BE-13 Initial Report on a Foreign Person's Direct or Indirect

OMB Control No. 0608-0035: Approval Expires 09/30/2006

BE-13

U.S. DEPARTMENT OF COMMERCE

FORM
(REV. 12/2003)

CONTROL NUMBER

BUREAU OF ECONOMIC ANALYSIS

The combined public reporting burden for related Forms BE-13,
BE-13 Supplement C, and BE-14 is estimated to vary from 1 to 4
hours per response, with an average of 1.5 hours per response,
including the time for reviewing instructions, searching existing
data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Send
comments regarding this burden estimate or any other aspect of
this collection of information, including suggestions for reducing
this burden, to Director, Bureau of Economic Analysis (BE-1), U.S.
Department of Commerce, Washington, DC 20230; and to the
Office of Management and Budget, Paperwork Reduction Project
0608-0035, Washington, DC 20503.

INITIAL REPORT ON A FOREIGN PERSON’S DIRECT OR
INDIRECT ACQUISITION, ESTABLISHMENT, OR
PURCHASE OF THE OPERATING ASSETS, OF A U.S.
BUSINESS ENTERPRISE, INCLUDING REAL ESTATE
MANDATORY – CONFIDENTIAL

ELECTRONIC
FILING

See our web site at www.bea.gov/astar
for details.

MAIL
REPORTS
TO

U.S. Department of Commerce
Bureau of Economic Analysis, BE-49(NI)
Shipping and Receiving Section M-100
1441 L Street, NW
Washington, DC 20005

DELIVER
REPORTS
TO

U.S. Department of Commerce
Bureau of Economic Analysis, BE-49(NI)
Washington, DC 20230

such violation, upon conviction, may be punished by a like fine,
imprisonment, or both. (22 U.S.C. 3105)

Mandatory – This survey is being conducted pursuant to the
International Investment and Trade in Services Survey Act (P.L. 94-472,
90 Stat. 2059, 22 U.S.C., 3101-3108, as amended – hereinafter "the
Act"), and the filing of reports is MANDATORY pursuant to Section
5(b)(2) of the Act (22 U.S.C. 3104). The implementing regulations are
contained in Title 15 CFR Part 806.

Notwithstanding any other provision of the law, no person is required to
respond to, nor shall any person be subject to a penalty for failure to
comply with, a collection of information subject to the requirements of
the Paperwork Reduction Act, unless that collection of information
This report has been approved by the Office of Management and Budget displays a currently valid OMB Control Number.
under the Paperwork Reduction Act (44 U.S.C. 3501, et seq.).
Confidentiality – The Act provides that your report to this Bureau is
Penalties – Whoever fails to report may be subject to a civil penalty of CONFIDENTIAL, and may be used only for analytical or statistical
not less than $2,500, and not more than $25,000, and to injunctive relief purposes. Without your prior written permission, the information filed in
commanding such person to comply, or both. Whoever willfully fails to
your report CANNOT be presented in a manner that allows it to be
report shall be fined not more than $10,000 and, if an individual, may be individually identified. Your report CANNOT be used for purposes of
imprisoned for not more than one year, or both. Any officer, director,
taxation, investigation, or regulation. Copies retained in your files are
employee, or agent of any corporation who knowingly participates in
immune from legal process.
This report is to be filed by either –
(a) a U.S. business enterprise when a foreign person (hereinafter,
the "foreign parent") establishes or acquires directly, or
indirectly through an existing U.S. affiliate, a 10 percent or
more voting interest in that enterprise, including an enterprise
that results from the direct or indirect acquisition by a foreign
person of a business segment or operating unit of an existing
U.S. business enterprise that is then organized as a separate
legal entity; OR

business enterprise, that the existing U.S. affiliate merges into
its own operations rather than continuing or organizing as a
separate legal entity.
NOTE: Real estate purchased for other than personal use
constitutes a "business enterprise."
File separate parts V and VI for each foreign parent or existing
U.S. affiliate that established or acquired a direct voting
interest in the U.S. business enterprise, business segment,
operating unit, or real estate.

(b) the existing U.S. affiliate of a foreign person (hereinafter, the
"existing U.S. affiliate") when it acquires a U.S. business
enterprise, or a business segment or operating unit of a U.S.

IMPORTANT – Review instructions before completing report.
Part I
1.

101

2.

Type of Transaction and Date of Completion
(Mark (X) ONE of items 1 through 5) –
The foreign parent or existing U.S. affiliate
created a new legal entity, either incorporated
or unincorporated, including a branch, which is
organized and operating as a new U.S. business
enterprise.

11

12

Month

6. Transaction completed on

The foreign parent or existing U.S. affiliate
secured a voting equity interest in a previously
existing, separate legal entity that was already
organized and operating as a U.S. business
enterprise and it continued to operate as a
separate legal entity, either incorporated or
unincorporated, including a branch.

3.

13

The foreign parent or existing U.S. affiliate
bought a business segment or operating unit of
an existing U.S. business enterprise, which is
organized as a new separate legal entity, either
incorporated or unincorporated, including a
branch.

4.

14

The existing U.S. affiliate bought a U.S. business
enterprise, or business segment or operating
unit of a U.S. business enterprise, and merged it
into its own operations rather than continuing or
organizing it as a separate legal entity.

5.

NOTE – The newly created legal entity, the newly acquired
U.S. business enterprise, business segment, or operating
unit, and the directly purchased real estate are hereinafter
referred to as the "new U.S. affiliate".

7. Did the foreign parent or existing U.S.
affiliate hold a direct ownership
interest in the new U.S. affiliate
immediately prior to the date entered
in item 6?

Address

1
115

FAX NUMBER

____ .__ %

Bil.

Mil.

Date(s) acquired

Thous. Dols. Month

2

Area code

2

Number

4

Area code

5

Number

May we use e-mail to correspond with you to discuss questions relating
to this Form BE-13, including questions that may contain information
about this transaction that you may consider confidential? (Note that
electronic mail is not inherently confidential; we will treat information we
receive as confidential, but your e-mail is not necessarily secure against
interception by a third party.)

Base prints Blue 289

3

Day

Year

3

$

Date

Authorized official’s signature
1

Yes
No

11
12

CERTIFICATION — The undersigned official certifies that this report has been
prepared in accordance with the applicable instructions, is complete, and is
substantially accurate except that, in accordance with III.G. of the Instructions,
estimates have been provided where data are not available from customary
accounting records or precise data could not be obtained without undue burden.

1000 1

1001

114

IMPORTANT NOTE:
If item 1, 2, or 5 is marked, complete Parts II, IV, V,
and VI; if item 3 is marked, complete Parts II
through VI; if item 4 is marked, complete Parts III
through VI.

