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!PPROVAL %XPIRES
5(9
MANDATORY — CONFIDENTIAL*
SURVEY OF NEW FOREIGN DIRECT INVESTMENT IN THE UNITED STATES
FORM BE-13B
(Report for Establishment of a New U.S. Business Enterprise)
)F YOU RECEIVED A LETTER FROM "%! WITH A ,EAD )$ PLEASE ENTER IT HERE
%LECTRONIC FILING 'O TO WWWBEAGOVEFILE FOR DETAILS
-AIL REPORTS TO
53 $EPARTMENT OF #OMMERCE
"UREAU OF %CONOMIC !NALYSIS
$IRECT )NVESTMENT $IVISION "%
.)
3ILVER (ILL 2D
7ASHINGTON $#
$ELIVER REPORTS TO 53 $EPARTMENT OF #OMMERCE "UREAU OF
%CONOMIC !NALYSIS
$IRECT )NVESTMENT $IVISION "%
.)
3ILVER (ILL 2D
3UITLAND -$
&AX REPORTS TO
!SSISTANCE
%
MAIL BE BEAGOV
4ELEPHONE
#OPIES OF FORM WWWBEAGOVBE
.AME AND MAILING ADDRESS OF 53 "USINESS %NTERPRISE
Company Name
In Care Of
Attention
Street 1
Street 2
City
State
Zip
Country
$UE DATE .O LATER THAN CALENDAR DAYS AFTER THE NEW LEGAL ENTITY IS ESTABLISHED
7HO MUST REPORT ! "%
" REPORT MUST BE FILED BY A 53 BUSINESS ENTERPRISE WHEN A FOREIGN ENTITY OR AN EXISTING 53 AFFILIATE OF A FOREIGN
ENTITY ESTABLISHES A NEW LEGAL ENTITY IN THE 5NITED 3TATES AND THE PROJECTED TOTAL COST TO ESTABLISH THE NEW LEGAL ENTITY IS GREATER THAN MILLION
AND THE FOREIGN ENTITY OWNS PERCENT OR MORE OF THE NEW BUSINESS ENTERPRISES VOTING INTEREST DIRECTLY OR INDIRECTLY
).#,5$%
s #REATION OF A NEW LEGAL ENTITY WHETHER INCORPORATED OR UNINCORPORATED INCLUDING A BRANCH
s #ONSTRUCTION OF REAL ESTATE INTENDED FOR LEASE OR SALE )F THE CONSTRUCTION IS FOR PURPOSES OF AN EXPANSION SEE THE INSTRUCTIONS FOR REPORTING
AS AN EXPANSION ON &ORM "%
$
s #REATION OF A NEW LEGAL ENTITY EVEN IF IT DOES NOT HAVE PHYSICAL OPERATIONS
%8#,5$%
s 0URCHASE OF 53 REAL ESTATE THAT IS INTENDED FOR LEASE OR SALE WITHOUT SIGNIFICANT ADDED CONSTRUCTION 4HIS IS DEEMED TO BE AN ACQUISITION
OF A 53 BUSINESS ENTERPRISE AND SHOULD BE REPORTED ON &ORM "%
!
s 4HE CREATION OF A HOLDING COMPANY THAT IS BEING SET UP WITH LESS THAN MILLION SOLELY TO ACQUIRE AT LEAST ONE TARGET COMPANY WITHIN
DAYS AND THEN WILL BE DISSOLVED
s %STABLISHMENT OF A NEW LEGAL ENTITY CREATED FOR THE SOLE PURPOSE OF ACQUIRING A SINGLE ENTITY WITHIN DAYS AFTER THE ESTABLISHMENT
#ONSOLIDATE THE NEW LEGAL ENTITY WITH THE ACQUIRED ENTITY IN A SINGLE REPORT ON THE "%
!
!LTERNATE FORMS
2EPORT ON &ORM "%
! IF A FOREIGN ENTITY ACQUIRES A VOTING INTEREST DIRECTLY OR INDIRECTLY THROUGH AN EXISTING 53 AFFILIATE IN AN EXISTING 53 BUSINESS
ENTERPRISE SEGMENT OR OPERATING UNIT AND THE TOTAL COST OF THE ACQUISITION IS GREATER THAN MILLION AND BY THIS ACQUISITION AT LEAST PERCENT
OF THE VOTING INTEREST IN THE ACQUIRED ENTITY IS NOW HELD DIRECTLY OR INDIRECTLY BY THE FOREIGN ENTITY
2EPORT ON &ORM "%
$ IF AN EXISTING 53 AFFILIATE OF A FOREIGN PARENT EXPANDS ITS OPERATIONS TO INCLUDE A NEW FACILITY WHERE BUSINESS IS CONDUCTED AND
THE PROJECTED TOTAL COST OF THE EXPANSION IS GREATER THAN MILLION
2EPORT ON &ORM "%
% IF THE 53 BUSINESS ENTERPRISE PREVIOUSLY FILED A "%
" OR "%
$ AND "%! CONTACTS THE BUSINESS FOR A &ORM "%
% 4HE
FORM COLLECTS UPDATED PROJECT INFORMATION AND WILL BE COLLECTED ANNUALLY UNTIL THE ESTABLISHMENT OR EXPANSION PROJECT IS COMPLETE
2EPORT ON &ORM "%
#LAIM FOR %XEMPTION IF THE 53 BUSINESS ENTERPRISE
WAS CONTACTED BY "%! BUT DOES NOT MEET THE REQUIREMENTS FOR FILING FORMS "%
! "%
" OR "%
$ OR
WHETHER OR NOT CONTACTED BY "%! MET ALL REQUIREMENTS FOR FILING FORMS "%
! "%
" OR "%
$ EXCEPT THE MILLION REPORTING THRESHOLD
6HHSDJHIRUSHQDOWLHVDQGFRQILGHQWLDOLW\VWDWHPHQWV
"%
" n )NSTRUCTIONS AND #ONTACT )NFORMATION
"IL -IL THOUS $OLS
).3425#4)/.3
Monetary Values: 2EPORT IN 53 DOLLARS ROUNDED TO THOUSANDS OMITTING
%8!-0,% n )F AMOUNT IS REPORT AS
Percentages: 2EPORT OWNERSHIP PERCENTAGES TO A TENTH OF ONE PERCENT %8!-0,%
,000
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??? . ???
Estimates: )F ACTUAL AMOUNTS ARE NOT AVAILABLE SUPPLY ESTIMATES AND SPECIFY IN THE NOTES SECTION
Definitions: 3ELECTED ITEMS ARE DEFINED ON PAGE
Retention of copies: 2ETAIN A COPY OF EACH "%
REPORT FOR THREE YEARS BEYOND THE REPORTS ORIGINAL DUE DATE
Notes
#/.4!#4 ).&/2-!4)/.
