0001062993-16-010641.txt : 20160720
0001062993-16-010641.hdr.sgml : 20160720
20160720170758
ACCESSION NUMBER: 0001062993-16-010641
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160630
FILED AS OF DATE: 20160720
DATE AS OF CHANGE: 20160720
EFFECTIVENESS DATE: 20160720
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: 161776009
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
06-30-2016
06-30-2016
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
06-30-2016
0
195
630773
false
INFORMATION TABLE
2
form13fInfoTable.xml
FORM 13F INFORMATION TABLE
3-D SYS CORP DEL
COM NEW
88554D205
111
140000
SH
Call
SOLE
140000
0
0
3-D SYS CORP DEL
COM NEW
88554D205
1962
140000
SH
Put
SOLE
140000
0
0
3-D SYS CORP DEL
COM NEW
88554D205
1922
140400
SH
SOLE
140400
0
0
3M CO
COM
88579Y101
1048
5985
SH
SOLE
5985
0
0
ABERCROMBIE & FITCH CO
CL A
002896207
356
20000
SH
SOLE
20000
0
0
AES CORP
COM
00130H105
3373
270300
SH
SOLE
270300
0
0
ALCOA INC
COM
013817101
204
22050
SH
SOLE
22050
0
0
ALLEGHENY TECHNOLOGIES INC
NOTE 4.750% 7/0
01741RAG7
211
200000
SH
SOLE
200000
0
0
ALLERGAN PLC
PFD CONV SER A
G0177J116
7930
9568
SH
SOLE
9568
0
0
AMAG PHARMACEUTICALS INC
NOTE 2.500% 2/1
00163UAA4
1766
1600000
SH
SOLE
1600000
0
0
AMBARELLA INC
SHS
G037AX101
5
32700
SH
Call
SOLE
32700
0
0
AMBARELLA INC
SHS
G037AX101
295
32700
SH
Put
SOLE
32700
0
0
AMBARELLA INC
SHS
G037AX101
1661
32700
SH
SOLE
32700
0
0
AMERICAN EXPRESS CO
COM
025816109
364
5985
SH
SOLE
5985
0
0
AMERICAN RLTY CAP PPTYS INC
NOTE 3.750%12/1
02917TAB0
1978
2000000
SH
SOLE
2000000
0
0
AMERICAN TOWER CORP NEW
COM
03027X100
625
5500
SH
SOLE
5500
0
0
ANHEUSER BUSCH INBEV SA/NV
SPONSORED ADR
03524A108
4938
37500
SH
SOLE
37500
0
0
APPLE INC
COM
037833100
358
358185
SH
Put
SOLE
358185
0
0
APPLE INC
COM
037833100
34242
358185
SH
SOLE
358185
0
0
BOEING CO
COM
097023105
777
5985
SH
SOLE
5985
0
0
BOX INC
CL A
10316T104
153
15500
SH
Put
SOLE
15500
0
0
BOX INC
CL A
10316T104
160
15500
SH
SOLE
15500
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
6789
92300
SH
SOLE
92300
0
0
CATERPILLAR INC DEL
COM
149123101
454
5985
SH
SOLE
5985
0
0
CELGENE CORP
COM
151020104
986
10000
SH
SOLE
10000
0
0
CEPHEID
DBCV 1.250% 2/0
15670RAC1
3918
4502000
SH
SOLE
4502000
0
0
CERNER CORP
COM
156782104
4131
70500
SH
SOLE
70500
0
0
CHANNELADVISOR CORP
COM
159179100
145
10000
SH
SOLE
10000
0
0
CHEETAH MOBILE INC
ADR
163075104
80
12800
SH
Put
SOLE
12800
0
0
CHEETAH MOBILE INC
ADR
163075104
122
12800
SH
SOLE
12800
0
0
CHEVRON CORP NEW
COM
166764100
4538
43285
SH
SOLE
43285
0
0
CISCO SYS INC
COM
17275R102
319
75985
SH
Put
SOLE
75985
0
0
CISCO SYS INC
COM
17275R102
2180
75985
SH
SOLE
75985
0
0
COACH INC
COM
189754104
2265
55600
SH
SOLE
55600
0
