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.
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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