0001062993-14-000222.txt : 20140115 0001062993-14-000222.hdr.sgml : 20140115 20140115123213 ACCESSION NUMBER: 0001062993-14-000222 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140115 DATE AS OF CHANGE: 20140115 EFFECTIVENESS DATE: 20140115 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: 14529171 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 12-31-2013 12-31-2013 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 01-15-2014 0 141 1212343 false
INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 15772 112456 SH SOLE 112456 0 0 ACTIVISION BLIZZARD INC COM 00507V109 1488 83468 SH SOLE 83468 0 0 ADOBE SYS INC COM 00724F101 3615 60378 SH SOLE 60378 0 0 AFFYMETRIX INC NOTE 4.000% 7/0 00826TAH1 811 500000 SH SOLE 500000 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 1020 21628 SH SOLE 21628 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 3149 23667 SH SOLE 23667 0 0 ALTERA CORP COM 021441100 1261 38766 SH SOLE 38766 0 0 AMAZON COM INC COM 023135106 22054 55302 SH SOLE 55302 0 0 AMERICAN EXPRESS CO COM 025816109 10214 112575 SH SOLE 112575 0 0 AMGEN INC COM 031162100 10394 91044 SH SOLE 91044 0 0 ANALOG DEVICES INC COM 032654105 1912 37539 SH SOLE 37539 0 0 APPLE INC COM 037833100 60945 108615 SH SOLE 108615 0 0 APPLIED MATLS INC COM 038222105 2570 145263 SH SOLE 145263 0 0 AT&T INC COM 00206R102 4023 114408 SH SOLE 114408 0 0 AUTODESK INC COM 052769106 1370 27214 SH SOLE 27214 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 4694 58090 SH SOLE 58090 0 0 AVAGO TECHNOLOGIES LTD SHS Y0486S104 1574 29766 SH SOLE 29766 0 0 BAIDU INC SPON ADR REP A 056752108 5898 33157 SH SOLE 33157 0 0 BED BATH & BEYOND INC COM 075896100 2085 25962 SH SOLE 25962 0 0 BIOGEN IDEC INC COM 09062X103 7966 28474 SH SOLE 28474 0 0 BOEING CO COM 097023105 15352 112478 SH SOLE 112478 0 0 BRISTOW GROUP INC NOTE 3.000% 6/1 110394AC7 535 435000 SH SOLE 435000 0 0 BROADCOM CORP CL A 111320107 1855 62547 SH SOLE 62547 0 0 C H ROBINSON WORLDWIDE INC COM NEW 12541W209 1065 18259 SH SOLE 18259 0 0 CA INC COM 12673P105 1831 54411 SH SOLE 54411 0 0 CADENCE DESIGN SYSTEM INC NOTE 2.625% 6/0 127387AJ7 2825 1500000 SH SOLE 1500000 0 0 CATAMARAN CORP COM 148887102 1178 24815 SH SOLE 24815 0 0 CATERPILLAR INC DEL COM 149123101 10212 112454 SH SOLE 112454 0 0 CELGENE CORP COM 151020104 8404 49741 SH SOLE 49741 0 0 CERNER CORP COM 156782104 2308 41413 SH SOLE 41413 0 0 CHARTER COMMUNICATIONS INC D CL A NEW 16117M305 1707 12484 SH SOLE 12484 0 0 CHECK POINT SOFTWARE TECH LT ORD M22465104 1525 23633 SH SOLE 23633 0 0 CHEVRON CORP NEW COM 166764100 14114 112997 SH SOLE 112997 0 0 CISCO SYS INC COM 17275R102 17012 757771 SH SOLE 757771 0 0 CITRIX SYS INC COM 177376100 1421 22469 SH SOLE 22469 0 0 COCA COLA CO COM 191216100 4701 113788 SH SOLE 113788 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 3689 36534 SH SOLE 36534 0 0 COMCAST CORP NEW CL A 20030N101 13413 258116 SH SOLE 258116 0 0 COSTCO WHSL CORP NEW COM 22160K105 6276 52733 SH SOLE 52733 0 0 DEALERTRACK TECHNOLOGIES INC NOTE 1.500% 3/1 242309AB8 1120 809000 SH SOLE 809000 0 0 DIRECTV COM 25490A309 4384 63459 SH SOLE 63459 0 0 DISCOVERY COMMUNICATNS NEW COM SER A 25470F104 1599 17685 SH SOLE 17685 0 0 DISH NETWORK