Application for transfer of groundfish and crab LLP lice

Revised: 12/14/2007

LLP
License Limitation
Program

OMB Control No.: 0648-0334
Expiration Date: 03/31/2008

APPLICATION FOR TRANSFER
LICENSE LIMITATION PROGRAM
GROUNDFISH & CRAB LICENSES

U.S. Dept. of Commerce/NOAA
National Marine Fisheries Service (NMFS)
Alaska Region
Restricted Access Management (RAM)
P.O. Box 21668
Juneau, Alaska 99802-1668

BLOCK A - REQUIRED DOCUMENTATION
Use this block to determine which forms and other information must be included with your transfer. Please check
each applicable box below to ensure that your application is complete and can be processed in a timely manner.
[ ] Completed Application
[ ] Power of Attorney (if applicable)
[ ] Original License

[ ] Prepaid Express Mail or Courier Envelope

[ ] Copy of Sale/Transfer Agreement

(if you are requesting special mailing procedures)

NOTE: The transfer of a license that was issued based on the documented harvests from a vessel that did not have a
Federal Fisheries Permit during the period beginning January 1, 1988, through October 8, 1998, is restricted by
regulation at 50 CFR 679.4(k)(7)(ix). Under this transfer restriction, this type of groundfish LLP license cannot be
transferred separately and used on a vessel other than the original qualifying vessel.
BLOCK B - IDENTIFICATION OF LICENSE TO BE TRANSFERRED
[

] Crab

[ ] Groundfish

License Number:

BLOCK C - PERSON(S) TRANSFERRING LICENSE (TRANSFEROR/SELLER)
1. Name of Transferor (as it appears on the license):

2. NMFS Person ID:

3. Permanent Business Mailing Address:

4. Temporary Business Mailing Address:

5. Business Telephone No.:

6. Business Fax No.:

7. E-mail Address:

Application for Transfer Groundfish or Crab LLP License
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BLOCK D - PERSON(S) TO WHOM LICENSE WILL BE TRANSFERRED (TRANSFEREE/RECEIVER)
1. Is the transferee a U.S. Citizen (individual, corporation, partnership, association, or other non-individual entity)?
YES [

]

NO [ ] STOP HERE. This person is not eligible to receive a license.

2. Name of Receiver(s) (as it will appear on the license):

3. NMFS Person ID:

4. Permanent Business Mailing Address:

5. Temporary Mailing Address:

6. Business Telephone No.

7. Business Fax No.

BLOCK E - VESSEL
CURRENTLY NAMED ON LICENSE

8. E-mail Address

BLOCK F - VESSEL TO BE NAMED
ON NEW LICENSE
If the LOA of this vessel exceeds the maximum LOA of the
original qualifying vessel, this vessel may not receive this
license by transfer.

1. Name of Vessel:

1. Name of Vessel:

2. Length Overall (LOA) (FT):

2. LOA (FT):

3. ADF&G No.:

3. ADF&G No.:

4. USCG No.:

4. USCG No.:

BLOCK G – LLP OWNERSHIP DOCUMENTATION
To be completed by the Transferee/Receiver

Provide the names of all persons, to the individual level, holding an ownership interest in the LLP License being
transferred and the percentage ownership each person and individual will hold in the LLP License
Name

% Ownership

Name

% Ownership

REQUIRED SUPPLEMENTAL INFORMATION
APPLICATIONS WILL NOT BE PROCESSED UNLESS ALL INFORMATION REQUESTED
IN BLOCKS H & I IS PROVIDED

Application for Transfer Groundfish or Crab LLP License
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BLOCK H – TO BE COMPLETED BY THE TRANSFEROR (SELLER)
1. What is the total amount being paid for the license in this transaction, including all fees?
Does this price include the price of the vessel?

[

] YES

[

$ _________________

] NO

2. What is your reason(s) for transferring the license? (check all that apply):
[ ] Retirement from the fishery(ies)

[

] Enter other fishery(ies)

[ ] Pursue non-fishing activities

[

] Other (explain)

[

] YES

[ ] Health problems
3. Are you employing a broker to assist with this transaction?

