Managing Director

0001062993-18-004145.txt : 20181018 0001062993-18-004145.hdr.sgml : 20181018 20181018163923 ACCESSION NUMBER: 0001062993-18-004145 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181018 DATE AS OF CHANGE: 20181018 EFFECTIVENESS DATE: 20181018 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: 181128654 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 09-30-2018 09-30-2018 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 09-30-2018 0 147 1316167 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ADVERUM BIOTECHNOLOGIES INC COM 00773U108 60500 10000 SH SOLE 60500 0 0 ALLEGRO MERGER CORP COM 01749N103 2134 224446 SH SOLE 2134 0 0 ALLSCRIPTS HEALTHCARE SOLUTN COM 01988P108 970 68076 SH SOLE 970 0 0 ANDEAVOR COM 03349M105 14371 93624 SH SOLE 14371 0 0 APOLLO SR FLOATING RATE FD I COM 037636107 479 30000 SH SOLE 479 0 0 AVISTA HEALTHCARE PUB ACQ CO CL A G0726L125 6604 651251 SH SOLE 6604 0 0 BIOMARIN PHARMACEUTICAL INC NOTE 1.500%10/1 09061GAF8 1195 1000000 SH SOLE 1195 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 1154 11903 SH SOLE 1154 0 0 BISON CAP ACQUISITION CORP ORD SHS G1142P104 2274 222719 SH SOLE 2274 0 0 BLACK RIDGE ACQUISITION CORP COM 09216T107 2571 263915 SH SOLE 2571 0 0 BLACKROCK DEBT STRAT FD INC COM NEW 09255R202 278 25000 SH SOLE 278 0 0 BLACKROCK FLOAT RATE OME STR COM 09255X100 207 15000 SH SOLE 207 0 0 BOOKING HLDGS INC COM 09857L108 2758 1390 SH SOLE 2758 0 0 CABOT OIL & GAS CORP COM 127097103 1126 50000 SH SOLE 1126 0 0 CENTERPOINT ENERGY INC COM 15189T107 1080 39069 SH SOLE 1080 0 0 CLOVIS ONCOLOGY INC NOTE 1.250% 5/0 189464AC4 1548 2000000 SH SOLE 1548 0 0 CM SEVEN STAR ACQUISITION CO SHS G2345N102 10981 1091543 SH SOLE 10981 0 0 COBIZ FINANCIAL INC COM 190897108 3259 147187 SH SOLE 3259 0 0 COLUMBIA PPTY TR INC COM NEW 198287203 1182 50000 SH SOLE 1182 0 0 CONSTELLATION ALPHA CAP CORP SHS G2379F108 10345 1041775 SH SOLE 10345 0 0 CRONOS GROUP INC COM 22717L101 2 70600 SH Call SOLE 2 0 0 CRONOS GROUP INC COM 22717L101 1005 70600 SH Put SOLE 1005 0 0 CRONOS GROUP INC COM 22717L101 785 70600 SH SOLE 785 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 19438 174600 SH SOLE 19438 0 0 CROWN CASTLE INTL CORP NEW 6.875% CON PFD A 22822V309 6163 5700 SH SOLE 6163 0 0 CTRIP COM INTL LTD NOTE 1.000% 7/0 22943FAF7 1961 2000000 SH SOLE 1961 0 0 CTRIP COM INTL LTD NOTE 1.250%10/1 22943FAD2 11008 11000000 SH SOLE 11008 0 0 CYPRESS SEMICONDUCTOR CORP NOTE 4.500% 1/1 232806AM1 5519 4375000 SH SOLE 5519 0 0 DIAMOND OFFSHORE DRILLING IN COM 25271C102 705 83000 SH Put SOLE 705 0 0 DIAMOND OFFSHORE DRILLING