Managing Director

0001062993-15-002207.txt : 20150428 0001062993-15-002207.hdr.sgml : 20150428 20150428154450 ACCESSION NUMBER: 0001062993-15-002207 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150428 DATE AS OF CHANGE: 20150428 EFFECTIVENESS DATE: 20150428 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: 15798417 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 03-31-2015 03-31-2015 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 03-31-2015 0 230 774581 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3-D SYS CORP DEL COM NEW 88554D205 5865 213900 SH SOLE 213900 0 0 3-D SYS CORP DEL COM NEW 88554D205 3901 213900 SH Put SOLE 213900 0 0 3M CO COM 88579Y101 14423 87440 SH SOLE 87440 0 0 ACTAVIS PLC PFD CONV SER A G0083B116 3299 3200 SH SOLE 3200 0 0 ACTIVISION BLIZZARD INC COM 00507V109 472 20786 SH SOLE 20786 0 0 ADOBE SYS INC COM 00724F101 6566 88801 SH SOLE 88801 0 0 AFFYMETRIX INC NOTE 4.000% 7/0 00826TAH1 2749 1250000 SH SOLE 1250000 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 364 5121 SH SOLE 5121 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 1007 5810 SH SOLE 5810 0 0 ALON USA ENERGY INC NOTE 3.000% 9/1 020520AB8 2647 2085000 SH SOLE 2085000 0 0 ALTERA CORP COM 021441100 371 8653 SH SOLE 8653 0 0 AMAZON COM INC COM 023135106 4969 13355 SH SOLE 13355 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 1057 20029 SH SOLE 20029 0 0 AMERICAN EXPRESS CO COM 025816109 6831 87440 SH SOLE 87440 0 0 AMERIPRISE FINL INC COM 03076C106 1321 10100 SH SOLE 10100 0 0 AMGEN INC COM 031162100 3488 21820 SH SOLE 21820 0 0 ANADARKO PETE CORP COM 032511107 828 10000 SH SOLE 10000 0 0 ANALOG DEVICES INC COM 032654105 565 8961 SH SOLE 8961 0 0 APPLE INC COM 037833100 31720 254926 SH SOLE 254926 0 0 APPLIED MATLS INC COM 038222105 3053 135329 SH SOLE 135329 0 0 APPLIED MATLS INC COM 038222105 448 100000 SH Put SOLE 100000 0 0 APPROACH RESOURCES INC COM 03834A103 1085 164600 SH SOLE 164600 0 0 APPROACH RESOURCES INC COM 03834A103 1312 164600 SH Put SOLE 164600 0 0 AUTODESK INC COM 052769106 384 6541 SH SOLE 6541 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 1170 13664 SH SOLE 13664 0 0 AVAGO TECHNOLOGIES LTD SHS Y0486S104 936 7373 SH SOLE 7373 0 0 BAIDU INC SPON ADR REP A 056752108 1660 7967 SH SOLE 7967 0 0 BED BATH & BEYOND INC COM 075896100 410 5338 SH SOLE 5338 0 0 BIOGEN INC COM 09062X103 8634 20448 SH SOLE 20448 0 0 BOEING CO COM 097023105 13123 87440 SH SOLE 87440 0 0 BOX INC CL A 10316T104 2548 129000 SH SOLE 129000 0 0 BOX INC CL A 10316T104 508 129000 SH Put SOLE 129000 0 0 BROADCOM CORP CL A 111320107 685 15814 SH SOLE 15814 0 0 C H ROBINSON WORLDWIDE INC COM NEW 12541W209 3911 53410 SH SOLE 53410 0 0 CA INC COM 12673P105 415 12735 SH SOLE 12735 0 0 CARBO CERAMICS INC COM 140781105 821 26900 SH SOLE 26900 0 0 CARBO CERAMICS INC COM 140781105 241 26900 SH Put SOLE 26900 0 0 CARNIVAL CORP PAIRED CTF 143658300 1000 20900 SH SOLE 20900 0 0 CATAMARAN CORP COM 148887102 355 5966 SH SOLE 5966 0 0 CATERPILLAR INC DEL COM 149123101 6998 87440 