18 Cfr 131.50

Federal Energy Regulatory Commission

§ 131.50

Code and Name

REPORT OF SECURITIES ISSUED—Continued

FIN Investment bank; bank holding company; foreign bank or subsidiary thereof
doing business in the United States;
other organization primarily engaged in
the business of providing financial services or credit; mutual savings bank; or
savings and loan association
FINI Insurance company
SECU Entity authorized by law to underwrite or participate in the marketing of
securities of a public utility
ELEQ Entity which produces/supplies electric equipment for the use of any public
utility
FUEL Entity which produces/supplies coal,
natural gas, nuclear fuel, or other fuel
for the use of any public utility
20CL Entity specified in 18 CFR 46.3 (one of
the 20 largest purchasers of electric energy from a utility)
CNEN Entity which is controlled by any one
of the above named entities
305B Entity referred to in Section 305(b) of
the Federal Power Act (not otherwise
identified above)
Col (6) For each entity that supplies electric
equipment (ELEQ) named in Column (3)
enter the aggregate amount of revenues
from producing or supplying electrical
equipment to any public utility named in
column (1) in the subject calendar year,
rounded to the nearest $100,000. Otherwise, leave this column blank.
Signature The original of this report must be
dated and signed. The copy must bear the
date that appeared on the original. The
signature on the copy may be stamped or
typed on the copy.

Description of security....................................

[Order 601, 63 FR 72169, Dec. 31, 1998]

§ 131.43 Report of securities issued.
(See § 34.10 of this chapter.)
(Submit an original and four copies.)
[NAME OF RESPONDENT]
REPORT OF SECURITIES ISSUED
Description of security....................................
Description

Amount

1. Face value or principal amount ...........................
2. Plus premium or less discount ............................
3. Gross proceeds ...................................................

..............
..............
..............

4. Underwriter’s spread or commission ...................
5. Securities and Exchange Commission registration fee .................................................................
6. State mortgage registration tax ...........................
7. State commission fee ..........................................
8. Fee for recording indenture .................................
9. United States document tax ................................
10. Printing and engraving expenses ......................
11. Trustee’s charges ..............................................
12. Counsel fees .....................................................
13. Accountant’s fees ..............................................

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..............

..............

Description

Amount

14. Cost of listing .....................................................
15. Miscellaneous expenses of issue .....................
(Describe large items) ......................................

..............
..............
..............

16.

Total deductions ......................................

..............

17.

Net amount realized ................................

..............

[Order 141, 12 FR 8591, Dec. 19, 1947, as
amended by Order 182, 46 FR 50517, Oct. 14,
1981]
EFFECTIVE DATE NOTE: At 70 FR 35375, June
20, 2005, § 131.43 introductory text was revised, effective at the time of the next e-filing release during the Commission’s next fiscal year. For the convenience of the user, the
revised text follows:
§ 131.43

Report of securities issued.

(See § 34.10 of this chapter)
(Submit in electronic format in accordance
with § 385.2003 of this chapter.)

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§ 131.50

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Reports of proposals received.

No later than 30 days after the sale or
placement of long-term debt or equity
securities or the entry into guarantees
or assumptions of liabilities (collectively referred to as ‘‘placement’’) pursuant to authority granted under Part
34 of this chapter, the applicant must
file a summary of each proposal or proposals received for the placement. The
proposal or proposals accepted must be
indicated. The information to be filed
must include:
(a) Par or stated value of securities;
(b) Number of units (shares of stock,
number of bonds) issued;
(c) Total dollar value of the issue;
(d) Life of the securities, including
maximum life and average life of sinking fund issue;
(e) Dividend or interest rate;
(f) Call provisions;
(g) Sinking fund provisions;
(h) Offering price;
(i) Discount or premium;
(j) Commission or underwriter’s
spread;
(k) Net proceeds to company for each
unit of security and for the total issue;

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§ 131.51

18 CFR Ch. I (4–1–13 Edition)

(l) Net cost to the company for securities with a stated interest or dividend
rate.
[Order 575, 60 FR 4855, Jan. 25, 1995]
EFFECTIVE DATE NOTE: At 70 FR 35375, June
20, 2005, § 131.50 paragraphs (a) and (b) were
revised, effective at the time of the next efiling release during the Commission’s next
fiscal year. For the convenience of the user,
the revised text follows:
§ 131.50 Report of proposals received.
(a) No later than 30 days after the sale or
placement of long-term debt or equity securities or the entry into guarantees or assumptions of liabilities (collectively referred
to as ‘‘placement’’) pursuant to authority
granted under Part 34 of this chapter, the applicant must file, in electronic format, a
summary of each proposal or proposals received for the placement. The proposal or
proposals accepted must be indicated. The
information to be filed must include:
(1) Par or stated value of securities;
(2) Number of units (shares of stock, number of bonds) issued;
(3) Total dollar value of the issue;
(4) Life of the securities, including maximum life and average life of sinking fund
issue;
(5) Dividend or interest rate;
(6) Call provisions;
(7) Sinking fund provisions;
(8) Offering price;
(9) Discount or premium;
(10) Commission or underwriter’s spread;
(11) Net proceeds to company for each unit
of security and for the total issue;
(12) Net cost to the company for securities
with a stated interest or dividend rate.
(b) This report must be filed with the Commission as prescribed in § 385.2003 of this
chapter and as indicated in the instructions
set out in this report. This report is an electronic file that is classified as a ‘‘qualified
document’’ in accordance with § 385.2003(c)(1)
and (2). As a qualified document, no paper
copy version of the filing is required unless
there is a request for privileged or protected
treatment or the document is combined with
another
document
as
provided
in
§ 385.2003(c)(3) or (4).

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§ 131.51

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[Reserved]

§ 131.52 Certificate of concurrence.
(See §§ 35.1 through 35.21 of this chapter.)
This is to certify thatlllllllll
(Name of public utility concurring)
assents to and concurs in the rate schedule
(rate schedule supplement) described below,

which thellllllllllllll (Name
of public utility filing rate schedule) has
filed, and hereby files this certificate of concurrence in lieu of the filing of the rate
schedule (rate schedule supplement) specified.
(Here give exact description of rate schedule
or supplement, including F.E.R.C. number)
———————————————————————
(Name of public utility)
By llllllllllllllllllllll
———————————————————————
(Title)
Dated lllllllll 19ll.
[Order 141, 12 FR 8591, Dec. 19, 1947, as
amended by Order 271, 28 FR 11404, Oct. 24,
1963; Order 541, 57 FR 21734, May 22, 1992;
Order 714, 73 FR 57533, Oct. 3, 2008]

§ 131.53

[Reserved]

§ 131.70 Form 12 of application by State
and municipal licensees for exemption from payment of annual
charges.
(See § 11.6 of this chapter.) Application by State and municipal licensees
for exemption from payment of annual
charges must be prepared on this form.
The form specifies that in filing application for exemption, the following
data and schedules shall be submitted:
1. Name and address of correspondent;
2. Basis for claimed exemption;
3. Generating plants owned or operated by
licensee;
4. Transmission lines and distribution
lines;
5. KWH of power generated, purchased and
interchanged;
6. Power sold or otherwise disposed of
(kwh);
7. Power interchange (in detail);
8. Statement of unusual conditions attending the disposition of electric power;
9. Book cost of electric property;
10. Operating revenues;
11. Operating expenses and other deductions from revenues;
12. Affidavit.
[Order 143, 13 FR 6682, Nov. 13, 1948, as
amended by Order 756, 77 FR 4894, Feb. 1,
2012]

12 Copies of this form may be obtained upon
request from the Federal Energy Regulatory
Commission.

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