IN COM 25271C102 1660 83000 SH SOLE 1660 0 0 DISH NETWORK CORP CL A 25470M109 1252 35000 SH SOLE 1252 0 0 DOCUSIGN INC COM 256163106 400 25200 SH Put SOLE 400 0 0 DOCUSIGN INC COM 256163106 1325 25200 SH SOLE 1325 0 0 DOMINION ENERGY MIDSTRM PRTN COM UT REP LTD 257454108 996 55668 SH SOLE 996 0 0 DRAPER OAKWOOD TECHNOLOGY COM CL A 26146L103 3286 350000 SH SOLE 3286 0 0 DROPBOX INC CL A 26210C104 1022 77300 SH Put SOLE 1022 0 0 DROPBOX INC CL A 26210C104 2074 77300 SH SOLE 2074 0 0 EASTERLY ACQUISITION CORP COM 27616L102 17634 1720412 SH SOLE 17634 0 0 ENSCO JERSEY FIN LTD NOTE 3.000% 1/3 29359WAB1 3549 3575000 SH SOLE 3549 0 0 EURONET WORLDWIDE INC NOTE 1.500%10/0 298736AH2 1391 1000000 SH SOLE 1391 0 0 EXPEDIA GROUP INC COM NEW 30212P303 300 2300 SH SOLE 300 0 0 FASTENAL CO COM 311900104 3319 57200 SH SOLE 3319 0 0 FOREST CITY RLTY TR INC COM CL A 345605109 878 35000 SH SOLE 878 0 0 GIGCAPITAL INC COM 37518N106 2875 288960 SH SOLE 2875 0 0 GORDON POINTE ACQUISITION CO COM CLASS A 382788107 1478 150000 SH SOLE 1478 0 0 GREENLAND ACQUISITIN CORPORA SHS G40981139 1642 169764 SH SOLE 1642 0 0 GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 4310 425000 SH SOLE 4310 0 0 GUIDEWIRE SOFTWARE INC COM 40171V100 434 4300 SH SOLE 434 0 0 HENNESSY CAP ACQUSTON CORP I COM 42588L105 3459 347294 SH SOLE 3459 0 0 HERBALIFE LTD NOTE 2.000% 8/1 42703MAB9 5865 4500000 SH SOLE 5865 0 0 HERCULES CAPITAL INC DBCV 4.375% 2/0 427096AF9 293 300000 SH SOLE 293 0 0 HL ACQUISITIONS CORP SHS G4603R106 954 100400 SH SOLE 954 0 0 HORIZON PHARMA PLC SHS G4617B105 529 27000 SH SOLE 529 0 0 HUNTER MARITIME ACQUISITION CL A Y37828111 3398 341475 SH SOLE 3398 0 0 I AM CAP ACQUISITION CO COM 45074Q108 4582 450124 SH SOLE 4582 0 0 ILLUMINA INC NOTE 6/1 452327AF6 7979 5500000 SH SOLE 7979 0 0 IMPINJ INC COM 453204109 6 17200 SH Put SOLE 6 0 0 IMPINJ INC COM 453204109 315 12700 SH SOLE 315 0 0 INDUSTREA ACQUISITION CORP CL A 45579J104 1073 105200 SH SOLE 1073 0 0 INNOVIVA INC NOTE 2.500% 8/1 45781MAB7 890 800000 SH SOLE 890 0 0 INSMED INC NOTE 1.750% 1/1 457669AA7 426 500000 SH SOLE 426 0 0 INSULET CORP NOTE 1.250% 9/1 45784PAF8 1839 1000000 SH SOLE 1839 0 0 INTERCEPT PHARMACEUTICALS IN COM 45845P108 600 4750 SH SOLE 600 0 0 INTERDIGITAL INC NOTE 1.500% 3/0 458660AD9 2589 2205000 SH SOLE 2589 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 253223 1363415 SH SOLE 253223 0 0 IONIS PHARMACEUTICALS INC COM 462222100 279 5400 SH SOLE 279 0 0 IRONWOOD PHARMACEUTICALS INC COM CL A 46333X108 2599 140788 SH SOLE 2599 0 0 ISHARES TR U.S. REAL ES ETF 464287739 331 368200 SH Call SOLE 331 0 0 