Managing Director

0001062993-19-000478.txt : 20190204 0001062993-19-000478.hdr.sgml : 20190204 20190204145024 ACCESSION NUMBER: 0001062993-19-000478 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190204 DATE AS OF CHANGE: 20190204 EFFECTIVENESS DATE: 20190204 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: 19563237 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 12-31-2018 12-31-2018 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 12-31-2018 0 115 750304 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 3163 16600 SH SOLE 3163 0 0 ADVANCED MICRO DEVICES INC COM 007903107 535 29000 SH SOLE 535 0 0 ALBERTON ACQUISITION CORP ORD SHS G35006108 4978 507994 SH SOLE 4978 0 0 ALLEGRO MERGER CORP COM 01749N103 4516 463200 SH SOLE 4516 0 0 ALPHABET INC CAP STK CL A 02079K305 15570 14900 SH SOLE 15570 0 0 AMERICAN RLTY CAP PPTYS INC NOTE 3.750%12/1 02917TAB0 46 47000 SH SOLE 46 0 0 BANK AMER CORP COM 060505104 394 16000 SH SOLE 394 0 0 BHP GROUP LIMITED SPONSORED ADS 088606108 290 6000 SH SOLE 290 0 0 BIG ROCK PARTNERS ACQUISI CO COM 089482103 1255 123039 SH SOLE 1255 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 2152 25274 SH SOLE 2152 0 0 BISON CAP ACQUISITION CORP ORD SHS G1142P104 3350 322119 SH SOLE 3350 0 0 BLACK RIDGE ACQUISITION CORP COM 09216T107 4627 475084 SH SOLE 4627 0 0 BOEING CO COM 097023105 3548 11000 SH SOLE 3548 0 0 CAESARS ENTMT CORP NOTE 5.000%10/0 127686AA1 11228 9053000 SH SOLE 11228 0 0 CHASERG TECHNLGY ACQUISITN C CLASS A 16166A103 1953 201775 SH SOLE 1953 0 0 CLOVIS ONCOLOGY INC NOTE 1.250% 5/0 189464AC4 1404 2000000 SH SOLE 1404 0 0 CM SEVEN STAR ACQUISITION CO SHS G2345N102 18718 1853223 SH SOLE 18718 0 0 CONSTELLATION ALPHA CAP CORP SHS G2379F108 12198 1228349 SH SOLE 12198 0 0 CRONOS GROUP INC COM 22717L101 948 105400 SH Put SOLE 948 0 0 CRONOS GROUP INC COM 22717L101 1095 105400 SH SOLE 1095 0 0 CROWN CASTLE INTL CORP NEW 6.875% CON PFD A 22822V309 208 200 SH SOLE 208 0 0 CYPRESS SEMICONDUCTOR CORP NOTE 4.500% 1/1 232806AM1 702 595000 SH SOLE 702 0 0 DEXCOM INC COM 252131107 1150 9600 SH SOLE 1150 0 0 DOCUSIGN INC COM 256163106 786 19600 SH SOLE 786 0 0 DOMINION ENERGY INC COM 25746U109 1520 21275 SH SOLE 1520 0 0 ENSCO JERSEY FIN LTD NOTE 3.000% 1/3 29359WAB1 645 1000000 SH SOLE 645 0 0 EURONET WORLDWIDE INC NOTE 1.500%10/0 298736AH2 3580 2530000 SH SOLE 3580 0 0 EXPEDIA GROUP INC COM NEW 30212P303 484 4300 SH SOLE 484 0 0 FAR PT ACQUISITION CORP COM CL A 30734W109 1448 150000 SH SOLE 1448 0 0 FIREEYE INC COM 31816Q101 908 56000 SH SOLE 908 0 0 FORUM MERGER II CORP CL A 34986F103 1331 137917 SH SOLE 1331 0 0 GIGCAPITAL INC COM 37518N106 7652 757625 SH SOLE 7652 0 0 GORDON POINTE ACQUISITION CO COM CLASS A 382788107 3273 327260 SH SOLE 3273 0 0 GRAF INDL CORP COM 384278107 3008 313300 SH SOLE 3008 0 0 