0
COBALT INTL ENERGY INC
NOTE 2.625%12/0
19075FAA4
620
2000000
SH
SOLE
2000000
0
0
COBALT INTL ENERGY INC
NOTE 3.125% 5/1
19075FAB2
142
500000
SH
SOLE
500000
0
0
COCA COLA CO
COM
191216100
271
5985
SH
SOLE
5985
0
0
CONNS INC
COM
208242107
344
45800
SH
SOLE
45800
0
0
CONNS INC
COM
208242107
314
45800
SH
Put
SOLE
45800
0
0
CORNING INC
COM
219350105
7135
348400
SH
SOLE
348400
0
0
CREE INC
COM
225447101
162
29100
SH
Put
SOLE
29100
0
0
CREE INC
COM
225447101
711
29100
SH
SOLE
29100
0
0
CROWN CASTLE INTL CORP NEW
COM
22822V101
10123
99800
SH
SOLE
99800
0
0
CTRIP COM INTL LTD
NOTE 1.250%10/1
22943FAD2
5521
4511000
SH
SOLE
4511000
0
0
DBX ETF TR
DBXTR HAR CS 300
233051879
146
64200
SH
Put
SOLE
64200
0
0
DBX ETF TR
DBXTR HAR CS 300
233051879
1525
64200
SH
SOLE
64200
0
0
DIAMOND RESORTS INTL INC
COM
25272T104
116
200000
SH
Put
SOLE
200000
0
0
DIAMOND RESORTS INTL INC
COM
25272T104
5992
200000
SH
SOLE
200000
0
0
DYNEGY INC NEW DEL
PFD CONV SER A
26817R207
602
9770
SH
SOLE
9770
0
0
DU PONT E I DE NEMOURS & CO
COM
263534109
388
5985
SH
SOLE
5985
0
0
EXELON CORP
COM
30161N101
6570
180700
SH
SOLE
180700
0
0
EXXON MOBIL CORP
COM
30231G102
561
5985
SH
SOLE
5985
0
0
FITBIT INC
CL A
33812L102
14
184300
SH
Call
SOLE
184300
0
0
FITBIT INC
CL A
33812L102
2852
184300
SH
Put
SOLE
184300
0
0
FITBIT INC
CL A
33812L102
2252
184300
SH
SOLE
184300
0
0
FRONTIER COMMUNICATIONS CORP
COM
35906A108
1098
222218
SH
SOLE
222218
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
889
5985
SH
SOLE
5985
0
0
GOPRO INC
CL A
38268T103
132
192500
SH
Call
SOLE
192500
0
0
GOPRO INC
CL A
38268T103
4539
192500
SH
Put
SOLE
192500
0
0
GOPRO INC
CL A
38268T103
2081
192500
SH
SOLE
192500
0
0
GRUBHUB INC
COM
400110102
155
35500
SH
Put
SOLE
35500
0
0
GRUBHUB INC
COM
400110102
1103
35500
SH
SOLE
35500
0
0
HESS CORP
COM
42809H107
2104
35000
SH
SOLE
35000
0
0
HOME DEPOT INC
COM
437076102
764
5985
SH
SOLE
5985
0
0
INSYS THERAPEUTICS INC NEW
COM NEW
45824V209
165
9000
SH
Put
SOLE
9000
0
0
INSYS THERAPEUTICS INC NEW
COM NEW
45824V209
116
9000
SH
SOLE
9000
0
0
INTEL CORP
SDCV 12/1
458140AD2
5929
4600000
SH
SOLE
4600000
0
0
INTERCEPT PHARMACEUTICALS IN
COM
45845P108
984
6900
SH
SOLE
6900
0
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
13172
86785
SH
SOLE
86785
0
0
INTUIT
COM
461202103
10971
98300
SH
SOLE
98300
0
0
IRONWOOD PHARMACEUTICALS INC
DBCV 2.250% 6/1
46333XAD0
2072
2000000
SH
SOLE
2000000
0
0
ISHARES TR
20 YR TR BD ETF
464287432
55560
400000
SH
SOLE
400000
0
0
ISHARES TR
CORE US AGGBD ET
464287226
16644
147800
SH
SOLE
147800
0
0
ISHARES SILVER TRUST
ISHARES
46428Q109
893
50000
SH
SOLE
50000
0
0
ISHARES TR
TIPS BD ETF
464287176
3687
31600
SH
SOLE
31600
0
0
JOHNSON & JOHNSON
COM
478160104
