LLP transfer application for groundfish and crab

Revised: 09/05/2008

LLP
License Limitation
Program

OMB Control No. 0648-0334; Expiration Date: 08/31/2011

APPLICATION FOR TRANSFER
LICENSE LIMITATION PROGRAM
GROUNDFISH/CRAB LICENSE

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 all that apply to
ensure that your application is complete and can be processed in a timely manner.
[ ] Completed Application
[ ] Original License
[ ] Copy of Sale/Transfer Agreement

[ ] Power of Attorney (if applicable)
[ ] LLP Ownership Information provided by the Transferee/Receiver

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
(Use one application for each license)

LPP Number:

Endorsement:
[ ] Aleutian Islands Pollock

[ ] Crab

[ ] Groundfish

BLOCK C – IDENTIFICATION OF TRANSFEROR (SELLER)
1. Name of Transferor (as it appears on the LLP license)

2. Permanent Business Mailing Address

4. Business Telephone No.

3. Temporary Mailing Address (if applicable)

5. Business Fax No.

6. E-mail Address

Attachments. A legible copy of a contract or sales agreement that specifies the license to be transferred, the license holder, the
designated transferee, the monetary value or the terms of the license transfer, and the signature of the license holder and the
designated transferee must be attached to this application.
BLOCK D – IDENTIFICATION OF TRANSFEREE (RECEIVER)
1. Is the person applying to receive the license a U.S. Citizen or U.S. corporation, partnership, or other association?
[ ] 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)

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3. Permanent Business Mailing Address

5. Business Telephone No.

4. Temporary Mailing Address (if applicable)

6. Business Fax No.

7. E-mail Address

Attachments. Valid evidence that the designated transferee is a person eligible to document a fishing vessel under Chapter 121,
Title 46, U.S.C. must be attached to this application.
BLOCK E - VESSEL CURRENTLY NAMED ON LICENSE

BLOCK F - VESSEL TO BE NAMED ON NEW LICENSE

Name of Vessel

Name of Vessel

Length Overall (LOA)

ADF&G Vessel Number

LOA

U.S. Coast Guard (USCG) No.

ADF&G Vessel Number

USCG No.

REQUIRED SUPPLEMENTAL INFORMATION
Applications Will Not Be Processed Unless All Information Requested In Blocks G & H Is Provided

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
Percentage Ownership

BLOCK H-- TO BE COMPLETED BY THE TRANSFEROR
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)

[ ] Pursue non-fishing activities

[ ] Enter other fishery(ies)

[ ] Other (explain)

[ ] Health problems

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3. Are you employing a broker to assist with this transaction?

[

] YES[

] NO

If YES, how much is being paid in brokerage fees? $ ________________ (or) _______ % of total price)

BLOCK I - TO BE COMPLETED BY THE TRANSFEREE
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, enter Name of Vessel
LOA

ADF&G Number

6. Is the transfer of this LLP license part of an agreement that also transfers ownership of a vessel?

USCG Number

[ ] YES

If YES, enter Name of Vessel
LOA

ADF&G Number

USCG Number

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[ ] NO

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):

BLOCK J – CERTIFICATION OF TRANSFEROR
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 or Authorized Agent

2. Date

3. Printed Name of Transferor or Authorized Agent Note: If Agent, attach authorization

4. Notary Public Signature

ATTEST

5. Affix Notary Stamp or Seal Here

6. Commission Expires

BLOCK K – CERTIFICATION OF TRANSFEREE
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 or Authorized Agent

2. Date

3. Printed Name of Transferee or Authorized Agent Note: if Agent, attach authorization
4. Notary Public Signature

ATTEST

5. Affix Notary Stamp or Seal Here

6. Commission Expires

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PUBLIC REPORTING BURDEN STATEMENT
Public reporting burden for this collection of information is estimated to average 1.0 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 for Sustainable Fisheries
Division, National Marine Fisheries Service, P.O. Box 21668, Juneau, AK 99802-1668.
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.); The information requested
on this application is for the express purpose of ensuring that transfers of License Limitation Program groundfish and crab
licenses are properly executed as requested by the parties to the transfer and to ensure that all provisions of the federal
regulations governing the transfer of such licenses [50 CFR 679.4(k)(7)] have been met. 3) Responses to this information
request are confidential under section 402(b) of the Magnuson-Stevens Act. They are also confidential under NOAA
Administrative Order 216-100, which sets forth procedures to protect confidentiality of fishery statistics.