SH SOLE 87440 0 0 CELGENE CORP COM 151020104 2654 23018 SH SOLE 23018 0 0 CERNER CORP COM 156782104 722 9849 SH SOLE 9849 0 0 CF INDS HLDGS INC COM 125269100 4227 14900 SH SOLE 14900 0 0 SCHWAB CHARLES CORP NEW COM 808513105 1574 51700 SH SOLE 51700 0 0 CHART INDS INC NOTE 2.000% 8/0 16115QAC4 164 168000 SH SOLE 168000 0 0 CHARTER COMMUNICATIONS INC D CL A NEW 16117M305 622 3219 SH SOLE 3219 0 0 CHECK POINT SOFTWARE TECH LT ORD M22465104 433 5285 SH SOLE 5285 0 0 CHEVRON CORP NEW COM 166764100 9179 87440 SH SOLE 87440 0 0 CISCO SYS INC COM 17275R102 6447 234226 SH SOLE 234226 0 0 CITRIX SYS INC COM 177376100 293 4595 SH SOLE 4595 0 0 CLIFFS NAT RES INC COM 18683K101 535 111300 SH SOLE 111300 0 0 CLIFFS NAT RES INC COM 18683K101 2208 111300 SH Put SOLE 111300 0 0 COCA COLA CO COM 191216100 3546 87440 SH SOLE 87440 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 1094 17529 SH SOLE 17529 0 0 COMCAST CORP NEW CL A 20030N101 3460 61280 SH SOLE 61280 0 0 COMCAST CORP NEW CL A SPL 20030N200 646 11514 SH SOLE 11514 0 0 CONNS INC COM 208242107 469 15500 SH SOLE 15500 0 0 CONNS INC COM 208242107 123 15500 SH Put SOLE 15500 0 0 CORNING INC COM 219350105 1710 75400 SH SOLE 75400 0 0 COSTCO WHSL CORP NEW COM 22160K105 1919 12668 SH SOLE 12668 0 0 DEALERTRACK TECHNOLOGIES INC NOTE 1.500% 3/1 242309AB8 297 250000 SH SOLE 250000 0 0 DIRECTV COM 25490A309 1230 14456 SH SOLE 14456 0 0 DISCOVERY COMMUNICATNS NEW COM SER C 25470F302 241 8166 SH SOLE 8166 0 0 DISH NETWORK CORP CL A 25470M109 450 6426 SH SOLE 6426 0 0 DOLLAR TREE INC COM 256746108 480 5913 SH SOLE 5913 0 0 DREAMWORKS ANIMATION SKG INC CL A 26153C103 876 36200 SH SOLE 36200 0 0 DREAMWORKS ANIMATION SKG INC CL A 26153C103 197 36200 SH Put SOLE 36200 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 6249 87440 SH SOLE 87440 0 0 EBAY INC COM 278642103 14045 243495 SH SOLE 243495 0 0 EL POLLO LOCO HLDGS INC COM 268603107 1129 44100 SH SOLE 44100 0 0 EL POLLO LOCO HLDGS INC COM 268603107 242 44100 SH Put SOLE 44100 0 0 ELECTRONIC ARTS INC COM 285512109 524 8914 SH SOLE 8914 0 0 ELECTRONIC ARTS INC NOTE 0.750% 7/1 285512AA7 185 100000 SH SOLE 100000 0 0 ENCORE CAP GROUP INC NOTE 3.000%11/2 292554AD4 696 500000 SH SOLE 500000 0 0 EXCO RESOURCES INC COM 269279402 122 66800 SH SOLE 66800 0 0 EXCO RESOURCES INC COM 269279402 149 66800 SH Put SOLE 66800 0 0 EXONE CO COM 302104104 879 64400 SH SOLE 64400 0 0 EXONE CO COM 302104104 394 64400 SH Put SOLE 64400 0 0 EXPEDITORS INTL WASH INC COM 302130109 266 5512 SH SOLE 5512 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 1814 20902 SH SOLE 20902 0 0 EXXON MOBIL CORP COM 30231G102 7432 87440 SH SOLE 87440 0 0 FACEBOOK INC CL A 30303M102 5287 64306 SH SOLE 64306 0 0 FASTENAL CO COM 311900104 352 8495 SH SOLE 8495 0 0 FISERV INC COM 337738108 545 6862 SH SOLE 6862 0 0 GAMESTOP CORP NEW CL A 36467W109 1898 50000 SH SOLE 50000 0 0 GAMESTOP CORP NEW CL A 36467W109 613 50000 SH Put SOLE 50000 0 0 GARMIN LTD SHS H2906T109 262 5513 SH SOLE 5513 0 0 GENERAL ELECTRIC CO COM 369604103 2169 87440 