BE-15SUPPL-C BE-15 Supplement C

FORM

BE-15 Supplement C

(REV. 11/2006)

BEA Identification Number

OMB No. 0608-0034: Approval Expires 10/31/2009

ANNUAL SURVEY OF FOREIGN DIRECT INVESTMENT IN
THE UNITED STATES – 2006
CLAIM FOR EXEMPTION FROM FILING FORM BE-15(LF), BE-15(SF), OR BE-15(EZ)
MANDATORY — CONFIDENTIAL
A. Name and address of U.S. business enterprise – If a label has
been affixed, make any changes directly on the label. If a label has not
been affixed, enter the BEA Identification Number of this U.S. affiliate,
if available, in the box at the upper right hand corner of this page.

DUE DATE: MAY 31, 2007
ELECTRONIC
FILING:

Go to www.bea.gov/astar for details

MAIL
REPORTS
TO:

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

Name of U.S. affiliate
1002 0

c/o (care of)
1010 0

OR
DELIVER
REPORTS
TO:

Street or P.O. Box

U.S. Department of Commerce
Bureau of Economic Analysis, BE-49(A)
Shipping and Receiving Section, M100
1441 L Street, NW
Washington, DC 20005

1003 0

City and State
1004 0

ASSISTANCE
Email:

be12/[email protected]

Telephone:

(202) 606-5577

ZIP Code

Foreign Postal Code

1005 0

OR

0

B. Enter Employer Identification Number(s) used by the U.S.
business enterprise to file income and payroll taxes.

(202) 606-5319
FAX:
Copies of blank forms:

Primary

http://www.bea.gov/bea/surveys/fdiusurv.htm
Definitions of key terms – See page 4.

1006 1

Other
2

–

–

RESPONSE REQUIRED
Section 806.4 of 15 CFR, Chapter VIII, requires that all persons subject to the reporting requirements of the BE-15 Survey
respond, whether or not they are contacted by BEA. It also requires that persons who are contacted by BEA about reporting in
this survey, must respond in writing. They may respond by:
• filing the properly completed Form BE-15(LF), BE-15(SF),
• certifying in writing, by May 31, 2007 to the fact that the
or BE-15(EZ) by May 31, 2007, as required; or
person had no direct investment within the purview of the
reporting requirements of the BE-15 survey;
• using BEA’s Automated Survey Transmission and
• completing and returning the Form BE-15 Supplement C –
Retrieval (ASTAR) system to complete Form BE-15(LF),
Claim for Exemption From Filing Form BE-15(LF),
BE-15(SF), or BE-15(EZ) by May 31, 2007. Go to
BE-15(SF), or BE-15(EZ), by May 31, 2007;
www.bea.gov/astar for details.
WHICH SECTIONS TO COMPLETE?
Complete items A and B above, and the Person to Consult Concerning Questions About This Report and the Certification at the
bottom of this page. Also, please review the questions below to determine the additional information required.
I Were at least 10 percent of the voting rights in your business directly or indirectly owned by a foreign person
or entity at the end of your fiscal year that ended in calendar year 2006?
Yes – Continue with question II below. Note: Your business is hereinafter referred to as a "U.S. affiliate."
No – Complete item 2(a) or (c) or (d) or (e) on page 3.
II Is this U.S. affiliate a bank or bank holding company?
Yes – Complete item 2(e) on page 3 and specify that the affiliate is a bank or bank holding company.
No – Continue with question III below.
III Were more than 50 percent of the voting rights in this U.S. affiliate owned by another U.S. affiliate, or was this U.S.
affiliate merged into another U.S. affiliate at the end of this U.S. affiliate’s 2006 fiscal year?
Yes – Continue with question IV below.
No – Skip to question V below.
IV Will the data for this U.S. affiliate be consolidated into the 2006 BE-15 report filed for the U.S. affiliate that owns it more than
50 percent, or be included on the 2006 BE-15 report filed for the U.S. affiliate into which it was merged?
Yes – Complete item 2b(1) or 2b(2) on page 3.
No – Contact BEA for guidance.
V Did any one of the items – Total assets, Sales or gross operating revenues, or Net income (loss) – for the U.S.
affiliate (not just the foreign parent’s share) exceed $30 million at the end of, or for, its 2006 fiscal year?
Yes – You are not eligible to file Form BE-15 Supplement C and must file either a Form BE-15(LF), BE-15(SF), or BE-15(EZ).
Copies of blank forms can be found at: http://www.bea.gov/bea/surveys/fdiusurv.htm
No – Complete items 1a through 1h on page 2. Do NOT complete page 3.
MANDATORY
CONFIDENTIALITY
PENALTIES

佡

This survey is being conducted under the International Investment and Trade in Services Survey Act
(P.L. 94-472, 90 Stat. 2059, 22 U.S.C. 3101-3108, as amended). The filing of reports is mandatory and
the Act provides that your report to this Bureau is confidential. See page 4 for more details.

