MIZUHO SECURITIES USA LLC

Filed: 2/3/2023ACC: 0001062993-23-002050

📋 What this filing means

MIZUHO SECURITIES USA LLC filed this quarterly 13F‑HR report disclosing 180 equity positions with a total reported market value of $1.07B. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

180

Positions

$1.07B

Total AUM (reported)

210.93M

Total Shares

Allocation by class

TR UNIT$483.63M45.2%

SHS CL A$72.24M6.7%

CLASS A ORD SHS$72.22M6.7%

CL A SHS$49.19M4.6%

ORDINARY SHARES$35.26M3.3%

NOTE 0.375% 6/0$30.61M2.9%

CL A ORD SHS$28.65M2.7%

Portfolio Concentration

Top 3$523.83M48.9%

4–10$86.89M8.1%

11–25$131.15M12.3%

Rest$328.60M30.7%

Top 3 weight

48.9%

Top 10 weight

57.1%

Voting Authority Distribution

Total shares with voting rights: 1.07B

Sole

Full voting authority

1.07B

% of voting shares100.0%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

0.00

% of voting shares0.0%

Investment Discretion (by position count)

Sole0

Shared0

Other180

Dominant voting typeSole · 100.0% of voting shares

Institutional Holdings180

Rows:

SPDR S&P 500 ETF TR

DFND

TR UNIT

Shares1.26M

TypeSH

Market value$483.63M

45.18%

Sole

483.63M

Shared

0.00

None

0.00

PALO ALTO NETWORKS INC

DFND

NOTE 0.375% 6/0

Shares15.61M

TypeSH

Market value$22.94M

2.14%

Sole

22.94M

Shared

0.00

None

0.00

NEXTERA ENERGY INC

DFND

UNIT 03/01/2023

Shares356K

TypeSH

Market value$17.26M

1.61%

Sole

17.26M

Shared

0.00

None

0.00

SILICON LABORATORIES INC

DFND

NOTE 0.625% 6/1

Shares12.80M

TypeSH

Market value$15.92M

1.49%

Sole

15.92M

Shared

0.00

None

0.00

A SPAC II ACQUISITION CORP

DFND

ORD SHS CL A

Shares1.31M

TypeSH

Market value$13.13M

1.23%

Sole

13.13M

Shared

0.00

None

0.00

EQT CORP

DFND

NOTE 1.750% 5/0

Shares5.61M

TypeSH

Market value$13.01M

1.22%

Sole

13.01M

Shared

0.00

None

0.00

DHC ACQUISITION CORP

DFND

CLASS A ORD SHS

Shares1.15M

TypeSH

Market value$11.51M

1.08%

Sole

11.51M

Shared

0.00

None

0.00

MONGODB INC

DFND

NOTE 0.250% 1/1

Shares9.69M

TypeSH

Market value$11.32M

1.06%

Sole

11.32M

Shared

0.00

None

0.00

ZSCALER INC

DFND

NOTE 0.125% 7/0

Shares10.74M

TypeSH

Market value$11.18M

1.04%

Sole

11.18M

Shared

0.00

None

0.00

AXIOS SUSTAINABLE GRW ACQ CO

DFND

CL A ORD SHS

Shares1.05M

TypeSH

Market value$10.81M

1.01%

Sole

10.81M

Shared

0.00

None

0.00

ALPHA STAR ACQUISITION CORP

DFND

ORDINARY SHARES

Shares1.03M

TypeSH

Market value$10.32M

0.96%

Sole

10.32M

Shared

0.00

None

0.00

METAL SKY STAR ACQUISITION C

DFND

ORDINARY SHARES

Shares1.03M

TypeSH

Market value$10.22M

0.95%

Sole

10.22M

Shared

0.00

None

0.00

WORKIVA INC

DFND

NOTE 1.125% 8/1

Shares7.80M

TypeSH

Market value$9.55M

0.89%

Sole

9.55M

Shared

0.00

None

0.00

INSULET CORP

DFND

NOTE 0.375% 9/0

Shares6.45M

TypeSH

Market value$9.12M

0.85%

Sole

9.12M

Shared

0.00

None

0.00

AUTHENTIC EQUITY ACQUISTN CO

DFND

CL A SHS

Shares892.26K

TypeSH

Market value$8.85M

0.83%

Sole

8.85M

Shared

0.00

None

0.00

PINDUODUO INC

DFND

NOTE 10/0

Shares4.57M

