0001374022-13-000002.txt : 20130514 0001374022-13-000002.hdr.sgml : 20130514 20130514062345 ACCESSION NUMBER: 0001374022-13-000002 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130514 DATE AS OF CHANGE: 20130514 EFFECTIVENESS DATE: 20130514 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: 13839228 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 mushd201212.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, 2012 ------------------- 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 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: Yuji Uchida -------------------------------------------------------- Title: Deputy General Manager of Corporate Planning Division -------------------------------------------------------- Phone: 81-3-6742-1100 -------------------------------------------------------- Signature, Place, and Date of Signing: /s/ Yuji Uchida, Tokyo, Japan May 9, 2013 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. ----- -------------------------------------------------- 28- 15100 Mitsubishi UFJ Securities (USA), Inc ----- -------------------------------------------------- FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 --------- Form 13F Information Table Entry Total: 15 --------- Form 13F Information Table Value Total: 44,443 --------- (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 INC COM 037833100 14,523 28,500 SH DEFINED 01 28,500 0 0 BANK OF AMERICA CORPORATION COM 060505104 3,976 350,000 SH DEFINED 01 350,000 0 0 CHIMERA INVT CORP COM 16934Q109 130 50,000 SH DEFINED 01 50,000 0 0 CHINA DIGITAL TV HLDG CO LTD SPONSORED ADR 16938G107 1,321 772,320 SH DEFINED 01 772,320 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 2,817 85,000 SH DEFINED 01 85,000 0 0 GOOGLE INC COM 38259P508 1,400 2,000 SH DEFINED 01 2,000 0 0 GROUPON INC COM 399473107 143 30,000 SH DEFINED 01 30,000 0 0 MARATHON OIL CORP COM 565849106 1,491 50,000 SH DEFINED 01 50,000 0 0 NEOPHOTONICS CORP COM 64051T100 941 172,276 SH DEFINED 01 172,276 0 0 NIELSEN HOLDINGS N V COM N63218106 1,967 65,000 SH DEFINED 01 65,000 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 1,704 160,000 SH DEFINED 01 160,000 0 0 SILVER BAY RLTY TR CORP COM 82735Q102 280 15,000 SH DEFINED 01 15,000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 6,217 44,400 SH DEFINED 01 44,400 0 0 TIVO INC COM 888706108 858 70,000 SH DEFINED 01 70,000 0 0 WILLIAMS COS INC COM 969457100 6,676 210,000 SH DEFINED 01 210,000 0 0