401k Plan data: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN plan

MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 401k Plan overview

Plan Name	MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN
Plan identification number	002

MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

MIZUHO SECURITIES USA LLC has sponsored the creation of one or more 401k plans.

Company Name: MIZUHO SECURITIES USA LLC

Employer identification number (EIN): 362880742

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Additional information about MIZUHO SECURITIES USA LLC

Jurisdiction of Incorporation: Vermont Secretary of State Corporations Division

Incorporation Date: 1992-06-10

Company Identification Number: 63174

Legal Registered Office Address: 100 NORTH MAIN STREET
SUITE 2
BARRE
United States of America (USA)
05641

More information about MIZUHO SECURITIES USA LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2020-01-01
002 2019-01-01
002 2018-01-01
002 2017-01-01 DAVID KRONENBERG
002 2016-01-01 DAVID KRONENBERG
002 2015-01-01 DAVID KRONENBERG
002 2014-01-01 DAVID KRONENBERG
002 2013-01-01 DAVID KRONENBERG
002 2012-01-01 DAVID KRONENBERG
002 2011-01-01 DAVID KRONENBERG
002 2010-01-01 DAVID KRONENBERG
002 2009-01-01 DAVID KRONENBERG

Plan Statistics for MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN

401k plan membership statisitcs for MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN

Measure Date Value
2020: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 1,312
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 0
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 0
Total of all active and inactive participants 2020-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 0
Number of participants with account balances 2020-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 1,014
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 1,032
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 277
Total of all active and inactive participants 2019-01-01 1,309
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 3
Total participants 2019-01-01 1,312
Number of participants with account balances 2019-01-01 1,281
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 853
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 790
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 219
Total of all active and inactive participants 2018-01-01 1,009
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 3
Total participants 2018-01-01 1,012
Number of participants with account balances 2018-01-01 996
2017: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 768
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 673
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 178
Total of all active and inactive participants 2017-01-01 851
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 2
Total participants 2017-01-01 853
Number of participants with account balances 2017-01-01 748
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 675
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 610
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 156
Total of all active and inactive participants 2016-01-01 766
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 2
Total participants 2016-01-01 768
Number of participants with account balances 2016-01-01 655
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 632
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 520
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 153
Total of all active and inactive participants 2015-01-01 673
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 2
Total participants 2015-01-01 675
Number of participants with account balances 2015-01-01 581
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 585
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 483
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 148
Total of all active and inactive participants 2014-01-01 631
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 1
Total participants 2014-01-01 632
Number of participants with account balances 2014-01-01 534
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 563
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 438
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 146
Total of all active and inactive participants 2013-01-01 584
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 585
Number of participants with account balances 2013-01-01 529
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 572
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 428
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 133
Total of all active and inactive participants 2012-01-01 561
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 2
Total participants 2012-01-01 563
Number of participants with account balances 2012-01-01 485
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 520
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 428
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 142
Total of all active and inactive participants 2011-01-01 570
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 2
Total participants 2011-01-01 572
Number of participants with account balances 2011-01-01 477
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2010: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 439
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 413
Number of other retired or separated participants entitled to future benefits 2010-01-01 106
Total of all active and inactive participants 2010-01-01 519
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 1
Total participants 2010-01-01 520
Number of participants with account balances 2010-01-01 418
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 1
2009: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 404
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 317
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 121
Total of all active and inactive participants 2009-01-01 438
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 1
Total participants 2009-01-01 439
Number of participants with account balances 2009-01-01 372
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2020: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	1,312
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	0
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	0
Total of all active and inactive participants	2020-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	0
Number of participants with account balances	2020-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	1,014
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	1,032
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	277
Total of all active and inactive participants	2019-01-01	1,309
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	3
Total participants	2019-01-01	1,312
Number of participants with account balances	2019-01-01	1,281
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	853
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	790
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	219
Total of all active and inactive participants	2018-01-01	1,009
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	3
Total participants	2018-01-01	1,012
Number of participants with account balances	2018-01-01	996
2017: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	768
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	673
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	178
Total of all active and inactive participants	2017-01-01	851
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	2
Total participants	2017-01-01	853
Number of participants with account balances	2017-01-01	748
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	675
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	610
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	156
Total of all active and inactive participants	2016-01-01	766
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	2
Total participants	2016-01-01	768
Number of participants with account balances	2016-01-01	655
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	632
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	520
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	153
Total of all active and inactive participants	2015-01-01	673
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	2
Total participants	2015-01-01	675
Number of participants with account balances	2015-01-01	581
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	585
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	483
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	148
Total of all active and inactive participants	2014-01-01	631
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	1
Total participants	2014-01-01	632
Number of participants with account balances	2014-01-01	534
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	563
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	438
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	146
Total of all active and inactive participants	2013-01-01	584
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	585
Number of participants with account balances	2013-01-01	529
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	572
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	428
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	133
Total of all active and inactive participants	2012-01-01	561
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	2
Total participants	2012-01-01	563
Number of participants with account balances	2012-01-01	485
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	520
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	428
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	142
Total of all active and inactive participants	2011-01-01	570
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	2
Total participants	2011-01-01	572
Number of participants with account balances	2011-01-01	477
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2010: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	439
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	413
Number of other retired or separated participants entitled to future benefits	2010-01-01	106
Total of all active and inactive participants	2010-01-01	519
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	1
Total participants	2010-01-01	520
Number of participants with account balances	2010-01-01	418
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	1
2009: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	404
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	317
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	121
Total of all active and inactive participants	2009-01-01	438
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	1
Total participants	2009-01-01	439
Number of participants with account balances	2009-01-01	372
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN