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

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 estimates may have
been provided where data are not available from customary accounting
records or precise data could not be obtained without undue burden.

1000 0

Name

Address 1029 0
1030 0

Authorized official’s signature

1031 0

TELEPHONE
NUMBER
FAX NUMBER

1001

0 Area code

Number

0999

0 Area code

Number

Date

Print or type name and title

Extension

Telephone number

FAX number

May we use e-mail to correspond with you to discuss questions relating to this Form BE-15 Supplement C, including questions that may
contain information about your company 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.)
1027

1
1

1
2

Yes (If yes, please provide your e-mail address.)
No

Base prints black

E-mail address
0
1028

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BASIS OF CLAIM FOR EXEMPTION
Select one type of exemption -- either based on Value (#1 below) or based on one of the
reasons listed under Other Exemptions (#2 on page 3). Please check box corresponding to the
type of exemption you are claiming.
1. Exemption based on Value (check box below)
0100 1

If item 1 is applicable, complete ALL items (1.a. through 1.h.) below.
The U.S. business enterprise was a U.S. affiliate of a foreign person at the end of its fiscal year
that ended in calendar year 2006, but is exempt from filing Form BE-15(LF), BE-15(SF), or
BE-15(EZ) because, on a fully consolidated, or in the case of real estate investments, an
aggregated basis, none of the following three items for the U.S. affiliate (not just the foreign
parent’s share) exceeded $30 million (positive or negative) at the end of, or for, its fiscal year that
ended in calendar year 2006:
• Total assets (do not net out liabilities);
• Sales or gross operating revenues, excluding sales taxes; and
• Net income (loss) for FY 2006, after provision for U.S. Federal, State, and local income taxes.
Rounding – Report currency amounts in U.S. dollars rounded to
thousands (omitting 000). Do not enter amounts in the
shaded portions of each line.
Example – If amount is $1,334,891.00 report as:

Bil.

Mil.

Thous. Dols.

Bil.

Amount
Mil.
Thous. Dols.

1

a. Total assets at the close of the fiscal year that ended
in calendar year 2006 – Do not net out liabilities.
b. Sales or gross operating revenues for the fiscal year
that ended in calendar year 2006, excluding sales
taxes – Do not give gross margin.
c. Net income (loss) for the fiscal year that ended in
calendar year 2006, after provision for U.S. Federal,
State, and local income taxes.

2109

$
1

2149
1

2159
1

1

d. Total liabilities at the close of the fiscal
year that ended in calendar year 2006.

2114

Please check
box if total
liabilities are zero.

3

$

e. Major product(s) or service(s) of the fully consolidated domestic U.S. affiliate – Briefly
describe the major product(s) and/or service(s) of the U.S. affiliate. If a product, also state what is
done to it, i.e., whether it is mined, manufactured, sold at wholesale, transported, packaged, etc.
(For example, "manufacture widgets.")
0

1163

f. Industry code of the fully consolidated domestic U.S. affiliate – Enter the 4-digit
International Surveys Industry (ISI) code of the industry with the largest sales or gross operating
revenues. For a full explanation of each code, see the Guide to Industry and Foreign Trade
Classifications for International Surveys, 2002. A copy of this guide can be found on our web site
at: www.bea.gov/bea/surveys/2002be799print.pdf
ISI Code
1

1164

g. Please enter the country of the foreign parent in the box below. The foreign parent is the
FIRST person or entity outside the U.S. in a chain of ownership that has an investment in this U.S.
affiliate.
Country of foreign parent

BEA USE ONLY
1

3016

h. Please enter the country of the ultimate beneficial owner (UBO) in the box below. The
UBO is that person or entity, 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 or entity.
Country of UBO

BEA USE ONLY
1

3022

Remarks

FORM BE-15 Supplement C (REV. 11/2006)

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Select one type of exemption either based on one of the reasons listed under Other
Exemptions (#2 below) or based on Value (#1 on page 2). Please check box corresponding
to the type of exemption you are claiming.
2. Other Exemptions (check box below)
This U.S. business enterprise is exempt from filing a Form BE-15(LF), BE-15(SF), or BE-15(EZ) because:
(a)

This U.S. business enterprise was not a U.S. affiliate of a foreign person or entity at any
time during calendar year 2006 but had been a U.S. affiliate of a foreign person at some
time during calendar year 2005.

