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pdfOMB Control No. 0580-0015
U.S. DEPARTMENT OF AGRICULTURE
GRAIN INSPECTION, PACKERS AND STOCKYARDS ADMINISTRATION
PACKERS AND STOCKYARDS PROGRAM
Response is required so that financial solvency can be monitored and to determine the amount of bond required
to operate subject to the Packers and Stockyards Act (9 CFR 201.97). Information held confidential (9 CFR
201.96).
ANNUAL REPORT OF MARKETING
AGENCY - SOC
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of
information unless it displays a valid OMB control number. The valid OMB contr ol number for this information
collection is 0580-0015. The time requested to complete this information is estimated to average 2 hours per
response, including the time to review instructions, search existing data resources, gather the data needed, and
complete and review the information collection.
INSTRUCTIONS: This report must be completed by any individual, partnership,
corporation, or association engaged in the business of buying and selling lives tock on
their own account as a dealer or market agency buying livestock on a commission basis
(order buyer) under the provisions of the Packers and Stockyards Act, 1921, as Amended
and Supplemented. If the reporting registrant operates on a calendar year basi s, this
report must be returned no later than April 15 following the calendar year end. If the
reporting registrant operates on a fiscal year basis, this report must be filed no later than
90 days after the close of the fiscal year. If the space provided for any item is insufficient,
attach additional pages containing the required information and refer to the appropriate
section and item number.
1. DOES THE FIRM OPERATE ON A FISCAL YEAR BASIS?
IF YES, LIST FIRM'S FISCAL YEAR
2. LIST PERIOD COVERED BY THIS REPORT
YES
NO
December 31, 20 ________.
RETURN COMPLETED FORM TO THE APPROPRIATE REGIONAL OFFICE; SEE SEPARATE
INSTRUCTIONS FOR INFORMATION.
SECTION 1 - GENERAL INFORMATION
3. NAME AND ADDRESS OF REPORTING FIRM (Include Street and
Mailing Address, ZIP + 4 code)
7. TYPE OF ORGANIZATION (check one)
4. TELEPHONE NUMBER
ASSOCIATION
CORPORATION
INDIVIDUAL
L.L.C.
L.L.P.
PARTNERSHIP
OTHER ____________________________
5. Fax Number
6. E-Mail Address
8. DOES THE REPORTING FIRM OPERATE A WEBSITE
IN CONJUNCTION WITH ITS LIVESTOCK OPERATIONS?
YES
IF "YES," PROVIDE DETAILS
NO
9. DID ANY CHANGES IN THE FIRM'S ORGANIZATION OCCUR
DURING THE REPORTING YEAR?
YES
IF "YES," PROVIDE DETAILS
NO
10. IS STOCKYARD LEASED?
IF "YES," GIVE NAME AND ADDRESS OF LESSOR
YES
NO
11. OWNERS, PARTNERS, OFFICERS, AND DIRECTORS
NAME
TITLE AND DUTIES
PERCENT OF OWNERSHIP
SOCIAL SECURITY NUMBER/TIN
The Privacy Act of 1974 requires this Agency to inform applicant that disclosures of social security numbers are optional and that the information sought on this form is required by 9 CFR
201.10. The sole use of the social security number(s) sought on this form is to distinguish between applicants and registrants that have identical or similar names. As this Agency
maintains a large volume of applications and registrations, applicants are encouraged to supply social security numbers.
12. DOES ANY OWNER, OFFICER, DIRECTOR, STOCKHOLDER, OR EMPLOYEE OF YOUR FIRM
OWN AN INTEREST IN ANY OTHER MARKET AGENCY, DEALER ORGANIZATION,
STOCKYARD COMPANY, OR PACKING COMPANY?
