BE-13 Claim BE-13 Claim for Not Filing

FORM

BE-13 Claim for Not Filing

(REV. 09/2014)

OMB No. 0608-0035: Approval Expires XX/XX/XXXX

SURVEY OF NEW FOREIGN DIRECT INVESTMENT IN THE UNITED STATES
FORM BE-13 Claim for Not Filing
MANDATORY — CONFIDENTIAL
Name and mailing address

Electronic filing: Go to www.bea.gov/efile for details
Mail reports to:

U.S. Department of Commerce
Bureau of Economic Analysis, BE–49(NI)
Washington, DC 20230

Name:
0010

In Care Of:
0011

Attention:

Deliver reports to:

U.S. Department of Commerce
Bureau of Economic Analysis, BE–49(NI)
Shipping and Receiving Section, M–100
1441 L Street, NW
Washington, DC 20005

0012

Title:
0013

Street 1:
0014

Fax reports to:

(202) 606–2894

Assistance:

E-mail: [email protected]
Telephone: (202) 606-5577
Copies of form: www.bea.gov/fdi

Street 2:
0015

City:
0016

State:
0017

Zip:
0018

1 This U.S. business enterprise is submitting a claim for not completing form BE-13 because:

Select the statement that applies:
xxxx

1

1

1

■ A. This U.S. business enterprise is not a U.S. affiliate of a foreign entity, i.e. is not owned to the extent of 10 percent or more,

2

■ B. This acquisition is not required to be reported since it represents U.S. real estate acquired by a foreign person(s) held

directly or indirectly, by a foreign entity. Skip to Person to Contact and Certification below

exclusively for personal use and not for profit making purposes. Skip to Person to Contact and Certification below

o A residence which is an owner’s primary residence that is then leased by the owner while outside the United States, but
which the owner intends to reoccupy, is considered real estate held for personal use.
o Ownership of U.S. residential real estate by a corporation whose sole purpose is to hold the real estate for the personal
use of the owner(s) of the corporation is considered to be real estate held for personal use and not subject to the
reporting requirements.
1

1

3

■ C. This acquisition is not required to be reported since it involves the acquisition of all or part of an existing U.S. affiliate by one

4

■ D. This established business is not required to be reported since the new U.S. business enterprise

1

5

foreign investor from another foreign investor. Skip to Person to Contact and Certification below

is a holding company that
is being set up solely for the purpose of acquiring a target company(ies) and after the acquisition(s) the holding company
will be dissolved. Reporting will be deferred for this type of (multi-step) transaction until 45 days after completion of the
holding company’s acquisition or establishment of the U.S. business enterprise if:
o The initial capitalization (including debt and equity) of the U.S. holding company is $30,000,000 or less, and

o The U.S. business enterprise is acquired or established within 180 days of the creation of the U.S. holding Company

NOTE: This exemption attempts to minimize reporting when a foreign parent creates a U.S.holding company whose sole
purpose is to acquire or establish another U.S. business enterprise. Skip to Person to Contact and Certification below

■ E. This U.S. business enterprise is a U.S. affiliate of a foreign entity but is submitting this claim because:

(a) The total cost of the acquisition, establishment, or merger was $3 million or less;

OR

(b) The total actual or expected cost of the expansion is $3 million or less.

AND
(c) On a fully consolidated domestic U.S. basis total assets (not the foreign parent’s or existing U.S. affiliates share) at the
time of acquisition or immediately after being established were $3 million or less.

BE-13 Claims for Not Filing
If your answer to 1 is E complete 2 through 9
2

What type of transaction occurred? (see form BE-13 for more information on transactions types):
xxxx

1

1

■ Acquisition of an existing U.S. business enterprise, segment or operating unit that remains a separate U.S. affiliate.

1

2

■ Establishment of a new U.S. affiliate.

1

3

4

(When answering the following questions for an establishment report projections for the end of the first full year of operations.)

■ Acquisition of U.S. business enterprise, segment, or operating unit that is merged with an existing U.S. affiliate.

1

(When answering the following questions, report the financial data for the fiscal year on, or immediately preceding, the
acquisition date.)

(When answering the following questions for a merger report data as of the end of the most recent financial year preceding
merger.)

■ Expansion of an existing U.S. affiliate

(When answering the following questions for an expansion provide only the data that pertains to the expansion, NOT the entire
U.S. affiliate. Also, report projections for the end of the first full year of operations.)

$

Financial and Operating Information

Bil.

Mil.

Thous.

Dols.

