Managing Director

0001062993-18-002983.txt : 20180723 0001062993-18-002983.hdr.sgml : 20180723 20180723120931 ACCESSION NUMBER: 0001062993-18-002983 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180723 DATE AS OF CHANGE: 20180723 EFFECTIVENESS DATE: 20180723 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: 18964056 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 06-30-2018 06-30-2018 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 06-30-2018 0 182 976547441 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3-D SYS CORP DEL COM NEW 88554D205 30 89000 SH Call SOLE 30 0 0 3-D SYS CORP DEL COM NEW 88554D205 208 89000 SH Put SOLE 208 0 0 3-D SYS CORP DEL COM NEW 88554D205 1229090 89000 SH SOLE 1229090 0 0 ABBOTT LABS COM 002824100 8947233 146700 SH SOLE 8947233 0 0 ADVERUM BIOTECHNOLOGIES INC COM 00773U108 45050 8500 SH SOLE 45050 0 0 AETNA INC NEW COM 00817Y108 734000 4000 SH SOLE 734000 0 0 ALLEGHENY TECHNOLOGIES INC NOTE 4.750% 7/0 01741RAG7 2845650 1500000 SH SOLE 2845650 0 0 ALPHABET INC CAP STK CL A 02079K305 4290922 3800 SH SOLE 4290922 0 0 ALTICE USA INC CL A 02156K103 170600 10000 SH SOLE 170600 0 0 ALTICE USA INC CL A 02156K103 40 10000 SH Put SOLE 40 0 0 AMAZON COM INC COM 023135106 34505940 20300 SH SOLE 34505940 0 0 AMAZON COM INC COM 023135106 309 20300 SH Put SOLE 309 0 0 APOLLO SR FLOATING RATE FD I COM 037636107 228473 13991 SH SOLE 228473 0 0 APPLE INC COM 037833100 6738004 36400 SH SOLE 6738004 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 7864428 171600 SH SOLE 7864428 0 0 AVISTA HEALTHCARE PUB ACQ CO CL A G0726L125 2256414 225416 SH SOLE 2256414 0 0 BANK AMER CORP 7.25%CNV PFD L 060505682 5042500 4034 SH SOLE 5042500 0 0 BANK AMER CORP COM 060505104 5392747 191300 SH SOLE 5392747 0 0 BIOMARIN PHARMACEUTICAL INC NOTE 0.750%10/1 09061GAE1 5403548 5079000 SH SOLE 5403548 0 0 BIOMARIN PHARMACEUTICAL INC NOTE 0.599% 8/0 09061GAH4 969342 950000 SH SOLE 969342 0 0 BLACK RIDGE ACQUISITION CORP COM 09216T107 2441263 250643 SH SOLE 2441263 0 0 BLACKROCK FLOAT RATE OME STR COM 09255X100 208500 15000 SH SOLE 208500 0 0 BOOKING HLDGS INC COM 09857L108 1500047 740 SH SOLE 1500047 0 0 BROOKFIELD PPTY PARTNERS L P UNIT LTD PARTN G16249107 475500 25000 SH SOLE 475500 0 0 BROOKFIELD PPTY PARTNERS L P UNIT LTD PARTN G16249107 304 25000 SH Put SOLE 304 0 0 CF INDS HLDGS INC COM 125269100 3742920 84300 SH SOLE 3742920 0 0 CHENIERE ENERGY INC NOTE 4.250% 3/1 16411RAG4 1582052 2000000 SH SOLE 1582052 0 0 CHEVRON CORP NEW COM 166764100 3805543 30100 SH SOLE 3805543 0 0 CISCO SYS INC COM 17275R102 5658445 131500 SH SOLE 5658445 0 0 CITRIX SYS INC NOTE 0.500% 4/1 177376AD2 355845 