0001492299-15-000005.txt : 20150514
0001492299-15-000005.hdr.sgml : 20150514
20150514094440
ACCESSION NUMBER: 0001492299-15-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150331
FILED AS OF DATE: 20150514
DATE AS OF CHANGE: 20150514
EFFECTIVENESS DATE: 20150514
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: MITSUBISHI UFJ SECURITIES (USA), Inc.
CENTRAL INDEX KEY: 0001492299
IRS NUMBER: 133498732
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15100
FILM NUMBER: 15860659
BUSINESS ADDRESS:
STREET 1: 1633 BROADWAY
STREET 2: 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-405-7020
MAIL ADDRESS:
STREET 1: 1633 BROADWAY
STREET 2: 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001492299
XXXXXXXX
03-31-2015
03-31-2015
MITSUBISHI UFJ SECURITIES (USA), Inc.
1633 BROADWAY
29TH FLOOR
NEW YORK
NY
10019
13F HOLDINGS REPORT
028-15100
N
Konrad Matthaei
Director - Compliance
212-405-7020
Konrad R Matthaei
New York
NY
05-14-2015
0
127
385247
false
INFORMATION TABLE
2
marchfinal.xml
Mobileye NV
COM
N51488117
2898
68939
SH
SOLE
NONE
68939
0
0
Apple Inc
COM
37833100
6613
53146
SH
SOLE
NONE
53146
0
0
Applied Materials Inc
COM
38222105
2820
125000
SH
SOLE
NONE
125000
0
0
Bank of America Corp
COM
60505104
2201
143000
SH
SOLE
NONE
143000
0
0
Bed Bath & Beyond Inc
COM
75896100
1720
22400
SH
SOLE
NONE
22400
0
0
eBay Inc
COM
278642103
173
3000
SH
SOLE
NONE
3000
0
0
Facebook Inc
COM
30303M102
576
7000
SH
SOLE
NONE
7000
0
0
Fifth Street Finance Corp
COM
31678A103
242
33143
SH
SOLE
NONE
33143
0
0
FireEye Inc
COM
31816Q101
6560
167134
SH
SOLE
NONE
167134
0
0
General Electric Co
COM
369604103
2506
101000
SH
SOLE
NONE
101000
0
0
Gilead Sciences Inc
COM
375558103
1757
17900
SH
SOLE
NONE
17900
0
0
Horizon Technology Finance Cor
COM
44045A102
61
4387
SH
SOLE
NONE
4387
0
0
Intrexon Corp
COM
46122T102
2722
60000
SH
SOLE
NONE
60000
0
0
KCAP Financial Inc
COM
48668E101
21
3100
SH
SOLE
NONE
3100
0
0
MGM Resorts International
COM
552953101
1073
51000
SH
SOLE
NONE
51000
0
0
Medidata Solutions Inc
COM
58471A105
103
2100
SH
SOLE
NONE
2100
0
0
Medley Capital Corp
COM
58503F106
371
40583
SH
SOLE
NONE
40583
0
0
MetLife Inc
COM
59156R108
758
15000
SH
SOLE
NONE
15000
0
0
Micron Technology Inc
COM
595112103
1411
52000
SH
SOLE
NONE
52000
0
0
Oasis Petroleum Inc
COM
674215108
213
15000
SH
SOLE
NONE
15000
0
0
Pacific Coast Oil Trust
COM
694103102
457
119363
SH
SOLE
NONE
119363
0
0
PennantPark Floating Rate Capi
COM
70806A106
78
5559
SH
SOLE
NONE
5559
0
0
Permian Basin Royalty Trust
COM
714236106