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OMB Control No. 0648-0334; Expiration Date: 08/31/2011

Instructions
APPLICATION FOR TRANSFER
LICENSE LIMITATION PROGRAM
GROUNDFISH/CRAB LICENSE

Vessel-specific LLP
The transfer of a 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. 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, with 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).
Aleutian Island Area Endorsement
An AI area endorsement is issued based on the landings of vessels less than 60 feet length overall
and is severable and transferable from the overall license. No other regulatory area endorsement in
the existing LLP is allowed to be transferred separately from the LLP license to which it is
attached. However, the AI area endorsement must be reassigned, or reattached, only to a trawl
catcher vessel LLP license with a maximum length overall of less than 60 feet in order to be used.
Completing the Application - General Information
9 Both the proposed transferor (seller) and the proposed transferee (receiver) must complete and sign
this application.
>

This application is available:
On the NMFS, Alaska Region web site at http://alaskafisheries.noaa.gov.
Call RAM at 1-800-304-4846 (option 2) or (907) 586-7202 (option 2).
Walk in to the RAM office (709 W 9th Street, 7th Floor, Suite 713, Juneau, Alaska)

9 When completed, submit the application:
By mail to:

NMFS Alaska Region
Restricted Access Management (RAM)
P.O. Box 21668
Juneau, Alaska 99802-1668

By delivery to:
709 West 9th Street Suite 713
Juneau, Alaska 99801
9 Send the original application. An application sent by fax will not be processed.
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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, 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).
9 If you have any questions, call 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
To ensure timely processing of your transfer application, use this list as a guide to include all the
necessary items in the mailing of your application. If you have lost your original license, you will need to
complete a replacement application form.
BLOCK B - IDENTIFICATION OF LLP LICENSE TO BE TRANSFERRED
Use one application for each LLP license (should this also include category and gear type?).
Indicate the endorsement type: AI pollock, groundfish, or crab.
Indicate the LLP license number being transferred.
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 – IDENTIFICATION OF TRANSFEROR (SELLER)
1.

Enter the full name of transferor as it appears on the license.

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).

Attachments. A legible copy of a contract or sales agreement that specifies the license to be transferred, the
license holder, the designated transferee, the monetary value or the terms of the license transfer, and the
signature of the license holder and the designated transferee must be attached to this application.
BLOCK D – IDENTIFICATON OF TRANSFEREE (RECEIVER)
1.

Enter the full name of the transferee as it will appear on the license.

2.

Indicate if the person applying to receive the license by transfer is a U.S. Citizen or U.S.
corporation, partnership or other association, as defined at chapter 121, title 46, U.S.C.).
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If NO, STOP, this person is not eligible to receive a license.
3.

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

4.

Enter the temporary mailing address (including 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).

Attachments. Valid evidence that the designated transferee is a person eligible to document a fishing vessel
under Chapter 121, Title 46, U.S.C. must be attached to this application.
BLOCK E –VESSEL CURRENTLY NAMED ON LICENSE
Enter the name, 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) of the vessel currently
named on the license.
BLOCK F – VESSEL TO BE NAMED ON NEW LICENSE
NOTE: If the LOA of this vessel exceeds the maximum LOA of the
original qualifying vessel, this vessel may not receive this license by
transfer.
Enter the name, ADF&G vessel registration number, USCG documentation number, and the vessel’s
LOA of the vessel to be named on the new license. If no vessel is named in this block, no license will
be issued until a vessel is named.
REQUIRED SUPPLEMENTAL INFORMATION
APPLICATION WILL NOT BE PROCESSED
UNLESS ALL INFORMATION REQUESTED IN BLOCKS G, H AND I IS PROVIDED
BLOCK G – LLP OWNERSHIP DOCUMENTATION (to be provided by the Transferee)
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 the 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. Provide information 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%)

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BLOCK H - TO BE COMPLETED BY THE TRANSFEROR
1. Enter the total amount being paid for the license 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
license.
Indicate whether this price includes the price of the vessel. 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 reason(s) for transferring the license. Please check all boxes that apply to this transaction.
3. Indicate whether a permit broker or other third party was paid 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 sales price (including fee).

BLOCK I - TO BE COMPLETED BY THE TRANSFEREE
1. Indicate if the license will be used as collateral for a loan.
If YES, enter the name of entity or person(s) who will hold the security interest or 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 transferee’s relationship to the transferor (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, enter the name, LOA, ADF&G vessel registration number, 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, enter the name, LOA, ADF&G vessel registration number, USCG documentation number of
the vessel.
7. Indicate whether an agreement exists to return the license to the transferor, or any other person, or
whether a condition is placed on resale or conveyance of the license.
If YES, provide details.

BLOCKS J & K - CERTIFICATION OF TRANSFEROR AND TRANSFEREE
Enter signature, date signed, and print name of transferor of transferee in the presence of a Notary Public.
If an agent, attach authorization. A Notary Public must attest and affix a Notary Stamp or Seal.
NOTE: Application forms submitted to RAM must bear the original
signatures of the parties. RAM will not process faxed applications.

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