0000812291-19-000026.txt : 20191119 0000812291-19-000026.hdr.sgml : 20191119 20191119093622 ACCESSION NUMBER: 0000812291-19-000026 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191115 FILED AS OF DATE: 20191119 DATE AS OF CHANGE: 20191119 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MIZUHO SECURITIES USA LLC CENTRAL INDEX KEY: 0000812291 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33177 FILM NUMBER: 191229161 BUSINESS ADDRESS: STREET 1: 320 PARK AVENUE STREET 2: 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-209-9386 MAIL ADDRESS: STREET 1: 320 PARK AVENUE STREET 2: 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: MIZUHO SECURITIES USA INC. DATE OF NAME CHANGE: 20170406 FORMER NAME: FORMER CONFORMED NAME: MIZUHO SECURITIES USA LLC DATE OF NAME CHANGE: 20170404 FORMER NAME: FORMER CONFORMED NAME: MIZUHO SECURITIES USA INC. DATE OF NAME CHANGE: 20020321 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MONMOUTH REAL ESTATE INVESTMENT CORP CENTRAL INDEX KEY: 0000067625 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 221897375 STATE OF INCORPORATION: MD FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 101 CRAWFORDS CORNER ROAD, SUITE 1405 CITY: HOLMDEL STATE: NJ ZIP: 07733 BUSINESS PHONE: (732) 577-4054 MAIL ADDRESS: STREET 1: 101 CRAWFORDS CORNER ROAD, SUITE 1405 CITY: HOLMDEL STATE: NJ ZIP: 07733 FORMER COMPANY: FORMER CONFORMED NAME: MONMOUTH REAL ESTATE INVESTMENT TRUST DATE OF NAME CHANGE: 19900403 3 1 primary_doc.xml PRIMARY DOCUMENT X0206 3 2019-11-15 1 0000067625 MONMOUTH REAL ESTATE INVESTMENT CORP MNR 0000812291 MIZUHO SECURITIES USA LLC 320 PARK AVENUE 12TH FLOOR NEW YORK NY 10022 0 0 0 1 See Remarks No securities are beneficially owned. On November 15 2019 the Reporting Person entered into master securities loan agreements with each lender party signatory thereto (collectively the MSLAs) pursuant to which the Reporting Person borrowed an aggregate total of 15,825,060 shares of common stock of the Issuer which caused the Reporting Person to become a greater than ten percent owner with respect to the Issuer. On November 18 2019 the Reporting Person returned 15,825,060 shares of the Issuer pursuant to the MSLAs. Following the return of the borrowed shares the Reporting Person was no longer a greater than ten percent owner with respect to the Issuer. To the extent the Reporting Person is entitled to receive any dividends with respect to the previously borrowed shares of the Issuer such dividends will be subject to the terms and conditions of the MSLAs. The Reporting Person disclaims beneficial ownership of the previously borrowed shares of the Issuer for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934 as amended. Gregory Doig 2019-11-19