PERSON TO CONSULT CONCERNING QUESTIONS ABOUT THIS
REPORT — Enter name and address

TELEPHONE
NUMBER

Cost

Percent

Continue in next column

Name

Year

8. If the answer to item 7 is "Yes," give the percent
ownership interest that the new foreign parent or
existing U.S. affiliate previously held in the new
U.S. affiliate, the cost of such investment and the
date(s) acquired. (Exclude the cost of the transaction that
qualified the U.S. business enterprise as a U.S. affiliate and
that is reported in item 46.)

The foreign parent or existing U.S. affiliate
purchased U.S. real estate.

15

Day

102 1

Extension

Print or type name and title
Telephone number

1027

1

1

FAX number
E-mail address

1

Yes — If yes, please
provide your
e-mail address.

2

No

1

1028

BE-13, Page 1, tone 10% Blue 289

Part II Identification and Ownership Structure of the New
U.S. Affiliate
9a. Primary employer identification number to be used by
the new U.S. affiliate to file income and payroll taxes.

If item 2, 3, or 4, Part I, is marked – Report data for the
new U.S. affiliate as of the end of the most recent financial year
preceding acquistion. Exclude from full consolidation all
foreign business enterprises owned by this U.S.
affiliate; use the equity or cost method of accounting
to value these investments. (See Section III.D. of
Instructions.)

Enter E.I. Number
107 1

108 1

BEA
USE

For item 21
If item 1, 4, or 5, Part I, is marked – Report the number of
acres included in the purchase.

9b. U.S. affiliates fully consolidated in this report – See
item III.C. of the Instructions, "Consolidated
reporting by a new U.S. affiliate. "If this report is for a
single unconsolidated U.S. affiliate, enter "1" in the box below. If
more than one U.S. affiliate is fully consolidated in this report,
enter the number of U.S. affilates fully consolidated. Hereinafter,
they are considered one U.S. affiliate. (See III.C of the
Instructions.)

If item 2 or 3, Part I, is marked – Report the number of
acres owned by the new U.S. affiliate upon completion of the
investment transaction.
17. Ending date for the year
that these Part IV data
are for, except as noted
below

137 1

Number

Complete items 10 through 15 only if item 1, 2,
3, or 5, Part I on page 1, is marked.

Month

Day

Year

1

130

NOTE: If the total assets reported in item 18 are to be revalued due
to this acquisition, enter the date of the revaluation in item 17.

10. Name and address of new U.S. affiliate
Name of new U.S. affiliate

BEA
USE

103 1

18. Total assets – If assets are to
be revalued due to this
acquisition, report the value
after revaluation.

104 1

Street or PO Box

1

131

105 1

City and State

ZIP Code

109

Voting
stock

Equity
interest

(1)

(2)

___.__%

133

Number

20. Number of employees – Include
part-time employees. (See Section
V.D. of Instructions.)

Percent

11. All foreign parent(s)

1

19. Net income (loss) after
provision for U.S. Federal,
State, and local income taxes

106 1

Ownership of new U.S. affiliate –
Percent of voting stock and equity interest
for an incorporated U.S. affiliate, or an
equivalent interest for an unincorporated U.S.
affiliate, held DIRECTLY by –

Amount
Mil. Thous. Dols.

Bil.

21. Acres of U.S. land owned,
whether carried in a fixed
asset, investment, or other
asset account – Report number to
nearest whole acre.

110

___.__%

___.__%

13. Other foreign persons

111

___.__%

___.__%

14. Other U.S. persons

112

___.__%

___.__%

1

135
1

BEA USE ONLY

___.__%

12. All U.S. affiliate(s) of foreign
parent(s)

1
134

136

INDUSTRY CLASSIFICATION OF U.S. AFFILIATE
22. Major activity of fully consolidated U.S. affiliate
that was acquired or established – Mark (X) one. For
"start-up," show the intended activity.
Real estate
Other – Specify

Producer of goods
Seller of goods you do not produce
Producer or distributor of information
Provider of services

100.0%
100.0%
15. TOTAL – Sum of items 11–14
Part III Identification of U.S. Business Enterprise or a
Business Segment or Operating Unit of a U.S.
Business Enterprise, that has been Acquired and
Organized as a new separate legal entity, or that
has been Acquired by and Merged into an
Existing U.S. Affiliate.
Complete items 16a and 16b only if item 3 or 4,
Part I on page 1, is marked.

23. What are the major product(s) and/or service(s)
involved in this activity? – If a product, also state what is
done to it, i.e., whether it is mined, manufactured, sold at
wholesale, transported, packaged, etc.

24. Sales of new U.S. affiliate by industry – Enter the 4-digit ISI
code(s) and the sales associated with each code. The sales data
should represent the new U.S. affiliate’s most recent annual sales or
gross operating revenues (excluding sales taxes). For a newly
created or inactive U.S. affiliate, show the projected breakdown of
sales. See the list of ISI codes on pages 5 and 6. If you use fewer
than eight codes, you must account for total sales.

16a. Name and address of the new U.S. affiliate
Name
116 1

Street or PO Box
117 1

City and State

ISI code

ZIP Code

118 1

(1)

a. Code with
largest sales

16b. Name and address of person from whom acquired
Name
119 1

Street or PO Box
120 1

City and State

ZIP Code

121 1

Part IV Selected Financial and Operating Data
Complete items 17 through 21 for all types of
transactions covered by items 1 through 5,
Part I, on page 1.
BEA
USE

124 1

2

For items 17 through 20
If Item 1 or 5, Part I, is marked – Report projections for, or
as of, the end of the first full year of operations. Use projections
made in the course of planning the investment if available;
otherwise give best estimate. (Exception – For direct
purchase of real estate, the asset value should be the
value at time of closing.)
FORM BE-13 (REV. 12/2003)

Base prints Blue 289

2

1

2

1

2

1

2

1

2

1

2

1

2

1

2

201

b. Code with
2nd largest sales

202

c. Code with
3rd largest sales

203

d. Code with
4th largest sales

204

e. Code with
5th largest sales

205

f. Code with
6th largest sales

206

g. Code with
7th largest sales

207

h. Code with
8th largest sales

208

i. Sales not accounted
for above

209

TOTAL SALES –
Sum of lines
a through i

Bil.

1

2

1

132

Page 2

BE-13, page 2 tone 10% Blue 289

2

Sales
(2)
Mil. Thous. Dols.

