Managing Director

0001062993-17-003344.txt : 20170721 0001062993-17-003344.hdr.sgml : 20170721 20170721114329 ACCESSION NUMBER: 0001062993-17-003344 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170721 DATE AS OF CHANGE: 20170721 EFFECTIVENESS DATE: 20170721 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MIZUHO SECURITIES USA LLC 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: 17975929 BUSINESS ADDRESS: STREET 1: 320 PARK AVE, 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-209-9462 MAIL ADDRESS: STREET 1: 320 PARK AVE, 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: MIZUHO SECURITIES USA INC. DATE OF NAME CHANGE: 20110214 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001513006 XXXXXXXX 06-30-2017 06-30-2017 MIZUHO SECURITIES USA LLC

320 PARK AVE, 12TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-14335 N Mitchell Billek Managing Director 201.626.1286 Mitchell Billek New York NY 06-30-2017 0 171 1956560 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3-D SYS CORP DEL COM NEW 88554D205 2001 277200 SH Put SOLE 277200 0 0 3-D SYS CORP DEL COM NEW 88554D205 5184 277200 SH SOLE 277200 0 0 AIR PRODS & CHEMS INC COM 009158106 7797 54500 SH SOLE 54500 0 0 ALPHABET INC CAP STK CL A 02079K305 9111 9800 SH SOLE 9800 0 0 ALTABA INC COM 021346101 409 7500 SH SOLE 7500 0 0 APPLIED OPTOELECTRONICS INC COM 03823U102 742 51000 SH Put SOLE 51000 0 0 APPLIED OPTOELECTRONICS INC COM 03823U102 3151 51000 SH SOLE 51000 0 0 BANC OF CALIFORNIA INC COM 05990K106 4 16900 SH Put SOLE 16900 0 0 BANC OF CALIFORNIA INC COM 05990K106 363 16900 SH SOLE 16900 0 0 BECTON DICKINSON & CO PFD SHS CONV A 075887208 1346 24770 SH SOLE 24770 0 0 BLACKHAWK NETWORK HLDGS INC COM 09238E104 436 10000 SH SOLE 10000 0 0 BOFI HLDG INC COM 05566U108 196 28300 SH Put SOLE 28300 0 0 BOFI HLDG INC COM 05566U108 671 28300 SH SOLE 28300 0 0 BOULEVARD ACQUISITION CL A 10157Q102 2006 200200 SH SOLE 200200 0 0 BRITISH AMERN TOB PLC SPONSORED ADR 110448107 1 19100 SH Call SOLE 19100 0 0 BRITISH AMERN TOB PLC SPONSORED ADR 110448107 294 19100 SH Put SOLE 19100 0 0 BRITISH AMERN TOB PLC SPONSORED ADR 110448107 1309 19100 SH SOLE 19100 0 0 CANADA GOOSE HOLDINGS INC SHS SUB VTG 135086106 73 24500 SH Put SOLE 24500 0 0 CANADA GOOSE HOLDINGS INC SHS SUB VTG 135086106 484 24500 SH SOLE 24500 0 0 CARBO CERAMICS INC COM 140781105 669 80900 SH Put SOLE 80900 0 0 CARBO CERAMICS INC COM 140781105 554 80900 SH SOLE 80900 0 0 CARDTRONICS INC NOTE 1.000%12/0 14161HAG3 3389 3550000 SH SOLE 3550000 0 0 CEMEX SAB DE CV NOTE 3.750% 3/1 151290BC6 5976 5000000 SH SOLE 5000000 0 0 CF CORP SHS CL A G20307107 281 25000 SH SOLE 25000 0 0 SCHWAB CHARLES CORP NEW COM 808513105 6294 146500 SH SOLE 146500 0 0 CHEETAH MOBILE INC ADR 163075104 252 63000 SH Put SOLE 63000 0 0 CHEETAH MOBILE INC ADR 163075104 679 63000 SH SOLE 63000 0 0 CLOUDERA INC COM 18914U100 2 56500 SH Call SOLE 56500 0 0 CLOUDERA INC COM 18914U100 936 56500 SH Put SOLE 56500 0 0 CLOUDERA INC COM 18914U100 905 56500 SH SOLE 56500 0 0 COMPANHIA BRASILEIRA DE DIST SPN ADR PFD CL A 20440T201 311 15900 SH SOLE 15900 0 0 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 