0001062993-14-005838.txt : 20141007
0001062993-14-005838.hdr.sgml : 20141007
20141007154413
ACCESSION NUMBER: 0001062993-14-005838
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141007
DATE AS OF CHANGE: 20141007
EFFECTIVENESS DATE: 20141007
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: MIZUHO SECURITIES USA INC.
CENTRAL INDEX KEY: 0001513006
IRS NUMBER: 362880742
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14335
FILM NUMBER: 141145540
BUSINESS ADDRESS:
STREET 1: 320 PARK AVE, 12TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10020
BUSINESS PHONE: 212-209-9462
MAIL ADDRESS:
STREET 1: 320 PARK AVE, 12TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10020
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001513006
XXXXXXXX
09-30-2014
09-30-2014
MIZUHO SECURITIES USA INC.
320 PARK AVE, 12TH FLOOR
NEW YORK
NY
10020
13F HOLDINGS REPORT
028-14335
N
Mitchell Billek
Managing Director
201.626.1286
Mitchell Billek
New York
NY
09-30-2014
0
162
852672
false
INFORMATION TABLE
2
form13fInfoTable.xml
FORM 13F INFORMATION TABLE
3-D SYS CORP DEL
COM NEW
88554D205
4187
90300
SH
SOLE
90300
0
0
3M CO
COM
88579Y101
24651
173993
SH
SOLE
173993
0
0
ACTIVISION BLIZZARD INC
COM
00507V109
260
12496
SH
SOLE
12496
0
0
ADOBE SYS INC
COM
00724F101
599
8664
SH
SOLE
8664
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
198
58200
SH
SOLE
58200
0
0
AFFYMETRIX INC
NOTE 4.000% 7/0
00826TAH1
386
250000
SH
SOLE
250000
0
0
ALCOA INC
DEP SHS 1/10TH
013817309
250
5000
SH
SOLE
5000
0
0
ALLIED NEVADA GOLD CORP
COM
019344100
166
50000
SH
SOLE
50000
0
0
AMAZON COM INC
COM
023135106
2595
8047
SH
SOLE
8047
0
0
AMERICAN EXPRESS CO
COM
025816109
15231
173993
SH
SOLE
173993
0
0
AMGEN INC
COM
031162100
1858
13231
SH
SOLE
13231
0
0
ANALOG DEVICES INC
COM
032654105
271
5474
SH
SOLE
5474
0
0
APPLE INC
COM
037833100
10507
104289
SH
SOLE
104289
0
0
APPLIED MATLS INC
COM
038222105
459
21220
SH
SOLE
21220
0
0
APPLIED MATLS INC
COM
038222105
2161
100000
SH
SOLE
100000
0
0
AT&T INC
COM
00206R102
6132
173993
SH
SOLE
173993
0
0
AUTODESK INC
COM
052769106
219
3968
SH
SOLE
3968
0
0
AUTOMATIC DATA PROCESSING IN
COM
053015103
696
8377
SH
SOLE
8377
0
0
AUXILIUM PHARMACEUTICALS INC
COM
05334D107
567
19000
SH
SOLE
19000
0
0
AUXILIUM PHARMACEUTICALS INC
NOTE 1.500% 7/1
05334DAA5
1191
900000
SH
SOLE
900000
0
0
AVAGO TECHNOLOGIES LTD
SHS
Y0486S104
381
4385
SH
SOLE
4385
0
0
BAIDU INC
SPON ADR REP A
056752108
1052
4820
SH
SOLE
4820
0
0
BED BATH & BEYOND INC
COM
075896100
232
3518
SH
SOLE
3518
0
0
BIOGEN IDEC INC
COM
09062X103
1361
4114
SH
SOLE
4114
0
0
BOEING CO
COM
097023105
22163
173993
SH
SOLE
173993
0
0
BROADCOM CORP
CL A
111320107
381
9423
SH
SOLE
9423
0
0
CA INC
COM
12673P105
217
7751
SH
SOLE
7751
0
0
CADENCE DESIGN SYSTEM INC
NOTE 2.625% 6/0
127387AJ7
3434
1500000
SH
SOLE
1500000
0
0
CATERPILLAR INC DEL
COM
149123101
17231
173993
SH
SOLE