GREENLAND ACQUISITIN CORPORA SHS G40981139 3613 364918 SH SOLE 3613 0 0 GS ACQUISITION HLDGS CORP COM CL A 36255F102 1010 103106 SH SOLE 1010 0 0 GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 4488 451057 SH SOLE 4488 0 0 GUIDEWIRE SOFTWARE INC NOTE 1.250% 3/1 40171VAA8 2733 2826000 SH SOLE 2733 0 0 HAYMAKER ACQUISITION CORP COM CLASS A 420870107 247 24670 SH SOLE 247 0 0 HERBALIFE LTD NOTE 2.000% 8/1 42703MAB9 8982 6500000 SH SOLE 8982 0 0 HL ACQUISITIONS CORP SHS G4603R106 1997 208049 SH SOLE 1997 0 0 HORIZON PHARMA PLC SHS G4617B105 1182 60500 SH SOLE 1182 0 0 ILLUMINA INC NOTE 6/1 452327AF6 10738 8775000 SH SOLE 10738 0 0 INNOVIVA INC COM 45781M101 1145 65600 SH SOLE 1145 0 0 INTERDIGITAL INC NOTE 1.500% 3/0 458660AD9 1170 1120000 SH SOLE 1170 0 0 INTUIT COM 461202103 3012 15300 SH SOLE 3012 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 27398 177740 SH SOLE 27398 0 0 IRONWOOD PHARMACEUTICALS INC DBCV 2.250% 6/1 46333XAD0 1844 1959000 SH SOLE 1844 0 0 J2 GLOBAL INC NOTE 3.250% 6/1 48123VAC6 10176 8900000 SH SOLE 10176 0 0 JAZZ INVESTMENTS I LTD NOTE 1.875% 8/1 472145AB7 2975 3062000 SH SOLE 2975 0 0 KBL MERGER CORP IV COM 48242A104 10941 1105186 SH SOLE 10941 0 0 LEGACY ACQUISITION CORP COM CL A 524643103 4064 413800 SH SOLE 4064 0 0 LEO HOLDINGS CORP COM CL A G5463L105 2010 205600 SH SOLE 2010 0 0 LF CAP ACQUISITION CORP CL A 50200K108 1538 156900 SH SOLE 1538 0 0 LIVE NATION ENTERTAINMENT IN COM 538034109 685 13900 SH SOLE 685 0 0 MEDICINES CO NOTE 2.500% 1/1 584688AE5 2239 2600000 SH SOLE 2239 0 0 MEGALITH FINL ACQUISITION CO CL A COM 58518F109 2583 266250 SH SOLE 2583 0 0 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 23510 16731000 SH SOLE 23510 0 0 MICRON TECHNOLOGY INC NOTE 3.000%11/1 595112AY9 30068 27206000 SH SOLE 30068 0 0 MICROSOFT CORP COM 594918104 884 8700 SH SOLE 884 0 0 MODERN MEDIA ACQUISITION COM 60765P103 11215 1127100 SH SOLE 11215 0 0 MONGODB INC CL A 60937P106 1407 16800 SH SOLE 1407 0 0 MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 2225 225416 SH SOLE 2225 0 0 NEW FRONTIER CORP COM CL A G6485P108 490 50000 SH SOLE 490 0 0 NEW RELIC INC COM 64829B100 421 5200 SH SOLE 421 0 0 NEXTERA ENERGY INC COM 65339F101 2303 13250 SH SOLE 2303 0 0 NUANCE COMMUNICATIONS INC NOTE 1.250% 4/0 67020YAN0 612 700000 SH SOLE 612 0 0 NXP SEMICONDUCTORS N V NOTE 1.000%12/0 62952QAB6 100 100000 SH SOLE 100 0 0 ON SEMICONDUCTOR CORP NOTE 1.000%12/0 682189AK1 6033 5500000 SH SOLE 6033 0 0 ON SEMICONDUCTOR CORP NOTE 1.625%10/1 682189AP0 2132 2000000 SH SOLE 2132 0 0 OPES ACQUISITION CORP COM 68373P100 3913 394019 SH SOLE 3913 0 0 PACIRA PHARMACEUTICALS INC NOTE 2.375% 4/0 695127AD2 3415 3426000 SH SOLE 3415 0 0 PENSARE ACQUISITION CORP COM 70957E105 12161 1200500 SH SOLE 12161 0 0 PRICELINE GRP INC NOTE 0.350% 6/1 741503AS5 8418 