245000 SH SOLE 355845 0 0 CLEVELAND CLIFFS INC DBCV 1.500% 1/1 185899AA9 3623820 3000000 SH SOLE 3623820 0 0 CM SEVEN STAR ACQUISITION CO SHS G2345N102 5965160 605600 SH SOLE 5965160 0 0 COASTWAY BANCORP INC COM 190632109 1385000 50000 SH SOLE 1385000 0 0 CONOCOPHILLIPS COM 20825C104 3348722 48100 SH SOLE 3348722 0 0 CONSTELLATION ALPHA CAP CORP SHS G2379F108 10022279 1009293 SH SOLE 10022279 0 0 CTRIP COM INTL LTD NOTE 1.250%10/1 22943FAD2 21622851 17700000 SH SOLE 21622851 0 0 CVR ENERGY INC COM 12662P108 184950 5000 SH SOLE 184950 0 0 CVR ENERGY INC COM 12662P108 25 5000 SH Put SOLE 25 0 0 CYPRESS SEMICONDUCTOR CORP NOTE 4.500% 1/1 232806AM1 2656740 2000000 SH SOLE 2656740 0 0 DHX MEDIA LTD COM VAR VTG 252406152 157500 75000 SH SOLE 157500 0 0 DIAMOND OFFSHORE DRILLING IN COM 25271C102 1818992 87200 SH SOLE 1818992 0 0 DIAMOND OFFSHORE DRILLING IN COM 25271C102 711 87200 SH Put SOLE 711 0 0 DISCOVERY INC COM SER A 25470F104 1375000 50000 SH SOLE 1375000 0 0 DISCOVERY INC COM SER A 25470F104 55 50000 SH Call SOLE 55 0 0 DISH NETWORK CORP CL A 25470M109 715893 21300 SH SOLE 715893 0 0 DISH NETWORK CORP NOTE 3.375% 8/1 25470MAB5 96470 100000 SH SOLE 96470 0 0 DULUTH HLDGS INC COM CL B 26443V101 118950 5000 SH SOLE 118950 0 0 DULUTH HLDGS INC COM CL B 26443V101 32 5000 SH Put SOLE 32 0 0 EASTERLY ACQUISITION CORP COM 27616L102 19685791 1920565 SH SOLE 19685791 0 0 EMERSON ELEC CO COM 291011104 3961722 57300 SH SOLE 3961722 0 0 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 273250 25000 SH SOLE 273250 0 0 ENERGOUS CORP COM 29272C103 251 31800 SH Put SOLE 251 0 0 ENERGOUS CORP COM 29272C103 471594 31800 SH SOLE 471594 0 0 ETSY INC COM 29786A106 1476650 35000 SH SOLE 1476650 0 0 FEDEX CORP COM 31428X106 3814608 16800 SH SOLE 3814608 0 0 FINTECH ACQUISITION CORP II COM 31810G109 4736747 475100 SH SOLE 4736747 0 0 FOREST CITY RLTY TR INC COM CL A 345605109 1135459 49779 SH SOLE 1135459 0 0 GGP INC COM 36174X101 1327950 65000 SH SOLE 1327950 0 0 GIGCAPITAL INC COM 37518N106 4494188 455800 SH SOLE 4494188 0 0 GOPRO INC CL A 38268T103 378028 58700 SH SOLE 378028 0 0 GOPRO INC CL A 38268T103 251 58700 SH Put SOLE 251 0 0 GRAMERCY PPTY TR COM NEW 385002308 2917230 106780 SH SOLE 2917230 0 0 GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 1008012 100200 SH SOLE 1008012 0 0 HALLIBURTON CO COM 406216101 671394 14900 SH SOLE 671394 0 0 HENNESSY CAP ACQUSTON CORP I COM 42588L105 1992000 200000 SH SOLE 1992000 0 0 HERBALIFE LTD NOTE 2.000% 8/1 42703MAB9 5823225 4500000 SH SOLE 5823225 0 0 HESS CORP DEP PDF SR A 42809H404 422102 5619 SH SOLE 422102 0 0 HOME DEPOT INC COM 437076102 3726410 19100 SH SOLE 3726410 0 0 