173993
0
0
CELGENE CORP
COM
151020104
1320
13923
SH
SOLE
13923
0
0
CERNER CORP
COM
156782104
354
5941
SH
SOLE
5941
0
0
CHARTER COMMUNICATIONS INC D
CL A NEW
16117M305
286
1891
SH
SOLE
1891
0
0
CHEVRON CORP NEW
COM
166764100
20761
173993
SH
SOLE
173993
0
0
CISCO SYS INC
COM
17275R102
2246
89220
SH
SOLE
89220
0
0
CISCO SYS INC
COM
17275R102
4379
173993
SH
SOLE
173993
0
0
CITRIX SYS INC
COM
177376100
204
2863
SH
SOLE
2863
0
0
CLIFFS NAT RES INC
COM
18683K101
1178
113500
SH
SOLE
113500
0
0
COBALT INTL ENERGY INC
NOTE 2.625%12/0
19075FAA4
419
500000
SH
SOLE
500000
0
0
COCA COLA CO
COM
191216100
7423
173993
SH
SOLE
173993
0
0
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
474
10588
SH
SOLE
10588
0
0
COMCAST CORP NEW
CL A
20030N101
2013
37438
SH
SOLE
37438
0
0
CONTAINER STORE GROUP INC
COM
210751103
544
25000
SH
SOLE
25000
0
0
COSTCO WHSL CORP NEW
COM
22160K105
957
7633
SH
SOLE
7633
0
0
DEPOMED INC
NOTE 2.500% 9/0
249908AA2
1065
1000000
SH
SOLE
1000000
0
0
DIAMOND OFFSHORE DRILLING IN
COM
25271C102
1371
40000
SH
SOLE
40000
0
0
DIRECTV
COM
25490A309
757
8748
SH
SOLE
8748
0
0
DISH NETWORK CORP
CL A
25470M109
250
3870
SH
SOLE
3870
0
0
DOLLAR TREE INC
COM
256746108
201
3581
SH
SOLE
3581
0
0
DU PONT E I DE NEMOURS & CO
COM
263534109
12486
173993
SH
SOLE
173993
0
0
EBAY INC
COM
278642103
1224
21617
SH
SOLE
21617
0
0
ENCORE CAP GROUP INC
NOTE 3.000%11/2
292554AD4
750
500000
SH
SOLE
500000
0
0
EXONE CO
COM
302104104
1017
48700
SH
SOLE
48700
0
0
EXPRESS SCRIPTS HLDG CO
COM
30219G108
917
12983
SH
SOLE
12983
0
0
EXXON MOBIL CORP
COM
30231G102
16364
173993
SH
SOLE
173993
0
0
FACEBOOK INC
CL A
30303M102
2774
35095
SH
SOLE
35095
0
0
FASTENAL CO
COM
311900104
232
5170
SH
SOLE
5170
0
0
FISERV INC
COM
337738108
281
4340
SH
SOLE
4340
0
0
GENERAL ELECTRIC CO
COM
369604103
4458
173993
SH
SOLE
173993
0
0
GILEAD SCIENCES INC
COM
375558103
2803
26330
SH
SOLE
26330
0
0
GLU MOBILE INC
COM
379890106
838
162000
SH
SOLE
162000
0
0
GOGO INC
COM
38046C109
422
25000
SH
SOLE
25000
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
31940
173993
SH
SOLE
173993
0
0
GOOGLE INC
CL C
38259P706
3401
5890
SH
SOLE
5890
0
0
GOOGLE INC
CL A
38259P508
2904
4935
SH
SOLE
4935
0
0
GT ADVANCED TECHNOLOGIES INC
COM
36191U106
350
32300
SH
SOLE
32300
0
0
HOME DEPOT INC
COM
437076102
15962
173993
SH
SOLE
173993
0
0
ICONIX BRAND GROUP INC
NOTE 1.500% 3/1
451055AF4
3955
3077000
SH
SOLE
3077000
0
0
ILLUMINA INC
COM
452327109
398
2428
SH
SOLE
2428
0
0
INOVIO PHARMACEUTICALS INC
COM NEW
45773H201
148
15000
SH
SOLE
15000
0
0
INTEL CORP
COM
458140100
3003
86230
SH
SOLE
86230
0
0
INTEL CORP
COM
458140100
6058
173993
SH
SOLE
173993
0
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
33029
173993
SH
SOLE
173993
0
0
INTUIT
COM
461202103
433
4944
SH
SOLE
4944
0
0
INTUITIVE SURGICAL INC
COM NEW
46120E602
290
628
SH
SOLE
628
0
0
ISHARES TR
20+ YR TR BD ETF
464287432
267352
