0001062993-16-009134.txt : 20160421 0001062993-16-009134.hdr.sgml : 20160421 20160421091719 ACCESSION NUMBER: 0001062993-16-009134 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160421 DATE AS OF CHANGE: 20160421 EFFECTIVENESS DATE: 20160421 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: 161582779 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 03-31-2016 03-31-2016 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 03-31-2016 0 118 447609 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3-D SYS CORP DEL COM NEW 88554D205 1863 121600 SH Put SOLE 121600 0 0 3-D SYS CORP DEL COM NEW 88554D205 350 121600 SH Call SOLE 121600 0 0 3-D SYS CORP DEL COM NEW 88554D205 1881 121600 SH SOLE 121600 0 0 AETNA INC NEW COM 00817Y108 843 7500 SH SOLE 7500 0 0 ALLERGAN PLC PFD CONV SER A G0177J116 914 1000 SH SOLE 1000 0 0 AMBARELLA INC SHS G037AX101 674 32300 SH Put SOLE 32300 0 0 AMBARELLA INC SHS G037AX101 1444 32300 SH SOLE 32300 0 0 ANADARKO PETE CORP COM 032511107 931 20000 SH SOLE 20000 0 0 APPLE INC COM 037833100 14332 131500 SH SOLE 131500 0 0 BANK AMER CORP COM 060505104 13520 1000000 SH SOLE 1000000 0 0 BOX INC CL A 10316T104 1754 143100 SH SOLE 143100 0 0 BOX INC CL A 10316T104 520 143100 SH Put SOLE 143100 0 0 CARRIZO OIL & GAS INC COM 144577103 618 20000 SH SOLE 20000 0 0 CHEETAH MOBILE INC ADR 163075104 970 59400 SH SOLE 59400 0 0 CHEETAH MOBILE INC ADR 163075104 256 59400 SH Put SOLE 59400 0 0 CHEVRON CORP NEW COM 166764100 656 46700 SH Put SOLE 46700 0 0 CHEVRON CORP NEW COM 166764100 4455 46700 SH SOLE 46700 0 0 COACH INC COM 189754104 3925 97900 SH SOLE 97900 0 0 COBALT INTL ENERGY INC NOTE 2.625%12/0 19075FAA4 482 1000000 SH SOLE 1000000 0 0 COBALT INTL ENERGY INC NOTE 3.125% 5/1 19075FAB2 1007 2500000 SH SOLE 2500000 0 0 CONNS INC COM 208242107 559 44900 SH SOLE 44900 0 0 CONNS INC COM 208242107 217 44900 SH Put SOLE 44900 0 0 CURRENCYSHS JAPANESE YEN TR JAPANESE YEN 23130A102 5161 60000 SH SOLE 60000 0 0 DEPOMED INC COM 249908104 481 34500 SH SOLE 34500 0 0 DEVON ENERGY CORP NEW COM 25179M103 1098 40000 SH SOLE 40000 0 0 ENDO INTL PLC SHS G30401106 563 20000 SH SOLE 20000 0 0 EOG RES INC COM 26875P101 1089 15000 SH SOLE 15000 0 0 FITBIT INC CL A 33812L102 509 33600 SH SOLE 33600 0 0 FITBIT INC CL A 33812L102 223 36300 SH Put SOLE 36300 0 0 FREEPORT-MCMORAN INC CL B 35671D857 554 53600 SH SOLE 53600 0 0 FREEPORT-MCMORAN INC CL B 35671D857 146 53600 SH Put SOLE 53600 0 0 GAP INC DEL COM 364760108 485 16500 SH SOLE 16500 0 0 GILEAD SCIENCES INC COM 375558103 2756 30000 SH SOLE 30000 0 0 GOPRO INC CL A 38268T103 3598 300800 SH SOLE 300800 0 0 GOPRO INC CL A 38268T103 7762 300800 SH Put SOLE 300800 0 0 GOPRO INC CL A 38268T103 80 300800 SH Call SOLE 300800 0 0 