Managing Director

0001062993-17-004526.txt : 20171023 0001062993-17-004526.hdr.sgml : 20171023 20171023154948 ACCESSION NUMBER: 0001062993-17-004526 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171023 DATE AS OF CHANGE: 20171023 EFFECTIVENESS DATE: 20171023 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: 171149012 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 09-30-2017 09-30-2017 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 09-30-2017 0 202 1935966 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3-D SYS CORP DEL COM NEW 88554D205 1497 177200 SH Put SOLE 1497 0 0 3-D SYS CORP DEL COM NEW 88554D205 2373 177200 SH SOLE 2373 0 0 3M CO COM 88579Y101 3213 15307 SH SOLE 3213 0 0 ALTABA INC COM 021346101 331 5000 SH SOLE 331 0 0 AMC ENTMT HLDGS INC CL A COM 00165C104 1294 88000 SH SOLE 1294 0 0 AMC ENTMT HLDGS INC CL A COM 00165C104 286 88000 SH Put SOLE 286 0 0 AMERICAN EXPRESS CO COM 025816109 1385 15307 SH SOLE 1385 0 0 APPLE INC COM 037833100 2359 15307 SH SOLE 2359 0 0 ARC LOGISTICS PARTNERS LP COM UT REP LPN 03879N101 2429 145472 SH SOLE 2429 0 0 ARCONIC INC COM 03965L100 3060 123000 SH SOLE 3060 0 0 AUTONATION INC COM 05329W102 62 65800 SH Put SOLE 62 0 0 AUTONATION INC COM 05329W102 3123 65800 SH SOLE 3123 0 0 BANK MUTUAL CORP NEW COM 063750103 3086 304050 SH SOLE 3086 0 0 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INC CL A 38268T103 30 133200 SH Call SOLE 30 0 0 GOPRO INC CL A 38268T103 1184 133200 SH Put SOLE 1184 0 0 GORES HLDGS II INC COM CL A 382867109 564 56585 SH SOLE 564 0 0 HENNESSY CAP ACQUSTON CORP I COM 42588L105 246 25000 SH SOLE 246 0 0 HERTZ GLOBAL HLDGS INC COM 42806J106 3276 146500 SH SOLE 3276 0 0 HERTZ GLOBAL HLDGS INC COM 42806J106 327 146500 SH Put SOLE 327 0 0 HI-CRUSH PARTNERS LP COM UNIT LTD 428337109 228 24000 SH SOLE 228 0 0 HOME DEPOT INC COM 437076102 3518 21507 SH SOLE 3518 0 0 INTEL CORP SDCV 2.950%12/1 458140AD2 42851 30077000 SH SOLE 42851 0 0 INTEL CORP SDCV 3.250% 8/0 458140AF7 727 395000 SH SOLE 727 0 0 INTEL CORP COM 458140100 583 15307 SH SOLE 583 0 0 INTERDIGITAL INC NOTE 1.500% 3/0 458660AD9 6643 5654000 SH SOLE 6643 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 2221 15307 SH SOLE 2221 0 0 JOHNSON & JOHNSON COM 478160104 1990 15307 SH SOLE 1990 0 0 JPMORGAN CHASE & CO COM 46625H100 1462 15307 SH SOLE 1462 0 0 LATTICE SEMICONDUCTOR CORP COM 518415104 52 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INC OKLA COM 844767103 489 17749 SH SOLE 489 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 373164 1666932 SH SOLE 373164 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 503328 2002964 SH SOLE 503328 0 0 SPDR SERIES TRUST S&P METALS MNG 78464A755 4547 141300 SH SOLE 4547 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 1419 25000 SH SOLE 1419 0 0 SQUARE INC CL A 852234103 1152 40000 SH SOLE 1152 0 0 STANLEY BLACK & DECKER INC COM 854502101 5359 35500 SH SOLE 5359 0 0 STARWOOD PPTY TR INC NOTE 4.550% 3/0 85571BAA3 7098 6716000 SH SOLE 7098 0 0 STERICYCLE INC DEP PFD A 1/10 858912207 2832 48639 SH SOLE 2832 0 0 STERLING BANCORP DEL COM 85917A100 1154 46828 SH SOLE 1154 0 0 SUNPOWER CORP COM 867652406 1524 171100 SH Put SOLE 1524 0 0 SUNPOWER CORP COM 867652406 1247 171100 SH SOLE 1247 0 0 T MOBILE US INC COM 872590104 701 11373 SH SOLE 701 