0ROVIDE INFORMATION OF PERSON TO CONSULT ABOUT THIS REPORT
Name
Street 1
Telephone Number
Street 2
Fax Number
City
—
—
— — — — — - — — — —
State
Zip
E-mail Address
—
— — — - — — — —
—
Extension
./4% "%! USES A 3ECURE -ESSAGING 3YSTEM TO CORRESPOND WITH YOU VIA ENCRYPTED MESSAGE TO DISCUSS QUESTIONS RELATING TO THIS FORM 7E MAY USE
YOUR E
MAIL ADDRESS FOR SURVEY
RELATED ANNOUNCEMENTS AND TO INFORM YOU ABOUT SECURE MESSAGES 7HEN COMMUNICATING WITH "%! BY E
MAIL PLEASE DO
NOT INCLUDE ANY CONFIDENTIAL USINESS OR PERSONAL INFORMATION
#%24)&)#!4)/.
4HE UNDERSIGNED OFFICIAL CERTIFIES THAT THIS REPORT HAS BEEN PREPARED IN ACCORDANCE WITH THE APPLICABLE INSTRUCTIONS IS COMPLETE AND IS SUBSTANTIALLY
ACCURATE INCLUDING ESTIMATES THAT MAY HAVE BEEN PROVIDED
Signature of Authorized Official
Name
0AGE
Date
Telephone Number
—
—
— — — — — - — — — —
Title
Fax Number
—
— — — - — — — —
—
Extension
)250%(% 5(9
"%
" n .EW 53 "USINESS %NTERPRISE )NFORMATION
.%7 53 "53).%33 %.4%202)3% ).&/2-!4)/.
1 )S THE NEW 53 BUSINESS ENTERPRISE A HOLDING COMPANY
! HOLDING COMPANY IS ONE WHOSE PRIMARY ACTIVITY IS HOLDING THE SECURITIES OF OTHER COMPANIES
9ES n 3ELECT EVERY STATEMENT BELOW THAT APPLIES TO THE NEW 53 BUSINESS ENTERPRISE HOLDING COMPANY
!
"
4HE INITIAL CAPITALIZATION INCLUDING DEBT AND EQUITY OF THE HOLDING COMPANY IS MILLION OR LESS
#
4HE ACQUISITION OR ESTABLISHMENT IS OCCURING WITHIN DAYS OF THE CREATION OF THE HOLDING COMPANY
$
4HE HOLDING COMPANY WILL BE DISSOLVED AFTER THE ACQUISITION OR ESTABLISHMENT
)T IS BEING SET UP SOLELY FOR THE PURPOSE OF ACQUIRING OR ESTABLISHING AT LEAST ONE OTHER 53 BUSINESS ENTERPRISE
)F ALL FOUR OPTIONS !
$ WERE SELECTED THEN THE NEW 53 BUSINESS ENTERPRISE HOLDING COMPANY CAN FILE A &ORM "%
#LAIM
FOR %XEMPTION INSTEAD OF COMPLETING THE REST OF THIS FORM
%
4HE NEW 53 BUSINESS ENTERPRISE HOLDING COMPANY WAS ESTABLISHED SOLELY TO MAKE A SINGLE ACQUISITION WITHIN DAYS
$O NOT FILE THIS &ORM "%
" 2EPORT THE ACQUISITION ON A SINGLE &ORM "%
!
.O
-ONTH
$AY
9EAR
2 7HAT DATE WAS THE NEW 53 BUSINESS ENTERPRISE ESTABLISHED ?? ?? ?? ?? ?? ?? ?? ??
"IL -IL THOUS $OLS
3 7HAT IS THE TOTAL EXPECTED COST TO ALL FOREIGN PARENTS AFFILIATED FOREIGN GROUPS SEE %8!-0,%
AND THEIR 53 AFFILIATES TO SET UP THE NEW 53 BUSINESS ENTERPRISE
,000
).#,5$%
s !CTUAL EXPENDITURES FROM PAST YEARS AND EXPECTED EXPENDITURES FOR CURRENT AND FUTURE YEARS
s 4HE COST OF VOTING AND NON
VOTING EQUITY INTERESTS
%8#,5$%
s 4HE COST TO ANY 53 ENTITY THAT IS NOT AFFILIATED WITH ANY OF THE FOREIGN PARENTS
!FFILIATED FOREIGN GROUP MEANS
THE FOREIGN PARENT
ANY FOREIGN ENTITY PROCEEDING UP THE FOREIGN PARENTS
OWNERSHIP CHAIN THAT OWNS MORE THAN PERCENT OF THE
ENTITY BELOW IT UP TO AND INCLUDING THAT ENTITY WHICH IS NOT
OWNED MORE THAN PERCENT BY ANOTHER FOREIGN ENTITY AND
ANY FOREIGN ENTITY PROCEEDING DOWN THE OWNERSHIP CHAINS
OF EACH OF THESE MEMBERS WHICH IS OWNED MORE THAN
PERCENT BY THE ENTITY ABOVE IT
!S USED HERE ENTITY IS SYNONYMOUS WITH PERSON
AS THAT TERM IS USED IN THE BROAD LEGAL SENSE
%8!-0,%
&OREIGN #OMPANY 8
&OREIGN 0ARENT
&OREIGN #OMPANY 9
"USINESS ENTERPRISE MEANS ANY ORGANIZATION ASSOCIATION BRANCH OR
VENTURE THAT EXISTS FOR PROFIT MAKING PURPOSES OR TO OTHERWISE SECURE
ECONOMIC ADVANTAGE AND OWNERSHIP OF ANY REAL ESTATE THAT IS NOT HELD FOR
PERSONAL USE
%NTITY AS USED HERE hENTITYv IS SYNONYMOUS WITH hPERSON v AS THAT TERM IS
USED IN THE BROAD LEGAL SENSE MEANS ANY INDIVIDUAL BRANCH PARTNERSHIP
ASSOCIATED GROUP ASSOCIATION ESTATE TRUST CORPORATION OR OTHER
ORGANIZATION WHETHER OR NOT ORGANIZED UNDER THE LAWS OF ANY STATE AND ANY
GOVERNMENT INCLUDING A FOREIGN GOVERNMENT THE 5NITED 3TATES 'OVERNMENT
A STATE OR LOCAL GOVERNMENT AND ANY AGENCY CORPORATION FINANCIAL
INSTITUTION OR OTHER ENTITY OR INSTRUMENTALITY THEREOF INCLUDING A GOVERNMENT
SPONSORED AGENCY
)250%(% 5(9
&OREIGN #OMPANY :
&OREIGN
5NITED 3TATES
!FFILIATE MEANS A BUSINESS ENTERPRISE LOCATED IN ONE COUNTRY THAT IS DIRECTLY
OR INDIRECTLY OWNED OR CONTROLLED BY AN ENTITY OF ANOTHER COUNTRY TO THE EXTENT
OF PERCENT OR MORE OF ITS VOTING STOCK FOR AN INCORPORATED BUSINESS OR AN
EQUIVALENT INTEREST FOR AN UNINCORPORATED BUSINESS ENTERPRISE
!FFILIATED &OREIGN 'ROUP
.EW 53 "USINESS %NTERPRISE
&OREIGN COMPANIES 8 9 AND
: AND THE FOREIGN PARENT
COMPRISE THE AFFILIATED FOREIGN
GROUP IN THIS EXAMPLE
&OREIGN PARENT IS THE &)234 ENTITY INCORPORATED OUTSIDE THE 5NITED
3TATES PROCEEDING UP A CHAIN OF OWNERSHIP THAT HAS PERCENT OR MORE
VOTING INTEREST DIRECT OR INDIRECT IN THIS 53 AFFILIATE
6OTING INTEREST IS THE PERCENT OF OWNERSHIP IN THE VOTING SECURITIES OF
AN INCORPORATED BUSINESS ENTERPRISE OR AN EQUIVALENT INTEREST IN AN
UNINCORPORATED BUSINESS ENTERPRISE
s )N A GENERAL OR LIMITED PARTNERSHIP VOTING INTEREST IS PRESUMED TO
BE DIVIDED EVENLY BETWEEN THE GENERAL PARTNERS AND LIMITED PARTNERS
ARE PRESUMED TO HAVE ZERO VOTING INTEREST UNLESS OTHERWISE STATED IN
THE PARTNERSHIP AGREEMENT
s )N THE CASE OF A LIMITED LIABILITY CORPORATION ,,# VOTING INTEREST
IS PRESUMED TO BE DIVIDED EQUALLY BETWEEN THE MEMBERS OWNERS
UNLESS OTHERWISE STATED IN THE ARTICLES OF ORGANIZATION OR IN THE
OPERATING AGREEMENT
0AGE
"%
" n .EW 53 "USINESS %NTERPRISE )NFORMATION
4 7HAT IS THE LEGAL NAME OF THE NEW 53 BUSINESS ENTERPRISE
5 7HAT IS THE EMPLOYER IDENTIFICATION NUMBER OF THE NEW 53 BUSINESS ENTERPRISE USED TO FILE INCOME AND PAYROLL TAXES
0RIMARY
/THER
??? ??? n ??? ??? ??? ??? ??? ??? ???