SH SOLE 87440 0 0 GILEAD SCIENCES INC COM 375558103 4203 42829 SH SOLE 42829 0 0 GOGO INC COM 38046C109 476 25000 SH SOLE 25000 0 0 GOGO INC COM 38046C109 68 25000 SH Put SOLE 25000 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 16436 87440 SH SOLE 87440 0 0 GOOGLE INC CL A 38259P508 4576 8250 SH SOLE 8250 0 0 GOOGLE INC CL C 38259P706 5367 9793 SH SOLE 9793 0 0 GOPRO INC CL A 38268T103 3243 74700 SH SOLE 74700 0 0 GOPRO INC CL A 38268T103 1018 74700 SH Put SOLE 74700 0 0 SCHEIN HENRY INC COM 806407102 337 2411 SH SOLE 2411 0 0 HOME DEPOT INC COM 437076102 9934 87440 SH SOLE 87440 0 0 ICONIX BRAND GROUP INC NOTE 1.500% 3/1 451055AF4 1748 1462000 SH SOLE 1462000 0 0 ILLUMINA INC COM 452327109 768 4138 SH SOLE 4138 0 0 INTEL CORP COM 458140100 6993 223623 SH SOLE 223623 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 14034 87440 SH SOLE 87440 0 0 INTUIT COM 461202103 772 7957 SH SOLE 7957 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 532 1053 SH SOLE 1053 0 0 INVESCO LTD SHS G491BT108 2250 56700 SH SOLE 56700 0 0 ISHARES TR 20+ YR TR BD ETF 464287432 65324 500000 SH SOLE 500000 0 0 JOHNSON & JOHNSON COM 478160104 8796 87440 SH SOLE 87440 0 0 JPMORGAN CHASE & CO COM 46625H100 5297 87440 SH SOLE 87440 0 0 KANDI TECHNOLOGIES GROUP INC COM 483709101 223 18000 SH SOLE 18000 0 0 KANDI TECHNOLOGIES GROUP INC COM 483709101 103 18000 SH Put SOLE 18000 0 0 KERYX BIOPHARMACEUTICALS INC COM 492515101 64 5000 SH SOLE 5000 0 0 KERYX BIOPHARMACEUTICALS INC COM 492515101 17 5000 SH Put SOLE 5000 0 0 KEURIG GREEN MTN INC COM 49271M100 519 4649 SH SOLE 4649 0 0 KING DIGITAL ENTMT PLC ORD SHS G5258J109 1471 91700 SH SOLE 91700 0 0 KING DIGITAL ENTMT PLC ORD SHS G5258J109 348 91700 SH Put SOLE 91700 0 0 KLA-TENCOR CORP COM 482480100 273 4678 SH SOLE 4678 0 0 KNOWLES CORP COM 49926D109 139 7200 SH SOLE 7200 0 0 KNOWLES CORP COM 49926D109 56 7200 SH Put SOLE 7200 0 0 KRAFT FOODS GROUP INC COM 50076Q106 1473 16908 SH SOLE 16908 0 0 LAM RESEARCH CORP COM 512807108 322 4580 SH SOLE 4580 0 0 LENDINGCLUB CORP COM 52603A109 531 27000 SH SOLE 27000 0 0 LENDINGCLUB CORP COM 52603A109 403 27000 SH Put SOLE 27000 0 0 LIBERTY GLOBAL PLC SHS CL A G5480U104 372 7225 SH SOLE 7225 0 0 LIBERTY GLOBAL PLC SHS CL C G5480U120 896 17995 SH SOLE 17995 0 0 LIBERTY INTERACTIVE CORP INT COM SER A 53071M104 374 12809 SH SOLE 12809 0 0 LIBERTY MEDIA CORP DELAWARE COM SER C 531229300 251 6563 SH SOLE 6563 0 0 LINEAR TECHNOLOGY CORP COM 535678106 322 6877 SH SOLE 6877 0 0 LUMBER LIQUIDATORS HLDGS INC COM 55003T107 739 24000 SH SOLE 24000 0 0 LUMBER LIQUIDATORS HLDGS INC COM 55003T107 848 24000 SH Put SOLE 24000 0 0 MANNKIND CORP COM 56400P201 377 72500 SH SOLE 72500 0 0 MANNKIND CORP COM 56400P201 291 72500 SH Put SOLE 72500 0 0 MARRIOTT INTL INC NEW CL A 571903202 639 7952 SH SOLE 7952 0 0 MASCO CORP COM 574599106 4264 159700 SH SOLE 159700 0 0 MATTEL INC COM 577081102 222 9729 SH SOLE 9729 0 0 MCDONALDS CORP COM 580135101 8520 87440 SH SOLE 87440 0 0 MERCK & CO INC NEW COM 58933Y105 5026 87440 SH SOLE 87440 