Measure	Date	Value
2020 : MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total transfer of assets from this plan	2020-12-31	$263,852,895
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$70,460,575
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$26,195,480
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$26,140,020
Value of total corrective distributions	2020-12-31	$22,180
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$34,182,841
Value of total assets at end of year	2020-12-31	$0
Value of total assets at beginning of year	2020-12-31	$219,587,800
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$33,280
Total interest from all sources	2020-12-31	$173,226
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$2,024,472
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$2,024,472
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$50,000,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$16,599,677
Participant contributions at end of year	2020-12-31	$0
Participant contributions at beginning of year	2020-12-31	$1,718,113
Assets. Other investments not covered elsewhere at end of year	2020-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2020-12-31	$29,431,841
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$3,747,006
Other income not declared elsewhere	2020-12-31	$4,505,087
Administrative expenses (other) incurred	2020-12-31	$33,280
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$44,265,095
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$219,587,800
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$107,970,875
Interest on participant loans	2020-12-31	$102,670
Value of interest in common/collective trusts at end of year	2020-12-31	$0
Value of interest in common/collective trusts at beginning of year	2020-12-31	$58,222,419
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-12-31	$14,414,251
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-12-31	$14,414,251
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2020-12-31	$70,556
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$19,738,931
Net investment gain or loss from common/collective trusts	2020-12-31	$9,836,018
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$13,836,158
Employer contributions (assets) at end of year	2020-12-31	$0
Employer contributions (assets) at beginning of year	2020-12-31	$7,830,301
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$26,140,020
Did the plan have assets held for investment	2020-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	ERNST & YOUNG LLP
Accountancy firm EIN	2020-12-31	346565596
2019 : MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total transfer of assets to this plan	2019-12-31	$24,874,667
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$64,717,905
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$10,341,509
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$10,244,593
Expenses. Certain deemed distributions of participant loans	2019-12-31	$55,834
Value of total corrective distributions	2019-12-31	$14,057
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$30,217,529
Value of total assets at end of year	2019-12-31	$219,587,800
Value of total assets at beginning of year	2019-12-31	$140,336,737
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$27,025
Total interest from all sources	2019-12-31	$358,407
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$1,828,000
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$1,828,000
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$50,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$14,061,117
Participant contributions at end of year	2019-12-31	$1,718,113
Participant contributions at beginning of year	2019-12-31	$1,435,953
Assets. Other investments not covered elsewhere at end of year	2019-12-31	$29,431,841
Assets. Other investments not covered elsewhere at beginning of year	2019-12-31	$23,457,749
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$4,240,839
Other income not declared elsewhere	2019-12-31	$4,096,744
Administrative expenses (other) incurred	2019-12-31	$26,661
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$54,376,396
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$219,587,800
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$140,336,737
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Investment advisory and management fees	2019-12-31	$364
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$107,970,875
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$69,002,723
Interest on participant loans	2019-12-31	$84,002
Value of interest in common/collective trusts at end of year	2019-12-31	$58,222,419
Value of interest in common/collective trusts at beginning of year	2019-12-31	$28,800,162
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$14,414,251
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$11,694,548
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$11,694,548
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$274,405
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$19,612,634
Net investment gain or loss from common/collective trusts	2019-12-31	$8,604,591
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$11,915,573
Employer contributions (assets) at end of year	2019-12-31	$7,830,301
Employer contributions (assets) at beginning of year	2019-12-31	$5,945,602
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$10,244,593
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2019-12-31	Yes
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	ERNST & YOUNG LLP
Accountancy firm EIN	2019-12-31	346565596
2018 : MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets to this plan	2018-12-31	$25,959,717
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$14,672,736
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$8,455,678
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$8,434,818
Value of total corrective distributions	2018-12-31	$1,119