0110 1

Give date foreign ownership ceased or went below 10 percent.
7010

Month

Day

Year

1

(b) This U.S. business enterprise was a U.S. affiliate of a foreign person or entity during its fiscal year
that ended in calendar year 2006 but was (please check appropriate box (1) or (2)):
(1)

0112

(2)

0112

1

1

2

1

Fully consolidated into the 2006 BE-15 report filed for another U.S. affiliate; or
Merged into another U.S. affiliate and its operations are included on the 2006
BE-15 report filed for the other U.S. affiliate.

On the lines below give the name, address, and BEA Identification Number of the U.S.
affiliate into which this U.S. affiliate is fully consolidated or merged.
Name
0120 0

Street or P.O. Box
0130 0

City and State

ZIP Code
0150 0

0140 0

BEA Identification Number of the U.S. affiliate into which this U.S. affiliate is fully consolidated or merged.
7011 0

(c)

This U.S. business enterprise was a U.S. affiliate of a foreign person or entity at some
time during calendar year 2006 but ceased to be a U.S. affiliate before the end of its
fiscal year that ended in calendar year 2006.

0170 1

Give date foreign ownership ceased or went below 10 percent.
7012

Month

Day

Year

1

(d)

This U.S. business enterprise is a U.S. affiliate of a foreign person or entity, but became a U.S.
affiliate after the end of its fiscal year that ended in calendar year 2006, or if a newly formed
company, its first fiscal year did not or will not end until after the end of calendar year 2006.
Complete items (1) and (2) below.

0180 1

(1) Give date when the U.S. business enterprise became a U.S. affiliate of a foreign person.
7013

Month

Day

Year

1

Note that a Form BE-13 should have been filed to reflect the
acquisition. Copies of blank forms can be found at:
www.bea.gov/bea/surveys/fdiusurv.htm

(2) Give the ending date of the U.S. business enterprise’s fiscal year that ended in calendar year
2006. If a newly formed company give the ending date of the U.S. business enterprise’s first
fiscal year. NOTE: For a newly formed company this must be a date in calendar year 2007.
7014

Month

Day

Year

1

(e)

0190

1

Other – Specify and include reference to section of regulations or
instructions on which claim is based.
7015 0

Remarks

FORM BE-15 Supplement C (REV. 11/2006)

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Authority – This survey is being conducted under the International Investment and Trade in
Services Survey Act (P.L. 94-472, 90 Stat. 2059, 22 U.S.C. 3101-3108, as amended), 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.
Penalties – Whoever fails to report may be subject to a civil penalty of not less than $2,500, and
not more than $25,000, and to injunctive relief commanding such person to comply, or both. The
civil penalties are subject to inflationary adjustments. Those adjustments are found in 15 CFR
6.4. Whoever willfully fails to report shall be fined not more than $10,000 and, if an individual,
may be imprisoned for not more than one year, or both. Any officer, director, employee, or
agent of any corporation who knowingly participates in such violation, upon conviction, may be
punished by a like fine, imprisonment, or both. (22 U.S.C. 3105)
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
displays a currently valid OMB Control Number. The control number for this survey is at the top
of page 1 of this form.
Respondent Burden – Public reporting burden for this form is estimated to vary from 20 to 75
minutes per response with an average of 1 hour 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 0608-0034, Washington, DC 20503.
Confidentiality – The Act provides that your report to this Bureau is CONFIDENTIAL and may
be used only for analytical or statistical purposes. Without your prior written permission, the
information filed in your report CANNOT be presented in a manner that allows it to be
individually identified. Your report CANNOT be used for purposes of taxation, investigation, or
regulation. Copies retained in your files are immune from legal process.

DEFINITIONS OF KEY TERMS
Affiliate means a business enterprise located in one country that is directly or indirectly owned
or controlled by a person or entity of another country to the extent of 10 percent or more of its
voting stock for an incorporated business or an equivalent interest for an unincorporated
business, including a branch.
Direct investment means the ownership or control, directly or indirectly, by one person or
entity of 10 percent or more of the voting securities of an incorporated business enterprise or an
equivalent interest in an unincorporated business enterprise.
U.S. affiliate means an affiliate located in the United States in which a foreign person or entity
has a direct investment.

FORM BE-15 Supplement C (REV. 11/2006)

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