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MSU

Mizuho Securities USA Portfolio holdings

AUM $6.2B
1-Year Est. Return 35.46%
This Fund
S&P 500
This Quarter Est. Return
-6.85%
1 Year Est. Return
+35.46%
3 Year Est. Return
+99.01%
5 Year Est. Return
+126.15%
10 Year Est. Return
+434.62%
AUM
$750M
AUM Growth
-$566M
Cap. Flow
-$463M
Cap. Flow %
-61.76%
Top 10 Hldgs %
62.82%
Holding
200
New
53
Increased
41
Reduced
17
Closed
85

Top Buys

Rank Stock Value
1
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$16.1M
2
VEAC
Vantage Energy Acquisition Corp. Class A
VEAC
+$10.8M
3
KXIN icon
Kaixin Holdings
KXIN
+$8.15M
4
AVCT
American Virtual Cloud Technologies, Inc. Common Stock
AVCT
+$6.57M
5
RPAY icon
Repay Holdings
RPAY
+$5.68M

Top Sells

Rank Stock Value
1
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$217M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$198M
3
ADVM
Adverum Biotechnologies
ADVM
+$60.5M
4
IYR icon
iShares US Real Estate ETF
IYR
+$29.5M
5
CCI icon
Crown Castle
CCI
+$19.4M

Sector Composition

Rank Sector Weight
1 Technology 8.46%
2 Consumer Discretionary 5.18%
3 Communication Services 4.83%
4 Healthcare 3.6%
5 Financials 2.76%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FRA icon
101
BlackRock Floating Rate Income Strategies Fund
FRA
$384M
– –
-15,000
Closed -$207K
GWRE icon
102
Guidewire Software
GWRE
$13.1B
– –
-4,300
Closed -$434K
IONS icon
103
Ionis Pharmaceuticals
IONS
$9.06B
– –
-5,400
Closed -$279K
IRWD icon
104
Ironwood Pharmaceuticals
IRWD
$728M
– –
-168,101
Closed -$2.6M
IYR icon
105
CALL
iShares US Real Estate ETF
IYR
$4.67B
– –
-368,200
Closed -$331K
IYR icon
106
iShares US Real Estate ETF
IYR
$4.67B
– –
-368,200
Closed -$29.5M
JD icon
107
JD.com
JD
$44.6B
– –
-20,000
Closed -$522K
NBIX icon
108
Neurocrine Biosciences
NBIX
$16.9B
– –
-12,300
Closed -$1.51M
NI icon
109
NiSource
NI
$21.3B
– –
-45,074
Closed -$1.12M
NTNX icon
110
Nutanix
NTNX
$16.5B
– –
-22,700
Closed -$970K
NXPI icon
111
NXP Semiconductors
NXPI
$56.5B
– –
-12,500
Closed -$1.07M
OKTA icon
112
Okta
OKTA
$24.6B
– –
-17,100
Closed -$1.2M
ORGO icon
113
Organogenesis Holdings
ORGO
$301M
– –
-651,251
Closed -$6.6M
PCG icon
114
PG&E
PCG
$38.4B
– –
-22,169
Closed -$1.02M
PCRX icon
115
Pacira BioSciences
PCRX
$1.06B
– –
-23,500
Closed -$1.16M
PDD icon
116
Pinduoduo
PDD
$128B
– –
-20,100
Closed -$528K
PDD icon
117
PUT
Pinduoduo
PDD
$128B
– –
-20,100
Closed -$25K
PHUN icon
118
Phunware
PHUN
$44.4M
– –
-2,035
Closed -$1.05M
PI icon
119
Impinj
PI
$4.93B
– –
-12,700
Closed -$315K
PI icon
120
PUT
Impinj
PI
$4.93B
– –
-17,200
Closed -$6K
HTT
121
High Templar Tech Ltd
HTT
$391M
– –
-157,800
Closed -$822K
HTT
122
PUT
High Templar Tech Ltd
HTT
$391M
– –
-157,800
Closed -$1.55M
RDFN
123
DELISTED
Redfin
RDFN
– –
-56,500
Closed -$1.06M
RDFN
124
PUT
DELISTED
Redfin
RDFN
– –
-56,500
Closed -$297K
ROKU icon
125
Roku
ROKU
$21.6B
– –
-40,800
Closed -$2.98M
3 4
5
6 7

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WIA
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NP
NorthRock Partners Minneapolis, Minnesota $6.2B AUM 15.8% 1-Year Est. Return
LBA
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EIP
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ACM
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AWA
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CA
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Mizuho Securities USA's Q4 2018 Portfolio in Review

As of Q4 2018, Mizuho Securities USA held 200 positions worth $750M, down 43% from $1.32B the previous quarter. Its ten largest holdings account for 63% of the portfolio.

Mizuho Securities USA withdrew a net $463M in Q4 2018, closing 85 positions and reducing 17 holdings. Its most notable exit was Adverum Biotechnologies, an estimated $60.5M position sold in full.

By sector, the portfolio is most concentrated in Technology at 8.5% of assets, up from 3.3% a quarter earlier, followed by Consumer Discretionary and Communication Services.

Against the trend, Mizuho Securities USA opened a new position in Alphabet (Google) Class A worth $15.6M.

  • Mizuho Securities USA's largest Q4 2018 buy was Alphabet (Google) Class A: 298,000 shares worth $15.6M.
  • Mizuho Securities USA added most to Kaixin Holdings in Q4 2018, an estimated $8.15M increase.
  • Mizuho Securities USA's biggest Q4 2018 reduction was State Street SPDR Dow Jones Industrial Average ETF Trust, cutting an estimated $217M.
  • Mizuho Securities USA fully exited Adverum Biotechnologies in Q4 2018, selling an estimated $60.5M.
  • Mizuho Securities USA's ten largest holdings make up 63% of its $750M portfolio in Q4 2018.
  • Mizuho Securities USA opened 53 new positions and closed 85 in Q4 2018.
  • Mizuho Securities USA's portfolio value fell 43% quarter-over-quarter to $750M.

Based on Mizuho Securities USA's 13F filing for Q4 2018, filed 4 Feb 2019.