Mizuho Securities USA LLC — Q3 2017 13F Holdings

Name: Mizuho Securities USA LLC — 13F Holdings, Q3 2017
Creator: AlphaSMO
License: https://www.sec.gov/forms

CIK: 0001513006

Total reported value

$4.6B

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Full holdings list this quarter

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	✓	Powershares Qqq Trust Ser 1	Stock-Other	31.01%	—	-17.68%
2	SPY	Ss Spdr S&p 500 ETF Trust-us	ETF-Large Cap & Growth	26.00%	+4.55%	NEW
3	DIA	Ss Spdr Dow Jones Indus Avg	ETF-Large Cap & Growth	19.28%	—	+234.70%
4	INTC 2.95 12-15-35	Intel CORP	Stock-Tech	2.21%	—	+12.81%
5	GOF	Guggenheim Strategic Opportunities Fund	Stock-Other	1.08%	—	-43.65%
6	✓	Parexel Intl CORP	Stock-Other	0.91%	—	—
7	GDX	Vaneck Gold Miners ETF	ETF-Commodities	0.89%	—	—
8	WELL 6.5 PERP I	Welltower INC	Stock-Real Estate	0.82%	—	+85.19%
9	PANW 0 07-01-19	Palo Alto Networks	Stock-Tech	0.78%	—	+37.90%
10	MU 2.125 02-15-33 F	Micron Technology INC	Stock-Tech	0.75%	—	+2.30%
11	MCHP 1.625 02-15-25	Microchip Technology INC	Stock-Tech	0.66%	—	+17.06%
12	SNAP	Snap INC - A	Stock-Comm Services	0.58%	—	+407.73%
13	NFLX	Netflix INC	Stock-Comm Services	0.51%	+0.69%	NEW
14	STWD 4.55 03-01-18	Starwood Property Trust	Stock-Real Estate	0.37%	—	+6.42%
15	CRM 0.25 04-01-18	Salesforce.com INC	Stock-Tech	0.36%	—	—
16	FSLR	First Solar INC	Stock-Tech	0.35%	—	-7.15%
17	IDCC 1.5 03-01-20	Interdigital INC	Stock-Tech	0.34%	—	-36.54%
18	SMH	Vaneck Semiconductor ETF	ETF-Other	0.32%	—	—
19	✓	Vwr CORP	Stock-Other	0.30%	—	+250.00%
20	CEMEX 3.75 03-15-18	Cemex Sab De Cv	Stock-Other	0.30%	—	—
21	UA	Under Armour Inc-class C	Stock-Consumer Disc	0.28%	—	—
22	SWK	Stanley Black & Decker INC	Stock-Industrials	0.28%	—	-19.59%
23	V	Visa Inc-class A Shares	Stock-Financials	0.27%	+1.04%	NEW
24	✓	Electrum Spl Acquisition Cor	Stock-Other	0.27%	—	+150.62%
25	IFXGR 4.5 01-15-22	Cypress Semiconductor Co	Stock-Other	0.27%	—	—
26	✓	Exa CORP	Stock-Other	0.24%	—	—
27	FSLR	First Solar, Inc.	Stock-Tech	0.24%	—	—
28	XME	Ss Spdr S&p Metals Mining	ETF-Other	0.23%	—	—
29	NOW 0 11-01-18	Servicenow INC	Stock-Tech	0.23%	—	+7.69%
30	TWTR 0.25 09-15-19	Twitter INC	Stock-Other	0.22%	—	—
31	✓	Capital Bank Financial CORP	Stock-Other	0.22%	—	—
32	MELI 2.25 07-01-19	Mercadolibre INC	Stock-Consumer Disc	0.22%	—	—
33	TSLA 1.25 03-01-21	Tesla INC	Stock-Consumer Disc	0.20%	—	+75.00%
34	BA	Boeing Co/the	Stock-Industrials	0.20%	—	—
35	DDD	3d Systems CORP	Stock-Other	0.20%	—	-36.08%
36	RH	Rh	Stock-Consumer Disc	0.20%	—	+11.00%
37	SO	Southern Co/the	Stock-Utilities	0.19%	—	—
38	GS	Goldman Sachs Group INC	Stock-Financials	0.19%	—	—
39	HTZ-WEUR	Hertz Global Holdings INC	Stock-Other	0.19%	—	+221.98%
40	HD	Home Depot INC	Stock-Consumer Disc	0.18%	+0.63%	NEW
41	MMM	3m Co	Stock-Industrials	0.17%	—	—
42	AN	Autonation INC	Stock-Consumer Disc	0.16%	—	—
43	RDFN	Redfin CORP	Stock-Other	0.16%	—	—
44	TWLO	Twilio INC - A	Stock-Tech	0.16%	—	-0.88%
45	✓	Bank Mut CORP New Com	Stock-Other	0.16%	—	—
46	ARNCCHF	Arconic INC	Stock-Other	0.16%	—	—
47	UNH	Unitedhealth Group INC	Stock-Healthcare	0.15%	+0.83%	NEW
48	FITEUR	Fitbit INC - A	Stock-Other	0.15%	—	—
49	JWNUSD	Nordstrom INC	Stock-Other	0.15%	—	-29.94%
50	SRCL 5.25 09-15-18	Stericycle INC	Stock-Other	0.15%	—	—

