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MANDATORY — CONFIDENTIAL*
SURVEY OF NEW FOREIGN DIRECT INVESTMENT IN THE UNITED STATES
FORM BE-13D
(Report for the Expansion of an Existing U.S. Affiliate)
)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 $#
.AME AND MAILING ADDRESS OF 53 "USINESS %NTERPRISE
Company Name
In Care Of
1
1
Attention
1
$ELIVER REPORTS TO 53 $EPARTMENT OF #OMMERCE
"UREAU OF %CONOMIC !NALYSIS
$IRECT )NVESTMENT $IVISION "%
.)
3ILVER (ILL 2D
3UITLAND -$
&AX REPORTS TO
!SSISTANCE
E-mail: [email protected]
Telephone:
Copies of form: www.bea.gov/BE
Street 1
1
Street 2
1
City
State
1
2
Zip
3
Country
4
$UE DATE .O LATER THAN CALENDAR DAYS AFTER THE EXPANSION IS INITIATED
7HO MUST REPORT ! "%
$ REPORT MUST BE FILED BY AN EXISTING 53 AFFILIATE OF A FOREIGN PARENT WHEN IT EXPANDS ITS OPERATIONS TO INCLUDE A
NEW FACILITY WHERE BUSINESS IS CONDUCTED AND THE PROJECTED TOTAL COST OF THE EXPANSION IS GREATER THAN MILLION
).#,5$%
s #ONSTRUCTION OR LEASE OF A NEW FACILITY BY AN EXISTING 53 AFFILIATE
s #ONSTRUCTION OF A FACILITY THAT IS INTENDED FOR LEASE OR SALE BY AN EXISTING 53 AFFILIATE
s ([SDQVLRQRIDQH[LVWLQJIDFLOLW\
%8#,5$%
s 4RANSFER OF EXISTING OPERATIONS FROM ONE LOCATION TO ANOTHER
s 2EPLACEMENT OF EQUIPMENT OR UPGRADE OF AN EXISTING FACILITY
!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 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
2EPORT ON &ORM "%
% IF THE 53 BUSINESS ENTERPRISE PREVIOUSLY FILED A "%
" OR "%
$ INDICATING THAT THE ESTA LISHED OR EXPANDED ENTITY IS
STILL UNDER CONSTRUCTION 4HIS FORM WILL COLLECT UPDATED COST INFORMATION AND WILL BE COLLECTED ANNUALLY UNTIL CONSTRUCTION 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
).3425#4)/.3
"IL -IL 4HOUS $OLS
Monetary Values: 2EPORT IN 53 DOLLARS ROUNDED TO THOUSANDS OMITTING
%8!-0,% n )F AMOUNT IS REPORT AS
Estimates: )F ACTUAL AMOUNTS ARE NOT AVAILABLE SUPPLY ESTIMATES AND SPECIFY IN THE NOTES SECTION
Definitions: 5NDERLINED TERMS 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
1
Street 1
1
Telephone Number
Street 2
1
Fax Number
City
1
2
2
—
—
— — — — — - — — — —
State
Zip
E-mail Address
2
3
4
—
— — — - — — — —
—
Extension
3
./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 CE TIFIES THAT THIS REPO T 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
1
0AGE
Date
Telephone Number
1
—
—
— — — — — - — — — —
Title
Fax Number
2
3
—
— — — - — — — —
—
Extension
2
&/2- "%
$ 2%6
"%
$ n %XPANSION )NFORMATION
-ONTH
$AY
9EAR
£
7HAT DATE DID THE EXPANSION PROJECT BEGIN
Ó
7HAT IS THE LEGAL NAME OF THE EXPANDING 53 AFFILIATE
!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
3
?? ?? ?? ?? ?? ?? ?? ??