726
5985
SH
SOLE
5985
0
0
JPMORGAN CHASE & CO
COM
46625H100
372
5985
SH
SOLE
5985
0
0
KANDI TECHNOLOGIES GROUP INC
COM
483709101
1735
105400
SH
Put
SOLE
105400
0
0
KANDI TECHNOLOGIES GROUP INC
COM
483709101
754
105400
SH
SOLE
105400
0
0
KERYX BIOPHARMACEUTICALS INC
COM
492515101
159
31700
SH
Put
SOLE
31700
0
0
KERYX BIOPHARMACEUTICALS INC
COM
492515101
210
31700
SH
SOLE
31700
0
0
LANDS END INC NEW
COM
51509F105
363
22100
SH
SOLE
22100
0
0
LANDS END INC NEW
COM
51509F105
52
22100
SH
Put
SOLE
22100
0
0
LENDINGCLUB CORP
COM
52603A109
85
427400
SH
Call
SOLE
427400
0
0
LENDINGCLUB CORP
COM
52603A109
2287
427400
SH
Put
SOLE
427400
0
0
LENDINGCLUB CORP
COM
52603A109
1838
427400
SH
SOLE
427400
0
0
LIONS GATE ENTMNT CORP
COM NEW
535919203
155
26100
SH
Put
SOLE
26100
0
0
LIONS GATE ENTMNT CORP
COM NEW
535919203
528
26100
SH
SOLE
26100
0
0
MANNKIND CORP
COM
56400P201
629
75800
SH
Put
SOLE
75800
0
0
MANNKIND CORP
COM
56400P201
88
75800
SH
SOLE
75800
0
0
MASCO CORP
COM
574599106
3147
101700
SH
SOLE
101700
0
0
MATCH GROUP INC
COM
57665R106
21
16500
SH
Put
SOLE
16500
0
0
MATCH GROUP INC
COM
57665R106
249
16500
SH
SOLE
16500
0
0
MATTEL INC
COM
577081102
5125
163800
SH
SOLE
163800
0
0
MATTRESS FIRM HLDG CORP
COM
57722W106
77
12000
SH
Put
SOLE
12000
0
0
MATTRESS FIRM HLDG CORP
COM
57722W106
403
12000
SH
SOLE
12000
0
0
MCDONALDS CORP
COM
580135101
720
5985
SH
SOLE
5985
0
0
MEDICINES CO
NOTE 2.500% 1/1
584688AE5
2366
2000000
SH
SOLE
2000000
0
0
MERCK & CO INC
COM
58933Y105
345
5985
SH
SOLE
5985
0
0
MICRON TECHNOLOGY INC
NOTE 1.625% 2/1
595112AU7
4253
3040000
SH
SOLE
3040000
0
0
MICROSOFT CORP
COM
594918104
306
5985
SH
SOLE
5985
0
0
MOBILEYE N V AMSTELVEEN
ORD SHS
N51488117
102
77000
SH
Call
SOLE
77000
0
0
MOBILEYE N V AMSTELVEEN
ORD SHS
N51488117
475
77000
SH
Put
SOLE
77000
0
0
MOBILEYE N V AMSTELVEEN
ORD SHS
N51488117
3553
77000
SH
SOLE
77000
0
0
NEWELL BRANDS INC
COM
651229106
7431
153000
SH
SOLE
153000
0
0
NIKE INC
CL B
654106103
330
5985
SH
SOLE
5985
0
0
NRG ENERGY INC
COM NEW
629377508
2283
152300
SH
SOLE
152300
0
0
NVIDIA CORP
NOTE 1.000%12/0
67066GAC8
3816
1634000
SH
SOLE
1634000
0
0
NXP SEMICONDUCTORS N V
DBCV 1.000%12/0
62952QAB6
400
370000
SH
SOLE
370000
0
0
ON SEMICONDUCTOR CORP
NOTE 2.625%12/1
682189AH8
2433
2348000
SH
SOLE
2348000
0
0
ON SEMICONDUCTOR CORP
NOTE 1.000%12/0
682189AK1
76
85000
SH
SOLE
85000
0
0
PACIRA PHARMACEUTICALS INC
NOTE 3.250% 2/0
695127AB6
5205
3500000
SH
SOLE
3500000
0
0
PALO ALTO NETWORKS INC
NOTE 7/0
697435AB1
422
332000
SH
SOLE
332000
0
0
PEOPLES UNITED FINANCIAL INC
COM
712704105
3439
234600
SH
SOLE
234600
0
0
PFIZER INC
COM
717081103
211
5985
SH
SOLE
5985
0
0
PLUG POWER INC
COM NEW
72919P202
91
50000
SH
Put
SOLE
50000
0
0