??? ??? n ??? ??? ??? ??? ??? ??? ???
È
)S THE ADDRESS OF THE NEW 53 BUSINESS ENTERPRISE DIFFERENT FROM THE ADDRESS ON THE COVER PAGE
9ES n 0ROVIDE ADDRESS
.O
Name
Street 1
Street 2
City
State
Zip
/7.%23()0 ).&/2-!4)/. &/2 4(% .%7 53 "53).%33 %.4%202)3%
0ERCENT OF
6OTING )NTEREST
7HAT PERCENT OF VOTING INTEREST OF THE NEW 53 BUSINESS ENTERPRISE SEE %8!-0,% IS HELD
7
— — —
—
! $)2%#4,9 BY FOREIGN PARENTS
— — — —
" $)2%#4,9 BY EXISTING 53 AFFILIATES OF THE FOREIGN PARENTS
— — — —
# $)2%#4,9 BY OTHER 53 ENTITIES
$ $)2%#4,9 BY OTHER FOREIGN ENTITIES EACH HOLDING LESS THAN PERCENT VOTING INTEREST IN THE NEW 53 BUSINESS ENTERPRISE
— — — —
4OTAL OF Ç ! THROUGH Ç $ MUST SUM TO 1 0 0 . 0
%8!-0,%
$IFFERENT 4YPES OF /WNERSHIP
DIRECT BY OTHER FOREIGN ENTITY
DIRECT BY 53 AFFILIATE
DIRECT BY FOREIGN PARENT
/THER &OREIGN %NTITY
&OREIGN #OMPANY 8
&OREIGN #OMPANY 8
&OREIGN 0ARENT
&OREIGN 0ARENT
&OREIGN
&OREIGN
5NITED 3TATES
9VOTING INTEREST
5NITED 3TATES
7 $
VOTING INTEREST
7 !
VOTING INTEREST
%XISTING 53 !FFILIATES
9
:
:VOTING INTEREST
%XISTING 53 !FFILIATES
DIRECT BY OTHER 53 ENTITY
/THER 53 %NTITY
7 # VOTING INTEREST
7 "
.EW 53 "USINESS %NTERPRISE
)S THE PERCENT OF VOTING INTEREST OWNED DIRECTLY BY EXISTING 53 AFFILIATES OF THE FOREIGN PARENTS REPORTED IN " GREATER THAN ZERO
9%3
#/.4).5% TO QUESTION
./
3+)0 TO QUESTION
)250%(% 5(9
0AGE
"%
! n )DENTIFYING THE %XISTING 53 !FFILIATES
)$%.4)&9).' 4(% %8)34).' 53 !&&),)!4%3
0ROCEEDING UP THE OWNERSHIP CHAIN FOR EACH EXISTING 53
AFFILIATE LISTED IN WHAT IS THE NAME OF THE &)234 53
AFFILIATE THAT IS EITHER NOT OWNED MORE THAN PERCENT
BY ANOTHER 53 ENTITY OR IS OWNED AT LEAST PERCENT
$)2%#4,9 BY A FOREIGN PARENT 3EE %8!-0,%3
7HAT ARE THE NAMES OF THE EXISTING 53 AFFILIATES THAT DIRECTLY
OWN VOTING INTEREST IN THE ACQUIRED 53 ENTITY AND HOW MUCH
3EE %8!-0,%3
³ ³ ³
³
³ ³ ³
³
³ ³ ³
³
³ ³ ³
³
³ ³ ³
³
³ ³ ³
³
,IST ADDITIONAL ENTRIES ON A SEPARATE PAGE IF NECESSARY
0LEASE PROVIDE AN ORGANIZATIONAL CHART IF THERE ARE OTHER 53 AFFILIATES IN ADDITION TO THOSE LISTED ABOVE IN ANY OWNERSHIP CHAIN
%8!-0,%
)DENTIFYING THE 53 !FFILIATES FOR
%8!-0,%
)DENTIFYING THE 53 !FFILIATES FOR
&OREIGN 0ARENT
&OREIGN
&OREIGN 0ARENT
5NITED 3TATES
&OREIGN
9VOTING INTEREST
9
:
/THER 53 !FFILIATES
VOTING INTEREST
5NITED 3TATES
%XISTING 53 !FFILIATE
: VOTING INTEREST
FOR
%XISTING 53 !FFILIATE
!CQUIRED 53 %NTITY
FOR
!CQUIRED 53 %NTITY
)DENTIFYING THE 53 !FFILIATE FOR
%8!-0,%
%8!-0,%
)DENTIFYING THE 53 !FFILIATE FOR
&OREIGN 0ARENT
/THER &OREIGN %NTITY
&OREIGN 0ARENT
&OREIGN
9VOTING INTEREST
5NITED 3TATES
/THER 53 !FFILIATES
9
:
&OREIGN 0ARENT
&OREIGN
VOTING
INTEREST
5NITED 3TATES
:VOTING INTEREST
/THER 53 !FFILIATE
/THER 53 !FFILIATE
/THER 53 !FFILIATE
/THER 53 !FFILIATE
%XISTING 53 !FFILIATE
FOR
VOTING
INTEREST
VOTING INTEREST
/THER 53 !FFILIATE
!CQUIRED 53 %NTITY
%XISTING 53 !FFILIATE
FOR
!CQUIRED 53 %NTITY
0AGE
)250%(% 5(9
"%
! n )DENTIFYING THE %XISTING 53 !FFILIATES
)$%.4)&9).' 4(% %8)34).' 53 !&&),)!4%3
7HAT ARE THE ADDRESSES OF EACH OF THE 53 AFFILIATES LISTED IN 0LEASE ALSO SPECIFY FOR EACH 53 AFFILIATE IF THERE IS A FOREIGN
PARENT THAT OWNS IT INDIRECTLY THROUGH ANOTHER 53 AFFILIATE
)NDIRECTLY /WNED
Name
Street 1
City
Street 2
State
Zip
Name
Street 1
City
Street 2
State
Zip
Name
Street 1
City
Street 2
State
Zip
Name
Street 1
City
Street 2
State
Zip
Name
Street 1
City
Street 2
State
Zip
Name
Street 1
City
Street 2
%8!-0,%
State
Zip
)DENTIFYING THE !FFILIATES
&OREIGN 0ARENT
&OREIGN
5NITED 3TATES
9VOTING INTEREST
/THER 53 !FFILIATES
9
:
侑 : VOTING INTEREST
/THER 53 !FFILIATE
/THER 53 !FFILIATE
%XISTING 53 !FFILIATE
!CQUIRED 53 %NTITY
.UMBER OF
&OREIGN 0ARENTS
1 (OW MANY FOREIGN PARENTS DIRECT AND INDIRECT THROUGH 53 AFFILIATES DOES THE ACQUIRED 53 ENTITY HAVE
