Managing Director

0001062993-16-011821.txt : 20161021 0001062993-16-011821.hdr.sgml : 20161021 20161021091848 ACCESSION NUMBER: 0001062993-16-011821 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161021 DATE AS OF CHANGE: 20161021 EFFECTIVENESS DATE: 20161021 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: 161945390 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 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001513006 XXXXXXXX 09-30-2016 09-30-2016 MIZUHO SECURITIES USA INC.

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 09-30-2016 0 195 1201847 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3-D SYS CORP DEL COM NEW 88554D205 835 120500 SH Put SOLE 120500 0 0 3-D SYS CORP DEL COM NEW 88554D205 160 120500 SH Call SOLE 120500 0 0 3-D SYS CORP DEL COM NEW 88554D205 2163 120500 SH SOLE 120500 0 0 3M CO COM 88579Y101 5430 30814 SH SOLE 30814 0 0 AAC HLDGS INC COM 000307108 174 10000 SH SOLE 10000 0 0 ADAMIS PHARMACEUTICALS CORP COM NEW 00547W208 454 132254 SH SOLE 132254 0 0 ADOBE SYS INC COM 00724F101 8010 73800 SH SOLE 73800 0 0 ALCOA INC DEP SHS 1/10TH 013817309 456 14000 SH SOLE 14000 0 0 ALLERGAN PLC PFD CONV SER A G0177J116 7280 8900 SH SOLE 8900 0 0 ALTRIA GROUP INC COM 02209S103 4976 78700 SH SOLE 78700 0 0 AMAZON COM INC COM 023135106 104664 125000 SH SOLE 125000 0 0 AMBARELLA INC SHS G037AX101 9 11100 SH Put SOLE 11100 0 0 AMBARELLA INC SHS G037AX101 817 11100 SH 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241 14300 SH Put SOLE 14300 0 0 NATIONAL BEVERAGE CORP COM 635017106 630 14300 SH SOLE 14300 0 0 NEW YORK REIT INC COM 64976L109 118 12898 SH SOLE 12898 0 0 NEXTERA ENERGY INC COM 65339F101 2116 17300 SH SOLE 17300 0 0 NIKE INC CL B 654106103 1622 30814 SH SOLE 30814 0 0 NIPPON TELEG & TEL CORP SPONSORED ADR 654624105 617 13465 SH SOLE 13465 0 0 ON SEMICONDUCTOR CORP NOTE 2.625%12/1 682189AH8 2879 2411000 SH SOLE 2411000 0 0 PACE HLDGS CORP CL A G6865N103 1543 156700 SH SOLE 156700 0 0 PACIRA PHARMACEUTICALS INC NOTE 3.250% 2/0 695127AB6 5275 3500000 SH SOLE 3500000 0 0 PALO ALTO NETWORKS INC NOTE 7/0 697435AB1 3850 2526000 SH SOLE 2526000 0 0 PEOPLES UNITED FINANCIAL INC COM 712704105 922 58300 SH SOLE 58300 0 0 PFIZER INC COM 717081103 1044 30814 SH SOLE 30814 0 0 PIONEER NAT RES CO COM 723787107 28126 151500 SH SOLE 151500 0 0 PLUG POWER INC COM NEW 72919P202 96 50000 SH Put SOLE 50000 0 0 PLUG POWER INC COM NEW 72919P202 86 50000 SH SOLE 50000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 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518 76715 SH SOLE 76715 0 0 SUNPOWER CORP COM 867652406 2435 170500 SH Put SOLE 170500 0 0 SUNPOWER CORP COM 867652406 1681 188500 SH SOLE 188500 0 0 TESLA MTRS INC COM 88160R101 998 2275420 SH Put SOLE 2275420 0 0 TESLA MTRS INC COM 88160R101 3 2275420 SH Call SOLE 2275420 0 0 TESLA