Part V Investment Incentives and Services Provided by State or Local Governments –
Including Quasi-governmental Entities
Complete items 25 through 30 for all types of transactions covered by
items 1 through 5, Part I, on page 1.
Mark (X) one box
1

1

25. Were any specific State or local government incentives or related services (such as
those detailed in items 27 through 29 below) received in connection with this
investment transaction? If "No" is marked, skip to item 31.

1

140

Yes

26. Were these incentives or services a significant factor in the decision to invest in a
given region of the United States or in a given State or local area?

1

141

Yes

1

142

Yes

1

28. Financing programs – Such as industrial revenue bonds; direct loans or loan guarantees;
credits from development credit corporations; grants; and preferential rates on loans or leases.
29. Other – Such as State-financed recruiting programs, training programs, relocation services,
studies, R&D assistance, road building, and other services or incentives that are of monetary
value.

Yes

1

144

2

No

2

No

2

No

2

No

1

1

143

No

1

1

Mark "Yes" or "No" in items 27 through 29 to indicate the category(ies) that most clearly describe the
relevant State or local incentives or services, and complete item 30.
27. Taxation – Such as investment tax credit; tax exemption; and tax reduction or holiday.

2
1

1

1

1

Yes

30. State, or State of location of local government unit, from which the incentives or services were received.
If more than one, enter all States from which received.
a. State
BEA USE

145

1

BEA USE

145

2

BEA USE

145

3

b. State

c. State

Part VI Identification of Foreign Parent and Ultimate Beneficial Owner, and Cost of Investment
Complete items 31 through 40 for all types of transactions covered by items 1 through 5, Part I, on page 1.
This Part VI is being completed for (Mark (X) one of the items 31 through 33.)
31.

146

1
1

32.

1

33.

1

The foreign parent that directly established or acquired the new U.S. affiliate.

2

The existing U.S. affiliate of a foreign person that directly established a new U.S. affiliate or acquired a
direct voting interest in a U.S. business enterprise that becomes a new U.S. affiliate of the existing U.S.
affiliate’s foreign parent.

3

The existing U.S. affiliate of a foreign person that acquired a U.S. business enterprise, or business
segment or operating unit of a U.S. business enterprise, and merged it into its own operations.

34. Name, address, and country of foreign parent, or name and address of the existing U.S. affiliate, that
directly established or acquired the new U.S. affiliate or that merged the acquired business enterprise, or
business segment or operating unit, into its own operations.
Name
147 1

Street or PO Box
148 1

City and State
149 1

Country
150

1

35.

BEA USE

1

151

1

Percent

1
If item 31 or 32 was marked, report the percent of direct voting ownership held by the foreign
parent or existing U.S. affiliate named in item 34.
152 ___.___%
36. If item 32 or 33 was marked, enter the name and country of the foreign parent holding the direct, or indirect,
voting ownership interest in the existing U.S. affiliate named in item 34. If more than one foreign parent
furnish, on a separate sheet, the information requested in items 36 through 44 for each additional foreign parent.

3

Name
153

1

Country
154

BEA USE

1

155

1

37. If item 32 or 33 was marked and if the existing U.S. affiliate named in item 34 is not directly owned by the foreign parent,
enter the name and address of the U.S. affiliate that is directly owned by the foreign parent and the
percent of voting ownership held by the foreign parent.
Name
156

1

Address

Percent

157 1

1

158 1

159

___.___%

160 1

BEA
USE 161

1

38. Industry code of foreign parent named
162 1
Code – Get code from list on page 6.
in either item 34 or item 36.
NOTE – Information regarding the UBO and government ownership is essential; failure to properly complete items 39 through 44, to the
extent required by the line instructions, will constitute an incomplete report; BEA will contact the reporter for the missing information.
1
39. Is the foreign parent named in either
163
1
Yes – Skip to item 43.
item 34 or 36 also the ultimate beneficial
1
2
No – Continue with item 40.
owner (UBO)? See definition of UBO on page 7.
40. Is the UBO an individual?
164

1

1

1

2

Yes – If the answer to item 40 is "Yes," the name of the individual need
not be entered in item 41, but the country of residence of the
individual must be entered in item 42.
No

FORM BE-13 (REV. 12/2003)

Page 3

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BE-13, Page 3, tone 10% Blue 289

PART VI Identification of Foreign Parent and Ultimate Beneficial Owner, and Cost of Investment – Continued
Complete items 41 through 47 for all types of transactions covered by items 1 through 5, Part I, on page 1.
41. Name of UBO
165 1

42. Country of UBO named in item 41, or of the individual who is the UBO if item 40 was answered "Yes."

BEA USE

166 1

167

1

NOTE – Based on UBO’s world-wide consolidated sales.
43. Industry code of UBO named in item 41. 168 1
Code – Get code from list on page 6.
44. If item 32 is marked, will data for the new U.S. affiliate be fully consolidated with data for the existing, or
another, U.S. affiliate in other international investment survey reports filed with this Bureau?
170

1
1

1
2

Yes – Enter name under which the consolidated report will be filed.
No

BEA USE

171 1

172 1

(See instructions, Section III.C., "Consolidated reporting by a new U.S. affiliate."

Bil.

45. Cost of investment – Include the cost of all voting and non-voting equity interests. Do not report
book value. Exclude cost, if any, entered in item 8. Equals sum of items 46 and 47.
46. Funding by foreign parent(s) and all foreign affiliate(s) of foreign parent(s) – Report
the portion of the cost in item 45 provided by foreign parent(s) and foreign affiliate(s) of the foreign
parent(s), including funds they borrowed in the United States or abroad. Include funds to finance the
investment that were supplied by the foreign parent(s) or its foreign affiliate(s) through an existing
U.S. affiliate, as well as funds supplied directly by the foreign parent(s) or its foreign affiliate(s). See
Instructions, Section II.J., K., and L.

1
173

$
1

174
1

47. Funding by existing U.S. affiliate – Equals sum of items 47a and 47b
a. Foreign borrowing by existing U.S. affiliate – Report the portion of the cost in item 45
provided by the existing U.S. affiliate from borrowing from unaffiliated foreign persons. Exclude
amounts reported in item 46.
b. Other funding by existing U.S. affiliate – Report the portion of the cost in item 45 provided
by the existing U.S. affiliate and not included in item 47a (e.g., internally generated funds and
funds that the affiliate borrowed in the United States).
BEA USE ONLY

175

$
1

176
1

177

BEA USE ONLY

122 1

222 1

123 1

223 1

138 1

224 1

REMARKS – Please use this space for any explanation that may be essential in understanding your reported data.