NO
YES
IF "YES," GIVE NAME OF PERSON, FIRM, AND EXTENT OF OWNERSHIP
SECTION 2 - BOND INFORMATION
13. NUMBER OF PUBLIC SALE DAYS COVERED BY THIS REPORT
_______________________
14. GROSS VALUE OF LIVESTOCK SOLD ON COMMISSION
$ ____________________
15. TOTAL COST OF LIVESTOCK PURCHASED ON COMMISSION
$______________________
16. TOTAL COST OF LIVESTOCK PURCHASED ON A DEALER BASIS
FORM P&SP-3400
$_______________________ 17. __________________
AUGUST 2007
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SECTION 3 - ANALYSIS OF CUSTODIAL BANK ACCOUNT FOR SHIPPERS' PROCEEDS
18. BALANCE AS PER BANK STATEMENT
$___________________
19. DEPOSITS IN TRANSIT (in mail or bank, but not on statement)
_____________________
20. CERTIFICATES OF DEPOSIT DESIGNED AS CUSTODIAL FUNDS AND PURCHASED FROM BANK CARRYING CUSTODIAL ACCOUNT
____________________
21. SAVINGS ACCOUNT BALANCE DESIGNATED AS CUSTODIAL FUNDS DEPOSITED IN BANK CARRYING CUSTODIAL ACCOUNT
____________________
22. PROCEEDS ON HAND
____________________
23. PROCEEDS RECEIVABLE
_____________________
24. TOTAL DEBITS
$_________________
25. OUTSTANDING CHECKS AND DRAFTS WHICH HAVE NOT CLEARED BANK
____________________
26. PROCEEDS DUE CONSIGNORS OF LIVESTOCK FOR WHICH NO CHECKS WERE ISSUED
_____________________
27. EXPENSE ITEMS INCIDENT TO SALES REMAINING IN ACCOUNT
____________________ ___________________
28. TOTAL CREDITS
29. OVERAGE (explain) (carry to line 33) __________________________________________________________________________________________________
___________________
30. Shortage (explain) (carry to line 70) __________________________________________________________________________________________________
___________________
NOTE: A copy of financial statements or audit report, if available for period, covered by this report, may be furnished in lieu of the Balance Sheet and Profit and Loss information;
PROVIDED, information requested herein but not shown in such statements or reports is furnished.
SECTION 4 - BALANCE SHEET AS OF CLOSE OF REPORTING PERIOD
A.
CURRENT ASSETS
1.
Cash
a. On Hand
2.
31. $___________________
b. General Bank Account (enter overdraft below under current liabilities)
32. _____________________
c. Overage in Analysis of Custodial Bank Account (from line 29)
33. _____________________
34. ____________________
Inventories
a. Livestock
35. _______________________
b. Feed
36. _______________________
c. Other (specify) __________________________________________________________________ 37. _______________________ 38. _____________________
3.
Marketable Securities: U.S. Government Bonds and Others
4.
Accounts Receivable
39. _____________________
a. One Year Old or Less
(1) Due from Trade
40. _______________________
(2) Due from Affiliates and Subsidiaries
41. _______________________
(3) Due from Officers
42. _______________________
(4) Due from Employees
43. _______________________
(5) Due from Others
44. _______________________
b. Subtotal (40 thru 44)
45. _______________________
c. More than One Year Old
46. _______________________
d. Subtotal (45 and 46)
47. _______________________
e. Less Allowance for Doubtful Accounts
48. (_____________________)
5.
Notes Receivable Due within One Year (including current portion, due within
one year, of long-term notes)
6.
Other Current Assets
50. _______________________
a. Prepaid Expenses
51. ______________________
b. Interest Receivable
52. ______________________
c. Other (specify) ___________________________________________________________ 53. ______________________
7.
B.
C.
49. ______________________
54. ______________________
TOTAL CURRENT ASSETS
55. $__________________
INVESTMENTS
1.
Farms and Real Estate
56. _______________________
2.
Stocks and Bonds (cost or market value, whichever is lower)
57. _______________________
3.
Other (specify) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _ _ _ _
58. _______________________
4.
Total Investments
59. ____________________
FIXED ASSETS
1. Land
60. ______________________
2. Buildings, Structures, and Equipment
61. ______________________
3. Less Allowance for Depreciation
62. (_____________________)
63. ______________________
4. Total Fixed Assets
D.
1.
E.
64. ____________________
OTHER ASSETS
Long-term Notes Receivable (not due within one year)(excluding portion
included in line 50 above)
65. ____________________
2.
Other
66. ____________________
3.
Total other Assets
67. __________________
TOTAL ASSETS
68. __________________
FORM P&SP-3400
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NOVEMBER 2006
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SECTION 4 - BALANCE SHEET (continued)
LIABILI TIES AND NET WORTH
F.
CURRENT LIABILITIES
1.
Bank Overdraft (per book)
69. $_________________ ____
2.
Shortage in Analysis of Custodial Bank Account (from line 30)
70. ______________________
3.
Payables, Accruals, and other Current Liabilities
a. Due to Trade
71. $ ____________________
b. Due to Suppliers
72. _____________________
c. Due to Affiliates and Subsidiaries
73. _____________________
d. Due to Officers
74. _____________________
e. Due to Employees
75. _____________________
f. Advances and Deposits on Livestock
76. _____________________
g. Taxes
77. _____________________
h. Demand Notes Payable
78. _____________________
i. Notes, Mortgages, and Bonds Due within One Year (including payments
on long-term debts due within one year)
79. _______________________
j. Other
4.