PLUG POWER INC
COM NEW
72919P202
93
50000
SH
SOLE
50000
0
0
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
11285
104903
SH
SOLE
104903
0
0
PRICELINE GRP INC
COM NEW
741503403
811
650
SH
SOLE
650
0
0
PROCTER & GAMBLE CO
COM
742718109
507
5985
SH
SOLE
5985
0
0
QUOTIENT TECHNOLOGY INC
COM
749119103
58
23900
SH
Put
SOLE
23900
0
0
QUOTIENT TECHNOLOGY INC
COM
749119103
320
23900
SH
SOLE
23900
0
0
RED HAT INC
COM
756577102
1227
16900
SH
SOLE
16900
0
0
RELYPSA INC
COM
759531106
2022
219600
SH
Put
SOLE
219600
0
0
RELYPSA INC
COM
759531106
4063
219600
SH
SOLE
219600
0
0
RESTORATION HARDWARE HLDGS I
COM
761283100
526
63700
SH
Put
SOLE
63700
0
0
RESTORATION HARDWARE HLDGS I
COM
761283100
1827
63700
SH
SOLE
63700
0
0
REYNOLDS AMERICAN INC
COM
761713106
12566
233000
SH
SOLE
233000
0
0
ROYAL GOLD INC
NOTE 2.875% 6/1
780287AA6
1548
1500000
SH
SOLE
1500000
0
0
RTI INTL METALS INC
NOTE 1.625%10/1
74973WAB3
16
16000
SH
SOLE
16000
0
0
SAREPTA THERAPEUTICS INC
COM
803607100
1847
174400
SH
Put
SOLE
174400
0
0
SAREPTA THERAPEUTICS INC
COM
803607100
3326
174400
SH
SOLE
174400
0
0
SEADRILL LIMITED
SHS
G7945E105
471
12000
SH
Put
SOLE
12000
0
0
SEADRILL LIMITED
SHS
G7945E105
39
12000
SH
SOLE
12000
0
0
SEARS HLDGS CORP
COM
812350106
3
41600
SH
Call
SOLE
41600
0
0
SEARS HLDGS CORP
COM
812350106
397
41600
SH
Put
SOLE
41600
0
0
SEARS HLDGS CORP
COM
812350106
566
41600
SH
SOLE
41600
0
0
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
24853
346600
SH
SOLE
346600
0
0
SELECT SECTOR SPDR TR
TECHNOLOGY
81369Y803
21954
506200
SH
SOLE
506200
0
0
SERVICENOW INC
NOTE 11/0
81762PAB8
558
501000
SH
SOLE
501000
0
0
SOLARCITY CORP
COM
83416T100
42
47200
SH
Call
SOLE
47200
0
0
SOLARCITY CORP
COM
83416T100
605
47200
SH
Put
SOLE
47200
0
0
SOLARCITY CORP
COM
83416T100
1129
47200
SH
SOLE
47200
0
0
SOLAREDGE TECHNOLOGIES INC
COM
83417M104
298
45600
SH
Put
SOLE
45600
0
0
SOLAREDGE TECHNOLOGIES INC
COM
83417M104
894
45600
SH
SOLE
45600
0
0
SOUTHWESTERN ENERGY CO
DEP SHS 1/20 B
845467208
2246
76184
SH
SOLE
76184
0
0
SPDR DOW JONES INDL AVRG ETF
UT SER 1
78467X109
52063
290761
SH
SOLE
290761
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
1897
15000
SH
SOLE
15000
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
105086
501667
SH
SOLE
501667
0
0
STARBUCKS CORP
COM
855244109
1142
20000
SH
SOLE
20000
0
0
STARWOOD PPTY TR INC
NOTE 4.550% 3/0
85571BAA3
830
800000
SH
SOLE
800000
0
0
STARWOOD PPTY TR INC
NOTE 4.000% 1/1
85571BAB1
1337
1283000
SH
SOLE
1283000
0
0
STILLWATER MNG CO
NOTE 1.750%10/1
86074QAL6
1119
1000000
SH
SOLE
1000000
0
0
SUNPOWER CORP
COM
867652406
967
118900
SH
Put
SOLE
118900
0
0
SUNPOWER CORP
COM
867652406
1842
118900
SH
SOLE
118900
0
0
TESLA MTRS INC
NOTE 1.500% 6/0