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$22,469,083
Value of total assets at end of year	2018-12-31	$140,336,737
Value of total assets at beginning of year	2018-12-31	$108,159,962
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$19,741
Total interest from all sources	2018-12-31	$251,143
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$1,415,367
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$1,415,367
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$50,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$11,036,124
Participant contributions at end of year	2018-12-31	$1,435,953
Participant contributions at beginning of year	2018-12-31	$1,093,488
Assets. Other investments not covered elsewhere at end of year	2018-12-31	$23,457,749
Assets. Other investments not covered elsewhere at beginning of year	2018-12-31	$23,507,061
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$2,308,752
Other income not declared elsewhere	2018-12-31	$-1,233,904
Administrative expenses (other) incurred	2018-12-31	$19,153
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$6,217,058
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$140,336,737
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$108,159,962
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Investment advisory and management fees	2018-12-31	$588
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$69,002,723
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$55,006,433
Interest on participant loans	2018-12-31	$56,575
Value of interest in common/collective trusts at end of year	2018-12-31	$28,800,162
Value of interest in common/collective trusts at beginning of year	2018-12-31	$13,471,472
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-12-31	$11,694,548
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-12-31	$10,472,000
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-12-31	$10,472,000
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$194,568
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-6,150,611
Net investment gain or loss from common/collective trusts	2018-12-31	$-2,078,342
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$9,124,207
Employer contributions (assets) at end of year	2018-12-31	$5,945,602
Employer contributions (assets) at beginning of year	2018-12-31	$4,609,508
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$8,434,818
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2018-12-31	Yes
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	ERNST & YOUNG LLP
Accountancy firm EIN	2018-12-31	346565596
2017 : MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$28,664,645
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$6,240,215
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$6,215,060
Value of total corrective distributions	2017-12-31	$2,726
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$15,867,579
Value of total assets at end of year	2017-12-31	$108,159,962
Value of total assets at beginning of year	2017-12-31	$85,735,532
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$22,429
Total interest from all sources	2017-12-31	$80,680
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$875,991
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$875,991
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$50,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$8,161,252
Participant contributions at end of year	2017-12-31	$1,093,488
Participant contributions at beginning of year	2017-12-31	$846,429
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$23,507,061
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$20,557,726
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$3,096,894
Other income not declared elsewhere	2017-12-31	$2,211,792
Administrative expenses (other) incurred	2017-12-31	$22,105
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$22,424,430
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$108,159,962
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$85,735,532
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Investment advisory and management fees	2017-12-31	$324
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$55,006,433
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$39,370,097
Interest on participant loans	2017-12-31	$40,051
Value of interest in common/collective trusts at end of year	2017-12-31	$13,471,472
Value of interest in common/collective trusts at beginning of year	2017-12-31	$9,591,171
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$10,472,000
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$9,209,482
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$9,209,482
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$40,629
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$7,751,391
Net investment gain or loss from common/collective trusts	2017-12-31	$1,877,212
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$4,609,433
Employer contributions (assets) at end of year	2017-12-31	$4,609,508
Employer contributions (assets) at beginning of year	2017-12-31	$6,160,627
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$6,215,060
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	ERNST & YOUNG LLP
Accountancy firm EIN	2017-12-31	346565596
2016 : MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$19,906,324
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$5,291,480
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$5,290,459
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$14,415,034
Value of total assets at end of year	2016-12-31	$85,735,532
Value of total assets at beginning of year	2016-12-31	$71,120,688
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$1,021
Total interest from all sources	2016-12-31	$29,082
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$753,254
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$753,254
