13F-HR filed by MIZUHO SECURITIES USA LLC
MIZUHO SECURITIES USA LLC filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-10-18, with 147 holding rows worth $1,316,167,000.
- Accession
- 0001062993-18-004145
- Filer
- CIK 1513006
- Filed
- 2018-10-18
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 147 entries on the cover page, a total value of $1,316,167,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,316,168,000 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 | 1,231,045 | $357,743,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 1,363,415 | $253,223,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 882,345 | $233,254,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 10,000 | $60,500,000 | thousands by filing date | Value about 1,000 times the price other filers imply, kept as filed and left out of ratios. |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 368,200 | $29,463,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 174,600 | $19,438,000 | thousands by filing date | |
| EASTERLY ACQUISITION CORP | 27616L102 | COM | 1,720,412 | $17,634,000 | thousands by filing date | |
| ANDEAVOR | 03349M105 | COM | 93,624 | $14,371,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 7,430,000 | $11,244,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 11,000,000 | $11,008,000 | thousands by filing date | |
| CM SEVEN STAR ACQUISITION CO | G2345N102 | SHS | 1,091,543 | $10,981,000 | thousands by filing date | |
| CONSTELLATION ALPHA CAP CORP | G2379F108 | SHS | 1,041,775 | $10,345,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283AD2 | NOTE 6/1 | 8,160,000 | $9,868,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 56,000 | $9,118,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P103 | COM | 908,323 | $9,038,000 | thousands by filing date | |
| 180 LIFE SCIENCES ORD | 48242A104 | COM | 812,597 | $8,045,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 5,500,000 | $7,979,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 4,589,000 | $7,119,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | G0726L125 | Stock | 651,251 | $6,604,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 5,000,000 | $6,374,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 5,700 | $6,163,000 | thousands by filing date | |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 4,500,000 | $5,865,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806AM1 | NOTE 4.500% 1/1 | 4,375,000 | $5,519,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E105 | COM | 546,256 | $5,441,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 5,083,000 | $5,426,000 | thousands by filing date | |
| UNION ACQUISITION CORP | G9366W101 | SHS | 501,240 | $4,887,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 40,100 | $4,848,000 | thousands by filing date | |
| TRANSLATIONAL ACQUISITION DVLNT ORD | 89615T106 | COM | 475,000 | $4,664,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 31,200 | $4,607,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 5,000,000 | $4,602,000 | thousands by filing date | |
| I AM CAP ACQUISITION CO | 45074Q108 | COM | 450,124 | $4,582,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A102 | CL A | 425,000 | $4,310,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 3,500,000 | $4,065,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 24,200 | $4,056,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L106 | COM CL A | 400,100 | $3,925,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAB7 | NOTE 2.000%12/0 | 3,500,000 | $3,798,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 341,600 | $3,695,000 | thousands by filing date | put |
| ENSCO JERSEY FIN LTD | 29359WAB1 | NOTE 3.000% 1/3 | 3,575,000 | $3,549,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTON CORP I | 42588L105 | COM | 347,294 | $3,459,000 | thousands by filing date | |
| HUNTER MARITIME ACQUISITION | Y37828111 | CL A | 341,475 | $3,398,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 57,200 | $3,319,000 | thousands by filing date | |
| DRAPER OAKWOOD TECHNOLOGY | 26146L103 | COM CL A | 350,000 | $3,286,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 147,187 | $3,259,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P100 | COM | 303,079 | $2,985,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 40,800 | $2,980,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A107 | COM | 303,491 | $2,926,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q106 | CL A | 300,000 | $2,912,000 | thousands by filing date | |
| THUNDER BRIDGE ACQUISITION L | G8857R100 | SHS CLASS A | 299,100 | $2,904,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 341,600 | $2,897,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N106 | COM | 288,960 | $2,875,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F109 | CL A COM | 300,200 | $2,856,000 | thousands by filing date | |
| JAZZ INVESTMENTS I LTD | 472145AD3 | NOTE 1.500% 8/1 | 2,795,000 | $2,851,000 | thousands by filing date | |
| Booking Holdings Inc. | 09857L108 | COM | 1,390 | $2,758,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 140,788 | $2,599,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 2,205,000 | $2,589,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 66,300 | $2,586,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 17,600 | $2,577,000 | thousands by filing date | |
| BLACK RIDGE ACQUISITION CORP | 09216T107 | COM | 263,915 | $2,571,000 | thousands by filing date | |
| BISON CAP ACQUISITION CORP | G1142P104 | ORD SHS | 222,719 | $2,274,000 | thousands by filing date | |
| MUDRICK CAP ACQUISITION CORP | 624745105 | COM CLASS A | 225,390 | $2,182,000 | thousands by filing date | |
| ALLEGRO MERGER CORP | 01749N103 | COM | 224,446 | $2,134,000 | thousands by filing date | |
| DROPBOX INC CL A | 26210C104 | Stock | 77,300 | $2,074,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 2,052,000 | $2,070,000 | thousands by filing date | |
| TWELVE SEAS INVESTMENT COMPA | G9145A107 | SHS | 209,535 | $1,995,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAF7 | NOTE 1.000% 7/0 | 2,000,000 | $1,961,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283AC4 | DBCV 7/1 | 1,488,000 | $1,841,000 | thousands by filing date | |
| INSULET CORP | 45784PAF8 | NOTE 1.250% 9/1 | 1,000,000 | $1,839,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 83,000 | $1,660,000 | thousands by filing date | |