"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
)S THE ADDRESS OF THE NEW FACILITY DIFFERENT FROM THE ADDRESS ON THE COVER PAGE
9ES n 0ROVIDE ADDRESS
.O
Name
2
Street 1
Street 2
1
2
City
State
1
2
Zip
3
"IL -IL 4HOUS $OLS
4
7HAT IS THE TOTAL EXPECTED COST TO ALL FOREIGN PARENTS AFFILIATED FOREIGN GROUPS !&' SEE %8!-0,%
AND THEIR 53 AFFILIATES TO SET UP THE NEW FACILITY
).#,5$%
s !LL EXPENSES TO SET UP THE NEW FACILITY INCLUDING BUT NOT LIMITED TO LAND LEASE PROPERTY PLANT AND EQUIPMENT
EXPENDITURES CONSTRUCTION INTELLECTUAL PROPERTY RIGHTS FEES TAXES PERMITS LICENSES AND MISCELLANEOUS OTHER COSTS
s !CTUAL EXPENDITURES FROM PAST YEARS AND EXPECTED EXPENDITURES FOR CURRENT AND FUTURE YEARS
%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
%8!-0,%
!FFILIATED &OREIGN 'ROUP
&OREIGN #OMPANY 8
&OREIGN 0ARENT
&OREIGN #OMPANY 9
!S USED HERE ENTITY IS SYNONYMOUS WITH PERSON
AS THAT TERM IS USED IN THE BROAD LEGAL SENSE
&OREIGN PARENT IS THE &)234 ENTITY OUTSIDE THE 5NITED 3TATES PROCEEDING UP A CHAIN
OF OWNERSHIP THAT HAS A PERCENT OR MORE VOTING INTEREST IN THE 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
&OREIGN #OMPANY :
&OREIGN
5NITED 3TATES
%XPANDING 53 !FFILIATE
&OREIGN COMPANIES 8 9 AND
: AND THE FOREIGN PARENT
COMPRISE THE AFFILIATED FOREIGN
GROUP IN THIS EXAMPLE
.UMBER OF
&OREIGN 0ARENTS
x (OW MANY FOREIGN PARENTS DIRECT AND INDIRECT THROUGH 53 AFFILIATES DOES THE EXPANDING 53 AFFILIATE HAVE
./4% )F THERE IS MORE THAN ONE FOREIGN PARENT DIRECT ANDOR INDIRECT COMPLETE È THROUGH £Ó FOR EACH ADDITIONAL FOREIGN PARENT ON A SEPARATE PAGE
!DDITIONAL COPIES OF THIS PAGE MAY BE DOWNLOADED FROM WWWBEAGOVBE
&/2- "%
$ 2%6
0AGE
"%
$ n )DENTIFYING &OREIGN 0ARENT .UMBER ■■ÊOF ■■ÊAND )TS 5LTIMATE "ENEFICIAL /WNER
./4% )F THERE IS MORE THAN ONE FOREIGN PARENT DIRECT ANDOR INDIRECT COMPLETE È THROUGH £Ó FOR EACH ADDITIONAL FOREIGN PARENT ON A SEPARATE PAGE
!DDITIONAL COPIES OF THIS PAGE MAY BE DOWNLOADED FROM WWWBEAGOVBE
)$%.4)&9).' 4(% &/2%)'. 0!2%.4
ÊÊÈÊÊ 7HAT IS THE NAME OF THIS FOREIGN PARENT HOLDING A DIRECT OR INDIRECT VOTING INTEREST IN THE EXPANDING 53 AFFILIATE
)F THE FOREIGN PARENT IS AN INDIVIDUAL WRITE hINDIVIDUALv INSTEAD OF THE INDIVIDUALS NAME
ÊÊÇÊÊ 7HAT IS THE COUNTRY OF INCORPORATION OF THIS FOREIGN PARENT
)F THE FOREIGN PARENT IS AN INDIVIDUAL OR GOVERNMENT PROVIDE THE COUNTRY OF RESIDENCE
#OUNTRY OF &OREIGN 0ARENT
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BEA USE ONLY
ÊÊnÊÊ 7HAT IS THE INDUSTRY CODE OF THIS FOREIGN PARENT 6HOHFW WKHFDWHJRU\EHORZ ZKLFK BEST DESCRIBES THE 02)-!29 DFWLYLW\RIWKH6,1*/(HQWLW\
NAMED AS THE FOREIGN PARENT $/ ./4 BASE THE CODE ON THE WORLDWIDE SALES OF ALL CONSOLIDATED VXEVLGLDULHVRIWKHIRUHLJQSDUHQW