./4% )F THERE IS MORE THAN ONE FOREIGN PARENT DIRECT ANDOR INDIRECT COMPLETE 1Î THROUGH 32 FOR EACH ADDITIONAL FOREIGN PARENT ON SEPARATE PAGES
!DDITIONAL COPIES OF THESE PAGES MAY BE DOWNLOADED FROM WWWBEAGOVBE
0AGE
)250%(% 5(9
0 AND )TS 5LTIMATE "ENEFICIAL /WNE
"%
" n )DENTIFYING &OREIGN 0ARENT .UMBER ■■ OF ■■
./4% )F THERE IS MORE THAN ONE FOREIGN PARENT DIRECT ANDOR INDIRECT COMPLETE 13 THROUGH 2{ FOR EACH ADDITIONAL FOREIGN PARENT ON SEPARATE PAGES
!DDITIONAL COPIES OF THESE PAGES MAY BE DOWNLOADED FROM WWWBEAGOVBE
)$%.4)&9).' 4(% &/2%)'. 0!2%.4
13 7HAT IS THE NAME OF THIS FOREIGN PARENT HOLDING A DIRECT OR INDIRECT VOTING INTEREST IN THE NEW 53 BUSINESS ENTERPRISE
)F THE FOREIGN PARENT IS AN INDIVIDUAL WRITE hINDIVIDUALv INSTEAD OF THE INDIVIDUALS NAME
Name
14 7HAT IS THE COUNTRY OF INCORPORATION OF THIS FOREIGN PARENT
,IWKHIRUHLJQPARENT IS AN INDIVIDUAL OR GOVERNMENT ENTER THE COUNTR Y OF RESIDENCE
#OUNTRY OF &OREIGN 0ARENT
BEA USE ONLY
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15 7HAT IS THE INDUSTRY CODE OF THIS FOREIGN PARENT 6HOHFWWKHFDWHJRU\EHORZZKLFK BEST DESCRIBES THE 35,0$5<DFWLYLW\RIWKH6,1*/(HQWLW\
NAMED AS THE FOREIGN PARENT $/ ./4 BASE THE CODE ON THE WORLDWIDE SALES OF ALL FRQVROLGDWHGVXEVLGLDULHVRIWKHIRUHLJQSDUHQW
— Select Industry Code —
%8!-0,%
&OREIGN PARENT IS THE &)234 ENTITY INCORPORATED OUTSIDE THE 5NITED 3TATES
PROCEEDING UP A CHAIN OF OWNERSHIP THAT HAS PERCENT OR MORE VOTING
INTEREST DIRECT OR INDIRECT IN THIS 53 AFFILIATE
&OREIGN 0ARENT $IRECTLY /WNS
.EW 53 "USINESS %NTERPRISE
&OREIGN #OMPANY 8
&OREIGN 0ARENT
&OREIGN
#OUNTRY OF RESIDENCE FOR INDIVIDUALS WHO DO NOT RESIDE IN THEIR
COUNTRY OF CITIZENSHIP IS DETERMINED USING THE FOLLOWING GUIDELINES
)NDIVIDUALS WHO RESIDE OR EXPECT TO RESIDE OUTSIDE THEIR
COUNTRY OF CITIZENSHIP FOR LESS THAN ONE YEAR ARE CONSIDERED TO
BE RESIDENTS OF THEIR COUNTRY OF CITIZENSHIP
)NDIVIDUALS WHO RESIDE OR EXPECT TO RESIDE OUTSIDE THEIR
COUNTRY OF CITIZENSHIP FOR ONE YEAR OR MORE ARE CONSIDERED TO BE
RESIDENTS OF THE COUNTRY IN WHICH THEY ARE RESIDING EXCEPT AS
PROVIDED IN BELOW
)F AN OWNER OR EMPLOYEE OF A BUSINESS ENTERPRISE RESIDES
OUTSIDE THE COUNTRY OF LOCATION OF THE ENTERPRISE FOR ONE YEAR
OR MORE FOR THE PURPOSE OF FURTHERING THE BUSINESS OF THE
ENTERPRISE AND THE COUNTRY OF THE BUSINESS ENTERPRISE IS THE
COUNTRY OF CITIZENSHIP OF THE OWNER OR EMPLOYEE THEN THE
OWNER OR EMPLOYEE IS CONSIDERED A RESIDENT OF THE COUNTRY
OF CITIZENSHIP PROVIDED HE OR SHE INTENDS TO RETURN WITHIN A
REASONABLE PERIOD OF TIME
)NDIVIDUALS AND MEMBERS OF THEIR IMMEDIATE FAMILIES WHO RESIDE
OUTSIDE THEIR COUNTRY OF CITIZENSHIP AS A RESULT OF EMPLOYMENT
BY THE GOVERNMENT OF THAT COUNTRY n DIPLOMATS CONSULAR
OFFICIAL MEMBERS OF THE ARMED FORCES ETC n ARE CONSIDERED TO
BE RESIDENTS OF THEIR COUNTRY OF CITIZENSHIP
)250%(% 5(9
5NITED 3TATES
VOTING INTEREST
.EW 53 "USINESS %NTERPRISE
%8!-0,% &OREIGN 0ARENT )NDIRECTLY /WNS
.EW 53 "USINESS %NTERPRISE
4HROUGH %XISTING 53 !FFILIATE
&OREIGN #OMPANY 8
&OREIGN 0ARENT
&OREIGN
5NITED 3TATES
9 VOTING INTEREST
%XISTING 53 !FFILIATES
9
:
: VOTING INTEREST
.EW 53 "USINESS %NTERPRISE
0AGE
"%
" n )DENTIFYING &OREIGN 0ARENT .UMBER ■■ OF ■■ AND )TS 5LTIMATE "ENEFICIAL /WNE
)$%.4)&9).' 4(% 5,4)-!4% "%.%&)#)!, /7.%2 5"/
16 )S THIS FOREIGN PARENT ALSO THE ULTIMATE BENEFICIAL OWNER 5"/ 3EE %8!-0,%3 AND
s 4HE 5"/ IS THE ENTITY PROCEEDING UP THE OWNERSHIP CHAIN WHICH IS NOT MORE THAN PERCENT OWNED OR CONTROLLED BY ANOTHER ENTITY
s )F THE FOREIGN PARENT IS OWNED OR CONTROLLED MORE THAN PERCENT BY ANOTHER ENTITY THEN THE FOREIGN PARENT IS ./4 THE 5"/
9ES SKIP to 19
.O
17 7HAT IS THE NAME OF THE ULTIMATE BENEFICIAL OWNER
)F THE 5"/ IS AN INDIVIDUAL WRITE hINDIVIDUALv INSTEAD OF THE INDIVIDUALS NAME
