Form SEC-1421 Form 18

Form 18 Registration Form

form18

Form 18 Registration Form

OMB: 3235-0121

Document [pdf]
Download: pdf | pdf
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

OMB APPROVAL
OMB Number:
3235-0121
Expires:
December 31, 2006
Estimated average burden
hours per response. . . . . . . 8.0

FORM 18
For Foreign Governments and Political Subdivisions Thereof

APPLICATION FOR REGISTRATION PURSUANT TO SECTION 12(b) AND (c)
OF THE SECURITIES EXCHANGE ACT OF 1934
Published 7/5/35

File No. ______________________
(Leave Blank)

_____________________________________________________________________________________________________________________
(Name of Registrant)

Title of Issue
or Issues

Securities
to be Registered

Amount
to be Registered

Names of Exchanges
on which Registration
Applied for

Name and Address of Person Authorized to Receive Notices and Communications from the Securities and Exchange Commission:
Rule as to the Use of Form 18
This form shall be used for applications for the permanent registration of securities of foreign governments and political
subdivisions thereof, filed on or after July 1, 1935; provided, however, that any public corporation or other autonomous entity in
the nature of a political subdivision. except a state, province, county or municipality or similar body politic, may, at its option, use
Form 21 in lieu of this Form.
Instructions
1.

The application, including exhibits, is to be filed with the exchange upon which registration is being sought and in triplicate with
the Commission. At least one application filed with the Commission and one filed with the exchange is to be signed. If application
is made for the registration of securities of the registrant on more than one exchange, the registrant may prepare one application
covering all securities to be registered on any of the exchanges and, in such case, should file such application with each exchange
and in triplicate with the Commission. A registrant may, however, at its option prepare separate applications for each exchange
upon which registration of any of its securities is being sought, and, in such case, should file each such application in triplicate
with the Commission.

2. All applications should be typed or printed on paper 8.5 by 11 inches in size. Tables and financial data, however, may be on
larger paper but should be folded to such size. Typed or printed matter should leave a margin of at least 1.5 inches on the left.
Applications should be securely bound and on the left only. The registrant’s typewritten or printed application should contain
both the items in the form and the answers thereto.
3. Where “brief” answers are indicated, the answer may incorporate by reference particular items, sections or paragraphs of any
Exhibit, and may be qualified in its entirety by such reference.
4.

If there are several principle parties obligor of the securities being registered, the financial information required may be
presented in a consolidated form, if that is desired.

5. Where information is asked as of the close of the last fiscal year, if such information is not yet available for such date, it may
be furnished as of the close of the latest fiscal year for which it is available.
SEC 1421 (12-04)

Persons who are to respond to the collection of information
contained in this form are not required to respond unless the
form displays a currently valid OMB control number.

6. The application is to be made in the English language.
7.

Privilege of Filing Prospectus
If the registrant has filed a registration statement under the Securities Act of 1933 which has become effective within the
current fiscal year of the registrant or becomes effective within the current fiscal year of the registrant on or prior to the
effective date of the registration of the securities covered by the application herein and is not subject to any proceeding under
Section 8(d) of the Act or to an order entered thereunder, the registrant may substitute for the information required by items
1 to 12 inclusive (1) a copy of the registrant’s prospectus filed with the registration statement under the Securities Act of 1933
and (2) a description of the securities being registered as required by Item 3 herein unless such description is contained in such
prospectus. If this procedure is followed the prospectus and the description shall be physically substituted for the items of this
form and the answers thereto, and the text of the items shall be omitted from the application.
Definitions

Unless the context clearly indicates the contrary, all terms used in these instructions and in the Form have the same meaning
as in the Securities Exchange Act of 1934 and the general Rules and Regulations of the Commission thereunder.
1.

Name of registrant.

2.

If the registrant is a governmental unit other than a national government, give the name of the national government of which
the registrant is a unit and a brief description of the relationship of the registrant to such national government.

3.

