13F-HR filed by MIZUHO SECURITIES USA LLC
MIZUHO SECURITIES USA LLC filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-10-20, with 121 holding rows worth $385,023,000.
- Accession
- 0001062993-15-005515
- Filer
- CIK 1513006
- Filed
- 2015-10-20
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 121 entries on the cover page, a total value of $385,023,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $385,029,000 with VALUE read as thousands by filing date, 13F file number 028-14335. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 1,300,000 | $160,602,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 391,440 | $43,176,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 274,400 | $25,615,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 290,000 | $12,296,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 400,000 | $6,232,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 2,725,000 | $5,699,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 391,440 | $5,622,000 | thousands by filing date | put |
| BLOCK H & R INC COM | 093671105 | Stock | 125,000 | $4,525,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 55,000 | $4,338,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 154,100 | $4,137,000 | thousands by filing date | put |
| GOPRO INC | 38268T103 | CL A | 123,700 | $3,862,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 50,000 | $3,806,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 50,000 | $3,242,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 48,200 | $3,192,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 30,000 | $3,190,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 30,000 | $3,066,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 134,600 | $3,050,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 123,700 | $2,989,000 | thousands by filing date | put |
| ALLERGAN PLC | G0177J116 | PFD CONV SER A | 3,035 | $2,842,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 159,500 | $2,726,000 | thousands by filing date | put |
| IXIA | 45071RAB5 | NOTE 3.000%12/1 | 2,621,000 | $2,621,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 95,000 | $2,392,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 98,300 | $2,382,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 253,800 | $2,348,000 | thousands by filing date | put |
| MDCO 1.375 6/17 | 584688AC9 | Bond 30/360P2 U | 1,606,000 | $2,331,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 1,252,000 | $2,178,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 1,750,000 | $2,152,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 2,000,000 | $2,022,000 | thousands by filing date | |
| JUNO THERAPEUTICS INC | 48205A109 | COM | 49,600 | $2,018,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 52,200 | $1,948,000 | thousands by filing date | put |
| FITBIT INC | 33812L102 | CL A | 50,400 | $1,900,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 25,000 | $1,798,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 154,100 | $1,780,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 36,900 | $1,634,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 50,400 | $1,568,000 | thousands by filing date | put |
| AFFYMETRIX INC | 00826TAH1 | NOTE 4.000% 7/0 | 1,000,000 | $1,563,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 101,800 | $1,525,000 | thousands by filing date | put |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 142,400 | $1,518,000 | thousands by filing date | put |
| CREE INC | 225447101 | COM | 98,300 | $1,480,000 | thousands by filing date | put |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 66,800 | $1,470,000 | thousands by filing date | put |
| WORLD ACCEP CORPORATION | 981419104 | COM | 52,200 | $1,401,000 | thousands by filing date | |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 30,800 | $1,401,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 789,000 | $1,382,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520AB8 | NOTE 3.000% 9/1 | 1,000,000 | $1,361,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 23,000 | $1,329,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 51,000 | $1,275,000 | thousands by filing date | put |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 25,000 | $1,275,000 | thousands by filing date | |
| JUNO THERAPEUTICS INC | 48205A109 | COM | 49,600 | $1,062,000 | thousands by filing date | put |
| SUNPOWER CORP | 867652406 | COM | 51,000 | $1,022,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 159,500 | $1,018,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 25,600 | $1,011,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 23,000 | $979,000 | thousands by filing date | put |
| PULTE GROUP INC COM | 745867101 | Stock | 50,000 | $944,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 30,000 | $917,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 253,800 | $893,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 57,800 | $888,000 | thousands by filing date | put |
| OPKO HEALTH INC | 68375N103 | COM | 65,500 | $886,000 | thousands by filing date | put |
| HALLIBURTON CO COM | 406216101 | Stock | 25,000 | $884,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 66,800 | $863,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 69,600 | $788,000 | thousands by filing date | put |
| Netflix, Inc | 64110L106 | COM | 7,500 | $774,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AC3 | NOTE 1.750%12/0 | 500,000 | $768,000 | thousands by filing date | |
| KING DIGITAL ENTMT PLC | G5258J109 | ORD SHS | 56,400 | $764,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 41,000 | $763,000 | thousands by filing date | put |
| APPROACH RESOURCES INC | 03834A103 | COM | 79,800 | $746,000 | thousands by filing date | put |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 72,200 | $741,000 | thousands by filing date | put |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 36,600 | $737,000 | thousands by filing date | put |
| CIMPRESS N V | N20146101 | SHS EURO | 50,000 | $710,000 | thousands by filing date | put |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 41,000 | $699,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 60,600 | $692,000 | thousands by filing date | put |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 30,800 | $654,000 | thousands by filing date | put |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 27,100 | $646,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 6,550 | $606,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 101,800 | $601,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 300,000 | $585,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 60,600 | $571,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 65,500 | $551,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 37,400 | $527,000 | thousands by filing date | |
| KING DIGITAL ENTMT PLC | G5258J109 | ORD SHS | 56,400 | $474,000 | thousands by filing date | put |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 44,800 | $441,000 | thousands by filing date | put |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 29,700 | $390,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 29,700 | $384,000 | thousands by filing date | put |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 72,200 | $379,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 57,800 | $369,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 36,600 | $361,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 142,400 | $355,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 9,000 | $342,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 37,400 | $321,000 | thousands by filing date | put |
| MANNKIND CORP | 56400P201 | COM | 67,300 | $317,000 | thousands by filing date | put |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 194,000 | $305,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 16,400 | $302,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 21,000 | $264,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 13,500 | $262,000 | thousands by filing date | put |
| INTEROIL CORP | 460951AC0 | NOTE 2.750%11/1 | 245,000 | $243,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 36,400 | $230,000 | thousands by filing date | put |
| MANNKIND CORP | 56400P201 | COM | 67,300 | $216,000 | thousands by filing date | |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 100,000 | $212,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 45,500 | $207,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 200,000 | $174,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 36,400 | $170,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 21,000 | $161,000 | thousands by filing date | put |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 23,100 | $158,000 | thousands by filing date | put |
| APPROACH RESOURCES INC | 03834A103 | COM | 79,800 | $149,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 13,500 | $146,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 7,700 | $126,000 | thousands by filing date | put |
| ZOES KITCHEN INC | 98979J109 | COM | 25,600 | $121,000 | thousands by filing date | put |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 44,800 | $120,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 16,400 | $117,000 | thousands by filing date | put |
| NOODLES & CO | 65540B105 | COM CL A | 7,700 | $109,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 100,000 | $92,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 23,100 | $79,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 69,600 | $74,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 64,000 | $72,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 1,300,000 | $68,000 | thousands by filing date | call |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 27,100 | $60,000 | thousands by filing date | put |
| CERUS CORP | 157085101 | COM | 45,500 | $56,000 | thousands by filing date | put |
| GOPRO INC | 38268T103 | CL A | 123,700 | $18,000 | thousands by filing date | call |
| CREE INC | 225447101 | COM | 98,300 | $16,000 | thousands by filing date | call |
| FITBIT INC | 33812L102 | CL A | 50,400 | $11,000 | thousands by filing date | call |
| ULTRA PETROLEUM CORP | 903914109 | COM | 57,800 | $5,000 | thousands by filing date | call |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 41,000 | $4,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001062993-15-005515 | this filing | 2015-10-20 | acceptance time not in the bulk data set |