Name
18 7HAT IS THE COUNTRY OF INCORPORATION OF THE ULTIMATE BENEFICIAL OWNER
)F THE 5"/ IS AN INDIVIDUAL OR GOVERNMENT PROVIDE THE COUNTRY OF RESIDENCE
#OUNTRY OF 5"/
BEA USE ONLY
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19 7HAT IS THE INDUSTRY CODE OF THE ULTIMATE BENEFICIAL OWNER
6HOHFWWKHFDWHJRU\EHORZZKLFKEHVWUHIOHFWVTHE CONSOLIDATED W ORLDWIDE SALES OF THE 5"/ INCLUDING ALL MAJORITY
OWNED SUBSIDIARIES
— Select Industry Code —
%8!-0,% &OREIGN 0ARENT $IRECTLY /WNS
.EW 53 "USINESS %NTERPRISE
%8!-0,% &OREIGN 0ARENT )NDIRECTLY /WNS .EW 53 "USINESS
%NTERPRISE 4HROUGH %XISTING 53 !FFILIATE
&OREIGN #OMPANY 8
&OREIGN #OMPANY 8
&OREIGN 0ARENT
&OREIGN 0ARENT
&OREIGN
&OREIGN
VOTING INTEREST
5NITED 3TATES
5NITED 3TATES
9 VOTING INTEREST
%XISTING 53 !FFILIATES
.EW 53 "USINESS %NTERPRISE
9
:
: VOTING INTEREST
.EW 53 "USINESS %NTERPRISE
%8!-0,% &OREIGN 0ARENT IS 5"/
%8!-0,%
#OMPANY 8
&OREIGN 0ARENT IS .OT 5"/
#OMPANY 8 5"/
TO
&OREIGN 0ARENT 5"/
&OREIGN
&OREIGN 0ARENT
&OREIGN
5NITED 3TATES
.EW 53 "USINESS
%NTERPRISE
)250%(% 5(9
5NITED 3TATES
.EW 53 "USINESS
%NTERPRISE
0AGE
0
"%
" n %STABLISHMENT )NFORMATION FOR &OREIGN 0ARENT .UMBER ■■ OF ■■
%34!",)3(-%.4 ).&/2-!4)/.
"IL -IL THOUS $OLS
Óä 7HAT IS THE TOTAL EXPECTED COST TO THIS FOREIGN PARENTS AFFILIATED FOREIGN GROUP SEE %8!-0,%
AND ITS 53 AFFILIATES TO ESTABLISH THE NEW 53 BUSINESS ENTERPRISE
,000
).#,5$%
s !CTUAL EXPENDITURES FROM PAST YEARS AND EXPECTED EXPENDITURES FOR CURRENT AND FUTURE YEARS
s 4HE COST OF VOTING AND NON
VOTING EQUITY INTERESTS
%8#,5$%
s 4HE COST TO ANY 53 ENTITY THAT IS NOT AFFILIATED WITH THIS FOREIGN PARENT
!FFILIATED &OREIGN 'ROUP
%8!-0,%
2EPEATED FROM PAGE
&OREIGN #OMPANY 8
&OREIGN 0ARENT
&OREIGN #OMPANY 9
&OREIGN #OMPANY :
&OREIGN
5NITED 3TATES
.EW 53 "USINESS %NTERPRISE
&OREIGN COMPANIES 8 9 AND
: AND THE FOREIGN PARENT
COMPRISE THE AFFILIATED FOREIGN
GROUP IN THIS EXAMPLE
!FFILIATED FOREIGN GROUP MEANS
THE FOREIGN PARENT
ANY FOREIGN ENTITY PROCEEDING UP THE FOREIGN PARENTS
OWNERSHIP CHAIN THAT OWNS MORE THAN PERCENT OF THE
ENTITY BELOW IT UP TO AND INCLUDING THAT ENTITY WHICH IS NOT
OWNED MORE THAN PERCENT BY ANOTHER FOREIGN ENTITY AND
ANY FOREIGN ENTITY PROCEEDING DOWN THE OWNERSHIP
CHAINS OF EACH OF THESE MEMBERS WHICH IS OWNED MORE
THAN PERCENT BY THE ENTITY ABOVE IT
!S USED HERE ENTITY IS SYNONYMOUS WITH PERSON
AS THAT TERM IS USED IN THE BROAD LEGAL SENSE
#2/33
"/2$%2 ).4%2#/-0!.9 $%"4 !.$ %15)49
&OR THE ESTABLISHMENT OF THE NEW 53 BUSINESS ENTERPRISE
"IL -IL THOUS $OLS
,000
Ó£ (OW MUCH CASH OR EQUITY DID THE !&' INVEST DIRECTLY IN THE NEW 53 BUSINESS ENTERPRISE
,000
ÓÓ (OW MUCH DID THE !&' LOAN DIRECTLY TO THE NEW 53 BUSINESS ENTERPRISE
,000
ÓÎ (OW MUCH CASH OR EQUITY DID THE !&' INVEST IN THE EXISTING 53 AFFILIATES
,000
Ó{ (OW MUCH DID THE !&' LOAN TO THE EXISTING 53 AFFILIATES
./4% )F THERE IS MORE THAN ONE FOREIGN PARENT DIRECT ANDOR INDIRECT COMPLETE 13 THROUGH 2{ FOR EACH ADDITIONAL FOREIGN PARENT ON SEPARATE
PAGES !DDITIONAL COPIES OF THESE PAGES MAY BE DOWNLOADED FROM WWWBEAGOVBE
0AGE
)250%(% 5(9
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" n &INANCIAL AND /PERATING )NFORMATION
&).!.#)!, !.$ /0%2!4).' ).&/2-!4)/. &/2 4(% .%7 53 "53).%33 %.4%202)3%
s 2EPORT PROJECTIONS FOR THE FIRST FISCAL YEAR OF OPERATIONS
s 5SE PROJECTIONS MADE IN THE COURSE OF PLANNING THE INVESTMENT IF AVAILABLE OTHERWISE GIVE BEST ESTIMATE
s )F THE FIRST FISCAL YEAR IS LESS THAN MONTHS PROVIDE ANNUALIZED NUMBERS FOR Ón AND Ó
-ONTH $AY
9EAR
Óx 7HAT IS THE ENDING DATE FOR THE NEW 53 BUSINESS ENTERPRISES FIRST FISCAL YEAR OF OPERATIONS
!S OF THE DATE REPORTED IN Óx WHAT ARE THE NEW 53 BUSINESS ENTERPRISEgS PROJECTED TOTALS OF
?? ?? ?? ?? ?? ?? ?? ??
