Application for transfer of charter halibut permit

Revised: 10/08/2008

CHARTER
HALIBUT
PROGRAM

OMB Control No. 0648-xxxx; Expiration Date: xx/xx/xxxx

APPLICATION
FOR TRANSFER OF
CHARTER HALIBUT PERMIT

U.S. Dept. of Commerce
NOAA/National Marine Fisheries Service
Alaska Region
Restricted Access Management
P.O. Box 21668
Juneau, Alaska 99802-1668
(800) 304-4846 toll free / 586-7202 in Juneau
(907) 586-7354 fax

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
[ ] Original charter halibut permit(s) attached

[ ] Power of Attorney (if applicable)
[ ] Transferee Ownership and affiliation

BLOCK B - IDENTIFICATION OF CHARTER HALIBUT PERMIT(S) TO BE TRANSFERRED
1. List Charter Halibut Permit Number(s):
2. Is this transfer a single group of “grandfathered” Charter Halibut Permits?
[ ] YES
[ ] NO
If YES, does the transfer of these permits include the sale or purchase of the transferor’s entire charter
halibut business?
[ ] YES
[ ] NO
If NO, your transfer will not be approved as submitted.
BLOCK C – TRANSFEROR (SELLER) INFORMATION
1. Name of Transferor (as it appears on the permits)
2. Permanent Business Mailing Address

4. Business Telephone No.

3. Temporary Mailing Address (if applicable)

5. Business Fax No.

6. E-mail Address

BLOCK D – TRANSFEREE (RECEIVER) INFORMATION
1. Is the person applying to receive the permit(s) an U.S. Citizen or a U.S. Business with 75% U.S. ownership
(individual, corporation, partnership, or other association)?
[ ] YES
[ ] NO
If NO, STOP HERE. This person is not eligible to receive a permit.
2. Name of Receiver(s) (as it will appear on the permit)
3. Business Mailing Address

5. Business Telephone No.

4. Temporary Mailing Address (if applicable)

6. Business Fax No.

7. E-mail Address

Charter Halibut Vessel Permit Transfer Application
Page 1 of 8

REQUIRED SUPPLEMENTAL INFORMATION
APPLICATIONS WILL NOT BE PROCESSED UNLESS ALL INFORMATION REQUESTED IS PROVIDED

BLOCK E1 – OWNERSHIP DOCUMENTATION
To be completed by the Transferee (Receiver)

Provide the names of each person, to the individual level, holding an ownership or control interest of 10% or more in the
Charter Halibut Permit(s) being transferred and the percentage ownership each person and individual will hold. If the
Transferee 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 to the individual level.
Name
Percentage Ownership

BLOCK E2 – IDENTIFICATION OF AFFILIATION
To be completed by the Transferee (Receiver)

Duplicate this block as necessary to display all of the persons with whom the applicant is affiliated.
Affiliation means a relationship between two or more entities in which one directly or indirectly owns or controls
a 10 percent or greater interest in, or otherwise controls, another; or a third entity directly or indirectly owns or
controls a 10 percent or greater interest in, or otherwise controls, both.
Provide the names of the persons with whom the applicant is affiliated at 10 percent or greater level of ownership or
control. You do not need to repeat owner names provided in Block E1.
Name of Affiliate
% Interest Name of Affiliate
% Interest

Charter Halibut Vessel Permit Transfer Application
Page 2 of 8

BLOCK F - TO BE COMPLETED BY THE TRANSFEROR (SELLER)
1. What is the total amount being paid for the permit(s) in this transaction, including all fees?
Does this price include the price of the charter halibut business

[

] YES

$ _________________
[

] NO

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

[ ] Enter other fishery(ies)

[ ] Other (explain)

[ ] Health problems

[ ] Pursue non-fishing activities

BLOCK G – TO BE COMPLETED BY THE TRANSFEREE (RECEIVER)
Note: Leasing of Charter Halibut Permits is prohibited.
1. Is the permit being used as collateral for a loan?

