13F-HR filed by MIZUHO SECURITIES USA LLC
MIZUHO SECURITIES USA LLC filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-01-24, with 175 holding rows worth $1,893,743,000.
- Accession
- 0001062993-18-000296
- Filer
- CIK 1513006
- Filed
- 2018-01-24
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A holdings report, 178 entries on the cover page, a total value of $1,893,743,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,893,744,000 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 |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 2,757,290 | $735,190,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 1,963,470 | $484,940,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 1,280,186 | $199,297,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 685,150 | $38,238,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 218,706 | $37,012,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 200,400 | $35,363,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 11,916,000 | $16,344,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 235,000 | $13,974,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 7,261,000 | $12,379,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 52,606 | $11,598,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 7,612,000 | $10,263,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 136,400 | $9,210,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 31,106 | $9,174,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 7,439,000 | $8,897,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C104 | SHS | 838,973 | $8,616,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AV5 | NOTE 2.125% 2/1 | 2,224,000 | $8,375,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 7,700 | $8,111,000 | thousands by filing date | |
| INSULET CORP | 45784PAF8 | NOTE 1.250% 9/1 | 5,220,000 | $6,818,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 39,506 | $6,800,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 3,800,000 | $6,720,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 56,000 | $6,474,000 | thousands by filing date | |
| COMCAST HOLDINGS CORP | 200300507 | ZONES CV2% PCS | 118,292 | $6,394,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 116,500 | $6,113,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806AM1 | NOTE 4.500% 1/1 | 3,930,000 | $5,193,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 352,000 | $5,143,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BC6 | NOTE 3.750% 3/1 | 5,000,000 | $5,082,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 67,600 | $4,827,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 352,000 | $4,720,000 | thousands by filing date | put |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 18,506 | $4,715,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 26,400 | $4,480,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 2,000,000 | $4,438,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 18,506 | $4,356,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 4,500,000 | $4,309,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354AB3 | NOTE 1.750%12/0 | 4,283,000 | $3,805,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 346,183 | $3,687,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 18,506 | $3,507,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 3,020,000 | $3,507,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 82,600 | $3,400,000 | thousands by filing date | put |
| Adobe Inc | 00724F101 | COM | 18,000 | $3,154,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 2,500,000 | $2,944,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 18,506 | $2,916,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 18,506 | $2,839,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 23,000 | $2,693,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 18,506 | $2,586,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 18,506 | $2,510,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 40,900 | $2,481,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 50,000 | $2,404,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 18,506 | $2,361,000 | thousands by filing date | |
| ENERGY TRANSFER PARTNERS LP | 29278N103 | UNIT LTD PRT INT | 131,000 | $2,348,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 293,500 | $2,346,000 | thousands by filing date | put |
| Chevron Corporation | 166764100 | COM | 18,506 | $2,317,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 293,500 | $2,222,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 11,600 | $2,159,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 18,506 | $2,110,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 118,506 | $2,068,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 64,900 | $2,048,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 158,000 | $1,998,000 | thousands by filing date | put |
| Walt Disney Co | 254687106 | COM | 18,506 | $1,990,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 18,506 | $1,979,000 | thousands by filing date | |
| ORBITAL ATK INC | 68557N103 | COM | 15,000 | $1,972,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 41,500 | $1,966,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 138,200 | $1,962,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 193,864 | $1,921,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 1,750,000 | $1,880,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 18,506 | $1,838,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 18,506 | $1,827,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 15,129 | $1,817,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 25,000 | $1,806,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 1,250,000 | $1,801,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 18,506 | $1,700,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 1,271 | $1,671,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 31,154 | $1,658,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 130,900 | $1,641,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 130,900 | $1,584,000 | thousands by filing date | put |
| Microsoft Corp | 594918104 | COM | 18,506 | $1,583,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 35,000 | $1,550,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 18,506 | $1,548,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 43,800 | $1,545,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 161,091 | $1,519,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 100,000 | $1,516,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 25,000 | $1,471,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 171,800 | $1,448,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 21,100 | $1,348,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 18,506 | $1,318,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 171,800 | $1,299,000 | thousands by filing date | put |
| SPY | 78462F103 | SHS | 2,757,290 | $1,263,000 | thousands by filing date | put |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 300,000 | $1,209,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 300,000 | $1,203,000 | thousands by filing date | put |