-Industry Code-
#OUNTRY OF RESIDENCE FOR INDIVIDUALS WHO DO NOT RESIDE IN THEIR COUNTRY
OF CITIZENSHIP IS DETERMINED USING THE FOLLOWING GUIDELINES
$IRECT AND )NDIRECT 6OTING )NTEREST
%8!-0,%
&OREIGN #OMPANY 8
)NDIVIDUALS WHO RESIDE OR EXPECT TO RESIDE OUTSIDE THEIR COUNTRY
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PROVIDED IN BELOW
&OREIGN 0ARENT
&OREIGN
5NITED 3TATES
9 VOTING INTEREST
$IRECT
VOTING
INTEREST
)NDIVIDUALS WHO RESIDE OR EXPECT TO RESIDE OUTSIDE THEIR COUNTRY
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RESIDENTS OF THEIR COUNTRY OF CITIZENSHIP
)NDIRECT
9
: VOTING
INTEREST
:VOTING INTEREST
%XISTING 53 !FFILIATES
!CQUIRED 53 %NTITY
)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
&OREIGN PARENT IS THE &)234 ENTITY OUTSIDE THE 5NITED 3TATES
PROCEEDING UP A CHAIN OF OWNERSHIP THAT HAS A PERCENT OR MORE
VOTING INTEREST IN THE 53 AFFILIATE
0AGE
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 INCLUDING A BRANCH OR PARTNERSHIP
&/2- "%
$ 2%6
"%
$ n )DENTIFYING &OREIGN 0ARENT .UMBER ■■ OF ■■ AND )TS 5LTIMATE "ENEFICIAL /WNER
)$%.4)&9).' 4(% 5,4)-!4% "%.%&)#)!, /7.%2 5"/
)S THIS FOREIGN PARENT ALSO THE ULTIMATE BENEFICIAL OWNER 5"/ 3EE %8!-0,%3 AND
s )F THE FOREIGN PARENT IS OWNED OR CONTROLLED MORE THAN PERCENT BY ANOTHER ENTITY THEN THE FOREIGN PARENT IS ./4 THE 5"/
5LTIMATE BENEFICIAL OWNER MEANS THE ENTITY PROCEEDING UP THE OWNERSHIP CHAIN THAT INCLUDES THE FOREIGN PARENT WHICH IS NOT MORE THAN
PERCENT OWNED OR CONTROLLED BY ANOTHER ENTITY
9ES 3+)0 TO £Ó
.O
%8!-0,% &OREIGN 0ARENT IS 5"/
%8!-0,% &OREIGN 0ARENT IS .OT 5"/
#OMPANY 8
#OMPANY 8 5"/
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&OREIGN 0ARENT 5"/
VOTING INTEREST
&OREIGN 0ARENT
&OREIGN
&OREIGN
5NITED 3TATES
5NITED 3TATES
%XPANDING 53 !FFILIATE
%XPANDING 53 !FFILIATE
£ä 7HAT IS THE NAME OF THE ULTIMATE BENEFICIAL OWNER
)F THE 5"/ IS AN INDIVIDUAL ZULWHhINDIVIDUALv INSTEAD OF THE INDIVIDUALS NAME
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)F THE 5"/ IS AN INDIVIDUAL OR GOVERNMENT PROVIDE THE COUNTRY OF RESIDENCE
£Ó
#OUNTRY OF 5"/
-Country-
BEA USE ONLY
7HAT IS THE INDUSTRY CODE OF THE ULTIMATE BENEFICIAL OWNER
3ELECT THE CATEGORY BELOW BEST REFLECT THE CONSOLIDATED WORLDWIDE SALES OF THE 5"/ INCLUDING ALL MAJORITY
OWNED SUBSIDIARIES
-Industry Code-
./4% )F THERE IS MORE THAN ONE FOREIGN PARENT DIRECT ANDOR INDIRECT COMPLETE Ç THROUGH £Ó FOR EACH ADDITIONAL FOREIGN PARENT ON A SEPARATE PAGE
!DDITIONAL COPIES OF THIS PAGE MAY BE DOWNLOADED FROM WWWBEAGOVBE
&/2- "%
$ 2%6
0AGE
"%
$ n &INANCIAL AND /PERATING )NFORMATION
&).!.#)!, !.$ /0%2!4).' ).&/2-!4)/.
