
[Federal Register: October 8, 2008 (Volume 73, Number 196)]
[Notices]               
[Page 58987-58993]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr08oc08-99]                         

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SECURITIES AND EXCHANGE COMMISSION

[Securities Exchange Act of 1934 Release No. 58724/October 2, 2008]

 
Amendment to Order and Order Extending Emergency Order Pursuant 
to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking 
Temporary Action To Respond to Market Developments

    Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 
(``Exchange Act''),\1\ on September 18, 2008, the Securities and 
Exchange Commission (``Commission'') issued an Emergency Order,\2\ as 
amended on September 21, 2008 (the ``Order''),\3\ requiring 
institutional investment managers to report short sales of certain 
publicly traded securities. That Order took effect on September 22, 
2008, and required the filing of a Form SH on September 29, 2008. The 
Order is currently set to terminate on October 2, 2008.
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    \1\ 15 U.S.C. 78l(k)(2).
    \2\ See Exchange Act Release No. 58591 (September 18, 2008).
    \3\ See Exchange Act Release No. 58591A (September 21, 2008).
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    Pursuant to its authority under Section 12(k)(2)(C) of the Exchange 
Act, the Commission is extending the Order. Section 12(k)(2)(C) 
authorizes the Commission to extend an emergency order issued pursuant 
to Section 12(k)(2)(A) of the Exchange Act for a total effective period 
of up to 30 calendar days, if the Commission finds that the emergency 
still exists and determines that an extension is necessary in the 
public interest and for the protection of investors to maintain fair 
and orderly securities markets. As a result of the extension, Forms SH 
shall be required to be filed on October 6, 2008, and October 14, 
2008.\4\ The Commission is also making technical amendments to Form SH 
and its accompanying Instructions.
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    \4\ These reports must be filed electronically using the 
Commission's EDGAR system.
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    The Commission continues to be concerned about the potential for 
sudden and excessive fluctuations of securities prices and disruption 
in the functioning of the securities markets that could threaten fair 
and orderly markets. The Commission also continues to believe that some 
persons may take advantage of issuers that have become temporarily 
weakened by current market conditions to engage in inappropriate short 
selling in the securities of such issuers. Therefore, the Commission 
has concluded that it remains necessary to require certain 
institutional investment managers to report information concerning 
short sales of securities. Accordingly, the Commission has determined 
that extending the Order is necessary in the public interest and for 
the protection of investors to maintain fair and orderly securities 
markets.
    The Commission believes that the nonpublic submission of Form SH 
may help prevent artificial volatility in securities as well as further 
downward swings that are caused by short selling, while at the same 
time, providing the Commission with useful information to combat market 
manipulation that threatens investors and capital markets. Also, the 
Commission has considered further the reasons to maintain the 
information as nonpublic in the current market environment, and is 
concerned that publicly available Form SH data could give rise to 
additional, imitative short selling that was not intended by the 
Commission's Order. Accordingly, the Commission has determined that 
Forms SH filed under the Order including those that were due on 
September 29, 2008, will remain nonpublic to the extent permitted by 
law without the filer needing to submit a confidential treatment 
request.
    Therefore, it is ordered, pursuant to Section 12(k)(2)(C) of the 
Exchange Act, that the Order is extended such that it will terminate at 
11:59 p.m. EDT on Friday, October 17, 2008.

    By the Commission.
Florence E. Harmon,
Acting Secretary.

Form SH--Information Required of Institutional Investment Managers 
Pursuant to Emergency Order, Securities Exchange Act of 1934 Release 
No. 58591a, September 21, 2008, and Emergency Order, Securities 
Exchange Act of 1934 Release No. 58724, October 2, 2008

