0001062993-15-005515.txt : 20151020
0001062993-15-005515.hdr.sgml : 20151020
20151020110630
ACCESSION NUMBER: 0001062993-15-005515
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150930
FILED AS OF DATE: 20151020
DATE AS OF CHANGE: 20151020
EFFECTIVENESS DATE: 20151020
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: 151165716
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
09-30-2015
09-30-2015
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
09-30-2015
0
121
385023
false
INFORMATION TABLE
2
form13fInfoTable.xml
FORM 13F INFORMATION TABLE
3-D SYS CORP DEL
COM NEW
88554D205
1780
154100
SH
SOLE
154100
0
0
3-D SYS CORP DEL
COM NEW
88554D205
4137
154100
SH
Put
SOLE
154100
0
0
AFFYMETRIX INC
NOTE 4.000% 7/0
00826TAH1
1563
1000000
SH
SOLE
1000000
0
0
ALLERGAN PLC
PFD CONV SER A
G0177J116
2842
3035
SH
SOLE
3035
0
0
ALON USA ENERGY INC
NOTE 3.000% 9/1
020520AB8
1361
1000000
SH
SOLE
1000000
0
0
ALTISOURCE PORTFOLIO SOLNS S
REG SHS
L0175J104
646
27100
SH
SOLE
27100
0
0
ALTISOURCE PORTFOLIO SOLNS S
REG SHS
L0175J104
60
27100
SH
Put
SOLE
27100
0
0
AMBARELLA INC
SHS
G037AX101
1329
23000
SH
SOLE
23000
0
0
AMBARELLA INC
SHS
G037AX101
979
23000
SH
Put
SOLE
23000
0
0
ANHEUSER BUSCH INBEV SA/NV
SPONSORED ADR
03524A108
3190
30000
SH
SOLE
30000
0
0
APPLE INC
COM
037833100
43176
391440
SH
SOLE
391440
0
0
APPLE INC
COM
037833100
5622
391440
SH
Put
SOLE
391440
0
0
APPROACH RESOURCES INC
COM
03834A103
149
79800
SH
SOLE
79800
0
0
APPROACH RESOURCES INC
COM
03834A103
746
79800
SH
Put
SOLE
79800
0
0
BANK AMER CORP
COM
060505104
6232
400000
SH
SOLE
400000
0
0
BOX INC
CL A
10316T104
264
21000
SH
SOLE
21000
0
0
BOX INC
CL A
10316T104
161
21000
SH
Put
SOLE
21000
0
0
BP PLC
SPONSORED ADR
055622104
917
30000
SH
SOLE
30000
0
0
CERUS CORP
COM
157085101
207
45500
SH
SOLE
45500
0
0
CERUS CORP
COM
157085101
56
45500
SH
Put
SOLE
45500
0
0
CHART INDS INC
NOTE 2.000% 8/0
16115QAC4
174
200000
SH
SOLE
200000
0
0
CHEVRON CORP NEW
COM
166764100
4338
55000
SH
SOLE
55000
0
0
CIMPRESS N V
SHS EURO
N20146101
3806
50000
SH
SOLE
50000
0
0
CIMPRESS N V
SHS EURO
N20146101
710
50000
SH
Put
SOLE
50000
0
0
CONTAINER STORE GROUP INC
COM
210751103
527
37400
SH
SOLE
37400
0
0
CONTAINER STORE GROUP INC
COM
210751103
321
37400
SH
Put
SOLE
37400
0
0
CREE INC
COM
225447101
2382
98300
SH
SOLE
98300
0
0
CREE INC
COM
225447101
1480
98300
SH
Put
SOLE
98300
0
0
CREE INC
COM
225447101
16
98300
SH
Call
SOLE
98300
0
0
DOW CHEM CO
COM
260543103
12296
290000
SH
SOLE
290000
0
0
EL POLLO LOCO HLDGS INC
COM
268603107
146
13500
SH
SOLE
13500
0
0
EL POLLO LOCO HLDGS INC
COM
268603107
262
13500
SH
Put
SOLE
13500
0
0
ELECTRONIC ARTS INC
NOTE 0.750% 7/1
285512AA7
212
100000
SH
SOLE
100000
0
0
FITBIT INC
CL A
33812L102
1900
50400
SH
SOLE
50400
0
0
FITBIT INC
CL A
33812L102
1568
50400
SH
Put
SOLE
50400
0
0
FITBIT INC
CL A
33812L102
11
50400
SH
Call
SOLE
50400
0
0
FRONTIER COMMUNICATIONS CORP