HONDA MOTOR LTD AMERN SHS 438128308 437 16000 SH SOLE 16000 0 0 INSYS THERAPEUTICS INC NEW COM NEW 45824V209 147 9000 SH Put SOLE 9000 0 0 INSYS THERAPEUTICS INC NEW COM NEW 45824V209 144 9000 SH SOLE 9000 0 0 INTEL CORP SDCV 12/1 458140AD2 3801 3000000 SH SOLE 3000000 0 0 INTEL CORP SDCV 3.250% 8/0 458140AF7 3175 2000000 SH SOLE 2000000 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 2272 15000 SH SOLE 15000 0 0 INTREXON CORP COM 46122T102 26 40400 SH Put SOLE 40400 0 0 INTREXON CORP COM 46122T102 1369 40400 SH SOLE 40400 0 0 IRONWOOD PHARMACEUTICALS INC COM CL A 46333X108 257 23500 SH SOLE 23500 0 0 ISHARES TR 20 YR TR BD ETF 464287432 130610 1000000 SH SOLE 1000000 0 0 ISHARES TR CORE US AGGBD ET 464287226 14507 130900 SH SOLE 130900 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1065 9615 SH SOLE 9615 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 1468 100000 SH SOLE 100000 0 0 PENNEY J C INC COM 708160106 1242 112300 SH SOLE 112300 0 0 PENNEY J C INC COM 708160106 235 112300 SH Put SOLE 112300 0 0 KANDI TECHNOLOGIES GROUP INC COM 483709101 477 66200 SH SOLE 66200 0 0 KANDI TECHNOLOGIES GROUP INC COM 483709101 888 66200 SH Put SOLE 66200 0 0 KERYX BIOPHARMACEUTICALS INC COM 492515101 218 31700 SH Put SOLE 31700 0 0 KERYX BIOPHARMACEUTICALS INC COM 492515101 148 31700 SH SOLE 31700 0 0 LINKEDIN CORP NOTE 0.500%11/0 53578AAB4 89 100000 SH SOLE 100000 0 0 MANNKIND CORP COM 56400P201 9 33300 SH Call SOLE 33300 0 0 MANNKIND CORP COM 56400P201 789 33300 SH Put SOLE 33300 0 0 MANNKIND CORP COM 56400P201 54 33300 SH SOLE 33300 0 0 MARKET VECTORS ETF TR JR GOLD MINERS E 57061R544 3258 117000 SH SOLE 117000 0 0 MASCO CORP COM 574599106 3494 111100 SH SOLE 111100 0 0 MATCH GROUP INC COM 57665R106 137 61900 SH Put SOLE 61900 0 0 MATCH GROUP INC COM 57665R106 685 61900 SH SOLE 61900 0 0 MOBILEYE N V AMSTELVEEN ORD SHS N51488117 336 9000 SH SOLE 9000 0 0 MOBILEYE N V AMSTELVEEN ORD SHS N51488117 208 9000 SH Put SOLE 9000 0 0 MOLINA HEALTHCARE INC NOTE 1.125% 1/1 60855RAC4 1646 1000000 SH SOLE 1000000 0 0 MONSANTO CO NEW COM 61166W101 2632 30000 SH SOLE 30000 0 0 NEWMONT MINING CORP NOTE 1.625% 7/1 651639AJ5 2028 1974000 SH SOLE 1974000 0 0 NEXTERA ENERGY INC COM 65339F101 496 4195 SH SOLE 4195 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 501 26800 SH SOLE 26800 0 0 NUANCE COMMUNICATIONS INC NOTE 2.750%11/0 67020YAF7 995 999000 SH SOLE 999000 0 0 NUVASIVE INC COM 670704105 1056 21700 SH SOLE 21700 0 0 NVIDIA CORP COM 67066G104 221 6200 SH SOLE 6200 0 0 NXP SEMICONDUCTORS N V DBCV 1.000%12/0 62952QAB6 1401 1270000 SH SOLE 1270000 0 0 OPKO HEALTH INC COM 68375N103 530 102000 SH Put SOLE 102000 0 0 OPKO HEALTH INC COM 68375N103 1060 102000 SH SOLE 102000 0 0 PALO ALTO NETWORKS