13F-HR filed by MIZUHO SECURITIES USA LLC
MIZUHO SECURITIES USA LLC filed this 13F-HR for the quarter ended 2015-12-31, filed 2016-01-21, with 141 holding rows worth $806,454,000.
- Accession
- 0001062993-16-007186
- Filer
- CIK 1513006
- Filed
- 2016-01-21
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A holdings report, 141 entries on the cover page, a total value of $806,454,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $806,457,000 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 | $156,754,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 1,165,363 | $130,358,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 620,411 | $107,945,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 414,700 | $43,651,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 304,000 | $31,227,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 485,300 | $26,381,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 500,000 | $21,415,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 200,000 | $15,882,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 125,500 | $14,308,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 298,500 | $12,919,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 130,000 | $11,238,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 193,000 | $9,936,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 239,400 | $7,238,000 | thousands by filing date | put |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 129,800 | $7,072,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 2,725,000 | $6,995,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 109,400 | $6,838,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 123,900 | $6,590,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 183,400 | $6,259,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 3,759,000 | $6,256,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 45,000 | $6,193,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 302,700 | $6,131,000 | thousands by filing date | put |
| XCELENERGY INC | 98389B100 | COM | 151,000 | $5,422,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 78,200 | $5,133,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 40,800 | $5,116,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 100,600 | $4,643,000 | thousands by filing date | |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 104,900 | $4,435,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 239,400 | $4,312,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 151,000 | $4,273,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 136,300 | $4,246,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 88,300 | $3,959,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 148,400 | $3,958,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 157,900 | $3,763,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 38,100 | $3,355,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 29,900 | $3,229,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 80,000 | $2,723,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 55,000 | $2,666,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 50,000 | $2,641,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 302,700 | $2,630,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 161,800 | $2,592,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 80,000 | $2,582,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 40,000 | $2,452,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 15,000 | $2,435,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 148,600 | $2,400,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 42,930 | $2,247,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 67,900 | $2,172,000 | thousands by filing date | put |
| WORLD ACCEP CORPORATION | 981419104 | COM | 55,500 | $2,059,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 48,700 | $2,036,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 2,000,000 | $2,029,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 67,900 | $2,009,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 1,205,000 | $2,004,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 40,000 | $1,999,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 60,000 | $1,978,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 1,252,000 | $1,963,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 175,000 | $1,942,000 | thousands by filing date | put |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 1,250,000 | $1,939,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 27,300 | $1,866,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 307,900 | $1,858,000 | thousands by filing date | put |
| ALLERGAN PLC | G0177J116 | PFD CONV SER A | 1,700 | $1,736,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826TAH1 | NOTE 4.000% 7/0 | 1,000,000 | $1,732,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 100,000 | $1,712,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 72,700 | $1,704,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 72,500 | $1,653,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 150,000 | $1,650,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 22,500 | $1,636,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 307,900 | $1,555,000 | thousands by filing date | |
| MDCO 1.375 6/17 | 584688AC9 | Bond 30/360P2 U | 1,106,000 | $1,550,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 51,000 | $1,531,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 27,000 | $1,505,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 107,800 | $1,483,000 | thousands by filing date | put |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 104,900 | $1,451,000 | thousands by filing date | put |
| WORLD ACCEP CORPORATION | 981419104 | COM | 55,500 | $1,418,000 | thousands by filing date | put |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 72,500 | $1,396,000 | thousands by filing date | put |
| XEROX CORP | 984121103 | COM | 126,900 | $1,349,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 107,800 | $1,335,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 127,500 | $1,331,000 | thousands by filing date | put |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 97,800 | $1,282,000 | thousands by filing date | put |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 161,800 | $1,267,000 | thousands by filing date | put |
| ALON USA ENERGY INC | 020520AB8 | NOTE 3.000% 9/1 | 1,000,000 | $1,239,000 | thousands by filing date | |
| KING DIGITAL ENTMT PLC | G5258J109 | ORD SHS | 68,900 | $1,232,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 148,400 | $1,038,000 | thousands by filing date | put |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 56,800 | $986,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 25,000 | $954,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 7,500 | $938,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AC3 | NOTE 1.750%12/0 | 500,000 | $933,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 15,000 | $900,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 10,000 | $852,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 72,500 | $825,000 | thousands by filing date | put |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 1,500 | $814,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E102 | COM | 40,100 | $812,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 15,900 | $807,000 | thousands by filing date | put |
| OPKO HEALTH INC | 68375N103 | COM | 66,700 | $766,000 | thousands by filing date | put |
| APPROACH RESOURCES INC | 03834A103 | COM | 84,400 | $741,000 | thousands by filing date | put |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 300,000 | $711,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 66,700 | $670,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V | 62952QAB6 | NOTE 1.000%12/0 | 600,000 | $670,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 100,000 | $666,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 27,000 | $661,000 | thousands by filing date | put |
| SOLARCITY CORP | 83416T100 | COM | 12,800 | $653,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 100,000 | $641,000 | thousands by filing date | put |
| MATTRESS FIRM HLDG CORP | 57722W106 | COM | 13,900 | $620,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 237,200 | $605,000 | thousands by filing date | put |
| SEADRILL ORD | G7945E105 | COM | 175,000 | $593,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 72,700 | $488,000 | thousands by filing date | put |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 66,300 | $444,000 | thousands by filing date | put |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 26,200 | $438,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 26,200 | $383,000 | thousands by filing date | put |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 237,200 | $375,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 127,500 | $319,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 56,800 | $309,000 | thousands by filing date | put |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 194,000 | $296,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 21,300 | $279,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 15,900 | $273,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 36,400 | $268,000 | thousands by filing date | put |
| MANNKIND CORP | 56400P201 | COM | 59,100 | $257,000 | thousands by filing date | put |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 13,500 | $235,000 | thousands by filing date | put |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 26,500 | $212,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 97,800 | $197,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 26,500 | $191,000 | thousands by filing date | put |
| KING DIGITAL ENTMT PLC | G5258J109 | ORD SHS | 68,900 | $191,000 | thousands by filing date | put |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 13,500 | $171,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 200,000 | $171,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 100,000 | $170,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 66,300 | $165,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 7,900 | $161,000 | thousands by filing date | put |
| APPROACH RESOURCES INC | 03834A103 | COM | 84,400 | $155,000 | thousands by filing date | |
| MATTRESS FIRM HLDG CORP | 57722W106 | COM | 13,900 | $151,000 | thousands by filing date | put |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 28,900 | $138,000 | thousands by filing date | put |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 36,400 | $127,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 28,900 | $104,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 136,300 | $87,000 | thousands by filing date | call |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 10,500 | $87,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 59,100 | $86,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 7,900 | $77,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 61,000 | $51,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 10,500 | $50,000 | thousands by filing date | put |
| UNI-PIXEL INC | 904572203 | COM | 72,500 | $38,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 67,900 | $29,000 | thousands by filing date | call |
| BLOCK INC CL A | 852234103 | Stock | 21,300 | $22,000 | thousands by filing date | put |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 72,500 | $4,000 | thousands by filing date | call |
| GOPRO INC | 38268T103 | CL A | 239,400 | $2,000 | thousands by filing date | call |
| SOLARCITY CORP | 83416T100 | COM | 12,800 | $1,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001062993-16-007186 | this filing | 2016-01-21 | acceptance time not in the bulk data set |