PFD CONV SER-A
35906A207
606
6550
SH
SOLE
6550
0
0
GOPRO INC
CL A
38268T103
3862
123700
SH
SOLE
123700
0
0
GOPRO INC
CL A
38268T103
2989
123700
SH
Put
SOLE
123700
0
0
GOPRO INC
CL A
38268T103
18
123700
SH
Call
SOLE
123700
0
0
BLOCK H & R INC
COM
093671105
4525
125000
SH
SOLE
125000
0
0
HALLIBURTON CO
COM
406216101
884
25000
SH
SOLE
25000
0
0
INTEROIL CORP
NOTE 2.750%11/1
460951AC0
243
245000
SH
SOLE
245000
0
0
ISHARES TR
20+ YR TR BD ETF
464287432
160602
1300000
SH
SOLE
1300000
0
0
ISHARES TR
20+ YR TR BD ETF
464287432
68
1300000
SH
Call
SOLE
1300000
0
0
ITT EDUCATIONAL SERVICES INC
COM
45068B109
79
23100
SH
SOLE
23100
0
0
ITT EDUCATIONAL SERVICES INC
COM
45068B109
158
23100
SH
Put
SOLE
23100
0
0
IXIA
NOTE 3.000%12/1
45071RAB5
2621
2621000
SH
SOLE
2621000
0
0
JOHNSON & JOHNSON
COM
478160104
25615
274400
SH
SOLE
274400
0
0
JUMEI INTL HLDG LTD
SPONSORED ADR
48138L107
361
36600
SH
SOLE
36600
0
0
JUMEI INTL HLDG LTD
SPONSORED ADR
48138L107
737
36600
SH
Put
SOLE
36600
0
0
JUNO THERAPEUTICS INC
COM
48205A109
2018
49600
SH
SOLE
49600
0
0
JUNO THERAPEUTICS INC
COM
48205A109
1062
49600
SH
Put
SOLE
49600
0
0
KANDI TECHNOLOGIES GROUP INC
COM
483709101
379
72200
SH
SOLE
72200
0
0
KANDI TECHNOLOGIES GROUP INC
COM
483709101
741
72200
SH
Put
SOLE
72200
0
0
KERYX BIOPHARMACEUTICALS INC
COM
492515101
893
253800
SH
SOLE
253800
0
0
KERYX BIOPHARMACEUTICALS INC
COM
492515101
2348
253800
SH
Put
SOLE
253800
0
0
KING DIGITAL ENTMT PLC
ORD SHS
G5258J109
764
56400
SH
SOLE
56400
0
0
KING DIGITAL ENTMT PLC
ORD SHS
G5258J109
474
56400
SH
Put
SOLE
56400
0
0
KNOWLES CORP
COM
49926D109
302
16400
SH
SOLE
16400
0
0
KNOWLES CORP
COM
49926D109
117
16400
SH
Put
SOLE
16400
0
0
LAREDO PETROLEUM INC
COM
516806106
571
60600
SH
SOLE
60600
0
0
LAREDO PETROLEUM INC
COM
516806106
692
60600
SH
Put
SOLE
60600
0
0
LUMBER LIQUIDATORS HLDGS INC
COM
55003T107
390
29700
SH
SOLE
29700
0
0
LUMBER LIQUIDATORS HLDGS INC
COM
55003T107
384
29700
SH
Put
SOLE
29700
0
0
MANNKIND CORP
COM
56400P201
216
67300
SH
SOLE
67300
0
0
MANNKIND CORP
COM
56400P201
317
67300
SH
Put
SOLE
67300
0
0
MASCO CORP
COM
574599106
2392
95000
SH
SOLE
95000
0
0
MEDICINES CO
COM
584688105
342
9000
SH
SOLE
9000
0
0
MEDICINES CO
DBCV 1.375% 6/0
584688AC9
2331
1606000
SH
SOLE
1606000
0
0
MERRIMACK PHARMACEUTICALS IN
NOTE 4.500% 7/1
590328AA8
305
194000
SH
SOLE
194000
0
0
MICROCHIP TECHNOLOGY INC
SDCV 2.125%12/1
595017AB0
1382
789000
SH
SOLE
789000
0
0
MOBILEYE N V AMSTELVEEN
ORD SHS
N51488117
1401
30800
SH
SOLE
30800
0
0
MOBILEYE N V AMSTELVEEN
ORD SHS
N51488117
654
30800
SH
Put
SOLE
30800
0
0
MOLINA HEALTHCARE INC
NOTE 1.125% 1/1
60855RAC4
2178
1252000
SH
SOLE
1252000
0
0
NETFLIX INC
COM
64110L106
774
7500
SH
SOLE
7500
0
0
NOODLES & CO
CL A
65540B105
109
7700
SH
SOLE
7700
0
0
NOODLES & CO
CL A
65540B105
126
7700
SH
Put
SOLE
7700
0
0
NOVELLUS SYS INC
NOTE 2.625% 5/1
670008AD3
585
300000
SH
SOLE
300000