HONDA MOTOR LTD AMERN SHS 438128308 1785 61 SH SOLE 1785 0 0 HUAZHU GROUP LTD SPONSORED ADS 44332N106 155363 3700 SH SOLE 155363 0 0 HUNTER MARITIME ACQUISITION CL A Y37828111 3463296 350536 SH SOLE 3463296 0 0 I AM CAP ACQUISITION CO COM 45074Q108 6047752 559459 SH SOLE 6047752 0 0 ILLUMINA INC COM 452327109 2709113 9700 SH SOLE 2709113 0 0 ILLUMINA INC NOTE 6/1 452327AF6 585660 500000 SH SOLE 585660 0 0 IMPINJ INC COM 453204109 4289340 194000 SH SOLE 4289340 0 0 IMPINJ INC COM 453204109 100 194000 SH Put SOLE 100 0 0 INSMED INC NOTE 1.750% 1/1 457669AA7 386362 420000 SH SOLE 386362 0 0 INTEGRATED DEVICE TECHNOLOGY NOTE 0.875%11/1 458118AC0 12181786 10732000 SH SOLE 12181786 0 0 INTEL CORP COM 458140100 5771331 116100 SH SOLE 5771331 0 0 INTERDIGITAL INC NOTE 1.500% 3/0 458660AD9 4748672 3949000 SH SOLE 4748672 0 0 INVESCO CURRENCYSHARES EURO EURO SHS 46138K103 16809000 150000 SH SOLE 16809000 0 0 INVESCO CURRENCYSHARES EURO EURO SHS 46138K103 108 150000 SH Put SOLE 108 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 162566570 948452 SH SOLE 162566570 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 2858 948452 SH Call SOLE 2858 0 0 INVITATION HOMES INC COM 46187W107 504899 21895 SH SOLE 504899 0 0 IONIS PHARMACEUTICALS INC COM 462222100 262521 6300 SH SOLE 262521 0 0 IQIYI INC SPONSORED ADS 46267X108 5797850 179500 SH SOLE 5797850 0 0 IQIYI INC SPONSORED ADS 46267X108 3674 179500 SH Put SOLE 3674 0 0 IROBOT CORP COM 462726100 1075934 14200 SH SOLE 1075934 0 0 IROBOT CORP COM 462726100 141 14200 SH Put SOLE 141 0 0 IRONWOOD PHARMACEUTICALS INC COM CL A 46333X108 3269520 171000 SH SOLE 3269520 0 0 ISHARES TR 20 YR TR BD ETF 464287432 24344000 200000 SH SOLE 24344000 0 0 JAZZ INVESTMENTS I LTD NOTE 1.875% 8/1 472145AB7 3377706 3102000 SH SOLE 3377706 0 0 JINKOSOLAR HLDG CO LTD SPONSORED ADR 47759T100 1192482 86600 SH SOLE 1192482 0 0 JINKOSOLAR HLDG CO LTD SPONSORED ADR 47759T100 8 86600 SH Call SOLE 8 0 0 JINKOSOLAR HLDG CO LTD SPONSORED ADR 47759T100 333 86600 SH Put SOLE 333 0 0 JOHNSON & JOHNSON COM 478160104 15143232 124800 SH SOLE 15143232 0 0 JPMORGAN CHASE & CO COM 46625H100 8085920 77600 SH SOLE 8085920 0 0 KBL MERGER CORP IV COM 48242A104 10101485 1020352 SH SOLE 10101485 0 0 LEO HOLDINGS CORP COM CL A G5463L105 996922 103201 SH SOLE 996922 0 0 LIBERTY PPTY TR SH BEN INT 531172104 1244210 28067 SH SOLE 1244210 0 0 MATCH GROUP INC COM 57665R106 3343262 86300 SH SOLE 3343262 0 0 MATCH GROUP INC COM 57665R106 711 86300 SH Put SOLE 711 0 0 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 13914216 7930000 SH SOLE 13914216 0 0 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AF1 5941756 