"IL -IL 4HOUS $OLS
1Î 7HAT ARE THE PROJECTED ANNUAL SALES OR GROSS OPERATING REVENUES OF THE NEW FACILITY
s 2QO\LQFOXGHUHYHQXHDWWULEXWHGWRWKHH[SDQVLRQQRWWKHHQWLUH86DIILOLDWH
0ROJECTED .UMBER
OF %MPLOYEES
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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 FACILITYS ACTIVITY WILL INVOLVE LARGE SEASONAL VARIATIONS REPORT A NUMBER THAT REPRESENTS AN AVERAGE OVER A YEAR
s /NLY INCLUDE EMPLOYEES LOCATED IN THE NEW FACILITY NOT THE ENTIRE 53 AFFILIATE
#URRENT .UMBER
OF %MPLOYEES
£x (OW MANY EMPLOYEES DID THE NEW FACILITY 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
s %XCLUDE EMPLOYEES WORKING AT A PREVIOUSLY EXISTING FACILITY
1È 7HAT WILL BE THE MAJOR ACTIVITIES OF THE NEW FACILITY WHEN IT IS FULLY OPERATING #HECK ALL THAT APPLY
0RODUCER OF GOODS
3ELLER OF GOODS IT DOES NOT PRODUCE
0RODUCER OR DISTRIBUTOR OF INFORMATION
0ROVIDER OF SERVICES
2EAL ESTATE
/THER3PECIFY
1Ç 7HAT ARE THE MAJOR PRODUCTS ANDOR SERVICES INVOLVED IN THE ACTIVITIES IDENTIFIED IN 16
)F A PRODUCT ALSO STATE WHAT IS DONE TO IT IE WHETHER IT IS MINED MANUFACTURED SOLD AT WHOLESALE TRANSPORTED PACKAGED ETC
1n )N WHICH STATE WILL THE NEW FACILITY BE LOCATED
— Select State —
£ 7HAT WILL BE THE NEW FACILITYS FOUR
DIGIT INDUSTRY CLASSIFICATION
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3EEOLVWRQSDJH RUJRWR WWWBEAGOV.!)#3
— Select Industry Classification —
Óä 7ILL THE NEW FACILITY CONDUCT RESEARCH AND DEVELOPMENT ACTIVITIES
0AGE
9ES
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&/2- "%
$ 2%6
"%
$ n 0ROJECT )NFORMATION
02/*%#4 ).&/2-!4)/.
2£ )S THE NEW FACILITY CURRENTLY UNDER CONSTRUCTION
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 FACILITY
-ONTH $AY
9EAR
?? ?? ?? ?? ?? ?? ?? ??
&OR ÓÓ AND ÓÎÊ BREAK DOWN THE TOTAL EXPECTED COST TO SET UP THE NEW FACILITY BY TYPE AND BY FISCAL YEAR
"IL -IL 4HOUS $OLS
4OTAL EXPECTED COST REPORTED IN {
"IL -IL 4HOUS $OLS
2Ó (OW MUCH OF THE TOTAL EXPECTED COST TO SET UP THE NEW FACILITY IS FOR
! ,AND
" 0ROPERTY PLANT AND EQUIPMENT )NCLUDE CONSTRUCTION %XCLUDE LAND
# )NTELLECTUAL PROPERTY RIGHTS
$ &EES TAXES PERMITS LICENSES
% /THER COSTS $ESCRIBE IN NOTES SECTION ON PAGE
3UM OF EXPENDITURES LISTED IN 2ÓÊ! THROUGH 2Ó %
0
4HIS SHOULD MATCH THE TOTAL REPORTED IN {
0
4HE DIFFERENCE IS CURRENTLY
2Î )N WHICH 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
- Year - Year - Year - Year -
- Year - Year - Year - Year - Year - Year -
"IL -IL 4HOUS $OLS
./4% "%! WILL REQUEST UPDATED RESPONSES TO 2Ó THROUGH 2Î EACH YEAR UNTIL THE PROJECT IS COMPLETE
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*ÕÀ«Ãi\Ê4HIS SURVEY COLLECTS DATA ON THE ACQUISITION OR ESTABLISHMENT OF 53 BUSINESS ENTERPRISES BY FOREIGN INVESTORS AND THE EXPANSION OF EXISTING
53 AFFILIATES OF FOREIGN COMPANIES TO ESTABLISH A NEW PRODUCTION FACILITY 4HE DATA COLLECTED ON THE SURVEY ARE USED TO MEASURE THE AMOUNT OF NEW
FOREIGN DIRECT INVESTMENT IN THE 5NITED 3TATES ASSESS THE IMPACT ON THE 53 ECONOMY AND BASED ON THIS ASSESSMENT MAKE INFORMED POLICY DECISIONS
REGARDING FOREIGN DIRECT INVESTMENT IN THE 5NITED 3TATES
ÕÌ
ÀÌÞ\ 4HIS SURVEY IS BEING CONDUCTED UNDER THE )NTERNATIONAL )NVESTMENT AND 4RADE IN 3ERVICES 3URVEY !CT 0,
3TAT 53#
AS AMENDED HEREINAFTER hTHE !CTv AND THE FILING OF REPORTS IS -!.$!4/29 PURSUANT TO 3ECTION B OF THE !CT 53# 4HE