FORM BE-13 (REV. 12/2003)

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Page 4

BE-13, page 4 tone 10% Blue 289

Amount
Mil.
Thous.

Dols.

4-Digit ISI Codes for the Industry Classification of New U.S. Affiliate (Item 24) and 2-Digit Industry Codes for Classification of
Foreign Parent and Ultimate Beneficial Owner (UBO) (Items 38 and 43)
Use the International Surveys Industry (ISI) classifications below to complete item 24. The classifications are defined in the "Guide to Industry and
Foreign Trade Classifications for International Surveys, 2002" prepared by the Bureau of Economic Analysis. The Guide is available upon request
or on BEA’s website at www.bea.gov/bea/surveys/fdiusurv.htm

SUMMARY OF INDUSTRY CLASSIFICATIONS

AGRICULTURE, FORESTRY,
FISHING, AND HUNTING
1110
1120
1130
1140
1150

Crop production
Animal production
Forestry and logging
Fishing, hunting, and trapping
Support activities for agriculture
and forestry

MINING
2111
2121
2123
2124
2125
2126
2127
2132

Oil and gas extraction
Coal
Nonmetallic minerals
Iron ores
Gold and silver ores
Copper, nickel, lead, and zinc ores
Other metal ores
Support activities for oil and gas
operations
2133 Support activities for mining,
except for oil and gas
operations
UTILITIES
2211 Electric power generation,
transmission, and distribution
2212 Natural gas distribution
2213 Water, sewage, and other systems
CONSTRUCTION
2360 Construction of buildings
2370 Heavy and civil engineering
construction
2380 Specialty trade contractors
MANUFACTURING
3111
3112
3113
3114
3115
3116
3117
3118
3119
3121
3122
3130
3140
3150
3160
3210
3221
3222
3231
3242
3243
3244
3251
3252
3253
3254
3255
3256
3259
3261
3262
3271
3272
3273
3274
3279

Animal foods
Grain and oilseed milling
Sugar and confectionery products
Fruit and vegetable preserving
and specialty foods
Dairy products
Meat products
Seafood product preparation and
packaging
Bakeries and tortillas
Other food products
Beverages
Tobacco
Textile mills
Textile product mills
Apparel
Leather and allied products
Wood products
Pulp, paper, and paperboard mills
Converted paper products
Printing and related support
activities
Integrated petroleum refining and
extraction
Petroleum refining without
extraction
Asphalt and other petroleum and
coal products
Basic chemicals
Resins, synthetic rubbers, and
artificial and synthetic fibers
and filaments
Pesticides, fertilizers, and other
agricultural chemicals
Pharmaceuticals and medicines
Paints, coatings, and adhesives
Soap, cleaning compounds, and
toilet preparations
Other chemical products and
preparations
Plastics products
Rubber products
Clay products and refractories
Glass and glass products
Cement and concrete products
Lime and gypsum products
Other nonmetallic mineral
products

FORM BE-13 (REV. 12/2003)

3311 Iron and steel mills and
ferroalloys
3312 Steel products from purchased
steel
3313 Alumina and aluminum
production and processing
3314 Nonferrous metal (except
aluminum) production and
processing
3315 Foundries
3321 Forging and stamping
3322 Cutlery and handtools
3323 Architectural and structural metals
3324 Boilers, tanks, and shipping
containers
3325 Hardware
3326 Spring and wire products
3327 Machine shops; turned products;
and screws, nuts, and bolts
3328 Coating, engraving, heat treating,
and allied activities
3329 Other fabricated metal products
3331 Agriculture, construction, and
mining machinery
3332 Industrial machinery
3333 Commercial and service industry
machinery
3334 Ventilation, heating, airconditioning, and commercial
refrigeration equipment
3335 Metalworking machinery
3336 Engines, turbines, and power
transmission equipment
3339 Other general purpose machinery
3341 Computer and peripheral
equipment
3342 Communications equipment
3343 Audio and video equipment
3344 Semiconductors and other
electronic components
3345 Navigational, measuring,
electromedical, and control
instruments
3346 Manufacturing and reproducing
magnetic and optical media
3351 Electric lighting equipment
3352 Household appliances
3353 Electrical equipment
3359 Other electrical equipment and
components
3361 Motor vehicles
3362 Motor vehicle bodies and trailers
3363 Motor vehicle parts
3364 Aerospace products and parts
3365 Railroad rolling stock
3366 Ship and boat building
3369 Other transportation equipment
3370 Furniture and related products
3391 Medical equipment and supplies
3399 Other miscellaneous
manufacturing
WHOLESALE TRADE
MERCHANT WHOLESALERS, DURABLE
GOODS
4231 Motor vehicles and motor vehicle
parts and supplies merchant
wholesalers
4232 Furniture and home furnishing
merchant wholesalers
4233 Lumber and other construction
materials merchant wholesalers
4234 Professional and commercial
equipment and supplies
merchant wholesalers
4235 Metal and mineral (except
petroleum) merchant
wholesalers
4236 Electrical and electronic goods
merchant wholesalers
4237 Hardware, and plumbing and
heating equipment and supplies
merchant wholesalers
4238 Machinery, equipment, and
supplies merchant wholesalers
4239 Miscellaneous durable goods
merchant wholesalers

Page 5

MERCHANT WHOLESALERS
NONDURABLE GOODS
4241 Paper and paper product
merchant wholesalers
4242 Drugs and druggists’ sundries
merchant wholesalers
4243 Apparel, piece goods, and notions
merchant wholesalers
4244 Grocery and related product
merchant wholesalers
4245 Farm product raw material
merchant wholesalers
4246 Chemical and allied products
merchant wholesalers
4247 Petroleum and petroleum
products merchant wholesalers
4248 Beer, wine, and distilled alcoholic
beverage merchant wholesalers
4249 Miscellaneous nondurable goods
merchant wholesalers
ELECTRONIC MARKETS AND AGENTS
AND BROKERS
4251 Wholesale electronic markets and
agents and brokers
RETAIL TRADE
4410 Motor vehicle and parts dealers
4420 Furniture and home furnishings
stores
4431 Electronics and appliance stores
4440 Building material and garden
equipment and supplies dealers
4450 Food and beverage stores
4461 Health and personal care stores
4471 Gasoline stations
4480 Clothing and clothing accessories
stores
4510 Sporting goods, hobby, book, and
music stores
4520 General merchandise stores
4530 Miscellaneous store retailers
4540 Nonstore retailers
TRANSPORTATION AND
WAREHOUSING
4810 Air transportation
4821 Rail transportation
4833 Petroleum tanker operations
4839 Other water transportation
4840 Truck transportation
4850 Transit and ground passenger
transportation
4863 Pipeline transportation of crude
oil, refined petroleum products,
and natural gas
4868 Other pipeline transportation
4870 Scenic and sightseeing
transportation
4880 Support activities for
transportation
4920 Couriers and messengers
4932 Petroleum storage for hire
4939 Other warehousing and storage
INFORMATION
5111 Newspaper, periodical, book, and
directory publishers
5112 Software publishers
5121 Motion picture and video
industries
5122 Sound recording industries
5151 Radio and television broadcasting
5152 Cable and other subscription
programming
5161 Internet publishing and
broadcasting
5171 Wired telecommunications
carriers
5172 Wireless telecommunications
carriers (except satellite)
5173 Telecommunications resellers
5174 Satellite telecommunications
5175 Cable and other program
distribution
5179 Other telecommunications
5181 Internet service providers and
web search portals
5182 Data processing, hosting, and
related services
5191 Other information services