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$50,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$6,989,983
Participant contributions at end of year	2016-12-31	$846,429
Participant contributions at beginning of year	2016-12-31	$755,211
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$20,557,726
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$18,624,204
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$1,264,424
Other income not declared elsewhere	2016-12-31	$1,057,670
Administrative expenses (other) incurred	2016-12-31	$1,000
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$14,614,844
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$85,735,532
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$71,120,688
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$21
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$39,370,097
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$32,468,711
Interest on participant loans	2016-12-31	$28,362
Value of interest in common/collective trusts at end of year	2016-12-31	$9,591,171
Value of interest in common/collective trusts at beginning of year	2016-12-31	$7,962,284
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$9,209,482
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$7,966,574
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$7,966,574
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$720
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$2,958,239
Net investment gain or loss from common/collective trusts	2016-12-31	$693,045
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$6,160,627
Employer contributions (assets) at end of year	2016-12-31	$6,160,627
Employer contributions (assets) at beginning of year	2016-12-31	$3,343,704
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$5,290,459
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	ERNST & YOUNG LLP
Accountancy firm EIN	2016-12-31	346565596
2015 : MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$28,140
Total income from all sources (including contributions)	2015-12-31	$10,572,182
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$4,991,901
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$4,962,361
Value of total corrective distributions	2015-12-31	$28,140
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$11,046,882
Value of total assets at end of year	2015-12-31	$71,120,688
Value of total assets at beginning of year	2015-12-31	$65,568,547
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$1,400
Total interest from all sources	2015-12-31	$24,196
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$660,722
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$660,722
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$50,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$5,879,318
Participant contributions at end of year	2015-12-31	$755,211
Participant contributions at beginning of year	2015-12-31	$539,580
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$18,624,204
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$19,462,437
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$1,823,860
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$28,140
Other income not declared elsewhere	2015-12-31	$-348,876
Administrative expenses (other) incurred	2015-12-31	$1,400
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$5,580,281
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$71,120,688
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$65,540,407
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$32,468,711
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$29,348,081
Interest on participant loans	2015-12-31	$23,777
Value of interest in common/collective trusts at end of year	2015-12-31	$7,962,284
Value of interest in common/collective trusts at beginning of year	2015-12-31	$6,694,769
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$7,966,574
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$6,458,211
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$6,458,211
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$419
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-747,634
Net investment gain or loss from common/collective trusts	2015-12-31	$-63,108
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$3,343,704
Employer contributions (assets) at end of year	2015-12-31	$3,343,704
Employer contributions (assets) at beginning of year	2015-12-31	$3,065,469
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$4,962,361
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	ERNST & YOUNG LLP
Accountancy firm EIN	2015-12-31	346565596
2014 : MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$28,140
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$12,663,273
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$7,464,060
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$7,454,529
Value of total corrective distributions	2014-12-31	$7,631
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$8,546,755
Value of total assets at end of year	2014-12-31	$65,568,547
Value of total assets at beginning of year	2014-12-31	$60,341,194
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$1,900
Total interest from all sources	2014-12-31	$19,885
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$496,966
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$496,966
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$5,128,384
Participant contributions at end of year	2014-12-31	$539,580
Participant contributions at beginning of year	2014-12-31	$457,786
Participant contributions at end of year	2014-12-31	$0
Participant contributions at beginning of year	2014-12-31	$12,101
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$19,462,437
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$20,293,868
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$352,175
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$28,140
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$939,388
