MITSUBISHI UFJ SECURITIES (USA), INC. Information

1633 BROADWAY, NEW YORK, New York, 10019, (212) 405-7183

Report Date: 09/30/2013

Position Statistics

Total Positions 3
New Positions 1
Increased Positions 1
Decreased Positions 0
Positions with Activity 1
Sold Out Positions 0
Total Mkt Value (in $ millions) 5

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 86.97%
Capital Goods
Conglomerates
Consumer Cyclical
Consumer/Non-Cyclical
Energy
Financial 13.03%
Healthcare
Services
Technology
Transportation
Utilities

3 Positions as of 09/30/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
UNITED STATES STL CORP NEW COM 4,684 4,684 New 168,600
BGS ACQUISITION CORP UNIT EX 000000 700 New 68,000
BGS ACQUISITION CORP WT EXP 032117 2 New 53,333