[

] NO

If YES, how much is being paid in brokerage fees? $ ________________ (or _____ % of total price)
BLOCK I - TO BE COMPLETED BY THE TRANSFEREE (RECEIVER)
1. Is the license being used as collateral for a loan?

[

] YES

[

] NO

If YES, name of party holding security interest or lien:

_________________________________________________
2. What is the primary source of financing for this transfer?
[ ] Personal Resources (cash)

[ ] AK Com. Fish & Ag. Bank (CFAB)

[ ] NMFS Loan Program

[ ] Private Bank/Credit Union

[ ] Transferor/Seller

[ ] Received as a Gift

[ ] Alaska Dept. Of Commerce

[ ] Processor/Fishing Company

[ ] Other (name)

3. How was the license located? (check all that apply)
[ ] Relative

[ ] Advertisement/Public Notice

[ ] Permit Broker

[ ] Personal Friend

[ ] Casual Acquaintance

[ ] Other (explain)

4. What is the receiver's relationship to the license holder? (check all that apply)
[ ] No Relationship

[ ] Business Partner/Associate

[ ] Family Member

[ ] Friend

[ ] Other (explain)

5. Does the transfer of this LLP license include the sale of the fishing history of a vessel?
YES [

]

NO [

]

If YES, identify below:
Name of Vessel:
ADF&G No.:

USCG No.:

LOA:

Application for Transfer Groundfish or Crab LLP License
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6. Is the transfer of this LLP license part of an agreement that also transfers ownership of a vessel?
YES [

]

NO [

]

If YES, identify the vessel below:
Name of Vessel:
ADF&G No.:

USCG No.:

LOA:

7. Is there an agreement to return the license to the transferor (seller) or to transfer it to any other person, or is there
any condition requiring the resale or conveyance of the license?
YES [

]

NO [

]

If YES, please explain (use attachment if necessary):

Application for Transfer Groundfish or Crab LLP License
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BLOCK J - TRANSFEROR (SELLER)
Under penalty of perjury, I hereby declare that I have examined this application, and the information presented herein is true,
accurate, and complete to the best of my knowledge and belief.
1. Signature of Transferor (Seller) or Authorized Agent

2. Date

3. Printed Name of Transferor (Seller) or Authorized Agent (Note: If this is completed by an agent, attach authorization)

4. Notary Public Signature

ATTEST

5. Affix Notary Stamp or Seal Here

6. Commission Expires

BLOCK K - TRANSFEREE (RECEIVER)
Under penalty of perjury, I hereby declare that I have examined this application, and the information presented herein is true,
accurate, and complete to the best of my knowledge and belief.
1. Signature of Transferee (Receiver) or Authorized Agent

2. Date

3. Printed Name of Transferee (Receiver) or Authorized Agent (Note: If this is completed by an agent, attach
authorization)

4. Notary Public Signature

ATTEST

5. Affix Notary Stamp or Seal Here

6. Commission Expires

_________________________________________________________________________________________________
PUBLIC REPORTING BURDEN STATEMENT
Public reporting burden for this collection of information is estimated to average 1.0 hour per response, including the time for reviewing the
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 the burden,
to: Assistant Regional Administrator for National Marine Fisheries Service, Sustainable Fisheries Division, P.O. Box 21668, Juneau, AK 998021668.
ADDITIONAL INFORMATION
Before completing this form please note the following: 1) Notwithstanding any other provision of 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; 2) This information is mandatory and is required to
manage commercial fishing efforts under 50 CFR part 679 and under section 402(a) of the Magnuson-Stevens Act (16 U.S.C. 1801, et seq.); 3)
Responses to this information request are confidential under section 402(b) of the Magnuson-Stevens Act. They also are confidential under NOAA
Administrative Order 216-100, which sets forth procedures to protect confidentiality of fishery statistics.
______________________________________________________________________________________________________________________

