13F-HR 1 mushd201303.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, 2013 ------------------- 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: 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 15, 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: 37 --------- Form 13F Information Table Value Total: 81,206 --------- (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 ---------------------------- ------------------ --------- ---------- ----------- --- ---- --------- ------- ---------------------- AFFILIATED MANAGERS GROUP NOTE 3.950% 8/1 008252AL2 689 555,000 PRN DEFINED 01 555,000 0 0 AMAZON COM 023135106 4,664 17,500 SH DEFINED 01 17,500 0 0 AMERICAN CAPITAL AGENCY COM 02503X105 2,131 65,000 SH DEFINED 01 65,000 0 0 APPLE COM 037833100 5,533 12,500 SH DEFINED 01 12,500 0 0 ARCELORMITTAL SA LUXEMBOURG NOTE 5.000% 5/1 03938LAK0 6,984 6,800,000 PRN DEFINED 01 6,800,000 0 0 ARCHER DANIELS MIDLAND CO NOTE 0.875% 2/1 039483AW2 3,225 3,186,000 PRN DEFINED 01 3,186,000 0 0 BANK OF AMERICA CORPORATION COM 060505104 7,308 600,000 SH DEFINED 01 600,000 0 0 CARRIZO OIL & GAS NOTE 4.375% 6/0 144577AA1 2,940 2,928,000 PRN DEFINED 01 2,928,000 0 0 CHIMERA INVESTMENT COM 16934Q109 160 50,000 SH DEFINED 01 50,000 0 0 COMTECH TELECOMMUNICATIONS COM 205826209 29 1,200 SH DEFINED 01 1,200 0 0 COMTECH TELECOMMUNICATIONS C NOTE 3.000% 5/0 205826AF7 2,047 2,000,000 PRN DEFINED 01 2,000,000 0 0 D R HORTON NOTE 2.000% 5/1 23331ABB4 2,171 1,155,000 PRN DEFINED 01 1,155,000 0 0 E M C CORP MASS NOTE 1.750%12/0 268648AM4 9,279 6,227,000 PRN DEFINED 01 6,227,000 0 0 E TRADE FINANCIAL COM 269246401 214 20,000 SH DEFINED 01 20,000 0 0 EBAY COM 278642103 2,575 47,484 SH DEFINED 01 47,484 0 0 FACEBOOK COM 30303M102 256 10,000 SH DEFINED 01 10,000 0 0 GENERAL ELECTRIC COMPANY COM 369604103 3,468 150,000 SH DEFINED 01 150,000 0 0 KINROSS GOLD NOTE 1.750% 3/1 496902AD9 25 25,000 PRN DEFINED 01 25,000 0 0 L-3 COMMUNICATIONS DEBT 3.000% 8/0 502413AW7 2,351 2,325,000 PRN DEFINED 01 2,325,000 0 0 LUCENT TECHNOLOGIES DBCV 2.875% 6/1 549463AH0 295 294,000 PRN DEFINED 01 294,000 0 0 M/I HOMES COM 55305B101 562 23,000 SH DEFINED 01 23,000 0 0 MARKETAXESS HOLDINGS COM 57060D108 1,395 37,400 SH DEFINED 01 37,400 0 0 METLIFE COM 59156R108 760 20,000 SH DEFINED 01 20,000 0 0 MOLSON COORS BREWING COMPANY COM 60871R209 754 15,400 SH DEFINED 01 15,400 0 0 PROSPECT CAPITAL COM 74348T102 1,964 180,000 SH DEFINED 01 180,000 0 0 RAMBUS COM 750917106 312 55,582 SH DEFINED 01 55,582 0 0 REDWOOD TRUST COM 758075402 688 29,700 SH DEFINED 01 29,700 0 0 SAKS NOTE 2.000% 3/1 79377WAL2 993 988,000 PRN DEFINED 01 988,000 0 0 SANDISK NOTE 1.000% 5/1 80004CAC5 30 30,000 PRN DEFINED 01 30,000 0 0 SONY CORP SPONSORED ADR 835699307 20 1,165 SH DEFINED 01 1,165 0 0 STANDARD PAC NOTE 1.250% 8/0 85375CBC4 3,854 3,000,000 PRN DEFINED 01 3,000,000 0 0 STRATEGIC GLOBAL INCOME FUND COM 862719101 21 1,900 SH DEFINED 01 1,900 0 0 SYMANTEC NOTE 1.000% 6/1 871503AF5 3,373 2,618,000 PRN DEFINED 01 2,618,000 0 0 TELEFLEX NOTE 3.875% 8/0 879369AA4 4,342 3,000,000 PRN DEFINED 01 3,000,000 0 0 UNITED STATES STL NOTE 4.000% 5/1 912909AE8 1,042 1,000,000 PRN DEFINED 01 1,000,000 0 0 VIRNETX HOLDING CORPORATION COM 92823T108 71 3,700 SH DEFINED 01 3,700 0 0 WILLIAMS COMPANIES COM 969457100 4,683 125,000 SH DEFINED 01 125,000 0 0