41
5100
SH
SOLE
NONE
5100
0
0
Prospect Capital Corp
COM
74348T102
8862
1048806
SH
SOLE
NONE
1048806
0
0
QUALCOMM Inc
COM
747525103
527
7600
SH
SOLE
NONE
7600
0
0
Rambus Inc
COM
750917106
314
24982
SH
SOLE
NONE
24982
0
0
Salesforce.com inc
COM
79466L302
1102
16500
SH
SOLE
NONE
16500
0
0
SanDisk Corp
COM
80004C101
286
4500
SH
SOLE
NONE
4500
0
0
Splunk Inc
COM
848637104
1628
27500
SH
SOLE
NONE
27500
0
0
Stellus Capital Investment Cor
COM
858568108
85
7015
SH
SOLE
NONE
7015
0
0
THL Credit Inc
COM
872438106
356
28985
SH
SOLE
NONE
28985
0
0
Tableau Software Inc
COM
87336U105
1305
14100
SH
SOLE
NONE
14100
0
0
Tesla Motors Inc
COM
88160R101
1953
10345
SH
SOLE
NONE
10345
0
0
Twitter Inc
COM
90184L102
3250
64895
SH
SOLE
NONE
64895
0
0
VirnetX Holding Corp
COM
92823T108
68
11224
SH
SOLE
NONE
11224
0
0
Whiting Petroleum Corp
COM
966387102
797
25800
SH
SOLE
NONE
25800
0
0
Yahoo! Inc
COM
984332106
267
6000
SH
SOLE
NONE
6000
0
0
Alibaba Group Holding Ltd
ADR
01609W102
2664
32000
SH
SOLE
NONE
32000
0
0
Acorda Therapeutics Inc
Note ACOR 1 3/4 06/15/21
00484MAA4
4661
4567000
PRN
SOLE
NONE
107310
0
0
Allscripts Healthcare So
Note MDRX 1 1/4 07/01/20
01988PAD0
1474
1500000
PRN
SOLE
NONE
87280
0
0
Chesapeake Energy Corp
Note CHK 2 1/4 12/15/38
165167CB1
908
1000000
PRN
SOLE
NONE
12457
0
0
Gilead Sciences Inc
Note GILD 1 5/8 05/01/16
375558AP8
1188
276000
PRN
SOLE
NONE
12156
0
0
Microchip Technology Inc
Note MCHP 2 1/8 12/15/37
595017AB0
657
336000
PRN
SOLE
NONE
13391
0
0
Mylan Inc
Note MYL 3 3/4 09/15/15
628530AJ6
27155
6100000
PRN
SOLE
NONE
457958
0
0
NXP Semiconductor NB
Note NXPI 1 12/01/19
N6596XAA7
1191
1000000
PRN
SOLE
NONE
9724
0
0
Nuance Communications
Note NUAN 2 3/4 11/01/31
67020YAF7
253
255000
PRN
SOLE
NONE
7895
0
0
Sandisk Corp
Note SNDK 0 1/2 10/15/20
80004CAF8
5038
5015000
PRN
SOLE
NONE
54538
0
0
Stillwater Mining Compan
Note SWC 1 3/4 10/15/32
86074QAL6
2883
2529000
PRN
SOLE
NONE
152995
0
0
Sunpower Corp
Note SPWR 0 3/4 06/01/18
867652AG4
4262
3040000
PRN
SOLE
NONE
121865
0
0
Teleflex Inc
Note TFX 3 7/8 08/01/17
879369AA4
9046
4603000
PRN
SOLE
NONE
75068
0
0
Tesla Motors Inc
Note TSLA 1 1/4 03/01/21
88160RAC5
5913
7000000
PRN
SOLE
NONE
19452
0
0
Teva Pharm Fin Co Llc
Note TEVA 0 1/4 02/01/26
88163VAE9
134
90000
PRN
SOLE
NONE
2127
0
0
Barrick Gold Corp
CALL
67901908
1096
100000
SH
Call
SOLE
NONE
100000
0
0
Actavis, Inc. Common Stock
CALL
G0083B908
5655
19000
SH
Call
SOLE
NONE
19000
0
0
Actavis, Inc. Common Stock
CALL
G0083B908
7441
25000
SH
Call
SOLE
NONE
25000
0
0