1–50 of 158

Holding changes this quarter

Position changes disclosed by Mizuho Securities USA LLC for the quarter ending Q3 2017, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	DIA	Ss Spdr Dow Jones Indus Avg	+13.9%	+234.70%	Add
2	INTC 2.95 12-15-35	Intel CORP	+0.4%	+12.81%	Add
3	WELL 6.5 PERP I	Welltower INC	+0.4%	+85.19%	Add
4	PANW 0 07-01-19	Palo Alto Networks	+0.3%	+37.90%	Add
5	✓	Vwr CORP	+0.2%	+250.00%	Add
6	MU 2.125 02-15-33 F	Micron Technology INC	+0.2%	+2.30%	Add
7	MCHP 1.625 02-15-25	Microchip Technology INC	+0.2%	+17.06%	Add
8	LUV	Southwest Airlines Co.	-0.2%	-88.34%	Trim
9	TSLA 2.375 03-15-22	Tesla INC	-0.2%	-58.39%	Trim
10	UBNTEUR	Ubiquiti Networks INC	-0.2%	-66.50%	Trim
11	IDCC 1.5 03-01-20	Interdigital INC	-0.2%	-36.54%	Trim
12	UAA	Under Armour Inc-class A	-0.2%	-72.59%	Trim
13	DOEUR	Diamond Offshore Drilling	-0.3%	-82.79%	Trim
14	PFE	Pfizer INC	-0.6%	-95.66%	Trim
15	GOF	Guggenheim Strategic Opportunities Fund	-0.8%	-43.65%	Trim
16	✓	Powershares Qqq Trust Ser 1	-4.2%	-17.68%	Trim
17	SPY	Ss Spdr S&p 500 ETF Trust-us	-11.2%	-77.79%	Trim
18	TLT	Ishares 20+ Year Treasury Bd	—	EXIT	Sold out
19	✓	Parexel Intl CORP	—	NEW	New buy
20	GDX	Vaneck Gold Miners ETF	—	NEW	New buy
21	NFLX	Netflix INC	—	NEW	New buy
22	GOOGL	Alphabet Inc-cl A	—	EXIT	Sold out
23	APD	Air Products & Chemicals INC	—	EXIT	Sold out
24	TMO	Thermo Fisher Scientific INC	—	EXIT	Sold out
25	SCHW	Schwab (charles) CORP	—	EXIT	Sold out
26	SMH	Vaneck Semiconductor ETF	—	NEW	New buy
27	WB	Weibo Corp-spon Adr	—	EXIT	Sold out
28	UA	Under Armour Inc-class C	—	NEW	New buy
29	SRE	Sempra	—	EXIT	Sold out
30	V	Visa Inc-class A Shares	—	NEW	New buy
31	IFXGR 4.5 01-15-22	Cypress Semiconductor Co	—	NEW	New buy
32	✓	Syneron Medical LTD	—	EXIT	Sold out
33	EXC	Exelon CORP	—	EXIT	Sold out
34	✓	Exa CORP	—	NEW	New buy
35	FSLR	First Solar, Inc.	—	NEW	New buy
36	WLK	Westlake Corporation	—	EXIT	Sold out
37	XME	Ss Spdr S&p Metals Mining	—	NEW	New buy
38	TWTR 0.25 09-15-19	Twitter INC	—	NEW	New buy
39	✓	Capital Bank Financial CORP	—	NEW	New buy
40	MELI 2.25 07-01-19	Mercadolibre INC	—	NEW	New buy
41	CAA 1.25 08-01-32	Calatlantic Group INC	—	EXIT	Sold out
42	✓	TerraForm Global, Inc. Class A	—	EXIT	Sold out
43	AAOI	Applied Optoelectronics INC	—	EXIT	Sold out
44	BA	Boeing Co/the	—	NEW	New buy
45	SO	Southern Co/the	—	NEW	New buy
46	GS	Goldman Sachs Group INC	—	NEW	New buy
47	HD	Home Depot INC	—	NEW	New buy
48	NEM 1.625 07-15-17 B	Newmont Mining CORP	—	EXIT	Sold out
49	GMED 2.25 03-15-21	Nuvasive INC	—	EXIT	Sold out
50	TRN 3.875 06-01-36	Trinity Industries INC	—	EXIT	Sold out