| ROKU INC COM CL A | 77543R102 | Stock | 23,100 | $1,196,000 | thousands by filing date | |
| FORUM MERGER CORP | 34985B103 | COM CL A | 117,411 | $1,172,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 18,506 | $1,158,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 101,800 | $1,148,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 30,000 | $1,115,000 | thousands by filing date | |
| CLEVELAND CLIFFS INC | 185899AA9 | DBCV 1.500% 1/1 | 1,000,000 | $1,094,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 13,700 | $1,051,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887208 | PFD SHS CONV A | 18,100 | $1,049,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 18,506 | $1,041,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 64,900 | $1,034,000 | thousands by filing date | put |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 1,200,000 | $1,008,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 100,000 | $986,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 18,506 | $980,000 | thousands by filing date | |
| OSPREY ENERGY ACQUISITION CO | 688397108 | CL A COM | 101,214 | $972,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 22,400 | $938,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 70,100 | $934,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 37,000 | $926,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 158,000 | $902,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 25,000 | $867,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 5,000 | $864,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 18,506 | $854,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 25,000 | $853,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 18,506 | $849,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 20,000 | $839,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 199,000 | $796,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 175,000 | $730,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 4,000 | $722,000 | thousands by filing date | |
| CAPITOL INVT CORP IV | G18920119 | UNIT 99/99/9999 | 71,600 | $719,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 82,600 | $714,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 153,400 | $713,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 25,000 | $712,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 18,506 | $709,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 18,506 | $670,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 153,400 | $648,000 | thousands by filing date | put |
| GAMESTOP CORP | 36467W109 | CL A | 34,000 | $610,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 218,706 | $608,000 | thousands by filing date | put |
| REDFIN CORP | 75737F108 | COM | 4,100 | $580,000 | thousands by filing date | put |
| BUNGE LTD | G16962105 | COM | 8,610 | $578,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 79,000 | $537,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 33,200 | $536,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 500,000 | $527,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 3,320 | $519,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 79,000 | $518,000 | thousands by filing date | put |
| FEDERAL STR ACQUISITION CORP | 31421V206 | UNIT 99/99/9999 | 50,100 | $516,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 138,200 | $505,000 | thousands by filing date | put |
| UNDER ARMOUR INC | 904311107 | CL A | 32,900 | $475,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 53,500 | $450,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 9,200 | $439,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 9,300 | $425,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 5,000 | $411,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 25,000 | $406,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 22,700 | $405,000 | thousands by filing date | |
| TPG PACE ENERGY HLDGS CORP | 872656202 | UNIT 99/99/9999 | 40,000 | $404,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 37,000 | $367,000 | thousands by filing date | put |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 24,400 | $295,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867109 | COM CL A | 28,240 | $280,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 101,800 | $276,000 | thousands by filing date | put |
| HENNESSY CAP ACQUSTON CORP I | 42588L204 | UNIT 06/15/2024 | 25,000 | $259,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 4,000 | $256,000 | thousands by filing date | |
| TPG PACE HLDGS CORP | G89827102 | UNIT 99/99/9999 | 25,000 | $254,000 | thousands by filing date | |
| SILVER RUN ACQUISITION | 82812A103 | COM CL A | 25,300 | $247,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTON CORP I | 42588L105 | COM | 25,000 | $245,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 4,219 | $223,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 4,100 | $188,000 | thousands by filing date | call |
| HRG GROUP INC COM | 40434J100 | Stock | 10,500 | $178,000 | thousands by filing date | |
| EASTERLY ACQUISITION CORP | 27616L102 | COM | 17,400 | $176,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 13,700 | $175,000 | thousands by filing date | put |
| ROKU INC COM CL A | 77543R102 | Stock | 23,100 | $143,000 | thousands by filing date | put |
| NORDSTROM INC | 655664100 | COM | 41,500 | $141,000 | thousands by filing date | put |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 22,700 | $131,000 | thousands by filing date | put |
| REDFIN CORP | 75737F108 | COM | 4,100 | $128,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 21,800 | $119,000 | thousands by filing date | put |
| GNC HLDGS INC | 36191G107 | COM CL A | 10,000 | $113,000 | thousands by filing date | put |
| GAMESTOP CORP | 36467W109 | CL A | 34,400 | $108,000 | thousands by filing date | put |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 63,000 | $57,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 24,400 | $51,000 | thousands by filing date | put |
| GNC HLDGS INC | 36191G107 | COM CL A | 10,000 | $37,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 21,800 | $35,000 | thousands by filing date | call |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 56,000 | $9,000 | thousands by filing date | put |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 82,600 | $8,000 | thousands by filing date | call |
| ROKU INC COM CL A | 77543R102 | Stock | 23,100 | $6,000 | thousands by filing date | call |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 153,400 | $6,000 | thousands by filing date | call |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 33,200 | $6,000 | thousands by filing date | put |
| FIRST SOLAR INC COM | 336433107 | Stock | 136,400 | $3,000 | thousands by filing date | put |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 425,000 | $3,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 43,800 | $2,000 | thousands by filing date | put |
| SNAP INC | 83304A106 | CL A | 352,000 | $1,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001062993-18-000296 | this filing | 2018-01-24 | acceptance time not in the bulk data set |