INC NOTE 7/0 697435AB1 5081 3276000 SH SOLE 3276000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 31589 289344 SH SOLE 289344 0 0 PPL CORP COM 69351T106 2216 58200 SH SOLE 58200 0 0 PRICELINE GRP INC NOTE 1.000% 3/1 741503AQ9 3964 2775000 SH SOLE 2775000 0 0 PRICELINE GRP INC NOTE 0.350% 6/1 741503AS5 598 500000 SH SOLE 500000 0 0 PUBLIC SVC ENTERPRISE GROUP COM 744573106 8042 170600 SH SOLE 170600 0 0 QUOTIENT TECHNOLOGY INC COM 749119103 159 34500 SH Put SOLE 34500 0 0 QUOTIENT TECHNOLOGY INC COM 749119103 366 34500 SH SOLE 34500 0 0 RED HAT INC COM 756577102 3182 42700 SH SOLE 42700 0 0 REGENERON PHARMACEUTICALS COM 75886F107 1802 5000 SH SOLE 5000 0 0 ROCKWELL MED INC COM 774374102 485 63400 SH Put SOLE 63400 0 0 ROCKWELL MED INC COM 774374102 476 63400 SH SOLE 63400 0 0 SEADRILL LIMITED SHS G7945E105 287 87000 SH SOLE 87000 0 0 SEADRILL LIMITED SHS G7945E105 531 87000 SH Put SOLE 87000 0 0 SEADRILL LIMITED SHS G7945E105 19 87000 SH Call SOLE 87000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1688 75000 SH SOLE 75000 0 0 SERVICENOW INC NOTE 11/0 81762PAB8 541 500000 SH SOLE 500000 0 0 SOLARCITY CORP COM 83416T100 424 100 SH Put SOLE 100 0 0 SOLARCITY CORP COM 83416T100 25 100 SH Call SOLE 100 0 0 SOLARCITY CORP COM 83416T100 2 100 SH SOLE 100 0 0 SONY CORP ADR NEW 835699307 449 17453 SH SOLE 17453 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 103030 501728 SH SOLE 501728 0 0 SQUARE INC CL A 852234103 426 27900 SH SOLE 27900 0 0 SQUARE INC CL A 852234103 48 27900 SH Put SOLE 27900 0 0 TRANSOCEAN LTD REG SHS H8817H100 1410 137800 SH Put SOLE 137800 0 0 TRANSOCEAN LTD REG SHS H8817H100 1259 137800 SH SOLE 137800 0 0 TYSON FOODS INC UNIT 99/99/9999 902494301 270 3636 SH SOLE 3636 0 0 UNITED STATES STL CORP NEW COM 912909108 21 5500 SH Call SOLE 5500 0 0 UNITED STATES STL CORP NEW COM 912909108 11 5500 SH Put SOLE 5500 0 0 UNITED STATES STL CORP NEW COM 912909108 88 5500 SH SOLE 5500 0 0 EXELON CORP UNIT 99/99/9999 30161N127 482 9800 SH SOLE 9800 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 2085 30200 SH SOLE 30200 0 0 VERISIGN INC SDCV 3.250% 8/1 92343EAD4 4461 1725000 SH SOLE 1725000 0 0 VIRNETX HLDG CORP COM 92823T108 162 25200 SH Put SOLE 25200 0 0 VIRNETX HLDG CORP COM 92823T108 116 25200 SH SOLE 25200 0 0 WEIGHT WATCHERS INTL INC NEW COM 948626106 577 39700 SH SOLE 39700 0 0 WEIGHT WATCHERS INTL INC NEW COM 948626106 1766 39700 SH Put SOLE 39700 0 0 XILINX INC NOTE 2.625% 6/1 983919AF8 411 250000 SH SOLE 250000 0 0 YAHOO INC COM 984332106 5522 150000 SH SOLE 150000 0 0 YUM BRANDS INC COM 988498101 2046 25000 SH SOLE 25000 0 0 ZIOPHARM ONCOLOGY INC COM 98973P101 274 58200 SH Put SOLE 58200 0 0 ZIOPHARM ONCOLOGY INC COM 98973P101 432 58200 SH SOLE 58200 0 0