0
0
NUANCE COMMUNICATIONS INC
NOTE 2.750%11/0
67020YAF7
2022
2000000
SH
SOLE
2000000
0
0
ON SEMICONDUCTOR CORP
NOTE 2.625%12/1
682189AH8
72
64000
SH
SOLE
64000
0
0
OPKO HEALTH INC
COM
68375N103
551
65500
SH
SOLE
65500
0
0
OPKO HEALTH INC
COM
68375N103
886
65500
SH
Put
SOLE
65500
0
0
ORGANOVO HLDGS INC
COM
68620A104
120
44800
SH
SOLE
44800
0
0
ORGANOVO HLDGS INC
COM
68620A104
441
44800
SH
Put
SOLE
44800
0
0
PROCTER & GAMBLE CO
COM
742718109
1798
25000
SH
SOLE
25000
0
0
PULTE GROUP INC
COM
745867101
944
50000
SH
SOLE
50000
0
0
REYNOLDS AMERICAN INC
COM
761713106
1634
36900
SH
SOLE
36900
0
0
ROCKET FUEL INC
COM
773111109
170
36400
SH
SOLE
36400
0
0
ROCKET FUEL INC
COM
773111109
230
36400
SH
Put
SOLE
36400
0
0
SANDISK CORP
NOTE 1.500% 8/1
80004CAD3
2152
1750000
SH
SOLE
1750000
0
0
SEADRILL LIMITED
SHS
G7945E105
601
101800
SH
SOLE
101800
0
0
SEADRILL LIMITED
SHS
G7945E105
1525
101800
SH
Put
SOLE
101800
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
3050
134600
SH
SOLE
134600
0
0
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
3192
48200
SH
SOLE
48200
0
0
SUNPOWER CORP
COM
867652406
1022
51000
SH
SOLE
51000
0
0
SUNPOWER CORP
COM
867652406
1275
51000
SH
Put
SOLE
51000
0
0
TAKE-TWO INTERACTIVE SOFTWAR
NOTE 1.750%12/0
874054AC3
768
500000
SH
SOLE
500000
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
863
66800
SH
SOLE
66800
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
1470
66800
SH
Put
SOLE
66800
0
0
ULTRA PETROLEUM CORP
COM
903914109
369
57800
SH
SOLE
57800
0
0
ULTRA PETROLEUM CORP
COM
903914109
888
57800
SH
Put
SOLE
57800
0
0
ULTRA PETROLEUM CORP
COM
903914109
5
57800
SH
Call
SOLE
57800
0
0
UNI PIXEL INC
COM NEW
904572203
74
69600
SH
SOLE
69600
0
0
UNI PIXEL INC
COM NEW
904572203
788
69600
SH
Put
SOLE
69600
0
0
NEXTERA ENERGY INC
UNIT 08/31/2018
65339F846
1275
25000
SH
SOLE
25000
0
0
VASCO DATA SEC INTL INC
COM
92230Y104
699
41000
SH
SOLE
41000
0
0
VASCO DATA SEC INTL INC
COM
92230Y104
763
41000
SH
Put
SOLE
41000
0
0
VASCO DATA SEC INTL INC
COM
92230Y104
4
41000
SH
Call
SOLE
41000
0
0
VERISIGN INC
SDCV 3.250% 8/1
92343EAD4
5699
2725000
SH
SOLE
2725000
0
0
WAL-MART STORES INC
COM
931142103
3242
50000
SH
SOLE
50000
0
0
DISNEY WALT CO
COM DISNEY
254687106
3066
30000
SH
SOLE
30000
0
0
WEIGHT WATCHERS INTL INC NEW
COM
948626106
1018
159500
SH
SOLE
159500
0
0
WEIGHT WATCHERS INTL INC NEW
COM
948626106
2726
159500
SH
Put
SOLE
159500
0
0
WESTPORT INNOVATIONS INC
COM NEW
960908309
355
142400
SH
SOLE
142400
0
0
WESTPORT INNOVATIONS INC
COM NEW
960908309
1518
142400
SH
Put
SOLE
142400
0
0
WORLD ACCEP CORP DEL
COM
981419104
1401
52200
SH
SOLE
52200
0
0
WORLD ACCEP CORP DEL
COM
981419104
1948
52200
SH
Put
SOLE
52200
0
0
KINDER MORGAN INC DEL
*W EXP 05/25/201
49456B119
92
100000
SH
SOLE
100000
0
0
ZOES KITCHEN INC
COM
98979J109
1011
25600
SH
SOLE
25600
0
0
ZOES KITCHEN INC
COM
98979J109
121
25600
SH
Put
SOLE
25600
0
0