General Instructions

    1. Rule as to Use of Form SH. Institutional investment managers 
(``Managers'') must use Form SH for reports to the Commission 
required by the Commission's Emergency Order, Securities Exchange 
Act of 1934 Release No. 58591A, September 21, 2008, and Emergency 
Order, Securities Exchange Act Release No. 58724, dated October 2, 
2008 (together, the ``Form SH Emergency Orders''). The Form SH 
Emergency Orders provide that every Manager that exercises 
investment discretion with respect to accounts holding section 13(f) 
securities, as defined in rule 13f-1(c) under the Securities 
Exchange Act of 1934 [15 U.S.C. 78m(f)] (``Exchange Act''), who has 
filed or was required to file a Form 13F for the calendar quarter 
ended June 30, 2008, must file a non-public report on Form SH with 
the Commission to report certain information about short sales and 
short positions. The non-public Form SH filing must be made on the 
Monday (or, if Monday is a federal holiday, the first business day 
thereafter) of each calendar week immediately following a Form SH 
reporting period (i.e., the preceding Sunday-Saturday calendar week) 
in which the Manager has entered into any new short positions with 
respect to any section 13(f) securities except for any short 
position(s) for options (``SH Short Positions''). The non-public 
Form SH will report SH Short Positions for the Sunday-Saturday 
calendar week that precedes the date on which the Form SH is due to 
be filed.
    2. Rules to Prevent Duplicative Reporting. If two or more 
Managers, each of which is required by the Form SH Emergency Orders 
to file a report on Form SH for the reporting period, exercise 
investment discretion with respect to the same securities, only one 
such Manager must include information in its reports on Form SH.
    A Manager having information that is required by the Form SH 
Emergency Orders to be reported on Form SH, and such information is 
reported by another Manager (or Managers), such Manager must 
identify the Manager(s) reporting on its behalf in the manner 
described in Special Instruction 6.
    3. Filing of Form SH. A Form SH report that is filed by a 
Manager with the Commission shall be non-public upon filing. A 
Manager must label its Form SH as non-public by adding the phrase 
NON-PUBLIC (in bold and capital letters) at the top and bottom of 
each page of the entire form, i.e., each page(s) of the Form SH 
Cover Page (the ``Cover Page''), the Form SH Summary Page (the 
``Summary Page''), and the Form SH Information Table (the 
``Information Table'').
    A Manager must file a Form SH report with the Commission on or 
before 5:30 p.m. Eastern Daylight Time on the Monday (or, if Monday 
is a federal holiday, the first business day thereafter) of each 
week immediately following the preceding seven calendar day period 
in which the Manager has entered into any new SH Short Position(s). 
The Form SH must be filed electronically using the Commission's 
EDGAR system.
    4. Official List of Section 13(f) Securities. The official list 
of section 13(f) securities published by the Commission (the ``13F 
List'') lists the securities the holdings of which a Manager is to 
report on Form 13F. See rule 13f-1(c) [17 CFR 240.13f-1(c)]. Form SH 
filers may rely on the current 13F List in determining whether they 
need to report on Form SH information about any particular equity 
security, excluding short positions for options that are on the 13F 
List. The 13F List

[[Page 58988]]

is available on the SEC's Web site, at http://www.sec.gov/divisions/
investment/13flists.htm. Paper copies are available at a reasonable 
fee from the Securities and Exchange Commission, Public Reference 
Room, 100 F Street, NE., Washington, DC 20549.