6260000 SH SOLE 8418 0 0 PURE ACQUISITION CORP CL A 74621Q106 6636 674393 SH SOLE 6636 0 0 RESTORATION HARDWARE HLDGS I NOTE 6/1 761283AD2 11807 10500000 SH SOLE 11807 0 0 RINGCENTRAL INC CL A 76680R206 1459 17700 SH SOLE 1459 0 0 ROYAL GOLD INC NOTE 2.875% 6/1 780287AA6 6357 6366000 SH SOLE 6357 0 0 KBL MERGER CORP IV RIGHT 03/22/2019 48242A120 20 50000 SH SOLE 20 0 0 MODERN MEDIA ACQUISITION RIGHT 99/99/9999 60765P129 8 30000 SH SOLE 8 0 0 SABAN CAP ACQUISITION CORP COM CL A 78516C106 270 26800 SH SOLE 270 0 0 SENTINEL ENERGY SVCS INC CL A 81728P105 2537 253165 SH SOLE 2537 0 0 SERVICENOW INC NOTE 6/0 81762PAC6 4923 3513000 SH SOLE 4923 0 0 SIRIUS XM HLDGS INC COM 82968B103 2 86400 SH Call SOLE 2 0 0 SIRIUS XM HLDGS INC COM 82968B103 493 86400 SH SOLE 493 0 0 SJW GROUP COM 784305104 1296 23303 SH SOLE 1296 0 0 SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 500 50000 SH SOLE 500 0 0 SOGOU INC ADR REPSTG A 83409V104 246 25200 SH Put SOLE 246 0 0 SOGOU INC ADR REPSTG A 83409V104 132 25200 SH SOLE 132 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 3058 13113 SH SOLE 3058 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 308680 1235095 SH SOLE 308680 0 0 SUPERNUS PHARMACEUTICALS INC COM 868459108 399 12000 SH SOLE 399 0 0 TELLURIAN INC NEW COM 87968A104 149 21369 SH SOLE 149 0 0 TENZING ACQUISITION CORP ORD SHS G8708A116 3078 313492 SH SOLE 3078 0 0 THUNDER BRIDGE ACQUISITION L SHS CLASS A G8857R100 8722 881052 SH SOLE 8722 0 0 TIBERIUS ACQUISITION CORP COM 88633A107 3305 337195 SH SOLE 3305 0 0 TKK SYMPHONY ACQUISITION COR ORD SHS G88950103 965 100000 SH SOLE 965 0 0 TOTTENHAM ACQUISITION I LTD SHS G8959N106 805 82150 SH SOLE 805 0 0 TRIDENT ACQUISITIONS CORP COM 89615T106 4238 425104 SH SOLE 4238 0 0 TRINITY MERGER CORP COM CL A 89653L106 5680 569700 SH SOLE 5680 0 0 TWELVE SEAS INVESTMENT COMPA SHS G9145A107 6994 712210 SH SOLE 6994 0 0 TWILIO INC CL A 90138F102 1036 11600 SH SOLE 1036 0 0 UNION ACQUISITION CORP SHS G9366W101 5033 499800 SH SOLE 5033 0 0 DTE ENERGY CO UNIT 99/99/9999 233331883 4291 82625 SH SOLE 4291 0 0 VANTAGE ENERGY ACQUISITION COM CL A 92211L105 10855 1080116 SH SOLE 10855 0 0 VECTOIQ ACQUISITION CORP COM 92243N103 2690 277269 SH SOLE 2690 0 0 VIRNETX HLDG CORP COM 92823T108 538 98500 SH Put SOLE 538 0 0 VIRNETX HLDG CORP COM 92823T108 236 98500 SH SOLE 236 0 0 WAYFAIR INC CL A 94419L101 676 7500 SH SOLE 676 0 0 WIX COM LTD SHS M98068105 1066 11800 SH SOLE 1066 0 0 WRIGHT MED GROUP INC NOTE 2.000% 2/1 98235TAE7 3253 3076000 SH SOLE 3253 0 0 MODERN MEDIA ACQUISITION *W EXP 05/17/202 60765P111 6 32155 SH SOLE 6 0 0 SABAN CAP ACQUISITION CORP *W EXP 09/21/202 78516C114 16 27500 SH SOLE 16 0 0 XCEL ENERGY INC COM 98389B100 1044 21180 SH SOLE 1044 0 0 ZILLOW GROUP INC NOTE 1.500% 7/0 98954MAC5 2068 2382000 SH SOLE 2068 0 0