"IL -IL THOUS $OLS
,000
ÓÈ !SSETS
,000
ÓÇ ,IABILITIES
,000
Ón !NNUAL SALES OR GROSS OPERATING REVENUES
,000
Ó !NNUAL NET INCOME LOSS AFTER PROVISION FOR INCOME TAXES
0ROJECTED .UMBER
OF %MPLOYEES
3ä 7HAT IS THE PROJECTED NUMBER OF EMPLOYEES OF THE NEW BUSINESS ENTERPRISE WHEN IT IS FULLY OPERATING
s )NCLUDE ALL FULL
TIME AND PART
TIME EMPLOYEES EXPECTED TO BE ON THE PAYROLL
s %XCLUDE CONTRACT WORKERS AND OTHER WORKERS NOT EXPECTED TO BE CARRIED ON THE PAYROLL
s )F THE NEW 53 BUSINESS ENTERPRISES ACTIVITY WILL INVOLVE LARGE SEASONAL VARIATIONS
REPORT A NUMBER THAT REPRESENTS AN AVERAGE OVER A YEAR
#URRENT .UMBER
OF %MPLOYEES
Σ (OW MANY EMPLOYEES DID THE NEW 53 BUSINESS ENTERPRISE HAVE AT THE TIME OF THIS FILING
s )NCLUDE ALL FULL
TIME AND PART
TIME EMPLOYEES ON THE PAYROLL
s %XCLUDE CONTRACT WORKERS AND OTHER WORKERS NOT CARRIED ON THE PAYROLL
ÎÓ 7HAT WILL BE THE MAJOR ACTIVITIES OF THE NEW 53 BUSINESS ENTERPRISE WHEN IT IS FULLY OPERATING #HECK ALL THAT APPLY
0RODUCER OF GOODS
0ROVIDER OF SERVICES
2EAL ESTATE
3ELLER OF GOODS IT DOES NOT PRODUCE
0RODUCER OR DISTRIBUTOR OF INFORMATION
/THER3PECIFY
3Î 7HAT ARE THE MAJOR PRODUCTS ANDOR SERVICES INVOLVED IN THE ACTIVITIES IDENTIFIED IN 3Ó
)F A PRODUCT ALSO STATE WHAT IS DONE TO IT IE WHETHER IT IS MINED MANUFACTURED SOLD AT WHOLESALE TRANSPORTED PACKAGED ETC
— Select State —
Î{ )N WHAT STATE IS THE NEW 53 BUSINESS ENTERPRISE LOCATED
s )F THE NEW 53 BUSINESS ENTERPRISE OPERATES IN MORE THAN ONE STATE THEN SELECT THE STATE WHERE THE LARGEST NUMBER OF EMPLOYEES ARE BASED
s )F THERE ARE NO EMPLOYEES AND NO PHYSICAL LOCATION THEN SELECT THE STATE OF INCORPORATION
3x 7HAT WILL BE THE NEW 53 BUSINESS ENTERPRISES FOUR
DIGIT INDUSTRY CLASSIFICATION"
3ELECT THE CATEGORY BELOW WHICH BEST DESCRIBES THE INDUSTRY CLASSIFICATION BASED ON SALES OR GROSS OPERATING REVENUES
3EESDJHIRUOLVWRUJRWRZZZEHDJRY1$,&6
— Select Industry Classification —
ÎÈ 7ILL THE NEW 53 BUSINESS ENTERPRISE CONDUCT RESEARCH AND DEVELOPMENT ACTIVITIES WHEN IT IS FULLY OPERATING
0AGE
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.O
)250%(% 5(9
"%
" n 0ROJECT )NFORMATION
02/*%#4 ).&/2-!4)/.
ÎÇ )S THE NEW 53 BUSINESS ENTERPRISE CURRENTLY UNDER CONSTRUCTION
-ONTH $AY
9EAR
■ 9ES
.O CONSTRUCTION HAS YET TO BEGIN
■
■ .O CONSTRUCTION IS COMPLETE n 0ROVIDE COMPLETION DATE ?? ?? ?? ?? ?? ?? ?? ??
.O THE PROJECT HAS BEEN CANCELED
■
■ .O CONSTRUCTION IS NOT REQUIRED FOR THIS PROJECT
&OR În AND Î BREAK DOWN THE TOTAL EXPECTED COST TO SET UP THE NEW 53 BUSINESS ENTERPRISE BY TYPE AND BY FISCAL YEAR
"IL -IL THOUS $OLS
3
4OTAL EXPECTED COSTUHSRUWHGLQ
,000
"IL -IL THOUS $OLS
În (OW MUCH OF THE TOTAL EXPECTED COST TO SET UP THE NEW 53 BUSINESS ENTERPRISE IS FOR
! ,AND
,000
,000
" 0ROPERTY PLANT AND EQUIPMENT %XCLUDE LAND
# )NTELLECTUAL PROPERTY RIGHTS
$ &EES TAXES PERMITS LICENSES
,000
,000
,000
% /THER COSTS $ESCRIBE IN NOTES SECTION ON PAGE
0 ,000
3 DQGWKHVXPRI În ! THROUGH
În % IS CURRENTLY
0 ,000
6XPRI În ! THROUGH
În % THIS SHOULD MATCH THE TOTAL EXPECTED COST
4HE DIFFERENCE BETWEEN THE TOTAL FROM
Î )N WHICH FISCAL YEARS WILL THE TOTAL EXPECTED COST BE INCURRED AND HOW MUCH EACH YEAR
s $O NOT INCLUDE OPERATING LEASES
s 0ROVIDE ACTUAL CASH OR IN
KIND OUTLAYS NOT DEPRECIATION
&ISCAL 9EAR
"IL -IL THOUS $OLS
,000
- Year
,000
- Year
- Year
- Year
- Year
,000
,000
,000
,000
- Year
,000
- Year
- Year
- Year
- Year -
,000
,000
,000
./4% "%! WILL REQUEST UPDATED PROJECT INFORMATION EACH YEAR UNTIL THE PROJECT IS COMPLETE
2%452. 4/ #/6%2 0!'% &/2 &),).' ).3425#4)/.3
)250%(% 5(9
0AGE
"%
" n $EFINITIONS
Affiliate MEANS A BUSINESS ENTERPRISE LOCATED IN ONE COUNTRY THAT IS
DIRECTLY OR INDIRECTLY OWNED OR CONTROLLED BY AN ENTITY OF ANOTHER COUNTRY TO
THE EXTENT OF PERCENT OR MORE OF ITS VOTING STOCK FOR AN INCORPORATED
BUSINESS OR AN EQUIVALENT INTEREST FOR AN UNINCORPORATED BUSINESS
ENTERPRISE
Affiliated foreign group MEANS
THE FOREIGN PARENT
ANY FOREIGN ENTITY PROCEEDING UP THE FOREIGN PARENTS
OWNERSHIP CHAIN THAT OWNS MORE THAN PERCENT OF THE
ENTITY BELOW IT UP TO AND INCLUDING THAT ENTITY WHICH IS NOT
OWNED MORE THAN PERCENT BY ANOTHER FOREIGN ENTITY AND
ANY FOREIGN ENTITY PROCEEDING DOWN THE OWNERSHIP CHAINS
OF EACH OF THESE MEMBERS WHICH IS OWNED MORE THAN
PERCENT BY THE ENTITY ABOVE IT
Associated group MEANS TWO OR MORE ENTITIES WHO BY THE
APPEARANCE OF THEIR ACTIONS BY AGREEMENT OR BY AN UNDERSTANDING
EXERCISE THEIR VOTING PRIVILEGES IN A CONCERTED MANNER TO INFLUENCE THE
MANAGEMENT OF A BUSINESS ENTERPRISE %ACH OF THE FOLLOWING ARE
DEEMED TO BE AN ASSOCIATED GROUP
-EMBERS OF THE SAME FAMILY