CORP CL A 25470M109 1529 26401 SH SOLE 26401 0 0 DOLLAR TREE INC COM 256746108 1418 25138 SH SOLE 25138 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 7314 112577 SH SOLE 112577 0 0 EBAY INC COM 278642103 8577 156267 SH SOLE 156267 0 0 EQUINIX INC COM NEW 29444U502 1064 5998 SH SOLE 5998 0 0 EXPEDIA INC DEL COM NEW 30212P303 988 14184 SH SOLE 14184 0 0 EXPEDITORS INTL WASH INC COM 302130109 1098 24822 SH SOLE 24822 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 6835 97306 SH SOLE 97306 0 0 EXXON MOBIL CORP COM 30231G102 11540 114028 SH SOLE 114028 0 0 F5 NETWORKS INC COM 315616102 850 9354 SH SOLE 9354 0 0 FACEBOOK INC CL A 30303M102 12362 226167 SH SOLE 226167 0 0 FASTENAL CO COM 311900104 1701 35810 SH SOLE 35810 0 0 FISERV INC COM 337738108 1850 31331 SH SOLE 31331 0 0 GARMIN LTD SHS H2906T109 1087 23528 SH SOLE 23528 0 0 GENERAL ELECTRIC CO COM 369604103 3264 116453 SH SOLE 116453 0 0 GILEAD SCIENCES INC COM 375558103 13913 185136 SH SOLE 185136 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 19918 112364 SH SOLE 112364 0 0 GOOGLE INC CL A 38259P508 37469 33433 SH SOLE 33433 0 0 GREEN MTN COFFEE ROASTERS IN COM 393122106 1354 17909 SH SOLE 17909 0 0 SCHEIN HENRY INC COM 806407102 1176 10288 SH SOLE 10288 0 0 HOME DEPOT INC COM 437076102 9286 112780 SH SOLE 112780 0 0 ILLUMINA INC COM 452327109 1686 15245 SH SOLE 15245 0 0 INTEL CORP COM 458140100 18494 712411 SH SOLE 712411 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 21123 112616 SH SOLE 112616 0 0 INTUIT COM 461202103 2624 34381 SH SOLE 34381 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 1753 4563 SH SOLE 4563 0 0 ISHARES 20+ YR TR BD ETF 464287432 315576 3100000 SH SOLE 3100000 0 0 JOHNSON & JOHNSON COM 478160104 10384 113376 SH SOLE 113376 0 0 JPMORGAN CHASE & CO COM 46625H100 6653 113771 SH SOLE 113771 0 0 KLA-TENCOR CORP COM 482480100 1298 20140 SH SOLE 20140 0 0 KRAFT FOODS GROUP INC COM 50076Q106 3877 71901 SH SOLE 71901 0 0 LEAP WIRELESS INTL INC NOTE 4.500% 7/1 521863AL4 2033 2000000 SH SOLE 2000000 0 0 LIBERTY GLOBAL PLC SHS CL A G5480U104 2376 26699 SH SOLE 26699 0 0 LIBERTY INTERACTIVE CORP INT COM SER A 53071M104 1695 57744 SH SOLE 57744 0 0 LIBERTY MEDIA CORP DELAWARE CL A 531229102 1841 12572 SH SOLE 12572 0 0 LINEAR TECHNOLOGY CORP COM 535678106 1289 28298 SH SOLE 28298 0 0 MARRIOTT INTL INC NEW CL A 571903202 1778 36026 SH SOLE 36026 0 0 MATTEL INC COM 577081102 1943 40837 SH SOLE 40837 0 0 MAXIM INTEGRATED PRODS INC COM 57772K101 949 34018 SH SOLE 34018 0 0 MCDONALDS CORP COM 580135101 10926 112606 SH SOLE 112606 0 0 MERCK & CO INC NEW COM 58933Y105 5677 113418 SH SOLE 113418 0 0 MICRON TECHNOLOGY INC COM 595112103 2764 127003 SH SOLE 127003 0 0 MICROSOFT CORP COM 594918104 41913 1119775 SH SOLE 1119775 0 0 MONDELEZ INTL INC CL A 609207105 7475 211757 SH SOLE 211757 0 0 MONSTER BEVERAGE CORP COM 611740101 1371 20224 SH SOLE 20224 0 0 MYLAN INC COM 628530107 2006 46223 SH SOLE 46223 0 0 NAVISTAR INTL CORP NEW NOTE 3.000%10/1 63934EAL2 1462 1433000 SH SOLE 1433000 0 0 NETAPP INC COM 64110D104 1693 41164 SH SOLE 41164 0 0 NETFLIX INC COM 64110L106 2639 7169 SH SOLE 7169 0 0 NEWMONT MINING CORP NOTE 1.250% 7/1 651639AH9 18831 18850000 SH SOLE 18850000 0 0 