Application for Transfer Groundfish or Crab LLP License
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Instructions
APPLICATION FOR TRANSFER
LLP GROUNDFISH & CRAB LICENSES
The transfer of a groundfish LLP license that was issued based on the documented harvests from a vessel that
did not have a Federal Fisheries Permit (FFP) during the period beginning January 1, 1988, through October 8,
1998, is restricted by regulation at 50 CFR 679.4(k)(7)(ix). Under this transfer restriction, the groundfish LLP
license and the vessel from which the license was earned must be transferred together. In other words, this type
of groundfish LLP license cannot be transferred separately and used on a vessel other than the original
qualifying vessel.
If you have lost your original license, you will need to complete a replacement application form. This
application is available on the NMFS, Alaska Region web site at http://www.alaskafisheries.noaa.gov. You may
also call RAM at one of the numbers listed below and request the application be mailed or faxed to you; or you
may visit the RAM office (709 W 9th Street, 7th Floor, Suite 713, Juneau, Alaska) and pick up the application.
When completed, mail the application to:
NMFS Alaska Region
Restricted Access Management (RAM)
P.O. Box 21668
Juneau, Alaska 99802-1668
Or deliver to:
NMFS Alaska Region
Restricted Access Management (RAM)
709 West 9th Street Suite 713
Juneau, Alaska 99801
Direct any questions you may have to:
NMFS, RAM
1-800-304-4846 (option 2) or
(907) 586-7202 (option 2).
An original application must be submitted; an application sent by fax will not be processed.
Please allow at least ten working days for your application to be processed. Items will be sent by first class
mail, unless you provide alternate instructions and include a prepaid mailer with appropriate postage or corporate
account number for express delivery.
It is important that all blocks are completed and attachments provided. Failure to answer any of the questions,
provide any of the required documents, or to have signatures notarized could result in delays in the processing of
your request for a transfer under the provisions of 50 CFR 679.4(k)(7).

Application for Transfer Groundfish or Crab LLP License
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Completing the Application Form
BLOCK A - REQUIRED DOCUMENTATION
Use this list as a guide to make sure you have included all the necessary items in the mailing of your transfer
application. This will ensure timely processing of your transfer application.

BLOCK B - IDENTIFICATION OF LICENSE TO BE TRANSFERRED
Enter the LLP license number to be transferred and indicate whether it is for crab or groundfish.
Use one application for each license.
Note: If both crab and groundfish licenses resulted from the activities of the same
qualifying vessel, the two licenses may not be transferred independently of each
other.

BLOCK C - PERSON(S) TRANSFERRING LICENSE (TRANSFEROR/SELLER)
1. Enter the full name of transferor as it appears on the license.
2. Enter NMFS Person ID. NMFS will provide this number, if you do not already have one.
3. Enter the permanent business mailing address; include city, state, and zip code.
4. Enter the temporary mailing address (include city, state, and zip code), if you would like the transfer
documentation sent somewhere other than to your permanent address.
5-7. Enter the business telephone number, business fax number, including area code, and business email
address.

BLOCK D - PERSON(S) TO WHOM LICENSE WILL BE TRANSFERRED (TRANSFEREE/ RECEIVER)
1. Indicate whether transferee is a U.S. Citizen (i.e., an individual, corporation, partnership, association, or
other non-individual entity, as defined at chapter 121, title 46, U.S.C.).
If NO, STOP! This person is not eligible to receive a license.
2. Enter the full name of transferee as it will appear on the license.
3. Enter NMFS Person ID. NMFS will provide this number, if you do not already have one.
4. Enter the permanent business mailing address, including city, state, and zip code.
5. Enter the temporary mailing address (include city, state, and zip code), if you would like the transfer
documentation sent somewhere other than to your permanent address.
6-8. Enter the business telephone number, business fax number, including area code, and business e-mail
address.

Application for Transfer Groundfish or Crab LLP License
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BLOCK E - VESSEL CURRENTLY NAMED ON LICENSE
Enter the name of the vessel, the vessel’s Alaska Department of Fish and Game (ADF&G) vessel registration
number, U.S. Coast Guard (USCG) documentation number, and the vessel’s length overall (LOA).

