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 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