MIZUHO SECURITIES USA LLC

Filed: 8/9/2023ACC: 0001062993-23-016047

📋 What this filing means

MIZUHO SECURITIES USA LLC filed this quarterly 13F‑HR report disclosing 189 equity positions with a total reported market value of $3.02B. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

189

Positions

$3.02B

Total AUM (reported)

191.45M

Total Shares

Allocation by class

TR UNIT$2.13B70.5%

UNIT SER 1$153.38M5.1%

CLASS A ORD SHS$129.20M4.3%

S&P RETAIL ETF$66.94M2.2%

CLASS A COM$60.62M2.0%

NOTE 1.750% 5/0$43.52M1.4%

SHS CL A$39.34M1.3%

Portfolio Concentration

Top 3$2.35B77.8%

4–10$145.83M4.8%

11–25$131.97M4.4%

Rest$391.31M13.0%

Top 3 weight

77.8%

Top 10 weight

82.7%

Voting Authority Distribution

Total shares with voting rights: 3.02B

Sole

Full voting authority

3.02B

% 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

Other189

Dominant voting typeSole · 100.0% of voting shares

Institutional Holdings189

Rows:

SPDR S&P 500 ETF TR

DFND

TR UNIT

Shares4.80M

TypeSH

Market value$2.13B

70.53%

Sole

2.13B

Shared

0.00

None

0.00

INVESCO QQQ TR

DFND

UNIT SER 1

Shares414.99K

TypeSH

Market value$153.38M

5.08%

Sole

153.38M

Shared

0.00

None

0.00

SPDR SER TR

DFND

S&P RETAIL ETF

Shares1.05M

TypeSH

Market value$66.94M

2.22%

Sole

66.94M

Shared

0.00

None

0.00

EQT CORP

DFND

NOTE 1.750% 5/0

Shares15.45M

TypeSH

Market value$43.52M

1.44%

Sole

43.52M

Shared

0.00

None

0.00

CNX RES CORP

DFND

NOTE 2.250% 5/0

Shares14.54M

TypeSH

Market value$21.41M

0.71%

Sole

21.41M

Shared

0.00

None

0.00

NCL CORP LTD

DFND

NOTE 6.000% 5/1

Shares11.90M

TypeSH

Market value$19.67M

0.65%

Sole

19.67M

Shared

0.00

None

0.00

ZSCALER INC

DFND

NOTE 0.125% 7/0

Shares13.81M

TypeSH

Market value$16.10M

0.53%

Sole

16.10M

Shared

0.00

None

0.00

ROYAL CARIBBEAN GROUP

DFND

NOTE 2.875%11/1

Shares12.43M

TypeSH

Market value$15.95M

0.53%

Sole

15.95M

Shared

0.00

None

0.00

A SPAC II ACQUISITION CORP

DFND

ORD SHS CL A

Shares1.42M

TypeSH

Market value$14.88M

0.49%

Sole

14.88M

Shared

0.00

None

0.00

PEARL HOLDINGS ACQUISITN COR

DFND

CLASS A ORD SHS

Shares1.36M

TypeSH

Market value$14.31M

0.47%

Sole

14.31M

Shared

0.00

None

0.00

SLAM CORP

DFND

CL A SHS

Shares1.29M

TypeSH

Market value$13.63M

0.45%

Sole

13.63M

Shared

0.00

None

0.00

COPA HOLDINGS SA

DFND

NOTE 4.500% 4/1

Shares5.86M

TypeSH

Market value$12.94M

0.43%

Sole

12.94M

Shared

0.00

None

0.00

ALPHA STAR ACQUISITION CORP

DFND

ORDINARY SHARES

Shares1.03M

TypeSH

Market value$10.96M

0.36%

Sole

10.96M

Shared

0.00

None

0.00

BIOPLUS ACQUISITION CORP

DFND

CLASS A ORD SHS

Shares1.01M

TypeSH

Market value$10.73M

0.36%

Sole

10.73M

Shared

0.00

None

0.00

PATRIA LATIN AMRCN OPPRNTY A

DFND

CLASS A ORD SHS

Shares869.93K

TypeSH

Market value$9.26M

0.31%

Sole

9.26M

Shared

0.00

None

0.00

LF CAPITAL ACQUISITION CORP

DFND

CLASS A COM

Shares847.54K

TypeSH

Market value$8.98M