80. _______________________
81. ____________________
82. $ ____________________
Total Current Liabilities
G. LONG-TERM LIABILITIES
1.
Notes, Mortgages, and Bonds Payable (excluding payments due
within one year, included in line 79 above)
83. $_________________
2.
Less Sinking Fund
84. __________________
3.
Other _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
4.
Total Long-term Liabilities
85. _________________
86. __________________
87. ____________________
H. TOTAL LIABILITIES
I.
88. $___________________
NET WORTH
1.
2.
3.
J.
If Incorporated:
a. Capital Stock- Preferred
89. __________________
b. Capital Stock - Common
90. __________________
c. Paid in Capital
91. __________________
d. Retaining Earnings
92. __________________
If Unincorporated:
a. Owner's Capital
93. __________________
b. Undivided Profits (+) or Less (-)
94. __________________
Total Net Worth
95. __________________
TOTAL LIABILITIES AND NET WORTH
96. __________________
SECTION 5 - VOLUME OF LIVESTOCK HANDLED DURING YEAR
NUMBER OF HEAD
Steers and
Heifers
Cows and
Bulls
CALVES
HOGS
SHEEP
OTHER
97. Livestock consigned by others to your firm for sale during year
98. Livestock consigned by you to your firm
99. Total of lines 97 and 98
100. Livestock bought on commission out of consignments to your firm
101. Livestock bought on commission at other than your own firm
FORM P&SP-3400
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SECTION 6 - INCOME STATEMENT FOR ALL OPERATIONS
A.
INCOME
1.
Selling Commissions
102. $_________________
2.
Yardage
103. __________________
3.
Buying Commissions
104. ___________________
4.
Gross Profit (+) or Loss (-) from Market Support Account (from Section 7)
105. ___________________
5.
Gross Profit (+) or Loss (-) from Dealer Operations (from Section 8)
106. ___________________
6.
Gross Profit (+) or Loss (-) from Feed Account
107. ___________________
7.
Other Income (specify)_____________________________________________________
8.
B.
_________________________________________________________________________
108. ___________________
Total Income
109. ___________________
EXPENSES
1.
Wages and Bonuses
110. ___________________
2.
Insurance
111. ___________________
3.
Utilities
112. ___________________
4.
Taxes
113. ___________________
5.
Rent
114. ___________________
6.
Depreciation
115. ___________________
7.
Travel and Entertainment (including auto expenses)
116. ___________________
8.
Repairs and Maintenance
117. ___________________
9.
Interest
118. ___________________
10.
Advertising
119. ___________________
11.
Bad Debts
120. ___________________
12.
Trucking and Hauling
121. ___________________
13.
Other Operating Expenses _________________________________________________
122. ___________________
__________________________________________________________________________
14.
C.
123. __________________
Total Expenses
NET INCOME (+) OR LOSS (-)
124. $ _________________
SECTION 7 - MARKET SUPPORT ACCOUNT (livestock purchased from consignments to support the market)
NUMBER OF HEAD
STEERS
AND
HEIFERS
COWS
AND
BULLS
CALVES
HOGS
SHEEP
OTHER
SHEEP
OTHER
125. LIVESTOCK PURCHASED FROM CONSIGNMENTS TO SUPPORT THE MARKET
126. Gross Profit (+) or Loss (all species) (carry to line 105)
.................................................................................. ...............................................$
SECTION 8 - DEALER OPERATIONS
NUMBER OF HEAD
STEERS
AND
HEIFERS
COWS
AND
BULLS
CALVES
HOGS
127. DEALER LIVESTOCK - NUMBER OF HEAD PURCHASED
126. Gross Profit (+) or Loss (all species) (carry to line 106)
................................................................................... ..............................................$
SECTION 9 - CERTIFICATION: I certify that this report has been prepared by me or under my direction, and that to the best of my
knowledge and belief, this report correctly reflects the operations of the repo rting firm.
129. DATE
130. TITLE (Owner, Partner, Officer)
131. SIGNATURE
You must print the completed form, sign and
date lines 129 and 131, and mail to the
appropriate office for your state.
FORM P&SP-3400
NOVEMBER 2006
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| File Type | application/pdf |
| File Title | e:\newrev~1\psp3400.wpf |
| Author | camcduffie |
| File Modified | 2007-07-30 |
| File Created | 2006-12-05 |