SUMMARY OF INDUSTRY CLASSIFICATIONS — Continued

FINANCE AND INSURANCE

5416 Management, scientific, and
technical consulting services
5417 Scientific research and
development services
5418 Advertising and related services
5419 Other professional, scientific, and
technical services

5221 Depository credit intermediation
(Banking)
5223 Activities related to credit
intermediation
5224 Nondepository credit
intermediation
5229 Nondepository branches and
agencies
5231 Securities and commodity
contracts intermediation and
brokerage
5238 Other financial investment
activities and exchanges
5242 Agencies, brokerages, and other
insurance related activities
5243 Insurance carriers, except life
insurance carriers
5249 Life insurance carriers
5252 Funds, trusts, and other financial
vehicles

PROFESSIONAL, SCIENTIFIC, AND
TECHNICAL SERVICES
5411 Legal services
5412 Accounting, tax preparation,
bookkeeping, and payroll
services
5413 Architectural, engineering, and
related services
5414 Specialized design services
5415 Computer systems design and
related services

ACCOMMODATION AND FOOD
SERVICES

5512 Holding companies, except bank
holding companies
5513 Corporate, subsidiary, and
regional management offices

7210 Accommodation
7220 Food services and drinking places

5611
5612
5613
5614
5615

5310 Real estate
5321 Automotive equipment rental and
leasing
5329 Other rental and leasing services
5331 Lessors of nonfinancial intangible
assets (except copyrighted
works)

7110 Performing arts, spectator sports,
and related industries
7121 Museums, historical sites, and
similar institutions
7130 Amusement, gambling, and
recreation industries

MANAGEMENT OF COMPANIES
AND ENTERPRISES

ADMINISTRATIVE AND SUPPORT
AND WASTE MANAGEMENT AND
REMEDIATION SERVICES

REAL ESTATE AND RENTAL AND
LEASING

ARTS, ENTERTAINMENT, AND
RECREATION

5616
5617
5619
5620

Office administrative services
Facilities support services
Employment services
Business support services
Travel arrangement and
reservation services
Investigation and security services
Services to buildings and
dwellings
Other support services
Waste management and
remediation services

OTHER SERVICES
8110 Repair and maintenance
8120 Personal and laundry services
8130 Religious, grantmaking, civic,
professional, and similar
organizations
PUBLIC ADMINISTRATION
9200 Public administration

EDUCATIONAL SERVICES
6110 Educational services
HEALTH CARE AND SOCIAL
ASSISTANCE
6210 Ambulatory health care services
6220 Hospitals
6230 Nursing and residential care
facilities
6240 Social assistance

FOREIGN PARENT AND UBO INDUSTRY CODES
01
02
03
04
05

Government and government-owned or -sponsored enterprise, or quasi-government organization or agency
Pension fund — Government run
Pension fund — Privately run
Estate, trust, or nonprofit organization (that part of ISI code 5252 that is estates and trusts)
Individual

Private business enterprise, investment organization, or group engaged in:
06
07
08
09
10
11
12
13
14
15
16
17
18
19

Insurance (ISI codes 5242, 5243, 5249)
Agriculture, forestry, fishing and hunting (ISI codes 1110–1140)
Mining (ISI codes 2111–2127)
Construction (ISI codes 2360–2380)
Transportation and warehousing (ISI codes 4810–4939)
Utilities (ISI codes 2211–2213)
Wholesale and retail trade (ISI codes 4231–4251 and 4410–4540)
Banking, including bank holding companies (ISI codes 5221 and 5229)
Holding companies, excluding bank holding companies (ISI codes 5512 and 5513)
Other finance (ISI codes 5223, 5224, 5231–5238, that part of ISI code 5252 that is not estates and trusts, and 5331)
Real estate (ISI code 5310)
Information (ISI codes 5111–5191)
Professional, scientific, and technical services (ISI codes 5411–5419)
Other services (ISI codes 1150, 2132, 2133, 5321, 5329, and 5611–8130)

Manufacturing, including fabricating, assembling, and processing of goods:
20
21
22
23
24
25
26
27
28
29
30
31
32

Food (ISI codes 3111–3119)
Beverages and tobacco products (ISI codes 3121 and 3122)
Pharmaceuticals and medicine (ISI code 3254)
Other chemicals (ISI codes 3251–3259, except 3254)
Nonmetallic mineral products (ISI codes 3271–3279)
Primary and fabricated metal products (ISI codes 3311–3329)
Computer and electronic products (ISI codes 3341–3346)
Machinery manufacturing (ISI codes 3331–3339)
Electrical equipment, appliances and components (ISI codes 3351–3359)
Motor vehicles and parts (ISI codes 3361–3363)
Other transportation equipment (ISI codes 3364–3369)
Other manufacturing (ISI codes 3130–3231, 3261, 3262, 3370–3399)
Petroleum manufacturing, including integrated petroleum and petroleum
refining without extraction (ISI codes 3242–3244)

FORM BE-13 (REV. 12/2003)

Page 6

BE-13 INITIAL REPORT ON A FOREIGN PERSON’S DIRECT OR INDIRECT ACQUISITION, ESTABLISHMENT, OR PURCHASE
OF THE OPERATING ASSETS, OF A U.S. BUSINESS ENTERPRISE, INCLUDING REAL ESTATE
INSTRUCTIONS
B. Foreign, when used in a geographic sense, means
that which is situated outside the United States or
which belongs to or is characteristic of a country
other than the United States.

The BE-13 survey provides comprehensive initial data
concerning new foreign direct investment in the United States
that may affect the U.S. and foreign economies.
I. REPORTING REQUIREMENTS

C. Person means any individual, branch, partnership,
associated group, association, estate, trust, corporation, or
other organization (whether or not organized under the laws
of any State), and any government (including a foreign
government, the United States Government, a State or local
government, and any agency, corporation, financial
institution, or other entity or instrumentality thereof,
including a government-sponsored agency).

