000% 5/1 03938LAK0 15,278 151,000 SH DEFINED 01 151,000 0 0 BANK OF AMERICA CORPORATION COM 060505104 7,064 800,000 SH DEFINED 01 800,000 0 0 BGS ACQUISITION CORP UNIT 99/99/9999 G1082J126 673 68,000 SH DEFINED 01 68,000 0 0 CHESAPEAKE ENERGY CORP COM 165167107 328 17,400 SH DEFINED 01 17,400 0 0 CHESAPEAKE ENERGY CORP COM 165167107 328 17,400 SH PUT DEFINED 01 17,400 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 792 20,000 SH DEFINED 01 20,000 0 0 GOOGLE COM 38259P508 755 1,000 SH DEFINED 01 1,000 0 0 GOOGLE COM 38259P508 755 1,000 SH PUT DEFINED 01 1,000 0 0 HALLIBURTON CO COM 406216101 337 10,000 SH DEFINED 01 10,000 0 0 HEALTH CARE REIT COM 42217K106 1,444 25,000 SH DEFINED 01 25,000 0 0 ISHARES TR FTSE CHINA25 IDX 464287184 2,595 75,000 SH DEFINED 01 75,000 0 0 NABORS INDUSTRIES LTD COM G6359F103 561 40,000 SH DEFINED 01 40,000 0 0 NOKIA CORP SPONSORED ADR 654902204 35 13,600 SH DEFINED 01 13,600 0 0 NOKIA CORP SPONSORED ADR 654902204 35 13,600 SH PUT DEFINED 01 13,600 0 0 NXP SEMICONDUCTORS N V COM N6596X109 625 25,000 SH DEFINED 01 25,000 0 0 TESLA MTRS COM 88160R101 82 2,800 SH DEFINED 01 2,800 0 0 TESLA MTRS COM 88160R101 82 2,800 SH PUT DEFINED 01 2,800 0 0 TIVO COM 888706108 1,252 120,000 SH DEFINED 01 120,000 0 0