442 46400 SH SOLE 46400 0 0 CURRENCYSHARES EURO TR EURO SHS 23130C108 26 325100 SH Put SOLE 325100 0 0 CURRENCYSHARES EURO TR EURO SHS 23130C108 35917 325100 SH SOLE 325100 0 0 DASEKE INC COM 23753F107 134 12000 SH SOLE 12000 0 0 DEPOMED INC NOTE 2.500% 9/0 249908AA2 1060 1200000 SH SOLE 1200000 0 0 DIAMOND OFFSHORE DRILLING IN COM 25271C102 2094 382700 SH Put SOLE 382700 0 0 DIAMOND OFFSHORE DRILLING IN COM 25271C102 4145 382700 SH SOLE 382700 0 0 DOUBLE EAGLE ACQUISITION COR COM G28195124 1194 119400 SH SOLE 119400 0 0 DYCOM INDS INC NOTE 0.750% 9/1 267475AB7 3133 2700000 SH SOLE 2700000 0 0 EASTERLY ACQUISITION CORP COM 27616L102 727 72329 SH SOLE 72329 0 0 ELECTRUM SPL ACQUISITION COR SHS G3105C104 2033 201500 SH SOLE 201500 0 0 EXELON CORP COM 30161N101 5035 139600 SH SOLE 139600 0 0 FIBRIA CELULOSE S A SP ADR REP COM 31573A109 770 75800 SH SOLE 75800 0 0 FIREEYE INC COM 31816Q101 514 138200 SH Put SOLE 138200 0 0 FIREEYE INC COM 31816Q101 2102 138200 SH SOLE 138200 0 0 FIRST SOLAR INC COM 336433107 1244 146900 SH Put SOLE 146900 0 0 FIRST SOLAR INC COM 336433107 5858 146900 SH SOLE 146900 0 0 FITBIT INC CL A 33812L102 2065 158000 SH Put SOLE 158000 0 0 FITBIT INC CL A 33812L102 839 158000 SH SOLE 158000 0 0 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 1121 11400 SH SOLE 11400 0 0 FORTRESS INVESTMENT GROUP LL CL A 34958B106 1598 200000 SH SOLE 200000 0 0 GLOBAL PARTNER ACQUISITION C COM 37954X105 1382 138900 SH SOLE 138900 0 0 GNC HLDGS INC COM CL A 36191G107 10 18700 SH Call SOLE 18700 0 0 GNC HLDGS INC COM CL A 36191G107 79 18700 SH Put SOLE 18700 0 0 GNC HLDGS INC COM CL A 36191G107 158 18700 SH SOLE 18700 0 0 GOPRO INC CL A 38268T103 1620 163800 SH Put SOLE 163800 0 0 GOPRO INC CL A 38268T103 1332 163800 SH SOLE 163800 0 0 HERTZ GLOBAL HLDGS INC COM 42806J106 197 45500 SH Put SOLE 45500 0 0 HERTZ GLOBAL HLDGS INC COM 42806J106 523 45500 SH SOLE 45500 0 0 INFOSYS LTD SPONSORED ADR 456788108 234 15600 SH SOLE 15600 0 0 INTEL CORP SDCV 12/1 458140AD2 34848 26662000 SH SOLE 26662000 0 0 INTERDIGITAL INC NOTE 1.500% 3/0 458660AD9 10794 8910000 SH SOLE 8910000 0 0 ISHARES TR 20 YR TR BD ETF 464287432 37536 300000 SH SOLE 300000 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 457 11500 SH SOLE 11500 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 12 11500 SH Put SOLE 11500 0 0 PENNEY J C INC COM 708160106 2 78500 SH Call SOLE 78500 0 0 PENNEY J C INC COM 708160106 103 78500 SH Put SOLE 78500 0 0 PENNEY J C INC COM 708160106 79 17000 SH SOLE 17000 0 0 KINDER MORGAN INC DEL COM 49456B101 862 45000 SH SOLE 45000 0 0 LENNAR CORP CL A 526057104 533 10000 SH SOLE 10000 0 0 MATCH GROUP INC COM 57665R106 86 10500 SH Put SOLE 10500 0 0 MATCH GROUP INC COM 57665R106 182 10500 SH SOLE 10500 0 0 MAZOR ROBOTICS LTD SPONSORED ADS 57886P103 174 24500 SH Put SOLE 24500 0 0 MAZOR ROBOTICS LTD SPONSORED ADS 57886P103 847 24500 SH SOLE 24500 0 0 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 9294 6203000 SH SOLE 6203000 0 0 MICRON TECHNOLOGY INC NOTE 2.125% 2/1 595112AV5 10740 3910000 SH SOLE 3910000 0 0 MOBILEYE N V AMSTELVEEN ORD SHS N51488117 2826 45000 SH SOLE 45000 0 0 MODERN MEDIA ACQUISITION