Special Instructions

    1. This form consists of three parts: the Cover Page, the 
Summary Page, and the Information Table.
    2. When preparing the report, omit all bracketed text. Include 
brackets used to form check boxes.
    The Cover Page:
    3. The period end date used in the report (and in the EDGAR 
submission header) is the Saturday before the Form SH is filed. The 
date should name the month, and express the day and year in Arabic 
numerals, with the year being a four-digit numeral (i.e., 2008).
    4. Amendments to a Form SH must either restate the Form SH in 
its entirety or include only entries that are being reported in 
addition to those already reported in a current Form SH for the same 
period. If the Manager is filing the Form SH report as an amendment, 
then the Manager must check the amendment box on the Cover Page; 
enter the amendment number; and check the appropriate box to 
indicate whether the amendment (a) is a restatement or (b) adds new 
entries. Each amendment must include a complete Cover Page and, if 
applicable, a Summary Page and Information Table. Amendments must be 
filed sequentially.
    5. Present the Cover Page and the Summary Page information in 
the format and order provided in the form. The Cover Page may 
include information in addition to the required information, so long 
as the additional information does not, either by its nature, 
quantity, or manner of presentation, impede the understanding or 
presentation of the required information. Place all additional 
information after the signature of the person signing the report 
(immediately preceding the Report Type section). Do not include any 
additional information on the Summary Page or in the Information 
Table.
    6. Designate the Report Type for the Form SH by checking the 
appropriate box in the Report Type section of the Cover Page, and 
include, where applicable, the List of Other Managers Reporting for 
this Manager (on the Cover Page), the Summary Page and the 
Information Table, as follows:
    a. If all of the information that a Manager is required by the 
Form SH Emergency Orders to report on Form SH is reported by another 
Manager (or Managers), check the box for Report Type ``FORM SH 
NOTICE,'' include (on the Cover Page) the List of Other Managers 
Reporting for this Manager, and omit both the Summary Page and the 
Information Table.
    b. If all of the information that a Manager is required by the 
Form SH Emergency Orders to report on Form SH is reported in this 
report, check the box for Report Type ``FORM SH ENTRIES REPORT,'' 
omit from the Cover Page the List of Other Managers Reporting for 
this Manager, and include both the Summary Page and the Information 
Table.
    c. If only a part of the information that a Manager is required 
by the Form SH Emergency Orders to report on Form SH is reported in 
this report, check the box for Report Type ``FORM SH COMBINATION 
REPORT,'' include (on the Cover Page) the List of Other Managers 
Reporting for this Manager, and include both the Summary Page and 
the Information Table.
    Summary Page:
    7. Include on the Summary Page the Report Summary, containing 
the Number of Other Included Managers, the Information Table Entry 
Total and the Information Table Value Total.
    a. Enter as the Number of Other Included Managers the total 
number of other Managers listed in the List of Other Included 
Managers on the Summary Page, not counting the Manager filing this 
report. See Special Instruction 8. If none, enter the number zero 
(``0'').
    b. Enter as the Information Table Entry Total the total number 
of line entries providing issuer information included in the 
Information Table.
    c. Enter as the Information Table Value Total the aggregate fair 
market value in U.S. dollars (x $1000) of all securities sold short 
during the reporting period that are required to be reported on Form 
SH. The Information Table Value Total is determined by multiplying 
the Number of Securities Sold Short (Day) (Column 4) by the closing 
market price of the security on that day, or, when applicable, the 
most recent business day. The Manager must express this total as a 
rounded figure. See Special Instruction 9.
    8. Include on the Summary Page the List of Other Included 
Managers. Use the title, column headings and format provided.
    a. If this Form SH does not report the information that a 
Manager is required by the Form SH Emergency Orders to report on 
Form SH of any Manager other than the Manager filing this report, 
enter the word ``NONE'' under the title and omit the column headings 
and list entries.
    b. If this Form SH reports the information that a Manager is 
required by the Form SH Emergency Orders to report on Form SH of one 
or more Managers other than the Manager filing this report, enter in 
the List of Other Included Managers all such Managers together with 
their respective Form 13F file numbers, if known. (The Form 13F file 
numbers are assigned to Managers when they file their first Form 
13F). Assign a number to each Manager in the List of Other Included 
Managers, and present the list in sequential order. The numbers need 
not be consecutive. The List of Other Managers cannot include the 
Manager filing this report.
    Information Table:
    9. In determining the fair market value of securities sold 
short, a Manager must use the market price of the section 13(f) 
securities as of the close of floor trading on the New York Stock 
Exchange (``NYSE'') for the day in question. If the securities are 
sold short on a non-business day, a Manager must use the market 
price of the section 13(f) securities as of the close of the NYSE 
for the most recent business day. Such market closing time shall be 
used to determine the price for all SH Short Positions, irrespective 
of which U.S. equity market the issuer trades on. Enter values 
rounded to the nearest one thousand dollars (with ``000'' omitted).
    10. Furnish the Information Table using the table title, column 
headings and format provided. Provide column headings once at the 
beginning of each page of the Information Table. Present the table 
in accordance with the column instructions provided in Special 
Instructions 10.a.i through 10.a.viii. Do not include any additional 
information in the Information Table. Begin the Information Table on 
a new page for each day of the prior calendar week, and number any 
supplemental pages for a day using the page number and upper case 
letters (e.g., Monday-Page 2, Monday-Page 2A, Monday-Page 2B, etc.). 
Do not include any portion of the Information Table on either the 
Cover Page or the Summary Page.
    a. Instructions for each column in the Information Table:
    i. Column 1. Name of Issuer. Enter in Column 1 the name of the 
issuer as it appears in the current 13F List. Reasonable 
abbreviations are permitted.
    ii. Column 2. CUSIP Number. Enter in Column 2 the nine (9) digit 
CUSIP number of the security for which information is being 
reported.
    iii. Column 3. Short Position (Start of Day). Enter in Column 3 
the number of securities that represent the Manager's short position 
in the issuer as of the start of each calendar day during the 
reporting period. The Short Position (Start of Day) for Monday, 
September 22, 2008 shall be zero.
    iv. Column 4. Number of Securities Sold Short (Day). Enter in 
Column 4 the aggregate number of securities in the issuer that the 
Manager sold short for each calendar day during the reporting 
period.
    v. Column 5. Value of Securities Sold Short (Day). Enter in 
Column 5 the market value in U.S. dollars (x $1,000) of the number 
of securities reported in Column 4. In valuing such securities, use 
the fair market value for each security. See Special Instruction 9.
    vi. Column 6. Short Position (End of Day). Enter in Column 6 the 
number of securities that represent the Manager's short position in 
the issuer as of the end of each calendar day during the reporting 
period.
    vii. Column 7. Largest Intraday Short Position. Enter in Column 
7 the number of securities that represent the Manager's largest 
single short position in the issuer for each calendar day during the 
reporting period.
    viii. Column 8. Time of Day of Largest Intraday Short Position. 
Enter in Column 7 the time of day (Eastern Daylight Time) that the 
Manager had the largest single short position in the issuer, as 
reported in Column 7.
    11. Preparation of the electronic filing:
    Filing documents may be submitted in either ASCII or HTML 
document format. For ASCII submissions, please note items a, b, and 
c. Preparation of the filing document should follow instructions in 
the EDGAR Filer Manual, (Volume 2) EDGAR Filing available on the 
SEC's website at http://www.sec.gov/info/edgar/edmanuals.htm.
    a. No line on the Cover Page or the Summary Page may exceed 80 
characters in length. See rule 305 of Regulation S-T [17