TypeSH

Market value$8.79M

0.82%

Sole

8.79M

Shared

0.00

None

0.00

BLACKLINE INC

DFND

NOTE 0.125% 8/0

Shares7.75M

TypeSH

Market value$8.58M

0.80%

Sole

8.58M

Shared

0.00

None

0.00

JACK CREEK INVESTMENT CORP

DFND

CL A SHS

Shares844.36K

TypeSH

Market value$8.44M

0.79%

Sole

8.44M

Shared

0.00

None

0.00

UNITED STATES STL CORP

DFND

NOTE 5.000%11/0

Shares4.25M

TypeSH

Market value$8.44M

0.79%

Sole

8.44M

Shared

0.00

None

0.00

ENVISTA HOLDINGS CORPORATION

DFND

NOTE 2.375% 6/0

Shares5M

TypeSH

Market value$8.40M

0.78%

Sole

8.40M

Shared

0.00

None

0.00

LAZARD GROWTH ACQUISITION CO

DFND

CL A ORD SHS

Shares838.26K

TypeSH

Market value$8.38M

0.78%

Sole

8.38M

Shared

0.00

None

0.00

AURORA ACQUISITION CORP

DFND

CLASS A ORD SHS

Shares850K

TypeSH

Market value$8.36M

0.78%

Sole

8.36M

Shared

0.00

None

0.00

PONTEM CORPORATION

DFND

SHS CL A

Shares814.63K

TypeSH

Market value$8.08M

0.75%

Sole

8.08M

Shared

0.00

None

0.00

VECTOR ACQUISITION CORP II

DFND

CL A SHS

Shares790K

TypeSH

Market value$7.94M

0.74%

Sole

7.94M

Shared

0.00

None

0.00

FAR PEAK ACQUISITION CORP

DFND

SHS CL A

Shares766.27K

TypeSH

Market value$7.68M

0.72%

Sole

7.68M

Shared

0.00

None

0.00

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole
SPDR S&P 500 ETF TRDFND	TR UNIT	1.26M	SH	$483.63M 45.18%	483.63M
PALO ALTO NETWORKS INCDFND	NOTE 0.375% 6/0	15.61M	SH	$22.94M 2.14%	22.94M
NEXTERA ENERGY INCDFND	UNIT 03/01/2023	356K	SH	$17.26M 1.61%	17.26M
SILICON LABORATORIES INCDFND	NOTE 0.625% 6/1	12.80M	SH	$15.92M 1.49%	15.92M
A SPAC II ACQUISITION CORPDFND	ORD SHS CL A	1.31M	SH	$13.13M 1.23%	13.13M
EQT CORPDFND	NOTE 1.750% 5/0	5.61M	SH	$13.01M 1.22%	13.01M
DHC ACQUISITION CORPDFND	CLASS A ORD SHS	1.15M	SH	$11.51M 1.08%	11.51M
MONGODB INCDFND	NOTE 0.250% 1/1	9.69M	SH	$11.32M 1.06%	11.32M
ZSCALER INCDFND	NOTE 0.125% 7/0	10.74M	SH	$11.18M 1.04%	11.18M
AXIOS SUSTAINABLE GRW ACQ CODFND	CL A ORD SHS	1.05M	SH	$10.81M 1.01%	10.81M
ALPHA STAR ACQUISITION CORPDFND	ORDINARY SHARES	1.03M	SH	$10.32M 0.96%	10.32M
METAL SKY STAR ACQUISITION CDFND	ORDINARY SHARES	1.03M	SH	$10.22M 0.95%	10.22M
WORKIVA INCDFND	NOTE 1.125% 8/1	7.80M	SH	$9.55M 0.89%	9.55M
INSULET CORPDFND	NOTE 0.375% 9/0	6.45M	SH	$9.12M 0.85%	9.12M
AUTHENTIC EQUITY ACQUISTN CODFND	CL A SHS	892.26K	SH	$8.85M 0.83%	8.85M
PINDUODUO INCDFND	NOTE 10/0	4.57M	SH	$8.79M 0.82%	8.79M
BLACKLINE INCDFND	NOTE 0.125% 8/0	7.75M	SH	$8.58M 0.80%	8.58M
JACK CREEK INVESTMENT CORPDFND	CL A SHS	844.36K	SH	$8.44M 0.79%	8.44M
UNITED STATES STL CORPDFND	NOTE 5.000%11/0	4.25M	SH	$8.44M 0.79%	8.44M
ENVISTA HOLDINGS CORPORATIONDFND	NOTE 2.375% 6/0	5M	SH	$8.40M 0.78%	8.40M
LAZARD GROWTH ACQUISITION CODFND	CL A ORD SHS	838.26K	SH	$8.38M 0.78%	8.38M
AURORA ACQUISITION CORPDFND	CLASS A ORD SHS	850K	SH	$8.36M 0.78%	8.36M
PONTEM CORPORATIONDFND	SHS CL A	814.63K	SH	$8.08M 0.75%	8.08M
VECTOR ACQUISITION CORP IIDFND	CL A SHS	790K	SH	$7.94M 0.74%	7.94M
FAR PEAK ACQUISITION CORPDFND	SHS CL A	766.27K	SH	$7.68M 0.72%	7.68M

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