BLOCK F - VESSEL TO BE NAMED ON NEW LICENSE
Enter the name of the receiving vessel, the vessel’s ADF&G vessel registration number, USCG documentation
number, and the vessel’s LOA.
If no vessel is named in this block, no license will be issued until such time
as a vessel is named.
If the LOA of this vessel exceeds the maximum length overall (MLOA) of the
original qualifying vessel, this vessel may not receive this license by transfer.
The transfer of a groundfish LLP license that was issued based on the documented harvests from a vessel that
did not have an FFP during the period beginning January 1, 1988, through October 8, 1998, is restricted by
regulation. Under this transfer restriction, this type of groundfish LLP license cannot be transferred separately
and used on a vessel other than the original qualifying vessel. This transfer restriction has two exceptions.
First, if the fishing history of a vessel that did not have an FFP was transferred before February 7, 1998,
the qualifying vessel did not have to accompany the license.
Second, a vessel that is subject to this provision but that is lost or destroyed can be replaced under the
general vessel replacement provisions of the LLP. However, subsequent transfers will require the license
to be “coupled” with the existing vessel (i.e., the license cannot be transferred separately from the vessel
named on the license).

BLOCK G – LLP OWNERSHIP DOCUMENTATION (to be provided by the transferee/receiver of the
LLP license)
Enter the names of all persons, to the individual level, holding an ownership interest in the LLP License being
transferred and the percentage ownership each person and individual holds in LLP License.
If the LLP License Holder is a non-individual (i.e., a corporation, partnership or other entity), provide the names
of, and the percentage of ownership held by, all of its owners. Information should be provided to the individual
level. See example below:
Name of Owner

% Interest

Joe Groundfish

25%

Alice Groundfish

25%

LLP Family Holdings, Inc.

50%

A. LLP Holder

25% (of 50%)

B. LLP Holder

25% (of 50%)

C. LLP Holder

25% (of 50%)

D. LLP Holder

25% (of 50%)

Application for Transfer Groundfish or Crab LLP License
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REQUIRED SUPPLEMENTAL INFORMATION
APPLICATION WILL NOT BE PROCESSED UNLESS ALL INFORMATION REQUESTED IN
BLOCKS G AND H IS PROVIDED
NOTE: Both the proposed transferor (seller) and the proposed transferee
(receiver) must complete and sign this application.
BLOCK H - TO BE COMPLETED BY THE TRANSFEROR (SELLER)
1. Enter the total amount being paid for the license in this transaction. The total amount entered should
include any and all monies collected on behalf of the seller for the subject license. If the sale of the
license is combined with, or part of, the sale of some other asset (i.e., a vessel), the sales price of the
license must be specified, including any fees that will later be paid out to other parties for the expenses
of brokering or assisting in the sale of this license.
2. Indicate the reason(s) for transferring the license; check all that apply.
3. Indicate whether you are paying a permit broker or other third party to assist with this transaction.
If YES, enter the total price paid to the broker or calculate how much was paid to the third party as a
percentage of the total sale price (including fee).

BLOCK I - TO BE COMPLETED BY THE TRANSFEREE (RECEIVER)
1. Indicate if the license will be used as collateral.
If YES, enter the name of entity or person(s) who will hold the lien.
2. Indicate the primary source of financing for this transfer. Please check any and all boxes that apply to
this transaction.
3. Indicate how the license was located. Check all that apply.
4. Indicate the receiver's relationship to the license holder. Check all that apply.
5. Indicate whether the transfer of this LLP license includes the sale of the fishing history of a vessel.
If YES, provide the name, LOA, ADF&G vessel registration number, and USCG documentation
number of the vessel.
6. Indicate whether the transfer of this LLP license is part of an agreement that also transfers ownership of
a vessel.
If YES, provide the name, LOA, ADF&G vessel registration number, and USCG documentation
number of the vessel.
7. Indicate whether there is an agreement to return the license to the transferor (seller), or any other person,
or a condition placed on resale.
If YES, provide details of the agreement. Attach additional sheets, if necessary.

Application for Transfer Groundfish or Crab LLP License
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BLOCKS J & K - CERTIFICATION OF TRANSFEROR, TRANSFEREE, AND NOTARY
The transferor and transferee must sign, print name, and date the application in the presence of a Notary Public.
A Notary Public must attest and affix a Notary Stamp or Seal to the application.
Application forms submitted to RAM must bear the original signatures of the parties — RAM will not process
faxed applications.
Representatives signing for a transferor or transferee must submit proof of authorization (e.g., a Power of
Attorney) to submit this application on their behalf.

Application for Transfer Groundfish or Crab LLP License
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