For each issue of securities to be registered hereunder:
(a) Give the title and full designation of the issue, and if not included therein, the rate of interest and the date of maturity. If
due serially, a brief indication should be given of the serial maturities, for example, “maturing serially from 1936 to 1940.”
(b) State the currency or currencies in which payable, and give the basis of determination for the currency conversion and at
whose option, if payable in two or more currencies.
(c) Outline briefly the amortization, sinking fund, redemption and retirement provisions.
(d) State whether secured by any lien, the kind thereof, and briefly describe the property or revenues subjected to such lien.
(e) If by law, decree, or other administrative action, the security is not being serviced according to its original terms, outline
briefly the provisions of such law, decree, or other administrative action.
(f) State briefly the circumstances of any other failure to pay principal, interest or any sinking fund or amortization
installment.
(g) If guaranteed, state by whom guaranteed, and outline briefly the terms of the guarantee.

4.

Give the date of the close of the last fiscal year of the registrant.

5.

State as of the close of the last fiscal year of the registrant the total outstanding of:
(a) Internal Funded Debt of the registrant. (Total to be stated in the currency of the registrant. If any internal funded debt
is payable in a foreign currency it should not be included under this item, but under 5(b).)
(b) External Funded Debt of the registrant. (Totals to be stated in the respective currencies in which payable.)

6.

Give the title and amount outstanding, together with the currency or currencies in which payable, of each issue of Funded Debt
of the registrant outstanding as of the close of the last fiscal year of the registrant.

7.

State as of the close of the last fiscal year of the registrant the estimated total of:
(a) Internal floating indebtedness of the registrant. (Total to be stated in the currency of the registrant.)
(b) External floating indebtedness of the registrant. (Total to be stated in the respective currencies in which payable.)

8.

A statement of the receipts, classified by source, and of the expenditures, classified by purpose, of the registrant for the last
fiscal year of the registrant. This statement should be so itemized as to be reasonably informative and should cover both
ordinary and extraordinary receipts and expenditures.

2

9.

If any exchange control has been established by the registrant, or, if the registrant is other than a national government, by its
national government, briefly describe such exchange control.

Note: If registrant is a govenmental unit other than a national government, it need not answer the folowing items.)
10. A brief statement regarding the note issue and gold reserves of the central bank of issue of the registrant, and of any further
gold stocks held by the registrant, as of a date reasonably close to the date of filing the application with the exchange.
11. A statement, in terms of weight and value, of imports and exports of merchandise for the last fiscal year of the registrant. If
the statistics have been established only in terms of value, such will suffice.
12. Set forth the balance of international payments of the registrant for the last fiscal year of the registrant, conforming, if possible,
to the nomenclature and form used in the “Statistical Handbook of the League of Nations.” (This statement need be furnished
only if the registrant has published a balance of international payments.)
Exhibits
The following Exhibits should be attached as part of the application. The registrant may file such other Exhibits as it may
desire, marking them so as to indicate clearly the items to which they refer.
Exhibit “A” — A copy of the General Bond, Fiscal Agency Agreement, Loan Contract, or any other agreement defining the rights
of the holders of the securities registered hereunder. If not in English, submit in addition, a translation into
English.
Exhibit “B” — A copy of the last annual budget of the registrant as presented to its legislative body. This document need not
be translated.
Exhibit “C” — A copy of any law, decree, or administrative document outlined in answer to Item 3(e). If not in English, submit
in addition, a translation into English.
Upon the basis of the statements and documents comprising this application the undersigned hereby applies for registration
pursuant to Section 12(b) and (c) of the Securities Exchange Act of 1934 of the securities specified on the facing sheet of this
application on the respective exchanges there specified.
For _____________________________________________________
(Name of Registrant)
By _____________________________________________________
(Name)
_____________________________________________________
(Title)

3


File Typeapplication/pdf
File TitleForm 18
SubjectApplication for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934
AuthorSEC Division of Corporation Finance
File Modified2004-11-29
File Created2004-11-29

© 2024 OMB.report | Privacy Policy