A. Who must report – BE-13, Initial Report on a Foreign
Person’s Direct or Indirect Acquisition, Establishment, or
Purchase of the Operating Assets, of a U.S. Business
Enterprise, Including Real Estate, must be filed by either:
1. a U.S. business enterprise when a foreign person
establishes or acquires directly, or indirectly through an
existing U.S. affiliate, a 10 percent or more voting
interest in that enterprise, including an enterprise that
results from the direct or indirect acquisitions by a
foreign person of a business segment or operating unit
of an existing U.S. business enterprise that is then
organized as a separate legal entity; or

D. Foreign person means any person resident outside the
United States or subject to the jurisdiction of a country other
than the United States.
E. Direct investment means the ownership or control,
directly or indirectly, by one person of 10 per centum or
more of the voting securities of an incorporated business
enterprise or an equivalent interest in an unincorporated
business enterprise.

2. the existing U.S. affiliate of a foreign person when it
acquires a U.S. business enterprise, or a business
segment or operating unit or a U.S. business enterprise,
that the existing U.S. affiliate merges into its own
operations rather than continuing or organizing as a
separate legal entity.
NOTE – A complete BE-13 report must be filed for every new
U.S. affiliate. However, separate Parts V and VI must be
completed and filed for each foreign parent or existing U.S.
affiliate that established or acquired a direct voting interest in
the U.S. business enterprise, business segment, operating
unit, or real estate.

1. An existing U.S. affiliate is exempt from reporting if the
total cost of the acquisition was $3,000,000 or less, and
does not involve the purchase of 200 acres or more of
U.S. land. (If the acquisition involves the purchase of
200 acres or more of U.S. land, it must be reported
regardless of the total cost of the acquisition.)

I. U.S. affiliate means an affiliate located in the United States
in which a foreign person has a direct investment.

2. An established or acquired U.S. business enterprise, as
consolidated, is exempt from reporting if its total assets
(not the foreign parent’s or existing U.S. affiliate’s
share) at the time of acquisition or immediately after
being established, were $3,000,000 or less and it does
not own 200 acres or more of U.S. land. (If it owns 200
acres or more of U.S. land, it must report regardless of
the value of total assets.)

J. Foreign parent means the first foreign person in the
ownership chain of the U.S. affiliate.

If exempt under 1 or 2 above, you must file a Form BE-13,
Supplement C, "Exemption Claim" to validate the exemption.
NOTE – If a U.S. affiliate meets either of the exemption
criteria given above, please be aware that it may,
nevertheless, be required to file on the annual and quarterly
surveys of foreign direct investment in the United States
(Forms BE-15, BE-605, and BE-605 Bank), which are also
conducted by this Bureau (see 15 CFR Part 806).

L. Foreign affiliate of foreign parent means, with reference
to a given U.S. affiliate, any member of the affiliated foreign
group owning the affiliate that is not a foreign parent of the
affiliate.

N. Business enterprise means any organization, association,
branch, or venture which exists for profitmaking purposes or
to otherwise secure economic advantage, and any
ownership of any real estate.

If the U.S. affiliate is exempt from filing on the annual and
quarterly surveys at this time, but exceeds the exemption
levels for those surveys in the future due to internal growth,
acquisitions, new infusions of capital, the purchase of land,
etc., the U.S. affiliate should obtain and file the appropriate
forms.

O. Intermediary means an agent, nominee, manager,
custodian, trust, or any person acting in a similar capacity.

C. Real Estate – The ownership of real estate is a business
enterprise, and if the real estate is foreign owned, it is a U.S.
affiliate of a foreign person. You must file a BE-13 report
unless the enterprise is otherwise exempt. However:
• Residential real estate held exclusively for personal use
and not for profitmaking purposes is not subject to the
reporting requirements. A residence which is an owner’s
primary residence that is then leased by the owner while
outside the United States, but which the owner intends to
reoccupy, is considered real estate held for personal use.
• Ownership of U.S. residential real estate by a corporation
whose sole purpose is to hold the real estate for the
personal use of the owner(s) of the corporation is
considered to be real estate held for personal use and not
subject to the reporting requirements.

BE-13 Instructions (12/2003)

K. Affiliated foreign group means (i) the foreign parent, (ii)
any foreign person, proceeding up the foreign parent’s
ownership chain, which owns more than 50 per centum of
the person below it up to and including that person which is
not owned more than 50 per centum by another foreign
person, and (iii) any foreign person, proceeding down the
ownership chain(s) of each of these members, which is
owned more than 50 per centum by the person above it.

M. U.S. corporation means a business enterprise incorporated
in the United States.

Contact us at (202) 606-5577 if you need assistance to
complete these forms, or if you are uncertain which
forms need to be completed. All of these forms and
instructions can be found on BEA’s web site at
www.bea.gov/bea/surveys/fdiusurv.htm.

II. DEFINITIONS

G. Branch means the operations or activities conducted by a
person in a different location in its own name rather than
through an incorporated entity.
H. Affiliate means a business enterprise located in one
country which is directly or indirectly owned or controlled by
a person of another country to the extent of 10 per centum
or more of its voting stock for an incorporated business or
an equivalent interest for an unincorporated business,
including a branch.

B. Exemptions

A. United States, when used in a geographic sense, means
the several States, the District of Columbia, the
Commonwealth of Puerto Rico, and all territories and
possessions of the United States.

F. Foreign direct investment in the United States means
the ownership or control, directly or indirectly, by one
foreign person of 10 per centum or more of the voting
securities of an incorporated U.S. business enterprise or an
equivalent interest in an unincorporated U.S. business
enterprise, including a branch.

P. Associated group means two or more persons who, by the
appearance of their actions, by agreement, or by an understanding, exercise their voting privileges in a concerted
manner to influence the management of a business enterprise.
Each of the following are deemed to be an associated group:
(1) Members of the same family,
(2) A business enterprise and one or more of its officers
and directors,
(3) Members of a syndicate or joint venture, or
(4) A corporation and its domestic subsidiaries.
Q. Ultimate beneficial owner (UBO) is that person,
proceeding up the ownership chain beginning with and
including the foreign parent, that is not more than 50 percent
owned or controlled by another person. (A person who
creates a trust, proxy, power of attorney, arrangement, or
device with the purpose or effect of divesting such owner of
the ownership of an equity interest as part of a plan or
scheme to avoid reporting information, is deemed to be the
owner of the equity interest.) Note: Stockholders of a closely
or privately held corporation are normally considered to be
an associated group and may be a UBO.