0 0 MERRIMACK PHARMACEUTICALS IN NOTE 4.500% 7/1 590328AA8 1154 575000 SH SOLE 575000 0 0 MICROCHIP TECHNOLOGY INC SDCV 2.125%12/1 595017AB0 1544 789000 SH SOLE 789000 0 0 MICRON TECHNOLOGY INC COM 595112103 840 30975 SH SOLE 30975 0 0 MICROSOFT CORP COM 594918104 13145 323332 SH SOLE 323332 0 0 MOLINA HEALTHCARE INC NOTE 1.125% 1/1 60855RAC4 1685 1000000 SH SOLE 1000000 0 0 MONDELEZ INTL INC CL A 609207105 1712 47431 SH SOLE 47431 0 0 MONSTER BEVERAGE CORP COM 611740101 667 4820 SH SOLE 4820 0 0 MYLAN N V SHS EURO N59465109 640 10781 SH SOLE 10781 0 0 NATIONSTAR MTG HLDGS INC COM 63861C109 1848 74600 SH SOLE 74600 0 0 NATIONSTAR MTG HLDGS INC COM 63861C109 947 74600 SH Put SOLE 74600 0 0 NETAPP INC COM 64110D104 318 8965 SH SOLE 8965 0 0 NETFLIX INC COM 64110L106 725 1741 SH SOLE 1741 0 0 NEUSTAR INC CL A 64126X201 677 27500 SH SOLE 27500 0 0 NEUSTAR INC CL A 64126X201 150 27500 SH Put SOLE 27500 0 0 NEWELL RUBBERMAID INC COM 651229106 1324 33900 SH SOLE 33900 0 0 NIKE INC CL B 654106103 8773 87440 SH SOLE 87440 0 0 NORDSTROM INC COM 655664100 2161 26900 SH SOLE 26900 0 0 NORTHERN TR CORP COM 665859104 1094 15700 SH SOLE 15700 0 0 NUANCE COMMUNICATIONS INC NOTE 2.750%11/0 67020YAF7 3472 3496000 SH SOLE 3496000 0 0 NVIDIA CORP COM 67066G104 327 15630 SH SOLE 15630 0 0 NXP SEMICONDUCTORS N V COM N6596X109 666 6635 SH SOLE 6635 0 0 O REILLY AUTOMOTIVE INC NEW COM 67103H107 632 2922 SH SOLE 2922 0 0 ORGANOVO HLDGS INC COM 68620A104 25 7000 SH SOLE 7000 0 0 ORGANOVO HLDGS INC COM 68620A104 122 7000 SH Put SOLE 7000 0 0 PACCAR INC COM 693718108 644 10193 SH SOLE 10193 0 0 PAYCHEX INC COM 704326107 518 10439 SH SOLE 10439 0 0 PFIZER INC COM 717081103 3042 87440 SH SOLE 87440 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 45650 432369 SH SOLE 432369 0 0 PRICE T ROWE GROUP INC COM 74144T108 1814 22400 SH SOLE 22400 0 0 PRICELINE GRP INC COM NEW 741503403 1736 1491 SH SOLE 1491 0 0 PROCTER & GAMBLE CO COM 742718109 7165 87440 SH SOLE 87440 0 0 PROSPECT CAPITAL CORPORATION NOTE 5.500% 8/1 74348TAD4 204 200000 SH SOLE 200000 0 0 QUALCOMM INC COM 747525103 3289 47434 SH SOLE 47434 0 0 REGENERON PHARMACEUTICALS COM 75886F107 1306 2892 SH SOLE 2892 0 0 REPUBLIC SVCS INC COM 760759100 698 17200 SH SOLE 17200 0 0 ROCKET FUEL INC COM 773111109 597 64900 SH SOLE 64900 0 0 ROCKET FUEL INC COM 773111109 176 64900 SH Put SOLE 64900 0 0 ROSS STORES INC COM 778296103 632 5996 SH SOLE 5996 0 0 SANCHEZ ENERGY CORP COM 79970Y105 1322 101600 SH SOLE 101600 0 0 SANCHEZ ENERGY CORP COM 79970Y105 310 101600 SH Put SOLE 101600 0 0 SANDISK CORP COM 80004C101 389 6122 SH SOLE 6122 0 0 SANDISK CORP NOTE 1.500% 8/1 80004CAD3 2386 1750000 SH SOLE 1750000 0 0 SBA COMMUNICATIONS CORP COM 78388J106 435 3714 SH SOLE 3714 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 491 9438 SH SOLE 9438 0 0 SIGMA ALDRICH CORP COM 826552101 475 3436 SH SOLE 3436 0 0 SIRIUS XM HLDGS INC COM 82968B103 613 160489 SH SOLE 160489 0 0 SOLARCITY CORP COM 83416T100 2036 39700 SH SOLE 39700 0 0 SOLARCITY CORP COM 83416T100 76 39700 