Administrative expenses (other) incurred	2014-12-31	$1,900
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$5,199,213
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$65,540,407
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$60,341,194
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$29,348,081
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$24,952,252
Interest on participant loans	2014-12-31	$19,382
Value of interest in common/collective trusts at end of year	2014-12-31	$6,694,769
Value of interest in common/collective trusts at beginning of year	2014-12-31	$5,812,447
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$6,458,211
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$5,924,366
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$5,924,366
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$503
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$2,239,468
Net investment gain or loss from common/collective trusts	2014-12-31	$420,811
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$3,066,196
Employer contributions (assets) at end of year	2014-12-31	$3,065,469
Employer contributions (assets) at beginning of year	2014-12-31	$2,888,374
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$7,454,529
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	ERNST & YOUNG LLP
Accountancy firm EIN	2014-12-31	346565596
2013 : MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$15,989,646
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$3,868,653
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$3,865,164
Value of total corrective distributions	2013-12-31	$1,689
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$8,377,984
Value of total assets at end of year	2013-12-31	$60,341,194
Value of total assets at beginning of year	2013-12-31	$48,220,201
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$1,800
Total interest from all sources	2013-12-31	$24,004
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$403,280
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$403,280
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$4,792,020
Participant contributions at end of year	2013-12-31	$457,786
Participant contributions at beginning of year	2013-12-31	$649,751
Participant contributions at end of year	2013-12-31	$12,101
Participant contributions at beginning of year	2013-12-31	$67,548
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$20,293,868
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$18,112,721
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$697,590
Other income not declared elsewhere	2013-12-31	$1,836,803
Administrative expenses (other) incurred	2013-12-31	$1,800
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$12,120,993
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$60,341,194
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$48,220,201
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$24,952,252
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$17,357,790
Interest on participant loans	2013-12-31	$23,481
Value of interest in common/collective trusts at end of year	2013-12-31	$5,812,447
Value of interest in common/collective trusts at beginning of year	2013-12-31	$4,092,139
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$5,924,366
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$5,213,450
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$5,213,450
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$523
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$4,412,879
Net investment gain or loss from common/collective trusts	2013-12-31	$934,696
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$2,888,374
Employer contributions (assets) at end of year	2013-12-31	$2,888,374
Employer contributions (assets) at beginning of year	2013-12-31	$2,726,802
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$3,865,164
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	ERNST & YOUNG LLP
Accountancy firm EIN	2013-12-31	346565596
2012 : MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$11,746,115
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$5,704,001
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$5,699,752
Value of total corrective distributions	2012-12-31	$1,849
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$7,958,683
Value of total assets at end of year	2012-12-31	$48,220,201
Value of total assets at beginning of year	2012-12-31	$42,178,087
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$2,400
Total interest from all sources	2012-12-31	$26,889
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$346,677
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$346,677
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$4,339,314
Participant contributions at end of year	2012-12-31	$649,751
Participant contributions at beginning of year	2012-12-31	$608,759
Participant contributions at end of year	2012-12-31	$67,548
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$18,112,721
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$19,229,287
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$892,569
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$5,528
Other income not declared elsewhere	2012-12-31	$1,201,342
Administrative expenses (other) incurred	2012-12-31	$2,400
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$6,042,114
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$48,220,201
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$42,178,087
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$17,357,790
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$12,457,963
Interest on participant loans	2012-12-31	$26,445
Value of interest in common/collective trusts at end of year	2012-12-31	$4,092,139
Value of interest in common/collective trusts at beginning of year	2012-12-31	$7,687,579
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$5,213,450