Page 7

BE-13 INITIAL REPORT ON A FOREIGN PERSON’S DIRECT OR INDIRECT ACQUISITION, ESTABLISHMENT, OR PURCHASE
OF THE OPERATING ASSETS, OF A U.S. BUSINESS ENTERPRISE, INCLUDING REAL ESTATE
III. GENERAL INSTRUCTIONS

E. Calculation of ownership interest – All direct and
indirect lines of ownership interest held by a foreign
person in a given U.S. business enterprise must be
summed to determined whether the enterprise is a U.S.
affiliate of the foreign person for purposes of reporting.

A. Determining whether an individual is a foreign
person or a U.S. person based on residence – An
individual will be considered a resident of, and subject to
the jurisdiction of, the country in which physically located.
The following guidelines apply to individuals who do not
reside in their country of citizenship:

A foreign parent’s percentage of indirect ownership interest
in a given U.S. business enterprise is the product of the
direct ownership percentage of the foreign parent in the
first U.S. business enterprise in the ownership chain times
that first enterprise’s direct ownership percentage in the
second U.S. business enterprise times each succeeding
direct ownership percentage of each other intervening U.S.
business enterprise in the ownership chain between the
foreign parent and the given U.S. business enterprise.

1. Individuals who reside, or expect to reside, outside their
country of citizenship for less than one year are
considered to be residents of their country of citizenship.
2. Individuals who reside, or expect to reside, outside their
country of citizenship for one year or more are considered
to be residents of the country in which they are residing,
except as provided in 3 below.
3. If an owner or employee of a business enterprise resides
outside the country of location of the enterprise for one
year or more for the purpose of furthering the business of
the enterprise, and the country of the business enterprise
is the country of citizenship of the owner or employee,
then the owner or employee is considered a resident of
the country of citizenship provided he or she intends to
return within a reasonable period of time.
4. Individuals and members of their immediate families who
reside outside their country of citizenship as a result of
employment by the government of that country –
diplomats, consular officials, members of the armed
forces, etc. – are considered to be residents of their
country of citizenship.

If there is more than one line of ownership from the foreign
parent, or if other members of the affiliated foreign group
hold direct or indirect lines of ownership in the U.S.
business enterprise, then all ownership interest lines must
be summed to determine if the U.S. business enterprise is
a U.S. affiliate of a foreign person.
F. Accounting methods and records – Follow generally
accepted U.S. accounting principles, unless otherwise
specified. Corporations should generally use the same
methods and records that are used to generate reports to
stockholders except where the instructions indicate a
variance.
Prepare reports for unincorporated persons on an
equivalent basis.
G. Estimates – If actual amounts are not available, supply
estimates and label them as such. When an item cannot be
fully subdivided as required, supply a total and an
estimated breakdown of the total.

B. Reporting by intermediaries – Accounts or transactions
of a U.S. intermediary with a foreign beneficial owner are
deemed to be accounts and transactions of the new U.S.
affiliate with the foreign beneficial owner.
If a foreign direct investment in the United States is held,
exercised, administered, or managed by a U.S.
intermediary for the benefit of the foreign owner, the
intermediary shall:

H. Space on form insufficient – When space on a form is
insufficient to permit a full answer to any item, submit the
required information on supplimentary sheets,
appropriately labeled and referenced to the item number
and the form or supplement.

• Be responsible for reporting the required information for,
and in the name of, the new U.S. affiliate, or

I. Report currency amounts in U.S. dollars, rounded to
thousands (omitting 000). Do not enter amounts in the
shaded portions of each line.

• Instruct the new U.S. affiliate to submit the required
information
If the intermediary instructs the U.S. affiliate to submit the
information, the intermediary is released from any further
obligation to report. In this case, the intermediary must:

EXAMPLE: If amount is $3,334,615.00, report as:
Bil.

• Inform this Bureau in writing that the new U.S. affiliate
will file the BE-13 report, and
• Give the new U.S. affiliate whatever information it may
need to complete the report

3

335

Dols.

K. Enter "0", if an item is between + or - $500.00.
L. Use parentheses to indicate negative numbers.

C. Consolidated reporting by a new U.S. affiliate – A new
U.S. affiliate must file Form BE-13 on a fully consolidated
domestic U.S. basis, including in the consolidation all U.S.
business enterprises in which it directly or indirectly owns
more than 50 percent of the outstanding voting interest.
Exclude from the full consolidation all minority-owned
U.S. business enterprises, and all foreign business
enterprises owned by this U.S. affiliate. The fully
consolidated entity is considered one U.S. affiliate.
Minority-owned U.S. business enterprises must file a
separate Form BE-13 and must be included in the
Form BE-13 of the U.S. affiliate that owns them on an equity
basis, or cost basis if owned less than 20 percent (See III.D.
below).

IV. SPECIAL INSTRUCTIONS
A. Insurance companies – When there is a difference, the
financial and operating data in this report are to be
prepared on the same basis as an annual report to
stockholders, rather than on the basis of an annual
statement to an insurance department. Valuation should be
according to normal commercial accounting procedures,
not at the rates promulgated by the National Association of
Insurance Commissioners. Include assets not acceptable
for inclusion in the annual statement to an insurance
department. Specific instructions follow:
• Total sales – Include premium income and income from
actuarial, claims adjustment, and other services, if any.
• Costs and expenses relating to operations (to be
used in determining net income) – Include costs
relating to sales or gross operating revenues, such as
policy losses incurred, death benefits, matured
endowments, other policy benefits, increases in liabilities
for future policy benefits, other underwriting expenses,
and investment expenses.

Any deviation from these consolidation rules must be
approved in writing by BEA.

1. Generally, investments in those business enterprises
owned 20 percent or more (including those that are
majority-owned) should be reported using the equity
method. However, immaterial investments may be
reported using the cost method provided this method is
consistent with normal reporting practice.

Thous.

J. Non-currency amounts, such as the number of acres and
the number of employees, should be rounded to the
nearest whole unit.

IMPORTANT NOTE – If the new U.S. affiliate is not an
entity from which a report can be requested (e.g.,
unimproved real property) then the intermediary of the
foreign beneficial owner must report the investment on
Form BE-13.

D. Equity method of accounting – Account for investments
by a new U.S. affiliate in all foreign business enterprises
and in U.S. business enterprises that are not fully
consolidated as detailed below. Do not eliminate
intercompany accounts if the equity method is used.

Mil.