COM 60765P103 977 100000 SH SOLE 100000 0 0 NEWMONT MINING CORP NOTE 1.625% 7/1 651639AJ5 3500 3500000 SH SOLE 3500000 0 0 NORDSTROM INC COM 655664100 341 78500 SH Put SOLE 78500 0 0 NORDSTROM INC COM 655664100 3755 78500 SH SOLE 78500 0 0 NUTANIX INC CL A 67059N108 406 65600 SH Put SOLE 65600 0 0 NUTANIX INC CL A 67059N108 1322 65600 SH SOLE 65600 0 0 NUVASIVE INC NOTE 2.250% 3/1 670704AG0 3462 2500000 SH SOLE 2500000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 1094 10000 SH SOLE 10000 0 0 OASIS PETE INC NEW COM 674215108 431 53500 SH SOLE 53500 0 0 PACIRA PHARMACEUTICALS INC COM 695127100 463 9700 SH SOLE 9700 0 0 PALO ALTO NETWORKS INC NOTE 7/0 697435AB1 10393 7916000 SH SOLE 7916000 0 0 PANDORA MEDIA INC NOTE 1.750%12/0 698354AB3 476 500000 SH SOLE 500000 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 1987 248700 SH SOLE 248700 0 0 PFIZER INC COM 717081103 11857 353000 SH SOLE 353000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 700 5001733 SH Call SOLE 5001733 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 687490 5001733 SH SOLE 5001733 0 0 RED HAT INC COM 756577102 2219 23174 SH SOLE 23174 0 0 RH COM 74967X103 95 50000 SH Put SOLE 50000 0 0 RH COM 74967X103 3226 50000 SH SOLE 50000 0 0 ROYAL GOLD INC COM 780287108 625 8000 SH SOLE 8000 0 0 ROYAL GOLD INC NOTE 2.875% 6/1 780287AA6 63 58000 SH SOLE 58000 0 0 COMMUNITY HEALTH SYS INC NEW RIGHT 99/99/9999 203668116 6 300000 SH SOLE 300000 0 0 SALESFORCE COM INC NOTE 0.250% 4/0 79466LAD6 6603 4984000 SH SOLE 4984000 0 0 SANCHEZ ENERGY CORP COM 79970Y105 16 13600 SH Put SOLE 13600 0 0 SANCHEZ ENERGY CORP COM 79970Y105 98 13600 SH SOLE 13600 0 0 SEABRIDGE GOLD INC COM 811916105 282 38300 SH Put SOLE 38300 0 0 SEABRIDGE GOLD INC COM 811916105 414 38300 SH SOLE 38300 0 0 SEMPRA ENERGY COM 816851109 5446 48300 SH SOLE 48300 0 0 SERVICENOW INC NOTE 11/0 81762PAB8 3808 2600000 SH SOLE 2600000 0 0 SILICON MOTION TECHNOLOGY CO SPONSORED ADR 82706C108 482 10000 SH SOLE 10000 0 0 SNAP INC CL A 83304A106 11 75000 SH Call SOLE 75000 0 0 SNAP INC CL A 83304A106 6674 75000 SH Put SOLE 75000 0 0 SNAP INC CL A 83304A106 1333 75000 SH SOLE 75000 0 0 SOUTHWEST BANCORP INC OKLA COM 844767103 3888 152166 SH SOLE 152166 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 106191 498043 SH SOLE 498043 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 932 7900 SH SOLE 7900 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 726842 3006330 SH SOLE 3006330 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 150 3006330 SH Call SOLE 3006330 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 0 3006330 SH Put SOLE 3006330 0 0 SQUARE INC CL A 852234103 411 17500 SH SOLE 17500 0 0 STANDARD PAC CORP NEW NOTE 1.250% 8/0 85375CBC4 4006 4000000 SH SOLE 4000000 0 0 STANLEY BLACK & DECKER INC COM 854502101 6213 44150 SH SOLE 44150 0 0 STARWOOD PPTY TR INC NOTE 4.550% 3/0 85571BAA3 6831 6311000 SH SOLE 6311000 0 0 STONEGATE BK FT LAUDERDALE F COM 861811107 2309 50000 SH SOLE 50000 0 0 SUNPOWER CORP COM 867652406 1 170300 SH Call SOLE 170300 0 0 SUNPOWER CORP COM 867652406 1300 170300 SH Put SOLE 170300 0 0 SUNPOWER CORP COM 867652406 1591 170300 