[ ] YES

[ ] NO

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

2. Does the transfer of this Charter Halibut Permit include the sale of the charter halibut business?
[ ] YES

[ ] NO

If YES, identify Name of Business:
3. Does the transferee currently hold other Charter Halibut Permits?
[ ] YES

[ ] NO

If YES, the transfer of “grandfathered” Charter Halibut Permits cannot be approved.
4. Is there an agreement
to return the permit to the transferor (seller)

[ ] YES

[ ] NO

to transfer it to any other person,

[ ] YES

[ ] NO

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

5. Is there any condition requiring the resale or conveyance of the permit?

[ ] YES

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

Charter Halibut Vessel Permit Transfer Application
Page 3 of 8

[ ] NO

BLOCK I – CERTIFICATION OF 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
4. Notary Public Signature

ATTEST

5. Affix Notary Stamp or Seal Here

6. Commission Expires

BLOCK J - 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
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 two hours 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, Sustainable Fisheries Division, Alaska Region,
NMFS, P.O. Box 21668, Juneau, AK 99802-1668.
ADDITIONAL INFORMATION
Before completing this form please note the following: 1) NMFS may not conduct or sponsor this information request, and you are not
required to respond to this information request, unless the form displays a currently valid OMB control number; 2) This information is
being used to implement the Charter Halibut Vessel Program for IPHC Regulatory Areas 2C or 3A; 3) Federal law and regulations
require and authorize NMFS to manage charter halibut programs in Alaska; 4) Submission of this information is mandatory for any
entity participating in charter halibut fishing; 5) This information is used to monitor the charter vessel program under the Northern
Pacific Halibut Act of 1982; 6) Responses to this information request are not confidential.
___________________________________________________________________________________________________________

Charter Halibut Vessel Permit Transfer Application
Page 4 of 8

Revised: 10/08/2008

OMB Control No. 0648-xxxx; Expiration Date: xx/xx/xxxx

Instructions For
APPLICATION FOR TRANSFER
CHARTER HALIBUT PERMIT
General Information
Application forms are available from National Marine Fisheries Service (NMFS) offices and on the NMFS, Alaska
Region, web site at http://www.alaskafisheries.noaa.gov. Electronic submittal of the application is not accepted, because
each application would require the original signature of the applicant to be complete.
9 Both the proposed transferor (seller) and the proposed transferee (receiver) must complete and sign this application.
9 Original permits must be attached, unless they have been lost or destroyed (see Block A instructions)
9 When completed, the application should be mailed to:
NMFS Alaska Region
Restricted Access Management (RAM)
P.O. Box 21668
Juneau, Alaska 99802-1668
or delivered to:
709 West 9th Street Suite 713
Juneau, Alaska 99801
9 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.
9 It is important that all blocks are completed and attachments provided. Failure to answer any of the questions or provide
any of the required documents could result in delays in the processing of your request for a transfer.
9 Direct any questions you may have to NMFS, RAM at 1-800-304-4846 (option 2) or (907) 586-7202 (option 2).

Completing the Application Form - Specific Instructions
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 application. This
will ensure timely processing of your transfer application. If you have lost your original permit, you will need to complete
a replacement application form. This application is available on the NMFS, Alaska Region web site at
http://alaskafisheries.noaa.gov. You may also call RAM at one of the numbers listed above 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.

Charter Halibut Vessel Permit Transfer Application
Page 5 of 8

BLOCK B - IDENTIFICATION OF PERMIT TO BE TRANSFERRED
Enter the identity of the charter halibut permit(s) to be transferred. You may use one application to transfer multiple
permits held by the same transferor to the same transferee.
1.

List Permit Number(s)

2.

Indicate if this transfer is a single group of “grandfathered” Charter Halibut Permits.
If YES, indicate whether the transfer of these permits includes the sale or purchase of the transferor’s
entire charter halibut business. The transfer of charter halibut permits that were grandfathered
together over the ownership use caps may continue to transfer together provided that the transferor
(seller) is selling the entire charter halibut business to the transferee (buyer).
If NO, your transfer will not be approved as submitted
BLOCK C – TRANSFEROR (SELLER) INFORMATION
1.

Enter the full name as it appears on the permit.

2.

Enter the permanent business mailing address, include city, state, and zip code.

3.

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.