NIKE INC CL B 654106103 8847 112501 SH SOLE 112501 0 0 NUANCE COMMUNICATIONS INC NOTE 2.750%11/0 67020YAF7 4524 4700000 SH SOLE 4700000 0 0 NVIDIA CORP COM 67066G104 1100 68633 SH SOLE 68633 0 0 NXP SEMICONDUCTORS N V COM N6596X109 1360 29609 SH SOLE 29609 0 0 O REILLY AUTOMOTIVE INC NEW COM 67103H107 1664 12928 SH SOLE 12928 0 0 PACCAR INC COM 693718108 2528 42724 SH SOLE 42724 0 0 PAYCHEX INC COM 704326107 2005 44039 SH SOLE 44039 0 0 PFIZER INC COM 717081103 3520 114919 SH SOLE 114919 0 0 PRICELINE COM INC COM NEW 741503403 7205 6198 SH SOLE 6198 0 0 PROCTER & GAMBLE CO COM 742718109 9226 113332 SH SOLE 113332 0 0 PROSPECT CAPITAL CORPORATION NOTE 5.500% 8/1 74348TAD4 729 700000 SH SOLE 700000 0 0 QUALCOMM INC COM 747525103 15147 204004 SH SOLE 204004 0 0 REGENERON PHARMACEUTICALS COM 75886F107 3231 11740 SH SOLE 11740 0 0 ROSS STORES INC COM 778296103 1959 26139 SH SOLE 26139 0 0 SANDISK CORP COM 80004C101 1926 27300 SH SOLE 27300 0 0 SBA COMMUNICATIONS CORP COM 78388J106 1390 15467 SH SOLE 15467 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 2214 39416 SH SOLE 39416 0 0 SIGMA ALDRICH CORP COM 826552101 1354 14407 SH SOLE 14407 0 0 SIRIUS XM HLDGS INC COM 82968B103 2576 738237 SH SOLE 738237 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 52760 318986 SH SOLE 318986 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 7083 38384 SH SOLE 38384 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 24679 101102 SH SOLE 101102 0 0 STAPLES INC COM 855030102 1254 78946 SH SOLE 78946 0 0 STARBUCKS CORP COM 855244109 7132 90980 SH SOLE 90980 0 0 STERICYCLE INC COM 858912108 1199 10320 SH SOLE 10320 0 0 SYMANTEC CORP COM 871503108 1982 84035 SH SOLE 84035 0 0 TESLA MTRS INC COM 88160R101 2221 14766 SH SOLE 14766 0 0 TEXAS INSTRS INC COM 882508104 5801 132104 SH SOLE 132104 0 0 TRAVELERS COMPANIES INC COM 89417E109 10171 112340 SH SOLE 112340 0 0 TRACTOR SUPPLY CO COM 892356106 1302 16787 SH SOLE 16787 0 0 TRIPADVISOR INC COM 896945201 1293 15606 SH SOLE 15606 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 6307 179291 SH SOLE 179291 0 0 UNITED TECHNOLOGIES CORP COM 913017109 12807 112542 SH SOLE 112542 0 0 UNITEDHEALTH GROUP INC COM 91324P102 8480 112611 SH SOLE 112611 0 0 VERISK ANALYTICS INC CL A 92345Y106 1330 20239 SH SOLE 20239 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 5572 113393 SH SOLE 113393 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 2098 28240 SH SOLE 28240 0 0 VIACOM INC NEW CL B 92553P201 4166 47700 SH SOLE 47700 0 0 VIMPELCOM LTD SPONSORED ADR 92719A106 2573 198804 SH SOLE 198804 0 0 VISA INC COM CL A 92826C839 25029 112401 SH SOLE 112401 0 0 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 4671 118827 SH SOLE 118827 0 0 WAL-MART STORES INC COM 931142103 8882 112868 SH SOLE 112868 0 0 DISNEY WALT CO COM DISNEY 254687106 8624 112875 SH SOLE 112875 0 0 WESTERN DIGITAL CORP COM 958102105 2392 28509 SH SOLE 28509 0 0 WEYERHAEUSER CO PREF CONV SER A 962166872 557 10000 SH SOLE 10000 0 0 WHOLE FOODS MKT INC COM 966837106 2597 44916 SH SOLE 44916 0 0 WYNN RESORTS LTD COM 983134107 2369 12198 SH SOLE 12198 0 0 XILINX INC COM 983919101 1489 32433 SH SOLE 32433 0 0 YAHOO INC COM 984332106 4953 122466 SH SOLE 122466 0 0