SH SOLE 170300 0 0 SYNERON MEDICAL LTD ORD SHS M87245102 5037 460000 SH SOLE 460000 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 524 15000 SH SOLE 15000 0 0 TEMPUR SEALY INTL INC COM 88023U101 79 15200 SH Put SOLE 15200 0 0 TEMPUR SEALY INTL INC COM 88023U101 812 15200 SH SOLE 15200 0 0 TERRAFORM GLOBAL INC CL A 88104M101 4001 792348 SH SOLE 792348 0 0 TESLA INC NOTE 2.375% 3/1 88160RAD3 6025 4807000 SH SOLE 4807000 0 0 TESLA INC NOTE 1.250% 3/0 88160RAC5 2314 2000000 SH SOLE 2000000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 6752 38700 SH SOLE 38700 0 0 TIME WARNER INC COM NEW 887317303 502 5000 SH SOLE 5000 0 0 TOLL BROTHERS INC COM 889478103 759 19201 SH SOLE 19201 0 0 TRIBUNE MEDIA CO CL A 896047503 204 5000 SH SOLE 5000 0 0 TRINITY INDS INC NOTE 3.875% 6/0 896522AF6 3355 2670000 SH SOLE 2670000 0 0 TWILIO INC CL A 90138F102 76 57000 SH Call SOLE 57000 0 0 TWILIO INC CL A 90138F102 1476 57000 SH Put SOLE 57000 0 0 TWILIO INC CL A 90138F102 1659 57000 SH SOLE 57000 0 0 TWITTER INC NOTE 1.000% 9/1 90184LAD4 2284 2500000 SH SOLE 2500000 0 0 UBIQUITI NETWORKS INC COM 90347A100 776 91800 SH Put SOLE 91800 0 0 UBIQUITI NETWORKS INC COM 90347A100 4771 91800 SH SOLE 91800 0 0 UNDER ARMOUR INC CL A 904311107 119 106900 SH Call SOLE 106900 0 0 UNDER ARMOUR INC CL A 904311107 3664 106900 SH Put SOLE 106900 0 0 UNDER ARMOUR INC CL A 904311107 2326 106900 SH SOLE 106900 0 0 ANTHEM INC UNIT 05/01/20188 036752202 1306 25000 SH SOLE 25000 0 0 DOMINION ENERGY INC UNIT 08/15/2019 25746U836 1602 32000 SH SOLE 32000 0 0 DOUBLE EAGLE ACQUISITION COR UNIT 99/99/9999 G28195108 622 58500 SH SOLE 58500 0 0 HENNESSY CAP ACQUSTON CORP I UNIT 06/15/2024 42588L204 503 50000 SH SOLE 50000 0 0 NEXTERA ENERGY INC UNIT 08/31/2018 65339F846 1585 24826 SH SOLE 24826 0 0 SILVER RUN ACQUISITION UNIT 99/99/9999 82812A202 427 40000 SH SOLE 40000 0 0 TPG PACE HLDGS CORP UNIT 99/99/9999 G89827102 241 23535 SH SOLE 23535 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 430 166200 SH Put SOLE 166200 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 2875 166200 SH SOLE 166200 0 0 VTTI ENERGY PARTNERS LP COM UNIT RP LT Y9384M101 3242 165000 SH SOLE 165000 0 0 VWR CORP COM 91843L103 1650 50000 SH SOLE 50000 0 0 WEATHERFORD INTL PLC ORD SHS G48833100 533 137600 SH SOLE 137600 0 0 WEIBO CORP SPONSORED ADR 948596101 106 83900 SH Put SOLE 83900 0 0 WEIBO CORP SPONSORED ADR 948596101 5577 83900 SH SOLE 83900 0 0 WEIGHT WATCHERS INTL INC NEW COM 948626106 62 82300 SH Call SOLE 82300 0 0 WEIGHT WATCHERS INTL INC NEW COM 948626106 11 82300 SH Put SOLE 82300 0 0 WEIGHT WATCHERS INTL INC NEW COM 948626106 2750 82300 SH SOLE 82300 0 0 WELLTOWER INC 6.50% PFD PREPET 95040Q203 8932 135000 SH SOLE 135000 0 0 WEST CORP COM 952355204 4664 200000 SH SOLE 200000 0 0 WHITING PETE CORP NEW NOTE 1.250% 4/0 966387AL6 1339 1601000 SH SOLE 1601000 0 0 WORKDAY INC CL A 98138H101 446 4600 SH SOLE 4600 0 0 XENITH BANKSHARES INC NEW COM NEW 984102202 2225 71633 SH SOLE 71633 0 0 YAHOO INC NOTE 12/0 984332AF3 2269 2000000 SH SOLE 2000000 0 0 YELP INC CL A 985817105 1051 35000 SH SOLE 35000 0 0 ZYNGA INC CL A 98986T108 1089 299208 SH SOLE 299208 0 0