5060000 SH SOLE 5941756 0 0 MICRON TECHNOLOGY INC NOTE 3.000%11/1 595112AY9 8242380 4500000 SH SOLE 8242380 0 0 MICROSOFT CORP COM 594918104 7878939 79900 SH SOLE 7878939 0 0 MIMEDX GROUP INC COM 602496101 748908 117200 SH SOLE 748908 0 0 MIMEDX GROUP INC COM 602496101 26 117200 SH Call SOLE 26 0 0 MIMEDX GROUP INC COM 602496101 2485 117200 SH Put SOLE 2485 0 0 MODERN MEDIA ACQUISITION COM 60765P103 9255560 930207 SH SOLE 9255560 0 0 MTGE INVT CORP COM 55378A105 7722557 394008 SH SOLE 7722557 0 0 MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 1203366 125090 SH SOLE 1203366 0 0 NABORS INDUSTRIES LTD 6% PFD CNV SR A G6359F129 1139850 25000 SH SOLE 1139850 0 0 NUANCE COMMUNICATIONS INC DBCV 1.000%12/1 67020YAK6 2142180 2400000 SH SOLE 2142180 0 0 NXP SEMICONDUCTORS N V NOTE 1.000%12/0 62952QAB6 9743592 8136000 SH SOLE 9743592 0 0 NXP SEMICONDUCTORS N V COM N6596X109 764890 7000 SH SOLE 764890 0 0 OKTA INC CL A 679295105 1793172 35600 SH SOLE 1793172 0 0 PACIRA PHARMACEUTICALS INC COM 695127100 256400 8000 SH SOLE 256400 0 0 PFIZER INC COM 717081103 8939392 246400 SH SOLE 8939392 0 0 PINNACLE FOODS INC DEL COM 72348P104 1301200 20000 SH SOLE 1301200 0 0 PURE ACQUISITION CORP CL A 74621Q106 8257412 856578 SH SOLE 8257412 0 0 RENREN INC SPON ADR A NEW 759892201 116831 47300 SH SOLE 116831 0 0 RENREN INC SPON ADR A NEW 759892201 251 47300 SH Put SOLE 251 0 0 ROKU INC COM CL A 77543R102 1738896 40800 SH SOLE 1738896 0 0 ROKU INC COM CL A 77543R102 251 40800 SH Put SOLE 251 0 0 ROYAL GOLD INC COM 780287108 1021240 11000 SH SOLE 1021240 0 0 COMMUNITY HEALTH SYS INC NEW RIGHT 12/31/2019 203668116 4400 400000 SH SOLE 4400 0 0 CONSTELLATION ALPHA CAP CORP RIGHT 99/99/9999 G2379F132 21084 50200 SH SOLE 21084 0 0 KBL MERGER CORP IV RIGHT 03/22/2019 48242A120 17500 50000 SH SOLE 17500 0 0 MODERN MEDIA ACQUISITION RIGHT 99/99/9999 60765P129 13582 26120 SH SOLE 13582 0 0 RYDER SYS INC COM 783549108 538950 7500 SH SOLE 538950 0 0 SANDRIDGE ENERGY INC COM NEW 80007P869 88700 5000 SH SOLE 88700 0 0 SEI INVESTMENTS CO COM 784117103 1250400 20000 SH SOLE 1250400 0 0 SHIRE PLC SPONSORED ADR 82481R106 337600 2000 SH SOLE 337600 0 0 SILICON LABORATORIES INC COM 826919102 69720 700 SH SOLE 69720 0 0 SNAP INC CL A 83304A106 2196502 167800 SH SOLE 2196502 0 0 SNAP INC CL A 83304A106 358 167800 SH Call SOLE 358 0 0 SNAP INC CL A 83304A106 1988 167800 SH Put SOLE 1988 0 0 SPARK ENERGY INC CL A COM 846511103 196648 20169 SH SOLE 196648 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 185217773 763551 SH SOLE 185217773 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 100238929 369675 SH SOLE 100238929 