0.30%

Sole

8.98M

Shared

0.00

None

0.00

BATTERY FUTURE ACQUISITION C

DFND

CL A ORD SHS

Shares800K

TypeSH

Market value$8.43M

0.28%

Sole

8.43M

Shared

0.00

None

0.00

PEABODY ENGR CORP

DFND

NOTE 3.250% 3/0

Shares6M

TypeSH

Market value$8.06M

0.27%

Sole

8.06M

Shared

0.00

None

0.00

RCF ACQUISITION CORP

DFND

CL A COM

Shares749.55K

TypeSH

Market value$7.95M

0.26%

Sole

7.95M

Shared

0.00

None

0.00

GENERATION ASIA I ACQUISITIO

DFND

CL A ORD SHS

Shares683.41K

TypeSH

Market value$7.18M

0.24%

Sole

7.18M

Shared

0.00

None

0.00

HUBSPOT INC

DFND

NOTE 0.375% 6/0

Shares3.75M

TypeSH

Market value$7.16M

0.24%

Sole

7.16M

Shared

0.00

None

0.00

INFINT ACQUISITION CORP

DFND

CL A ORD SHS

Shares665K

TypeSH

Market value$7.12M

0.24%

Sole

7.12M

Shared

0.00

None

0.00

BLACKLINE INC

DFND

NOTE 0.125% 8/0

Shares6.69M

TypeSH

Market value$6.65M

0.22%

Sole

6.65M

Shared

0.00

None

0.00

METAL SKY STAR ACQUISITION C

DFND

ORDINARY SHARES

Shares617K

TypeSH

Market value$6.48M

0.21%

Sole

6.48M

Shared

0.00

None

0.00

SNAP INC

DFND

NOTE 0.750% 8/0

Shares7M

TypeSH

Market value$6.42M

0.21%

Sole

6.42M

Shared

0.00

None

0.00

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole
SPDR S&P 500 ETF TRDFND	TR UNIT	4.80M	SH	$2.13B 70.53%	2.13B
INVESCO QQQ TRDFND	UNIT SER 1	414.99K	SH	$153.38M 5.08%	153.38M
SPDR SER TRDFND	S&P RETAIL ETF	1.05M	SH	$66.94M 2.22%	66.94M
EQT CORPDFND	NOTE 1.750% 5/0	15.45M	SH	$43.52M 1.44%	43.52M
CNX RES CORPDFND	NOTE 2.250% 5/0	14.54M	SH	$21.41M 0.71%	21.41M
NCL CORP LTDDFND	NOTE 6.000% 5/1	11.90M	SH	$19.67M 0.65%	19.67M
ZSCALER INCDFND	NOTE 0.125% 7/0	13.81M	SH	$16.10M 0.53%	16.10M
ROYAL CARIBBEAN GROUPDFND	NOTE 2.875%11/1	12.43M	SH	$15.95M 0.53%	15.95M
A SPAC II ACQUISITION CORPDFND	ORD SHS CL A	1.42M	SH	$14.88M 0.49%	14.88M
PEARL HOLDINGS ACQUISITN CORDFND	CLASS A ORD SHS	1.36M	SH	$14.31M 0.47%	14.31M
SLAM CORPDFND	CL A SHS	1.29M	SH	$13.63M 0.45%	13.63M
COPA HOLDINGS SADFND	NOTE 4.500% 4/1	5.86M	SH	$12.94M 0.43%	12.94M
ALPHA STAR ACQUISITION CORPDFND	ORDINARY SHARES	1.03M	SH	$10.96M 0.36%	10.96M
BIOPLUS ACQUISITION CORPDFND	CLASS A ORD SHS	1.01M	SH	$10.73M 0.36%	10.73M
PATRIA LATIN AMRCN OPPRNTY ADFND	CLASS A ORD SHS	869.93K	SH	$9.26M 0.31%	9.26M
LF CAPITAL ACQUISITION CORPDFND	CLASS A COM	847.54K	SH	$8.98M 0.30%	8.98M
BATTERY FUTURE ACQUISITION CDFND	CL A ORD SHS	800K	SH	$8.43M 0.28%	8.43M
PEABODY ENGR CORPDFND	NOTE 3.250% 3/0	6M	SH	$8.06M 0.27%	8.06M
RCF ACQUISITION CORPDFND	CL A COM	749.55K	SH	$7.95M 0.26%	7.95M
GENERATION ASIA I ACQUISITIODFND	CL A ORD SHS	683.41K	SH	$7.18M 0.24%	7.18M
HUBSPOT INCDFND	NOTE 0.375% 6/0	3.75M	SH	$7.16M 0.24%	7.16M
INFINT ACQUISITION CORPDFND	CL A ORD SHS	665K	SH	$7.12M 0.24%	7.12M
BLACKLINE INCDFND	NOTE 0.125% 8/0	6.69M	SH	$6.65M 0.22%	6.65M
METAL SKY STAR ACQUISITION CDFND	ORDINARY SHARES	617K	SH	$6.48M 0.21%	6.48M
SNAP INCDFND	NOTE 0.750% 8/0	7M	SH	$6.42M 0.21%	6.42M

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