2300000
SH
SOLE
2300000
0
0
JOHNSON & JOHNSON
COM
478160104
18546
173993
SH
SOLE
173993
0
0
JPMORGAN CHASE & CO
COM
46625H100
10481
173993
SH
SOLE
173993
0
0
JUMEI INTL HLDG LTD
SPONSORED ADR
48138L107
836
35600
SH
SOLE
35600
0
0
KANDI TECHNOLOGIES GROUP INC
COM
483709101
342
26300
SH
SOLE
26300
0
0
KEURIG GREEN MTN INC
COM
49271M100
368
2829
SH
SOLE
2829
0
0
KING DIGITAL ENTMT PLC
ORD SHS
G5258J109
635
50000
SH
SOLE
50000
0
0
KLA-TENCOR CORP
COM
482480100
227
2879
SH
SOLE
2879
0
0
KRAFT FOODS GROUP INC
COM
50076Q106
583
10344
SH
SOLE
10344
0
0
LIBERTY INTERACTIVE CORP
INT COM SER A
53071M104
225
7885
SH
SOLE
7885
0
0
LULULEMON ATHLETICA INC
COM
550021109
1735
41300
SH
SOLE
41300
0
0
MARRIOTT INTL INC NEW
CL A
571903202
354
5061
SH
SOLE
5061
0
0
MCDONALDS CORP
COM
580135101
16496
173993
SH
SOLE
173993
0
0
MERCK & CO INC NEW
COM
58933Y105
10314
173993
SH
SOLE
173993
0
0
MICROCHIP TECHNOLOGY INC
SDCV 2.125%12/1
595017AB0
1461
787000
SH
SOLE
787000
0
0
MICRON TECHNOLOGY INC
NOTE 1.625% 2/1
595112AU7
34
11000
SH
SOLE
11000
0
0
MICRON TECHNOLOGY INC
COM
595112103
639
18651
SH
SOLE
18651
0
0
MICRON TECHNOLOGY INC
NOTE 3.000%11/1
595112AY9
656
500000
SH
SOLE
500000
0
0
MICROSOFT CORP
COM
594918104
6653
143512
SH
SOLE
143512
0
0
MICROSOFT CORP
COM
594918104
8066
173993
SH
SOLE
173993
0
0
MOBILEYE N V AMSTELVEEN
ORD SHS
N51488117
230
4300
SH
SOLE
4300
0
0
MOLINA HEALTHCARE INC
NOTE 1.125% 1/1
60855RAC4
2358
2000000
SH
SOLE
2000000
0
0
MOLYCORP INC DEL
COM
608753109
95
80000
SH
SOLE
80000
0
0
MONDELEZ INTL INC
CL A
609207105
1006
29362
SH
SOLE
29362
0
0
MONSTER BEVERAGE CORP
COM
611740101
267
2912
SH
SOLE
2912
0
0
MONTAGE TECHNOLOGY GROUP LTD
SHS
G6209T105
3238
155000
SH
SOLE
155000
0
0
MYLAN INC
COM
628530107
296
6515
SH
SOLE
6515
0
0
NAVISTAR INTL CORP NEW
NOTE 3.000%10/1
63934EAL2
3568
3564000
SH
SOLE
3564000
0
0
NETAPP INC
COM
64110D104
239
5561
SH
SOLE
5561
0
0
NETFLIX INC
COM
64110L106
472
1046
SH
SOLE
1046
0
0
NEWPARK RES INC
NOTE 4.000%10/0
651718AC2
87
65000
SH
SOLE
65000
0
0
NUANCE COMMUNICATIONS INC
NOTE 2.750%11/0
67020YAF7
4554
4600000
SH
SOLE
4600000
0
0
NUVERRA ENVIRONMENTAL SOLUTI
COM NEW
67091K203
406
27500
SH
SOLE
27500
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
284
4156
SH
SOLE
4156
0
0
O REILLY AUTOMOTIVE INC NEW
COM
67103H107
272
1806
SH
SOLE
1806
0
0
OPKO HEALTH INC
COM
68375N103
638
75000
SH
SOLE
75000
0
0
ORGANOVO HLDGS INC
COM
68620A104
197
31000
SH
SOLE
31000
0
0
PACCAR INC
COM
693718108
351
6178
SH
SOLE
6178
0
0
PAYCHEX INC
COM
704326107
280
6325
SH
SOLE
6325
0
0
PFIZER INC
COM
717081103
5145
173993
SH
SOLE
173993
0
0
PLUG POWER INC
COM NEW
72919P202
390
85000
SH
SOLE
85000
0
0
PRICELINE GRP INC
COM NEW
741503403
1060
915
SH
SOLE
915
0
0
PROCTER & GAMBLE CO
COM
742718109
14570
173993
SH
SOLE
173993
0
0
PROSPECT CAPITAL CORPORATION
NOTE 5.500% 8/1
74348TAD4
417
400000
SH
SOLE
400000