Actavis, Inc. Common Stock
CALL
G0083B908
8929
30000
SH
Call
SOLE
NONE
30000
0
0
Actavis, Inc. Common Stock
CALL
G0083B908
8929
30000
SH
Call
SOLE
NONE
30000
0
0
AbbVie Inc
CALL
00287Y909
8781
150000
SH
Call
SOLE
NONE
150000
0
0
AbbVie Inc
CALL
00287Y909
5854
100000
SH
Call
SOLE
NONE
100000
0
0
Amazon.com Inc
CALL
23135906
2977
8000
SH
Call
SOLE
NONE
8000
0
0
American Airlines Group Inc
CALL
02376R902
5278
100000
SH
Call
SOLE
NONE
100000
0
0
American Airlines Group Inc
CALL
02376R902
2639
50000
SH
Call
SOLE
NONE
50000
0
0
Apple Inc
CALL
37833900
12443
100000
SH
Call
SOLE
NONE
100000
0
0
Apple Inc
CALL
37833900
2489
20000
SH
Call
SOLE
NONE
20000
0
0
Apple Inc
CALL
37833900
1530
12300
SH
Call
SOLE
NONE
12300
0
0
Apple Inc
CALL
37833900
622
5000
SH
Call
SOLE
NONE
5000
0
0
Applied Materials Inc
CALL
38222905
2256
100000
SH
Call
SOLE
NONE
100000
0
0
Bed Bath & Beyond Inc
CALL
75896900
384
5000
SH
Call
SOLE
NONE
5000
0
0
Bed Bath & Beyond Inc
CALL
75896900
768
10000
SH
Call
SOLE
NONE
10000
0
0
Facebook Inc
CALL
30303M902
822
10000
SH
Call
SOLE
NONE
10000
0
0
Facebook Inc
CALL
30303M902
822
10000
SH
Call
SOLE
NONE
10000
0
0
Facebook Inc
CALL
30303M902
411
5000
SH
Call
SOLE
NONE
5000
0
0
Facebook Inc
CALL
30303M902
411
5000
SH
Call
SOLE
NONE
5000
0
0
Facebook Inc
CALL
30303M902
658
8000
SH
Call
SOLE
NONE
8000
0
0
General Electric Co
CALL
369604903
12405
500000
SH
Call
SOLE
NONE
500000
0
0
Google Inc
CALL
38259P906
10960
20000
SH
Call
SOLE
NONE
20000
0
0
Halliburton Co
CALL
406216901
4388
100000
SH
Call
SOLE
NONE
100000
0
0
Keurig Green Mountain Inc
CALL
49271M900
1117
10000
SH
Call
SOLE
NONE
10000
0
0
Keurig Green Mountain Inc
CALL
49271M900
559
5000
SH
Call
SOLE
NONE
5000
0
0
Keurig Green Mountain Inc
CALL
49271M900
559
5000
SH
Call
SOLE
NONE
5000
0
0
Keurig Green Mountain Inc
CALL
49271M900
112
1000
SH
Call
SOLE
NONE
1000
0
0
Keurig Green Mountain Inc
CALL
49271M900
201
1800
SH
Call
SOLE
NONE
1800
0
0
Keurig Green Mountain Inc
CALL
49271M900
559
5000
SH
Call
SOLE
NONE
5000
0
0
Keurig Green Mountain Inc
CALL
49271M900
670
6000
SH
Call
SOLE
NONE
6000
0
0
Merck & Co Inc
CALL
58933Y905
11496
200000
SH
Call
SOLE
NONE
200000
0
0
Merck & Co Inc
CALL
58933Y905
345
6000
SH
Call
SOLE
NONE
6000
0
0
Merck & Co Inc
CALL
58933Y905
2874
50000
SH
Call
SOLE
NONE
50000
0
0
MetLife Inc
CALL
59156R908
253
5000
SH
Call
SOLE
NONE
5000
0
0
Microsoft Corp
CALL
594918904
203
5000
SH
Call
SOLE
NONE
5000
0
0
Microsoft Corp
CALL
594918904
203
5000
SH
Call
SOLE
NONE
5000
0
0
Micron Technology Inc
CALL