MTRS INC COM 88160R101 5186 25420 SH SOLE 25420 0 0 TESLA MTRS INC NOTE 1.500% 6/0 88160RAA9 3635 2250000 SH SOLE 2250000 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 1495 32500 SH SOLE 32500 0 0 TRAVELERS COMPANIES INC COM 89417E109 3530 30814 SH SOLE 30814 0 0 TIM PARTICIPACOES S A SPONSORED ADR 88706P205 437 35700 SH SOLE 35700 0 0 TIME WARNER INC COM NEW 887317303 11241 141200 SH SOLE 141200 0 0 TRANSOCEAN LTD REG SHS H8817H100 1329 147200 SH Put SOLE 147200 0 0 TRANSOCEAN LTD REG SHS H8817H100 8 147200 SH Call SOLE 147200 0 0 TRANSOCEAN LTD REG SHS H8817H100 1569 147200 SH SOLE 147200 0 0 TRINITY INDS INC NOTE 3.875% 6/0 896522AF6 214 179000 SH SOLE 179000 0 0 TWILIO INC CL A 90138F102 888 13800 SH SOLE 13800 0 0 TWILIO INC CL A 90138F102 54 13800 SH Put SOLE 13800 0 0 UNDER ARMOUR INC CL A 904311107 5783 149500 SH SOLE 149500 0 0 UNDER ARMOUR INC CL A 904311107 2 149500 SH Call SOLE 149500 0 0 UNDER ARMOUR INC CL A 904311107 732 149500 SH Put SOLE 149500 0 0 UNITED TECHNOLOGIES CORP COM 913017109 4441 43714 SH SOLE 43714 0 0 UNITEDHEALTH GROUP INC COM 91324P102 4314 30814 SH SOLE 30814 0 0 ANTHEM INC UNIT 05/01/20188 036752202 4347 100000 SH SOLE 100000 0 0 AR CAP ACQUISITION CORP UNIT 10/06/2019 00191R208 161 17300 SH SOLE 17300 0 0 DOMINION RES INC VA NEW UNIT 08/15/2019 25746U836 8839 176013 SH SOLE 176013 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 9948 143200 SH SOLE 143200 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1602 30814 SH SOLE 30814 0 0 VISA INC COM CL A 92826C839 2548 30814 SH SOLE 30814 0 0 WAL-MART STORES INC COM 931142103 2222 30814 SH SOLE 30814 0 0 DISNEY WALT CO COM DISNEY 254687106 2861 30814 SH SOLE 30814 0 0 WEBMD HEALTH CORP NOTE 1.500%12/0 94770VAK8 10974 9600000 SH SOLE 9600000 0 0 WEBMD HEALTH CORP NOTE 2.500% 1/3 94770VAF9 4109 3975000 SH SOLE 3975000 0 0 WEIGHT WATCHERS INTL INC NEW COM 948626106 1235 119700 SH SOLE 119700 0 0 WEIGHT WATCHERS INTL INC NEW COM 948626106 1089 119700 SH Put SOLE 119700 0 0 WELLS FARGO & CO NEW COM 949746101 22654 511600 SH SOLE 511600 0 0 WHIRLPOOL CORP COM 963320106 3308 20400 SH SOLE 20400 0 0 WHITING PETE CORP NEW DBCV 1.250% 6/0 966387AU6 13203 14000000 SH SOLE 14000000 0 0 WRIGHT MED GROUP INC NOTE 2.000% 2/1 98235TAE7 7704 7200000 SH SOLE 7200000 0 0 PACE HLDGS CORP *W EXP 99/99/999 G6865N111 4 10000 SH SOLE 10000 0 0 XEROX CORP COM 984121103 1473 145400 SH SOLE 145400 0 0 XILINX INC NOTE 2.625% 6/1 983919AF8 4718 2506000 SH SOLE 2506000 0 0 XPO LOGISTICS INC COM 983793100 48 17600 SH Put SOLE 17600 0 0 XPO LOGISTICS INC COM 983793100 37 17600 SH Call SOLE 17600 0 0 XPO LOGISTICS INC COM 983793100 645 17600 SH SOLE 17600 0 0 YAHOO INC COM 984332106 2599 60300 SH SOLE 60300 0 0 YAHOO INC COM 984332106 817 60300 SH Put SOLE 60300 0 0 YAHOO INC COM 984332106 357 60300 SH Call SOLE 60300 0 0