! BUSINESS ENTERPRISE AND ONE OR MORE OF ITS OFFICERS AND
DIRECTORS
ÀiVÌÊÛiÃÌiÌ MEANS THE OWNERSHIP OR CONTROL DIRECTLY OR INDIRECTLY
BY ONE ENTITY OF PERCENT OR MORE OF THE VOTING INTEREST IN A BUSINESS
ENTERPRISE
Entity AS USED HERE hENTITYv IS SYNONYMOUS WITH hPERSON v AS THAT TERM
IS USED IN THE BROAD LEGAL SENSE MEANS ANY INDIVIDUAL BRANCH PARTNERSHIP
ASSOCIATED GROUP ASSOCIATION ESTATE TRUST CORPORATION OR OTHER
ORGANIZATION WHETHER OR NOT ORGANIZED UNDER THE LAWS OF ANY STATE AND ANY
GOVERNMENT INCLUDING A FOREIGN GOVERNMENT THE 5NITED 3TATES 'OVERNMENT
A STATE OR LOCAL GOVERNMENT AND ANY AGENCY CORPORATION FINANCIAL
INSTITUTION OR OTHER ENTITY OR INSTRUMENTALITY THEREOF INCLUDING A GOVERNMENT
SPONSORED AGENCY
Foreign WHEN USED IN A GEOGRAPHIC SENSE MEANS THAT WHICH
IS SITUATED OUTSIDE THE 5NITED 3TATES OR WHICH BELONGS TO OR IS CHARACTERISTIC
OF A COUNTRY OTHER THAN THE 5NITED 3TATES
Foreign direct investment in the United States MEANS THE
OWNERSHIP OR CONTROL DIRECTLY OR INDIRECTLY BY ONE FOREIGN INVESTOR OF
PERCENT OR MORE OF THE VOTING SECURITIES OF AN INCORPORATED 53 BUSINESS
ENTERPRISE OR AN EQUIVALENT INTEREST IN AN UNINCORPORATED 53 BUSINESS
ENTERPRISE INCLUDING A BRANCH OR PARTNERSHIP
Foreign parent IS THE &)234 ENTITY INCORPORATED OUTSIDE THE 5NITED 3TATES
PROCEEDING UP A CHAIN OF OWNERSHIP THAT HAS PERCENT OR MORE VOTING
INTEREST DIRECT OR INDIRECT IN THIS 53 AFFILIATE
-EMBERS OF A SYNDICATE OR JOINT VENTURE OR
U.S. affiliate MEANS AN AFFILIATE LOCATED IN THE 5NITED 3TATES IN WHICH
!N INCORPORATED BUSINESS ENTERPRISE AND ITS DOMESTIC SUBSIDIARIES A FOREIGN ENTITY HAS A DIRECT INVESTMENT
Branch MEANS THE OPERATIONS OR ACTIVITIES CONDUCTED BY AN ENTITY IN A
DIFFERENT LOCATION IN ITS OWN NAME RATHER THAN THROUGH AN INCORPORATED
ENTITY
Unites States WHEN USED IN A GEOGRAPHICAL SENSE MEANS THE STATES
THE $ISTRICT OF #OLUMBIA THE #OMMONWEALTH OF 0UERTO 2ICO
AND ALL TERRITORIES AND POSSESSIONS OF THE 5NITED 3TATES
Business enterprise MEANS ANY ORGANIZATION ASSOCIATION BRANCH OR Voting interest IS THE PERCENT OF OWNERSHIP IN THE VOTING SECURITIES
VENTURE THAT EXISTS FOR PROFIT MAKING PURPOSES OR TO OTHERWISE SECURE OF AN INCORPORATED BUSINESS ENTERPRISE OR AN EQUIVALENT INTEREST IN AN
ECONOMIC ADVANTAGE AND OWNERSHIP OF ANY REAL ESTATE THAT IS NOT HELD FOR UNINCORPORATED BUSINESS ENTERPRISE
PERSONAL USE
s )N A GENERAL OR LIMITED PARTNERSHIP VOTING INTEREST IS PRESUMED TO
BE DIVIDED EVENLY BETWEEN THE GENERAL PARTNERS AND LIMITED PARTNERS
ÕÌÀÞÊvÊÀiÃ`iVi FOR INDIVIDUALS WHO DO NOT RESIDE IN THEIR COUNTRY
ARE PRESUMED TO HAVE ZERO VOTING INTEREST UNLESS OTHERWISE STATED IN
OF CITIZENSHIP IS DETERMINED USING THE FOLLOWING GUIDELINES
THE PARTNERSHIP AGREEMENT
)NDIVIDUALS WHO RESIDE OR EXPECT TO RESIDE OUTSIDE THEIR COUNTRY
s )N THE CASE OF A LIMITED LIABILITY CORPORATION ,,# VOTING INTEREST IS
OF CITIZENSHIP FOR LESS THAN ONE YEAR ARE CONSIDERED TO BE
PRESUMED TO BE DIVIDED EQUALLY BETWEEN THE MEMBERS OWNERS
RESIDENTS OF THEIR COUNTRY OF CITIZENSHIP
UNLESS OTHERWISE STATED IN THE ARTICLES OF ORGANIZATION OR IN THE
)NDIVIDUALS WHO RESIDE OR EXPECT TO RESIDE OUTSIDE THEIR COUNTRY
OF CITIZENSHIP FOR ONE YEAR OR MORE ARE CONSIDERED TO BE
RESIDENTS OF THE COUNTRY IN WHICH THEY ARE RESIDING EXCEPT AS
PROVIDED IN BELOW
OPERATING AGREEMENT
)F AN OWNER OR EMPLOYEE OF A BUSINESS ENTERPRISE RESIDES
OUTSIDE THE COUNTRY OF LOCATION OF THE ENTERPRISE FOR ONE YEAR OR
MORE FOR THE PURPOSE OF FURTHERING THE BUSINESS OF THE
ENTERPRISE AND THE COUNTRY OF THE BUSINESS ENTERPRISE IS THE
COUNTRY OF CITIZENSHIP OF THE OWNER OR EMPLOYEE THEN THE OWNER
OR EMPLOYEE IS CONSIDERED A RESIDENT OF THE COUNTRY
OF CITIZENSHIP PROVIDED HE OR SHE INTENDS TO RETURN WITHIN A
REASONABLE PERIOD OF TIME
)NDIVIDUALS AND MEMBERS OF THEIR IMMEDIATE FAMILIES WHO RESIDE
OUTSIDE THEIR COUNTRY OF CITIZENSHIP AS A RESULT OF EMPLOYMENT BY
THE GOVERNMENT OF THAT COUNTRY n DIPLOMATS CONSULAR OFFICIALS
MEMBERS OF THE ARMED FORCES ETC n ARE CONSIDERED TO BE
RESIDENTS OF THEIR COUNTRY OF CITIZENSHIP
)250%(% 5(9
0AGE
SURVEY INFORMATION
Purpose: This survey collects data on the acquisition or establishment of U.S. business enterprises by foreign investors and the expansion of existing
U.S. affiliates of foreign companies to establish a new production facility. The data collected on the survey are used to measure the amount of new
foreign direct investment in the United States, assess the impact on the U.S. economy, and based on this assessment, make informed policy decisions
regarding foreign direct investment in the United States.