88160RAA9
356
2250000
SH
Call
SOLE
2250000
0
0
TESLA MTRS INC
NOTE 1.500% 6/0
88160RAA9
671
2250000
SH
Put
SOLE
2250000
0
0
TESLA MTRS INC
NOTE 1.500% 6/0
88160RAA9
3819
2250000
SH
SOLE
2250000
0
0
TRAVELERS COMPANIES INC
COM
89417E109
712
5985
SH
SOLE
5985
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
417
36000
SH
Call
SOLE
36000
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
974
36000
SH
Put
SOLE
36000
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
428
36000
SH
SOLE
36000
0
0
TRUPANION INC
COM
898202106
178
18000
SH
Put
SOLE
18000
0
0
TRUPANION INC
COM
898202106
238
18000
SH
SOLE
18000
0
0
TWITTER INC
NOTE 1.000% 9/1
90184LAD4
2205
2484000
SH
SOLE
2484000
0
0
UNDER ARMOUR INC
CL A
904311107
45
99000
SH
Call
SOLE
99000
0
0
UNDER ARMOUR INC
CL A
904311107
555
99000
SH
Put
SOLE
99000
0
0
UNDER ARMOUR INC
CL A
904311107
3973
99000
SH
SOLE
99000
0
0
UNITED STATES OIL FUND LP
UNITS
91232N108
1736
150000
SH
SOLE
150000
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
614
5985
SH
SOLE
5985
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
845
5985
SH
SOLE
5985
0
0
ANTHEM INC
UNIT 05/01/20188
036752202
994
22450
SH
SOLE
22450
0
0
DYNEGY INC NEW DEL
UNIT 07/01/20191
26817R405
539
5000
SH
SOLE
5000
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
334
5985
SH
SOLE
5985
0
0
VISA INC
COM CL A
92826C839
444
5985
SH
SOLE
5985
0
0
WAL-MART STORES INC
COM
931142103
437
5985
SH
SOLE
5985
0
0
DISNEY WALT CO
COM DISNEY
254687106
585
5985
SH
SOLE
5985
0
0
WEATHERFORD INTL LTD
NOTE 5.875% 7/0
947075AH0
4046
3800000
SH
SOLE
3800000
0
0
WEBMD HEALTH CORP
NOTE 1.500%12/0
94770VAK8
6443
5100000
SH
SOLE
5100000
0
0
WEBMD HEALTH CORP
NOTE 2.500% 1/3
94770VAF9
1535
1411000
SH
SOLE
1411000
0
0
WEIGHT WATCHERS INTL INC NEW
COM
948626106
711
7500
SH
Put
SOLE
7500
0
0
WEIGHT WATCHERS INTL INC NEW
COM
948626106
87
7500
SH
SOLE
7500
0
0
WELLS FARGO & CO NEW
COM
949746101
4733
100000
SH
SOLE
100000
0
0
WHITING PETE CORP NEW
NOTE 1.250% 4/0
966387AL6
1125
1500000
SH
SOLE
1500000
0
0
WISDOMTREE TR
INDIA ERNGS FD
97717W422
842
41700
SH
SOLE
41700
0
0
XEROX CORP
COM
984121103
520
54800
SH
SOLE
54800
0
0
XILINX INC
NOTE 2.625% 6/1
983919AF8
3545
2206000
SH
SOLE
2206000
0
0
XPO LOGISTICS INC
COM
983793100
270
48700
SH
Put
SOLE
48700
0
0
XPO LOGISTICS INC
COM
983793100
1279
48700
SH
SOLE
48700
0
0
YAHOO INC
NOTE 12/0
984332AF3
131
132000
SH
SOLE
132000
0
0
YAHOO INC
COM
984332106
186
60300
SH
Call
SOLE
60300
0
0
YAHOO INC
COM
984332106
1902
60300
SH
Put
SOLE
60300
0
0
YAHOO INC
COM
984332106
2265
60300
SH
SOLE
60300
0
0
ZIOPHARM ONCOLOGY INC
COM
98973P101
328
54600
SH
Put
SOLE
54600
0
0
ZIOPHARM ONCOLOGY INC
COM
98973P101
300
54600
SH
SOLE
54600
0
0