[[Page 58989]]

CFR 232.305]. The EDGAR  tag may be used if it is necessary 
to increase the width of a line on the Cover Page or the Summary 
Page in a Form SH that is formatted in ASCII. See EDGAR Filer Manual 
(Volume 2) for details on the use of this tag.
    b. No line in the Form SH Information Table may exceed 132 
characters in length. See rule 305 of Regulation S-T [17 CFR 
232.305].
    c. If the Form SH Report Type is ``SH ENTRIES REPORT'' or ``SH 
COMBINATION REPORT,'' then place one EDGAR  tag at the end of 
the Cover Page and one  tag at the end of the Summary Page. 
Additional EDGAR  tags are not required. Those electing to 
include additional  tags should, for each page containing a 
 tag, include no more than sixty (60) lines per page, 
including the line on which the  tag is placed.
    d. In preparing the Form SH report for electronic filing, a 
Manager may omit underscoring used in the form to indicate the 
placement of information that the Manager is to furnish.
    e. Use the following EDGAR submission types for the following 
Form SH Report Types:

------------------------------------------------------------------------
            Form SH report type                 EDGAR submission type
------------------------------------------------------------------------
FORM SH ENTRIES
REPORT:
  Initial Filing..........................  SH-ER
  Amendments..............................  SH-ER/A
FORM SH NOTICE:
  Initial Filing..........................  SH-NT
  Amendments..............................  SH-NT/A
FORM SH COMBINATION REPORT:
  Initial Filing..........................  SH-ER
  Amendments..............................  SH-ER/A
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    Filings with the form types set forth in this instruction will 
be filed on a non-public basis.

Paperwork Reduction Act Information

    The Office of Management and Budget has approved this collection 
of information pursuant to 44 U.S.C. 3507 and 5 CFR 1320.13. The OMB 
control number for this collection of information is 3235-0646. An 
agency may not conduct or sponsor, and a person is not required to 
respond to, a collection of information unless it displays a 
currently valid control number. We estimate that providing the 
requested information will take, on average, approximately 5 hours. 
Any member of the public may direct to the Commission any comments 
concerning the accuracy of this burden estimate and any suggestions 
for reducing this burden. See Form SH Emergency Orders regarding 
confidentiality.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Washington, DC 20549

FORM SH

FORM SH COVER PAGE

Report for the Period Ended:
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[Month, Day, Year]

Check here if Amendment [ballot];
Amendment Number:------------------------------------------------------
This Amendment (Check only one):
[ballot] is a restatement.
[ballot] adds new entries.

Institutional Investment Manager Filing this Report:
Name:------------------------------------------------------------------
Address:---------------------------------------------------------------
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Form 13F File Number: 28-----------------------------------------------

The institutional investment manager filing this report and the 
person by whom it is signed hereby represent that the person signing 
the report is authorized to submit it, that all information 
contained herein is true, correct and complete, and that it is 
understood that all required items, statements, schedules, lists, 
and tables, are considered integral parts of this form.

Person Signing this Report on Behalf of Reporting Manager:
Name:------------------------------------------------------------------
Title:-----------------------------------------------------------------
Phone:-----------------------------------------------------------------

Signature, Place, and Date of Signing:
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[Signature]

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[City, State]

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[Date]

Report Type (Check only one):
[ballot] FORM SH ENTRIES REPORT. (Check here if all entries of this 
reporting manager are reported in this report.)
[ballot] FORM SH NOTICE. (Check here if no entries reported are in 
this report, and all entries are reported by other reporting 
manager(s).)
[ballot] FORM SH COMBINATION REPORT. (Check here if a portion of the 
entries for this reporting manager is reported in this report and a 
portion is reported by other reporting manager(s).)