0
0
QUALCOMM INC
COM
747525103
2183
29191
SH
SOLE
29191
0
0
QUANTUM FUEL SYS TECH WORLDW
COM PAR $0.02
74765E307
94
25200
SH
SOLE
25200
0
0
REGENERON PHARMACEUTICALS
COM
75886F107
622
1725
SH
SOLE
1725
0
0
ROCKET FUEL INC
COM
773111109
553
35000
SH
SOLE
35000
0
0
ROSS STORES INC
COM
778296103
279
3685
SH
SOLE
3685
0
0
SALIX PHARMACEUTICALS INC
NOTE 1.500% 3/1
795435AE6
1102
455000
SH
SOLE
455000
0
0
SANDISK CORP
COM
80004C101
383
3906
SH
SOLE
3906
0
0
SANDISK CORP
NOTE 1.500% 8/1
80004CAD3
5298
2750000
SH
SOLE
2750000
0
0
SBA COMMUNICATIONS CORP
COM
78388J106
249
2247
SH
SOLE
2247
0
0
SEAGATE TECHNOLOGY PLC
SHS
G7945M107
326
5691
SH
SOLE
5691
0
0
SIGMA ALDRICH CORP
COM
826552101
282
2073
SH
SOLE
2073
0
0
SIRIUS XM HLDGS INC
COM
82968B103
345
98786
SH
SOLE
98786
0
0
SODASTREAM INTERNATIONAL LTD
USD SHS
M9068E105
1725
58500
SH
SOLE
58500
0
0
STAPLES INC
COM
855030102
136
11219
SH
SOLE
11219
0
0
STARBUCKS CORP
COM
855244109
987
13083
SH
SOLE
13083
0
0
SYMANTEC CORP
COM
871503108
283
12026
SH
SOLE
12026
0
0
TESLA MTRS INC
COM
88160R101
527
2172
SH
SOLE
2172
0
0
TEXAS INSTRS INC
COM
882508104
887
18592
SH
SOLE
18592
0
0
TRAVELERS COMPANIES INC
COM
89417E109
16345
173993
SH
SOLE
173993
0
0
TIBCO SOFTWARE INC
NOTE 2.250% 5/0
88632QAB9
1105
1104000
SH
SOLE
1104000
0
0
TRIPADVISOR INC
COM
896945201
207
2265
SH
SOLE
2265
0
0
TWENTY FIRST CENTY FOX INC
CL A
90130A101
831
24235
SH
SOLE
24235
0
0
TYSON FOODS INC
UNIT 99/99/9999
902494301
1964
39000
SH
SOLE
39000
0
0
ULTRA PETROLEUM CORP
COM
903914109
3070
132000
SH
SOLE
132000
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
18374
173993
SH
SOLE
173993
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
15007
173993
SH
SOLE
173993
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
8698
173993
SH
SOLE
173993
0
0
VERTEX PHARMACEUTICALS INC
COM
92532F100
466
4146
SH
SOLE
4146
0
0
VIACOM INC NEW
CL B
92553P201
499
6480
SH
SOLE
6480
0
0
VIMPELCOM LTD
SPONSORED ADR
92719A106
208
28773
SH
SOLE
28773
0
0
VIRNETX HLDG CORP
COM
92823T108
260
43300
SH
SOLE
43300
0
0
VISA INC
COM CL A
92826C839
37125
173993
SH
SOLE
173993
0
0
VODAFONE GROUP PLC NEW
SPNSR ADR NO PAR
92857W308
287
8729
SH
SOLE
8729
0
0
VOXELJET AG
ADS
92912L107
565
40700
SH
SOLE
40700
0
0
WAL-MART STORES INC
COM
931142103
13305
173993
SH
SOLE
173993
0
0
DISNEY WALT CO
COM DISNEY
254687106
15491
173993
SH
SOLE
173993
0
0
WALTER ENERGY INC
COM
93317Q105
131
55900
SH
SOLE
55900
0
0
WESTERN DIGITAL CORP
COM
958102105
397
4076
SH
SOLE
4076
0
0
WESTPORT INNOVATIONS INC
COM NEW
960908309
1647
156700
SH
SOLE
156700
0
0
WHOLE FOODS MKT INC
COM
966837106
240
6291
SH
SOLE
6291
0
0
WORLD WRESTLING ENTMT INC
CL A
98156Q108
688
50000
SH
SOLE
50000
0
0
WYNN RESORTS LTD
COM
983134107
330
1766
SH
SOLE
1766
0
0
YAHOO INC
COM
984332106
706
17321
SH
SOLE
17321
0
0
YINGLI GREEN ENERGY HLDG CO
ADR
98584B103
374
120100
SH
SOLE
120100
0
0