| GREENLAND ACQUISITIN CORPORA | G40981139 | SHS | 169,764 | $1,642,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 1,588,000 | $1,612,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 157,800 | $1,554,000 | thousands by filing date | put |
| CLOVIS ONCOLOGY INC | 189464AC4 | NOTE 1.250% 5/0 | 2,000,000 | $1,548,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 12,300 | $1,512,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 199,700 | $1,484,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 150,000 | $1,478,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 1,000,000 | $1,391,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 15,800 | $1,364,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 50,069 | $1,361,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 199,700 | $1,359,000 | thousands by filing date | put |
| DOCUSIGN INC COM | 256163106 | Stock | 25,200 | $1,325,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 35,000 | $1,252,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 17,100 | $1,203,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 1,000,000 | $1,195,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 50,000 | $1,182,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 900,000 | $1,168,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 23,500 | $1,155,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 11,903 | $1,154,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 50,000 | $1,126,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 45,074 | $1,123,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N103 | COM | 116,300 | $1,108,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 39,069 | $1,080,000 | thousands by filing date | |
| INDUSTREA ACQUISITION CORP | 45579J104 | CL A | 105,200 | $1,073,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 12,500 | $1,069,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 56,500 | $1,057,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W107 | COM | 101,741 | $1,053,000 | thousands by filing date | |
| DROPBOX INC CL A | 26210C104 | Stock | 77,300 | $1,022,000 | thousands by filing date | put |
| PG&E CORP COM | 69331C108 | Stock | 22,169 | $1,020,000 | thousands by filing date | |
| MODEL PERFORMANCE ACQUISIT-A | 57682V106 | Common | 100,189 | $1,008,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 70,600 | $1,005,000 | thousands by filing date | put |
| TRANSENTERIX INC | 89366M201 | COM NEW | 173,100 | $1,004,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 55,668 | $996,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 22,700 | $970,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 68,076 | $970,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R106 | SHS | 100,400 | $954,000 | thousands by filing date | |
| ZUORA INC | 98983V106 | COMMON STOCK | 40,100 | $927,000 | thousands by filing date | |
| INNOVIVA INC | 45781MAB7 | NOTE 2.500% 8/1 | 800,000 | $890,000 | thousands by filing date | |
| FOREST CITY RLTY TR INC | 345605109 | COM CL A | 35,000 | $878,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 157,800 | $822,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 70,600 | $785,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 6,300 | $754,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 83,000 | $705,000 | thousands by filing date | put |
| WPX ENERGY INC | 98212B103 | COM | 30,068 | $605,000 | thousands by filing date | |
| ZUORA INC | 98983V106 | COMMON STOCK | 40,100 | $604,000 | thousands by filing date | put |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 4,750 | $600,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 11,600 | $584,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 250,000 | $530,000 | thousands by filing date | |
| HORIZON PHARMA PLC | G4617B105 | SHS | 27,000 | $529,000 | thousands by filing date | |
| PDD HOLDINGS INC SPONSORED ADS | 722304102 | ADR | 20,100 | $528,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 20,000 | $522,000 | thousands by filing date | |
| Tottenham Acquisition I Limited | G8959N106 | SHS | 50,000 | $485,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 30,000 | $479,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 98,500 | $458,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC COM | 40171V100 | Stock | 4,300 | $434,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 500,000 | $426,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 25,200 | $400,000 | thousands by filing date | put |
| MONGODB INC CL A | 60937P106 | Stock | 4,400 | $359,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 98,500 | $350,000 | thousands by filing date | put |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 368,200 | $331,000 | thousands by filing date | call |
| IMPINJ INC | 453204109 | COM | 12,700 | $315,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 2,300 | $300,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 56,500 | $297,000 | thousands by filing date | put |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 300,000 | $293,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 5,400 | $279,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 25,000 | $278,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 25,279 | $227,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 15,000 | $207,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 173,100 | $157,000 | thousands by filing date | put |
| SABAN CAP ACQUISITION CORP | 78516C114 | *W EXP 09/21/202 | 129,200 | $142,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A115 | *W EXP 02/28/202 | 54,900 | $32,000 | thousands by filing date | |
| PDD HOLDINGS INC SPONSORED ADS | 722304102 | ADR | 20,100 | $25,000 | thousands by filing date | put |
| KBL MERGER CORP IV RT | 48242A120 | Common Stock | 50,000 | $23,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P111 | *W EXP 05/17/202 | 39,455 | $22,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 40,800 | $18,000 | thousands by filing date | put |
| MODERN MEDIA ACQUISITION | 60765P129 | RIGHT 99/99/9999 | 26,120 | $11,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 17,200 | $6,000 | thousands by filing date | put |
| SNAP INC | 83304A106 | CL A | 341,600 | $4,000 | thousands by filing date | call |
| CRONOS GROUP INC | 22717L101 | COM | 70,600 | $2,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001062993-18-004145 | this filing | 2018-10-18 | acceptance time not in the bulk data set |