List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number:
28-[Repeat as necessary.]----------------------------------------------

Name:------------------------------------------------------------------

FORM SH SUMMARY PAGE

Report Summary:
Number of Other Included Managers:
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Form SH Information Table Entry Total:
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Form SH Information Table Value Total:
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(thousands)

List of Other Included Managers:

Provide a numbered list of the name(s) and Form 13F file number(s) 
of all institutional investment managers with respect to which this 
Form SH report is filed, other than the manager filing this report.

[If there are no entries in this list, state ``NONE'' and omit the 
column headings and list entries.]

No.--------------------------------------------------------------------

Form 13F File Number:
28---------------------------------------------------------------------

Name:------------------------------------------------------------------

[Repeat as necessary.]

                                                            Form SH Information Table--Page 1
                                                                Sunday [Month, Day, Year]
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                                                                                                        Value of                             Time of day
                                                                               Short      Number of    securities     Short       Largest     of largest
                        Name of issuer                            CUSIP       position    securities   sold short    position     intraday     intraday
                                                                             (start of    sold short    (day) (X     (end of       short        short
                                                                                day)        (day)       $1,000)        day)       position     position
 Column 1                                                         Column 2     Column 3     Column 4     Column 5     Column 6     Column 7     Column 8
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[[Page 58990]]


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                                                            Form SH Information Table--Page 2
                                                                Monday [Month, Day, Year]
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                                                                                                        Value of                             Time of day
                                                                               Short      Number of    securities     Short       Largest     of largest
                        Name of issuer                            CUSIP       position    securities   sold short    position     intraday     intraday
                                                                             (start of    sold short    (day) (X     (end of       short        short
                                                                                day)        (day)       $1,000)        day)       position     position
 Column 1                                                         Column 2     Column 3     Column 4     Column 5     Column 6     Column 7     Column 8
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                                                            Form SH Information Table--Page 3
                                                               Tuesday [Month, Day, Year]
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                                                                                                        Value of                             Time of day
                                                                               Short      Number of    securities     Short       Largest     of largest
                        Name of issuer                            CUSIP       position    securities   sold short    position     intraday     intraday
                                                                             (start of    sold short    (day) (X     (end of       short        short
                                                                                day)        (day)       $1,000)        day)       position     position
 Column 1                                                         Column 2     Column 3     Column 4     Column 5     Column 6     Column 7     Column 8
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[[Page 58991]]


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                                                            Form SH Information Table--Page 4
                                                              Wednesday [Month, Day, Year]
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                                                                                                        Value of                             Time of day
                                                                               Short      Number of    securities     Short       Largest     of largest
                        Name of issuer                            CUSIP       position    securities   sold short    position     intraday     intraday
                                                                             (start of    sold short    (day) (X     (end of       short        short
                                                                                day)        (day)       $1,000)        day)       position     position
 Column 1                                                         Column 2     Column 3     Column 4     Column 5     Column 6     Column 7     Column 8
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[[Page 58992]]


                                                            Form SH Information Table--Page 5
                                                               Thursday [Month, Day, Year]
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                                                                                                        Value of                             Time of day
                                                                               Short      Number of    securities     Short       Largest     of largest
                        Name of issuer                            CUSIP       position    securities   sold short    position     intraday     intraday
                                                                             (start of    sold short    (day) (X     (end of       short        short
                                                                                day)        (day)       $1,000)        day)       position     position
 Column 1                                                         Column 2     Column 3     Column 4     Column 5     Column 6     Column 7     Column 8
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                                                            Form SH Information Table--Page 6
                                                                Friday [Month, Day, Year]
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                                                                                                        Value of                             Time of day
                                                                               Short      Number of    securities     Short       Largest     of largest
                        Name of issuer                            CUSIP       position    securities   sold short    position     intraday     intraday
                                                                             (start of    sold short    (day) (X     (end of       short        short
                                                                                day)        (day)       $1,000)        day)       position     position
 Column 1                                                         Column 2     Column 3     Column 4     Column 5     Column 6     Column 7     Column 8
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[[Page 58993]]


                                                            Form SH Information Table--Page 7
                                                               Saturday [Month, Day, Year]
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                                                                                                        Value of                             Time of day
                                                                               Short      Number of    securities     Short       Largest     of largest
                        Name of issuer                            CUSIP       position    securities   sold short    position     intraday     intraday
                                                                             (start of    sold short    (day) (X     (end of       short        short
                                                                                day)        (day)       $1,000)        day)       position     position
 Column 1                                                         Column 2     Column 3     Column 4     Column 5     Column 6     Column 7     Column 8
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[FR Doc. E8-23861 Filed 10-7-08; 8:45 am]

BILLING CODE 8011-01-P