ISHARES TR U.S. REAL ES ETF 464287739 29463 368200 SH SOLE 29463 0 0 J2 GLOBAL INC NOTE 3.250% 6/1 48123VAC6 1168 900000 SH SOLE 1168 0 0 JAZZ INVESTMENTS I LTD NOTE 1.500% 8/1 472145AD3 2851 2795000 SH SOLE 2851 0 0 JD COM INC SPON ADR CL A 47215P106 522 20000 SH SOLE 522 0 0 KBL MERGER CORP IV COM 48242A104 8045 812597 SH SOLE 8045 0 0 MATLIN & PARTNERS ACQUISITIO CL A 57682V106 1008 100189 SH SOLE 1008 0 0 MEGALITH FINL ACQUISITION CO CL A COM 58518F109 2856 300200 SH SOLE 2856 0 0 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 11244 7430000 SH SOLE 11244 0 0 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AF1 5426 5083000 SH SOLE 5426 0 0 MICRON TECHNOLOGY INC NOTE 3.000%11/1 595112AY9 7119 4589000 SH SOLE 7119 0 0 MODERN MEDIA ACQUISITION COM 60765P103 9038 908323 SH SOLE 9038 0 0 MONGODB INC CL A 60937P106 359 4400 SH SOLE 359 0 0 MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 2182 225390 SH SOLE 2182 0 0 NAVISTAR INTL CORP NEW NOTE 4.750% 4/1 63934EAS7 1612 1588000 SH SOLE 1612 0 0 NEUROCRINE BIOSCIENCES INC COM 64125C109 1512 12300 SH SOLE 1512 0 0 NEXTERA ENERGY INC COM 65339F101 4056 24200 SH SOLE 4056 0 0 NISOURCE INC COM 65473P105 1123 45074 SH SOLE 1123 0 0 NUTANIX INC CL A 67059N108 970 22700 SH SOLE 970 0 0 NXP SEMICONDUCTORS N V COM N6596X109 1069 12500 SH SOLE 1069 0 0 OKTA INC CL A 679295105 1203 17100 SH SOLE 1203 0 0 ON SEMICONDUCTOR CORP NOTE 1.000%12/0 682189AK1 4065 3500000 SH SOLE 4065 0 0 OPES ACQUISITION CORP COM 68373P100 2985 303079 SH SOLE 2985 0 0 PACIRA PHARMACEUTICALS INC COM 695127100 1155 23500 SH SOLE 1155 0 0 PENSARE ACQUISITION CORP COM 70957E105 5441 546256 SH SOLE 5441 0 0 PG&E CORP COM 69331C108 1020 22169 SH SOLE 1020 0 0 PINDUODUO INC SPONSORED ADS 722304102 25 20100 SH Put SOLE 25 0 0 PINDUODUO INC SPONSORED ADS 722304102 528 20100 SH SOLE 528 0 0 PURE ACQUISITION CORP CL A 74621Q106 2912 300000 SH SOLE 2912 0 0 QUDIAN INC ADR 747798106 1554 157800 SH Put SOLE 1554 0 0 QUDIAN INC ADR 747798106 822 157800 SH SOLE 822 0 0 REDFIN CORP COM 75737F108 297 56500 SH Put SOLE 297 0 0 REDFIN CORP COM 75737F108 1057 56500 SH SOLE 1057 0 0 RESTORATION HARDWARE HLDGS I NOTE 6/1 761283AD2 9868 8160000 SH SOLE 9868 0 0 RESTORATION HARDWARE HLDGS I DBCV 7/1 761283AC4 1841 1488000 SH SOLE 1841 0 0 ROKU INC COM CL A 77543R102 18 40800 SH Put SOLE 18 0 0 ROKU INC COM CL A 77543R102 2980 40800 SH SOLE 2980 0 0 ROYAL GOLD INC NOTE 2.875% 6/1 780287AA6 2070 2052000 SH SOLE 2070 0 0 KBL MERGER CORP IV RIGHT 03/22/2019 48242A120 23 50000 SH SOLE 23 0 0 MODERN MEDIA ACQUISITION RIGHT 99/99/9999 60765P129 11 26120 SH SOLE 