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 13 83500 SH Call SOLE 13 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 928 83500 SH Put SOLE 928 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 1372 83500 SH SOLE 1372 0 0 TERADYNE INC COM 880770102 1674 44900 SH SOLE 1674 0 0 TESLA INC NOTE 1.250% 3/0 88160RAC5 3947 3500000 SH SOLE 3947 0 0 TESLA INC NOTE 2.375% 3/1 88160RAD3 2459 2000000 SH SOLE 2459 0 0 TESLA INC NOTE 0.250% 3/0 88160RAB7 2200 2000000 SH SOLE 2200 0 0 TRAVELERS COMPANIES INC COM 89417E109 1875 15307 SH SOLE 1875 0 0 TIM PARTICIPACOES S A SPONSORED ADR 88706P205 532 29100 SH SOLE 532 0 0 TWILIO INC CL A 90138F102 1687 56500 SH SOLE 1687 0 0 TWILIO INC CL A 90138F102 48 56500 SH Call SOLE 48 0 0 TWILIO INC CL A 90138F102 1362 56500 SH Put SOLE 1362 0 0 TWITTER INC NOTE 0.250% 9/1 90184LAB8 4264 4500000 SH SOLE 4264 0 0 TYSON FOODS INC CL A 902494103 1057 15000 SH SOLE 1057 0 0 UBIQUITI NETWORKS INC COM 90347A100 1148 20500 SH SOLE 1148 0 0 UBIQUITI NETWORKS INC COM 90347A100 0 20500 SH Call SOLE 0 0 0 UBIQUITI NETWORKS INC COM 90347A100 176 20500 SH Put SOLE 176 0 0 UNDER ARMOUR INC CL C 904311206 1636 108900 SH SOLE 1636 0 0 UNDER ARMOUR INC CL A 904311107 1449 87900 SH SOLE 1449 0 0 UNDER ARMOUR INC CL C 904311206 7 108900 SH Call SOLE 7 0 0 UNDER ARMOUR INC CL C 904311206 3803 108900 SH Put SOLE 3803 0 0 UNITED TECHNOLOGIES CORP COM 913017109 1777 15307 SH SOLE 1777 0 0 UNITEDHEALTH GROUP INC COM 91324P102 2998 15307 SH SOLE 2998 0 0 CAPITOL INVT CORP IV UNIT 99/99/9999 G18920119 750 74300 SH SOLE 750 0 0 FEDERAL STR ACQUISITION CORP UNIT 99/99/9999 31421V206 1213 117798 SH SOLE 1213 0 0 GTY TECHNOLOGY HOLDINGS INC UNIT 99/99/9999 G4182A110 262 25000 SH SOLE 262 0 0 HENNESSY CAP ACQUSTON CORP I UNIT 06/15/2024 42588L204 517 50000 SH SOLE 517 0 0 I AM CAP ACQUISITION CO UNIT 08/15/2022 45074Q207 123 12041 SH SOLE 123 0 0 OSPREY ENERGY ACQUISITION CO UNIT 07/21/2022 688397207 449 45158 SH SOLE 449 0 0 TPG PACE ENERGY HLDGS CORP UNIT 99/99/9999 872656202 408 40000 SH SOLE 408 0 0 TPG PACE HLDGS CORP UNIT 99/99/9999 G89827102 257 25000 SH SOLE 257 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 1701 118700 SH SOLE 1701 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 68 118700 SH Put SOLE 68 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 17220 750000 SH SOLE 17220 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 6150 65900 SH SOLE 6150 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 758 15307 SH SOLE 758 0 0 VIPSHOP HLDGS LTD NOTE 1.500% 3/1 92763WAA1 19 19000 SH SOLE 19 0 0 VISA INC COM CL A 92826C839 5294 50307 SH SOLE 5294 0 0 VWR CORP COM 91843L103 5794 175000 SH SOLE 5794 0 0 WAL-MART STORES INC COM 931142103 1196 15307 SH SOLE 1196 0 0 DISNEY WALT CO COM DISNEY 254687106 1509 15307 SH SOLE 1509 0 0 WAVE LIFE SCIENCES LTD SHS Y95308105 1088 50000 SH SOLE 1088 0 0 WEIGHT WATCHERS INTL INC NEW COM 948626106 1420 32600 SH SOLE 1420 0 0 WEIGHT WATCHERS INTL INC NEW COM 948626106 113 32600 SH Call SOLE 113 0 0 WEIGHT WATCHERS INTL INC NEW COM 948626106 2 32600 SH Put SOLE 2 0 0 WELLTOWER INC 6.50% PFD PREPET 95040Q203 15810 250000 SH SOLE 15810 0 0 WESTERN REFNG LOGISTICS LP COM UNIT REP LTP 95931Q205 349 13539 SH SOLE 349 0 0 YELP INC CL A 985817105 1948 45000 SH SOLE 1948 0 0 ZYNGA INC CL A 98986T108 1773 469000 SH SOLE 1773 0 0