B. Real estate – If a business enterprise is real property that
cannot be identified by name, reports are required to be
filed by and in the name of the beneficial owner, or in the
name of such beneficial owner by the intermediary of such
beneficial owner.
Part I, items 1 through 5:
• Check item 5, in Part I, to report the direct purchase of
real estate (e.g., unimproved land, office buildings,
shopping centers, etc.)

2. Investments in those business enterprises owned less
than 20 percent normally should be reported using the
cost method.

• Check item 2, in Part I, to report the purchase of shares
in an existing business entity that owns real estate.

BE-13 Instructions (12/2003)

Page 8

BE-13 INITIAL REPORT ON A FOREIGN PERSON’S DIRECT OR INDIRECT ACQUISITION, ESTABLISHMENT, OR PURCHASE
OF THE OPERATING ASSETS, OF A U.S. BUSINESS ENTERPRISE, INCLUDING REAL ESTATE
V. FILING REPORTS

IV. SPECIAL INSTRUCTIONS – Continued
Part II, item 10:
For real estate that does not represent an operating
business enterprise (e.g., unimproved real property), report
the name of the U.S. affiliate (investment) and an address
where BEA can mail report forms. Examples are:
XYZ Corp. N.V., Real Estate Investments; c/o B&K Inc.,
Accountants; 120 Major Street; Miami, FL XXXXX
If the investment property has a name, such as Sunrise
Apartments, the name and address might be:
Sunrise Apartments; c/o ABC Real Estate;
120 Major Street; Miami, FL XXXXX
Part II, items 11 and 12:
For unincorporated affiliates –
Report the percentage ownership for direct purchases by
the foreign parent in item 11
Report the percentage ownership for purchases by an
existing U.S. affiliate in item 12
C. Holding companies – The following criteria attempts to
minimize reporting when a foreign parent creates a U.S.
holding company whose sole purpose is to acquire or
establish another U.S. business enterprise.
You may defer the reporting date for this type of (multi-step)
transaction until 45 days after completion of the holding
company’s acquisition or establishment of the U.S. business
enterprise if:
• The initial capitalization (including debt and equity) of
the U.S. holding company is $30,000,000 or less, and
• The U.S. business enterprise is acquired or established
within 180 days of the creation of the U.S. holding
company
You may also file one Form BE-13 to report the creation of
the U.S. holding company and the subsequent acquisition or
establishment of the U.S. business enterprise. Include in
item 45 -- Cost of investment -- all funding for both the
creation of the holding company and the subsequent
acquisition or establishment of the U.S. business enterprise.

A. Due date – Form BE-13 is due no later than 45 days after the
completion of the investment transaction.
B. Extensions – For the efficient processing of the survey and
timely dissemination of the results, it is important that your
report be filed by the due date. Nevertheless, reasonable
requests for extension of the filing deadline will normally be
granted. Requests for extensions of more than 30 days MUST
be in writing, should explain the basis for the request, and
must be received by BEA no later than the due date of the
report. You may telephone BEA directly with requests for
extensions of 30 days or less. See Section IV.D., below.
C. Mailing report forms to foreign address – BEA will
accommodate foreign owners that wish to have report forms
sent directly to them. Owners should allow for the extra time
consumed in mailing to and from a foreign place.
D. Assistance – For assistance, telephone (202) 606-5577 or
FAX (202) 606-5319. Forms can be obtained from BEA’s web
site at: www.bea.gov/bea/surveys/fdiusurv.htm.
E. Annual stockholders’ report or other financial
statements – Please furnish a copy of your annual report or
Form 10K when filing the BE-13 report. If you do not publish
an annual stockholders’ report or file Form 10K, please
provide any financial statements that may be prepared.
Information contained in these statements is useful in
reviewing your data and may reduce the need for further
contact. Section 5(c) of the International Investment and Trade
in Services Survey Act, Public Law 94-472, 90 Stat. 2059, 22
U.S.C. 3101-3108, as amended, provides that this information
can be used for analytical and statistical purposes only and
that it must be held strictly confidential.
F. Number of copies – File a single original copy of Form
BE-13. Retain a file copy of the report for three years to
facilitate resolution of any questions that BEA may have
concerning your report. (Both copies are protected by law;
see the statement on confidentiality in paragraph V.H.
below.)
G. Where to send the report – To file electronically, see our
web site at www.bea.gov/astar.
Send reports filed by mail through the U.S. Postal Service to:
U.S. Department of Commerce
Bureau of Economic Analysis
BE-49(NI)
Washington , DC 20230

Please telephone BEA at (202) 606-5577 for further
assistance if you are not certain how to report any
investment transaction involving a holding company.
D. Employment (item 20) – Report the number of full-time
and part-time employees, based on payroll records.
Exclude contract workers and other workers not carried on
the payroll of this U.S. affiliate.
• If the investment being reported represents the
acquisition of an existing U.S. business enterprise or
the direct purchase of real estate (i.e., item 2, 3, 4, or 5 of
Form BE-13 is marked) report the number of employees
as of the date shown in item 17. A count of employees
taken during, rather than at the end of, the year may be
used if it is a reasonable proxy for the end-of-year
number.
• If the investment being reported represents the
establishment of an new U.S. business enterprise (i.e.,
item 1 of Form BE-13 is marked) report the number of
persons expected to be on the payroll at the end of the
first full year of operation.
The number of employees reported in item 20 should
reflect the normal operations of the U.S. business
enterprise.
• If a strike, or other interruption of operations, was in
progress at the end of the year, report a number that
represents normal operation.
• If the business enterprises’s activity involves large
seasonal variations, report a number that represents an
average for the year.

BE-13 Instructions (12/2003)

Direct reports filed by private delivery service to:
U.S. Department of Commerce
Bureau of Economic Analysis
BE-49(NI)
Shipping and Receiving Section, M100
1441 L Street, NW
Washington, DC 20005
H. Confidentiality — The information filed in this report
may be used only for analytical and statistical purposes
and access to the information shall be available only to
officials and employees (including consultants and
contractors and their employees) of agencies designated
by the President to perform functions under the Act. The
President may authorize the exchange of the information
between agencies or officials designated to perform
functions under the Act, but only for analytical and
statistical purposes. No official or employee (including
consultants and contractors and their employees) shall
publish or make available any information collected under
the Act in such a manner that the person to whom the
information relates can be specifically identified. Reports
and copies of reports prepared pursuant to the Act are
confidential and their submission or disclosure shall not
be compelled by any person without the prior written
permission of the person filing the report and the
customer of such person where the information supplied
is identifiable as being derived from the records of such
customer (22 U.S.C. 3104).

Page 9