11 0 0 SNAP INC CL A 83304A106 4 341600 SH Call SOLE 4 0 0 SNAP INC CL A 83304A106 3695 341600 SH Put SOLE 3695 0 0 SNAP INC CL A 83304A106 2897 341600 SH SOLE 2897 0 0 SOGOU INC ADR REPSTG A 83409V104 1359 199700 SH Put SOLE 1359 0 0 SOGOU INC ADR REPSTG A 83409V104 1484 199700 SH SOLE 1484 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 233254 882345 SH SOLE 233254 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 357743 1231045 SH SOLE 357743 0 0 SPLUNK INC COM 848637104 4848 40100 SH SOLE 4848 0 0 STANLEY BLACK & DECKER INC COM 854502101 2577 17600 SH SOLE 2577 0 0 STELLAR ACQUISITION III INC COM Y8172W107 1053 101741 SH SOLE 1053 0 0 SUPERNUS PHARMACEUTICALS INC COM 868459108 584 11600 SH SOLE 584 0 0 TELADOC HEALTH INC COM 87918A105 1364 15800 SH SOLE 1364 0 0 TELLURIAN INC NEW COM 87968A104 227 25279 SH SOLE 227 0 0 TESARO INC COM 881569107 2586 66300 SH SOLE 2586 0 0 THUNDER BRIDGE ACQUISITION L SHS CLASS A G8857R100 2904 299100 SH SOLE 2904 0 0 TIBERIUS ACQUISITION CORP COM 88633A107 2926 303491 SH SOLE 2926 0 0 TOTTENHAM ACQUISITION I LTD SHS G8959N106 485 50000 SH SOLE 485 0 0 TRANSENTERIX INC COM NEW 89366M201 157 173100 SH Put SOLE 157 0 0 TRANSENTERIX INC COM NEW 89366M201 1004 173100 SH SOLE 1004 0 0 TRIDENT ACQUISITIONS CORP COM 89615T106 4664 475000 SH SOLE 4664 0 0 TRINITY MERGER CORP COM CL A 89653L106 3925 400100 SH SOLE 3925 0 0 TURQUOISE HILL RES LTD COM 900435108 530 250000 SH SOLE 530 0 0 TWELVE SEAS INVESTMENT COMPA SHS G9145A107 1995 209535 SH SOLE 1995 0 0 TWITTER INC NOTE 1.000% 9/1 90184LAD4 4602 5000000 SH SOLE 4602 0 0 UNION ACQUISITION CORP SHS G9366W101 4887 501240 SH SOLE 4887 0 0 UNION PAC CORP COM 907818108 9118 56000 SH SOLE 9118 0 0 VECTOIQ ACQUISITION CORP COM 92243N103 1108 116300 SH SOLE 1108 0 0 VIRNETX HLDG CORP COM 92823T108 350 98500 SH Put SOLE 350 0 0 VIRNETX HLDG CORP COM 92823T108 458 98500 SH SOLE 458 0 0 WAYFAIR INC CL A 94419L101 4607 31200 SH SOLE 4607 0 0 WILLIAMS COS INC DEL COM 969457100 1361 50069 SH SOLE 1361 0 0 WIX COM LTD SHS M98068105 754 6300 SH SOLE 754 0 0 WPX ENERGY INC COM 98212B103 605 30068 SH SOLE 605 0 0 MODERN MEDIA ACQUISITION *W EXP 05/17/202 60765P111 22 39455 SH SOLE 22 0 0 SABAN CAP ACQUISITION CORP *W EXP 09/21/202 78516C114 142 129200 SH SOLE 142 0 0 TIBERIUS ACQUISITION CORP *W EXP 02/28/202 88633A115 32 54900 SH SOLE 32 0 0 YAHOO INC NOTE 12/0 984332AF3 6374 5000000 SH SOLE 6374 0 0 ZILLOW GROUP INC NOTE 2.000%12/0 98954MAB7 3798 3500000 SH SOLE 3798 0 0 ZUORA INC COM CL A 98983V106 604 40100 SH Put SOLE 604 0 0 ZUORA INC COM CL A 98983V106 927 40100 SH SOLE 927 0 0