Authority: This survey is being conducted under the International Investment and Trade in Services Survey Act (P.L. 94-472, 90 Stat. 2059, 22 U.S.C.
3101-3108, as amended) hereinafter “the Act”, and the filing of reports is MANDATORY pursuant to Section 5(b)(2) of the Act (22 U.S.C. 3104). The
implementing regulations are contained in Title 15, CFR, Part 801.
Penalties: Whoever fails to report may be subject to a civil penalty of not less than $2,500, and not more than $32,500, and to injunctive relief
commanding such person to comply, or both. Whoever willfully fails to report shall be fined not more than $10,000 and, if an individual, may be
imprisoned for not more than one year, or both. Any officer, director, employee, or agent of any corporation who knowingly participates in such violation,
upon conviction, may be punished by a like fine, imprisonment, or both. (22 U.S.C. 3105.) Civil penalties are subject to inflationary adjustments. Those
adjustments are found in 15 CFR 6.4.
Notwithstanding any other provision of the 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.
Respondent burden: Public reporting burden for this %(%IRUPLVHVWLPDWHGWRDYHUDJH hours per response, including time for UHYLHZLQJ
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of LQIRUPDWLRQ
Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing EXUGHQWR
Director, Bureau of Economic Analysis (BE-1), U.S. Department of Commerce, 3ILVER (ILL 2D Washington, DC ; and to the Office of
Management and %XGJHWPaperwork Reduction Project 0608-0035, Washington, DC 20503.
Confidentiality: The Act provides that your report to this Bureau is CONFIDENTIAL and may be used only for analytical or statistical purposes.
Without your prior written permission, the information filed in your report CANNOT be presented in a manner that allows it to be individually identified.
Your report CANNOT be used for purposes of taxation, investigation, or regulation. Copies retained in your files are immune from legal process.
FOREIGN PARENT AND UBO INDUSTRY CODES
.OTE h)3) CODESv ARE )NTERNATIONAL 3URVEYS )NDUSTRY CODES AS GIVEN IN THE Guide to Industry Classifications for International Surveys, 2012,
AVAILABLE AT WWWBEAGOVNAICS 3EE THE 3UMMARY OF )NDUSTRY #LASSIFICATIONS ON PAGE OF THIS FORM
'OVERNMENT AND GOVERNMENT
OWNED OR
SPONSORED ENTERPRISE OR QUASI
GOVERNMENT
ORGANIZATION OR AGENCY
0ENSION FUND 'OVERNMENT RUN
0ENSION FUND 0RIVATELY RUN
%STATE TRUST OR NONPROFIT ORGANIZATION
)NDIVIDUAL
)NFORMATION )3) CODES n
0ROFESSIONAL SCIENTIFIC AND TECHNICAL SERVICES
)3) CODES n
/THER SERVICES )3) CODES
AND n
-ANUFACTURING INCLUDING FABRICATING
ASSEMBLING AND PROCESSING OF GOODS
&OOD )3) CODES n
0RIVATE BUSINESS ENTERPRISE INVESTMENT
ORGANIZATION OR GROUP ENGAGED IN
"EVERAGES AND TOBACCO PRODUCTS )3) CODES AND
)NSURANCE )3) CODES
0HARMACEUTICALS AND MEDICINE )3) CODE
!GRICULTURE FORESTRY FISHING AND HUNTING
)3) CODES n
/THER CHEMICALS )3) CODES n EXCEPT
-INING )3) CODES n
#ONSTRUCTION )3) CODES n
.ONMETALLIC MINERAL PRODUCTS )3) CODES n
0RIMARY AND FABRICATED METAL PRODUCTS
)3) CODES n
4RANSPORTATION AND WAREHOUSING )3) CODES n
#OMPUTER AND ELECTRONIC PRODUCTS )3) CODES n
5TILITIES )3) CODES n
-ACHINERY )3) CODES n
7HOLESALE AND RETAIL TRADE )3) CODES n
%LECTRICAL EQUIPMENT APPLIANCES AND
COMPONENTS )3) CODES n
"ANKING INCLUDING BANK HOLDING COMPANIES
)3) CODES AND
(OLDING COMPANIES EXCLUDING BANK HOLDING
COMPANIES )3) CODES AND
/THER FINANCE )3) CODES THAT
PART OF )3) CODE THAT IS NOT ESTATES AND TRUSTS
AND )3) CODE
2EAL ESTATE )3) CODE
0AGE
-OTOR VEHICLES AND PARTS )3) CODES n
/THER TRANSPORTATION EQUIPMENT )3) CODES n
/THER MANUFACTURING )3) CODES n
n
0ETROLEUM MANUFACTURING INCLUDING INTEGRATED PETROLEUM
AND PETROLEUM REFINING WITHOUT EXTRACTION )3) CODES
n
)250%(% 5(9
SUMMARY OF INDUSTRY CLASSIFICATIONS (ISI codes)
0AGE
)250%(% 5(9
| File Type | application/pdf |
| File Title | Survey of New Foreign Direct Investment in the United States: Form BE-13B |
| Subject | Survey of New Foreign Direct Investment in the United States, Form BE-13B, Bureau of Economic Analysis, BE–13B, November 2014 |
| Author | Bureau of Economic Analysis |
| File Modified | 2016-08-09 |
| File Created | 2016-08-09 |