IMPLEMENTING REGULATIONS ARE CONTAINED IN 4ITLE #&2 0ART
*i>ÌiÃ\ 7HOEVER FAILS TO REPORT MAY BE SUBJECT TO A CIVIL PENALTY OF NOT LESS THAN AND NOT MORE THAN AND TO INJUNCTIVE RELIEF
COMMANDING SUCH PERSON TO COMPLY OR BOTH 7HOEVER WILLFULLY FAILS TO REPORT SHALL BE FINED NOT MORE THAN AND IF AN INDIVIDUAL MAY BE
IMPRISONED FOR NOT MORE THAN ONE YEAR OR BOTH !NY 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 53# #IVIL PENALTIES ARE SUBJECT TO INFLATIONARY ADJUSTMENTS 4HOSE
ADJUSTMENTS ARE FOUND IN #&2
.OTWITHSTANDING 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
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/-" #ONTROL .UMBER
,ië`iÌÊLÕÀ`i\Ê0UBLIC REPORTING BURDEN FOR THIS "%
$ FORM IS ESTIMATED TO AVERAGE HOURS PER RESPONSE INCLUDING TIME FOR REVIEWING
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3END COMMENTS REGARDING THIS BURDEN ESTIMATE OR ANY OTHER ASPECT OF THIS COLLECTION OF INFORMATION INCLUDING SUGGESTIONS FOR REDUCING BURDEN TO
$IRECTOR "UREAU OF %CONOMIC !NALYSIS "%
53 $EPARTMENT OF #OMMERCE 7ASHINGTON $# AND TO THE /FFICE OF -ANAGEMENT AND "UDGET
0APERWORK 2EDUCTION 0ROJECT
7ASHINGTON $#
v`iÌ>ÌÞ\ 4HE !CT PROVIDES THAT YOUR REPORT TO THIS "UREAU IS #/.&)$%.4)!, AND MAY BE USED ONLY FOR ANALYTICAL OR STATISTICAL PURPOSES
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9OUR REPORT #!../4 BE USED FOR PURPOSES OF TAXATION INVESTIGATION OR REGULATION #OPIES RETAINED IN YOUR FILES ARE IMMUNE FROM LEGAL PROCESS
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'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
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"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
.ONMETALLIC MINERAL PRODUCTS )3) CODES n
#ONSTRUCTION )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
&/2- "%
$ 2%6
DEFINITIONS
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
-EMBERS OF A SYNDICATE OR JOINT VENTURE OR
!N INCORPORATED BUSINESS ENTERPRISE AND ITS DOMESTIC SUBSIDIARIES
Branch MEANS THE OPERATIONS OR ACTIVITIES CONDUCTED BY AN ENTITY IN A
DIFFERENT LOCATION IN ITS OWN NAME RATHER THAN THROUGH AN INCORPORATED
ENTITY
Business enterprise MEANS ANY ORGANIZATION ASSOCIATION BRANCH
OR VENTURE THAT EXISTS FOR PROFIT MAKING PU POSES OR TO OTHERWISE SECURE
ECONOMIC ADVANTAGE AND OWNERSHIP OF ANY REAL ESTATE THAT IS NOT HELD
FOR PERSONAL USE
ÕÌÀÞÊvÊÀiÃ`iVi 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
ÀiVÌÊÛiÃÌiÌÊMEANS 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
1Ì>ÌiÊLiivV>ÊÜiÀ MEANS THE ENTITY PROCEEDING UP THE
OWNERSHIP CHAIN THAT INCLUDES THE FOREIGN PARENT WHICH IS NOT MORE THAN
PERCENT OWNED OR CONTROLLED BY ANOTHER ENTITY
U.S. affiliate MEANS AN AFFILIATE LOCATED IN THE 5NITED 3TATES IN WHICH
A FOREIGN ENTITY HAS A DIRECT INVESTMENT
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
Voting 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
)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
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SUMMARY OF INDUSTRY CLASSIFICATIONS (ISI codes)
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| File Type | application/pdf |
| File Title | untitled |
| Author | iigat1 |
| File Modified | 2016-08-09 |
| File Created | 2016-08-09 |