4-5. Enter the business telephone and fax numbers, including area code.
6.

Enter the e-mail address (if available).

BLOCK D – TRANSFEREE (RECEIVER) INFORMATION
1.

Indicate if the person applying to receive the permit(s) by transfer is a U.S. Citizen or U.S business with
at least 25% U.S. ownership (i.e., an individual, corporation, partnership or other U.S. association, as
defined at chapter 121, title 46, U.S.C.).
If NO, STOP, this person is not eligible to receive a permit by transfer.
Being an initial recipient of one or more Charter Halibut Permits does not entitle you to receive
additional permits by transfer if you do not meet the U.S. Citizen or U.S. business requirement.

2.

Enter the full name as it will appear on the permit.

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.

5-6. Enter the business telephone and fax numbers, including area code.
7.

Enter the e-mail address (if available).

Charter Halibut Vessel Permit Transfer Application
Page 6 of 8

REQUIRED SUPPLEMENTAL INFORMATION
APPLICATION WILL NOT BE PROCESSED
UNLESS ALL INFORMATION REQUESTED IN BLOCKS E, F AND G IS PROVIDED

BLOCK E1 – CHARTER HALIBUT PERMIT OWNERSHIP DOCUMENTATION (to be provided by the
transferee/receiver)
Enter the names of all persons, to the individual level, who will hold an ownership or control interest of 10% or
more in the Charter Halibut Permit being transferred and the percentage ownership each person and individual
will hold in the permit.
If the Transferee 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%)

BLOCK E2 – IDENTIFICATION OF AFFILIATION
Provide the names of the persons with whom the applicant is affiliated.
♦

Affiliation means a relationship between two or more entities in which one directly or indirectly owns or
controls a 10 percent or greater interest in, or otherwise controls, another, or a third entity directly or
indirectly owns or controls a 10 percent or greater interest in, or otherwise controls, both.

♦

An indirect interest is one that passes through one or more intermediate entities. An entity's percentage of
indirect interest is equal to the entity's percentage of direct interest in an intermediate entity multiplied by the
intermediate entity's percentage of direct, or indirect, interest in the applicant.

♦

The term control includes:
Ownership of more than 10% of the entity;
The right to direct the business of the entity;
The right to limit the actions of or replace the chief executive officer, a majority of the board of directors,
any general partner, or any person serving in a management capacity of the entity; or
The right to direct the operation of the applicant’s business.
The term "control" does not include the right to simply participate in the above actions.

Charter Halibut Vessel Permit Transfer Application
Page 7 of 8

BLOCK F - TO BE COMPLETED BY THE TRANSFEROR (SELLER)
1. Indicate the total amount being paid for the permit(s) in this transaction, including all fees. The total
amount entered should include any and all monies collected on behalf of the seller for the subject
permit(s).
Indicate whether this amount includes the price of the charter halibut business. If the sale of the permit(s)
is combined with, or part of, the sale of some other asset (i.e., a charter halibut business), the sales price
of the permit 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 permit.
2. Indicate reason(s) for transferring the permit(s). Please check all boxes that apply to this transaction.
BLOCK G - TO BE COMPLETED BY THE TRANSFEREE (RECEIVER)
1. Indicate if the Charter Halibut Permit will be used as collateral for a loan.
If YES, enter the name of entity or person(s) who will hold the lien or security interest.
2. Indicate if the transfer of this Charter Halibut Permit includes the sale of the charter halibut business.
If YES, identify the name of the business.
3. Indicate whether the transferee currently holds other Charter Halibut Permits.
If YES, the transfer of “grandfathered” Charter Halibut Permits cannot be approved
4. Indicate whether or not there is an agreement to return the permit to the transferor (seller), or any
other person, or a condition placed on resale.
If YES, provide details.
Note: Leasing of Charter Halibut Permits is prohibited.
BLOCKS H & I - CERTIFICATION OF TRANSFEROR AND TRANSFEREE
Certify with signature and enter printed name and date signed. If completed by authorized representative,
attach authorization. A Notary Public must attest and affix a Notary Stamp or Seal.

Charter Halibut Vessel Permit Transfer Application
Page 8 of 8