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$444
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$1,719,018
Net investment gain or loss from common/collective trusts	2012-12-31	$493,506
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$2,726,800
Employer contributions (assets) at end of year	2012-12-31	$2,726,802
Employer contributions (assets) at beginning of year	2012-12-31	$2,188,971
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$5,699,752
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	ERNST & YOUNG LLP
Accountancy firm EIN	2012-12-31	346565596
2011 : MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$7,383,848
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$4,073,069
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$4,068,487
Value of total corrective distributions	2011-12-31	$3,482
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$7,307,169
Value of total assets at end of year	2011-12-31	$42,178,087
Value of total assets at beginning of year	2011-12-31	$38,867,308
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$1,100
Total interest from all sources	2011-12-31	$24,151
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$232,126
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$232,126
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$4,044,280
Participant contributions at end of year	2011-12-31	$608,759
Participant contributions at beginning of year	2011-12-31	$491,849
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$19,229,287
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$19,283,812
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$1,073,918
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$5,528
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$6,071
Other income not declared elsewhere	2011-12-31	$277,111
Administrative expenses (other) incurred	2011-12-31	$1,100
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$3,310,779
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$42,178,087
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$38,867,308
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$12,457,963
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$10,547,677
Interest on participant loans	2011-12-31	$24,151
Value of interest in common/collective trusts at end of year	2011-12-31	$7,687,579
Value of interest in common/collective trusts at beginning of year	2011-12-31	$6,647,950
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-468,952
Net investment gain or loss from common/collective trusts	2011-12-31	$12,243
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$2,188,971
Employer contributions (assets) at end of year	2011-12-31	$2,188,971
Employer contributions (assets) at beginning of year	2011-12-31	$1,889,949
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$4,068,487
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	ERNST & YOUNG LLP
Accountancy firm EIN	2011-12-31	346565596
2010 : MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total transfer of assets to this plan	2010-12-31	$375,396
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$9,833,601
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$5,176,994
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$5,176,994
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$6,488,069
Value of total assets at end of year	2010-12-31	$38,867,308
Value of total assets at beginning of year	2010-12-31	$33,835,305
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$0
Total interest from all sources	2010-12-31	$16,675
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$170,540
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$170,540
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$3,484,616
Participant contributions at end of year	2010-12-31	$491,849
Participant contributions at beginning of year	2010-12-31	$302,889
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$19,283,812
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$19,468,806
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$1,113,504
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$6,071
Other income not declared elsewhere	2010-12-31	$1,600,375
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$4,656,607
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$38,867,308
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$33,835,305
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$10,547,677
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$7,392,793
Interest on participant loans	2010-12-31	$16,675
Value of interest in common/collective trusts at end of year	2010-12-31	$6,647,950
Value of interest in common/collective trusts at beginning of year	2010-12-31	$4,385,960
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$1,124,214
Net investment gain or loss from common/collective trusts	2010-12-31	$433,728
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$1,889,949
Employer contributions (assets) at end of year	2010-12-31	$1,889,949
Employer contributions (assets) at beginning of year	2010-12-31	$2,284,857
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$5,176,994
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	ERNST & YOUNG LLP
Accountancy firm EIN	2010-12-31	346565596
2009 : MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN

2020: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	Yes
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: MIZUHO SECURITIES USA INC. EMPLOYEE DEFERRED COMPENSATION PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	MIZUHO SECURITIES USA LLC
Employer identification number (EIN):	362880742
NAIC Classification:	523120
NAIC Description:	Securities Brokerage

Jurisdiction of Incorporation:	Vermont Secretary of State Corporations Division
Incorporation Date:	1992-06-10
Company Identification Number:	63174
Legal Registered Office Address:	100 NORTH MAIN STREET SUITE 2 BARRE United States of America (USA) 05641