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 921100 15100 SH SOLE 921100 0 0 SPECTRA ENERGY PARTNERS LP COM 84756N109 1009470 28500 SH SOLE 1009470 0 0 SPLUNK INC COM 848637104 991100 10000 SH SOLE 991100 0 0 SPOTIFY TECHNOLOGY S A SHS L8681T102 3028320 18000 SH SOLE 3028320 0 0 SPOTIFY TECHNOLOGY S A SHS L8681T102 85 18000 SH Put SOLE 85 0 0 SQUARE INC CL A 852234103 924600 15000 SH SOLE 924600 0 0 STANLEY BLACK & DECKER INC COM 854502101 1766373 13300 SH SOLE 1766373 0 0 STELLAR ACQUISITION III INC COM Y8172W107 3339210 322629 SH SOLE 3339210 0 0 STEWART INFORMATION SVCS COR COM 860372101 202429 4700 SH SOLE 202429 0 0 SUNPOWER CORP COM 867652406 5 125500 SH Call SOLE 5 0 0 SUNPOWER CORP COM 867652406 828 125500 SH Put SOLE 828 0 0 SUNPOWER CORP COM 867652406 962585 125500 SH SOLE 962585 0 0 TERADYNE INC NOTE 1.250%12/1 880770AG7 7977498 6002000 SH SOLE 7977498 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 608000 25000 SH SOLE 608000 0 0 THE TRADE DESK INC COM CL A 88339J105 3161060 33700 SH SOLE 3161060 0 0 THE TRADE DESK INC COM CL A 88339J105 4 33700 SH Put SOLE 4 0 0 TRANSENTERIX INC COM NEW 89366M201 610400 140000 SH SOLE 610400 0 0 TRANSENTERIX INC COM NEW 89366M201 246 140000 SH Put SOLE 246 0 0 TRANSOCEAN INC DEB 0.500% 1/3 893830BJ7 3585100 2500000 SH SOLE 3585100 0 0 TRIDENT ACQUISITIONS CORP COM 89615T106 3661125 375500 SH SOLE 3661125 0 0 TRINITY INDS INC COM 896522109 513900 15000 SH SOLE 513900 0 0 TRINITY MERGER CORP COM CL A 89653L106 2784450 285000 SH SOLE 2784450 0 0 TRUPANION INC COM 898202106 459340 11900 SH SOLE 459340 0 0 TRUPANION INC COM 898202106 27 11900 SH Put SOLE 27 0 0 TWITTER INC NOTE 1.000% 9/1 90184LAD4 5510028 5675000 SH SOLE 5510028 0 0 UNION ACQUISITION CORP SHS G9366W101 2425407 250300 SH SOLE 2425407 0 0 NEXTERA ENERGY INC UNIT 09/01/2019 65339F820 14299539 251107 SH SOLE 14299539 0 0 VALE S A ADR 91912E105 5138256 400800 SH SOLE 5138256 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 1635000 50000 SH SOLE 1635000 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 48 50000 SH Call SOLE 48 0 0 WALMART INC COM 931142103 573855 6700 SH SOLE 573855 0 0 WAYFAIR INC CL A 94419L101 1650764 13900 SH SOLE 1650764 0 0 WEATHERFORD INTL LTD NOTE 5.875% 7/0 947075AH0 592 593 SH SOLE 592 0 0 WESTERN DIGITAL CORP COM 958102105 1617869 20900 SH SOLE 1617869 0 0 WORKDAY INC CL A 98138H101 496592 4100 SH SOLE 496592 0 0 XL GROUP LTD COM G98294104 839250 15000 SH SOLE 839250 0 0 YAHOO INC NOTE 12/0 984332AF3 5342627 3907000 SH SOLE 5342627 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 868182 14700 SH SOLE 868182 0 0 ZYNGA INC CL A 98986T108 1013430 249000 SH SOLE 1013430 0 0