595112903
2713
100000
SH
Call
SOLE
NONE
100000
0
0
Micron Technology Inc
CALL
595112903
2713
100000
SH
Call
SOLE
NONE
100000
0
0
Petroleo Brasileiro SA
CALL
71654V908
60
10000
SH
Call
SOLE
NONE
10000
0
0
QUALCOMM Inc
CALL
747525903
693
10000
SH
Call
SOLE
NONE
10000
0
0
Tableau Software Inc
CALL
87336U905
2313
25000
SH
Call
SOLE
NONE
25000
0
0
3D Systems Corp
CALL
88554D905
137
5000
SH
Call
SOLE
NONE
5000
0
0
3D Systems Corp
CALL
88554D905
274
10000
SH
Call
SOLE
NONE
10000
0
0
3D Systems Corp
CALL
88554D905
82
3000
SH
Call
SOLE
NONE
3000
0
0
TiVo Inc
CALL
888706908
53
5000
SH
Call
SOLE
NONE
5000
0
0
Twitter Inc
CALL
90184L902
1002
20000
SH
Call
SOLE
NONE
20000
0
0
Yahoo! Inc
CALL
984332906
222
5000
SH
Call
SOLE
NONE
5000
0
0
Amazon.com Inc
PUT
23135956
11163
30000
SH
Put
SOLE
NONE
30000
0
0
Apple Inc
PUT
37833950
1493
12000
SH
Put
SOLE
NONE
12000
0
0
Apple Inc
PUT
37833950
1866
15000
SH
Put
SOLE
NONE
15000
0
0
Apple Inc
PUT
37833950
622
5000
SH
Put
SOLE
NONE
5000
0
0
Bed Bath & Beyond Inc
PUT
75896950
768
10000
SH
Put
SOLE
NONE
10000
0
0
Caterpillar Inc
PUT
149123951
400
5000
SH
Put
SOLE
NONE
5000
0
0
Caterpillar Inc
PUT
149123951
2401
30000
SH
Put
SOLE
NONE
30000
0
0
Caterpillar Inc
PUT
149123951
400
5000
SH
Put
SOLE
NONE
5000
0
0
Caterpillar Inc
PUT
149123951
1601
20000
SH
Put
SOLE
NONE
20000
0
0
Costco Wholesale Corp
PUT
22160K955
454
3000
SH
Put
SOLE
NONE
3000
0
0
Costco Wholesale Corp
PUT
22160K955
909
6000
SH
Put
SOLE
NONE
6000
0
0
Facebook Inc
PUT
30303M952
822
10000
SH
Put
SOLE
NONE
10000
0
0
Keurig Green Mountain Inc
PUT
49271M950
559
5000
SH
Put
SOLE
NONE
5000
0
0
Keurig Green Mountain Inc
PUT
49271M950
559
5000
SH
Put
SOLE
NONE
5000
0
0
Keurig Green Mountain Inc
PUT
49271M950
559
5000
SH
Put
SOLE
NONE
5000
0
0
Keurig Green Mountain Inc
PUT
49271M950
1117
10000
SH
Put
SOLE
NONE
10000
0
0
Keurig Green Mountain Inc
PUT
49271M950
559
5000
SH
Put
SOLE
NONE
5000
0
0
Keurig Green Mountain Inc
PUT
49271M950
1341
12000
SH
Put
SOLE
NONE
12000
0
0
Micron Technology Inc
PUT
595112953
136
5000
SH
Put
SOLE
NONE
5000
0
0
Rambus Inc
PUT
750917956
96
7600
SH
Put
SOLE
NONE
7600
0
0
Tesla Motors Inc
PUT
88160R951
1321
7000
SH
Put
SOLE
NONE
7000
0
0
Twitter Inc
PUT
90184L952
10016
200000
SH
Put
SOLE
NONE
200000
0
0
Twitter Inc
PUT
90184L952
5008
100000
SH
Put
SOLE
NONE
100000
0
0
Twitter Inc
PUT
90184L952
501
10000
SH
Put
SOLE
NONE
10000
0
0
Visa Inc
PUT
92826C959
78492
1200000
SH
Put
SOLE
NONE
1200000
0
0
Cherry Hill Mortgage Investmen
REIT
164651101
121
6867
SH
SOLE
NONE
6867
0
0