SH Put SOLE 39700 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 125201 705452 SH SOLE 705452 0 0 STAPLES INC COM 855030102 300 18410 SH SOLE 18410 0 0 STARBUCKS CORP COM 855244109 2042 21561 SH SOLE 21561 0 0 STERICYCLE INC COM 858912108 343 2444 SH SOLE 2444 0 0 SUNPOWER CORP COM 867652406 1597 51000 SH SOLE 51000 0 0 SUNPOWER CORP COM 867652406 745 51000 SH Put SOLE 51000 0 0 SUNTRUST BKS INC COM 867914103 3641 88600 SH SOLE 88600 0 0 SYMANTEC CORP COM 871503108 458 19623 SH SOLE 19623 0 0 TESLA MTRS INC COM 88160R101 683 3616 SH SOLE 3616 0 0 TESLA MTRS INC NOTE 0.250% 3/0 88160RAB7 28 33000 SH SOLE 33000 0 0 TEXAS INSTRS INC COM 882508104 1722 30110 SH SOLE 30110 0 0 TRAVELERS COMPANIES INC COM 89417E109 9455 87440 SH SOLE 87440 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 5239 39000 SH SOLE 39000 0 0 TIME WARNER CABLE INC COM 88732J207 12515 83500 SH SOLE 83500 0 0 TRACTOR SUPPLY CO COM 892356106 333 3915 SH SOLE 3915 0 0 TRANSOCEAN LTD REG SHS H8817H100 766 52200 SH SOLE 52200 0 0 TRANSOCEAN LTD REG SHS H8817H100 1130 52200 SH Put SOLE 52200 0 0 TRIPADVISOR INC COM 896945201 311 3744 SH SOLE 3744 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 7647 225977 SH SOLE 225977 0 0 TWENTY FIRST CENTY FOX INC CL B 90130A200 755 22963 SH SOLE 22963 0 0 TYSON FOODS INC UNIT 99/99/9999 902494301 1197 24700 SH SOLE 24700 0 0 ULTRA PETROLEUM CORP COM 903914109 1604 102600 SH SOLE 102600 0 0 ULTRA PETROLEUM CORP COM 903914109 269 102600 SH Put SOLE 102600 0 0 UNITED TECHNOLOGIES CORP COM 913017109 10248 87440 SH SOLE 87440 0 0 UNITEDHEALTH GROUP INC COM 91324P102 10343 87440 SH SOLE 87440 0 0 VASCO DATA SEC INTL INC COM 92230Y104 864 40100 SH SOLE 40100 0 0 VASCO DATA SEC INTL INC COM 92230Y104 197 40100 SH Put SOLE 40100 0 0 VERISK ANALYTICS INC CL A 92345Y106 325 4545 SH SOLE 4545 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 4252 87440 SH SOLE 87440 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 821 6961 SH SOLE 6961 0 0 VIACOM INC NEW CL B 92553P201 697 10211 SH SOLE 10211 0 0 VIMPELCOM LTD SPONSORED ADR 92719A106 265 50511 SH SOLE 50511 0 0 VISA INC COM CL A 92826C839 5719 87440 SH SOLE 87440 0 0 VODAFONE GROUP PLC NEW SPNSR ADR NO PAR 92857W308 405 12398 SH SOLE 12398 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 2654 31340 SH SOLE 31340 0 0 WAL-MART STORES INC COM 931142103 7192 87440 SH SOLE 87440 0 0 DISNEY WALT CO COM DISNEY 254687106 9172 87440 SH SOLE 87440 0 0 WEIGHT WATCHERS INTL INC NEW COM 948626106 110 15700 SH SOLE 15700 0 0 WEIGHT WATCHERS INTL INC NEW COM 948626106 2690 15700 SH Put SOLE 15700 0 0 WESTERN DIGITAL CORP COM 958102105 605 6644 SH SOLE 6644 0 0 WESTPORT INNOVATIONS INC COM NEW 960908309 656 166400 SH SOLE 166400 0 0 WESTPORT INNOVATIONS INC COM NEW 960908309 1874 166400 SH Put SOLE 166400 0 0 WHOLE FOODS MKT INC COM 966837106 540 10376 SH SOLE 10376 0 0 WYNN RESORTS LTD COM 983134107 367 2918 SH SOLE 2918 0 0 XILINX INC COM 983919101 318 7516 SH SOLE 7516 0 0 YAHOO INC COM 984332106 1196 26919 SH SOLE 26919 0 0