1

000

3 What are the U.S. affiliate’s total assets (do NOT net out liabilities)?. . . . . . . . . . . . . . . . . . . . . . . . . . . . xxxx
1

000

4 What are the U.S. affiliate’s total sales or gross operating revenues, excluding sale taxes?. . . . . . . . . xxxx
1

000

5 What is the U.S. affiliate’s net income (loss) after provision for U.S. income taxes? . . . . . . . . . . . . . . . xxxx

Number of Employees
1

6 What is the expected number of employee of the newly acquired, established, merged or expanded entity?. . . . . . . . xxxx

Industry Code
1

7 What is the industry of the U.S. affiliate (based on the industry of largest sales)?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xxxx
See industry code list on page XX
8 What is the country of the U.S. affiliate’s foreign parent? A foreign parent is the
FIRST entity outside the United States in a chain of ownership that has a 10 percent
or more voting interest in the U.S. affiliate. (See example 1.) . . . . . . . . . . . . . . . . . . . . .

xxxx

9 What is the country of the U.S. affiliate’s ultimate beneficial owner (UBO)?
The UBO is the entity, proceeding up the ownership chain that is not more than
50 percent owned or controlled by another entity. (See example 2.) . . . . . . . . . . . . . . . .

xxxx

Page 2

__ __ __ __

FORM BE-13Claims (REV. 09/2014)

BE-13 Claims for Not Filing

Example 1.

Example 2.

Foreign Parent Owner

Ultimate Beneficial
Foreign Company X (UBO)

Foreign Parent

> 50%
Foreign
Foreign Parent

United States

Foreign
U.S. Affiliate

United States
U.S. Affiliate

Person to consult concerning questions about this report —
Enter name and address

Certification — The 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.

Name
0

0020

Address
0

0021

0

Authorized official’s signature

Date

0022

Print or type title

Print or type name

0

0

0023

0025

Telephone number

Area code

0

Number

0
0026

Fax number

Telephone number

Extension
0027

0024

1

0028

2

May fax and/or e-mail be used in correspondence between your enterprise and BEA?
Note — If you choose to communicate with BEA via fax or electronic mail, BEA cannot guarantee the security of the information during transmission,
but will treat information we receive as confidential in accordance with Section 5(c) of the International Investment and Trade in Services Survey Act.
0030

0031

E-mail:

Fax:

1
1

1
1

1
2

Yes (If yes, enter your e-mail address)

1
2

Yes (If yes, enter your fax number)

FORM BE-13Claims (REV. 09/2014)

No

No

E-mail address
0

Fax number
0

Page 3

Summary of Industry Classifications
Agriculture, Forestry, Fishing, and Hunting
1110 Crop production
1120 Animal production
1130 Forestry and logging
1140 Fishing, hunting, and trapping
1150 Support activities for agriculture
and forestry
Mining
2111 Oil and gas extraction
2121 Coal
2123 Nonmetallic minerals
2124 Iron ores
2125 Gold and silver ores
2126 Copper, nickel, lead, and zinc ores
2127 Other metal ores
2132 Support activities for oil and gas
operations
2133 Support activities for mining, except
for oil and gas operations
Utilities
2211 Electric power generation,
transmission, and distribution
2212 Natural gas distribution
2213 Water, sewage, and other systems
Construction
2360 Construction of buildings
2370 Heavy and civil engineering construction
2380 Specialty trade contractors
Manufacturing
3111 Animal foods
3112 Grain and oilseed milling
3113 Sugar and confectionery products
3114 Fruit and vegetable preserving and
specialty foods
3115 Dairy products
3116 Meat products
3117 Seafood product preparation and
packaging
3118 Bakeries and tortillas
3119 Other food products
3121 Beverages
3122 Tobacco
3130 Textile mills
3140 Textile product mills
3150 Apparel
3160 Leather and allied products
3210 Wood products
3221 Pulp, paper, and paperboard mills
3222 Converted paper products
3231 Printing and related support activities
3242 Integrated petroleum refining and
extraction
3243 Petroleum refining without extraction
3244 Asphalt and other petroleum and coal
products
3251 Basic chemicals
3252 Resins, synthetic rubbers, and
artificial and synthetic fibers and
filaments
3253 Pesticides, fertilizers, and other
agricultural chemicals
3254 Pharmaceuticals and medicines
3255 Paints, coatings, and adhesives
3256 Soap, cleaning compounds, and
toilet preparations
3259 Other chemical products and
preparations
3261 Plastics products
3262 Rubber products
3271 Clay products and refractories
3272 Glass and glass products
3273 Cement and concrete products
3274 Lime and gypsum products
3279 Other nonmetallic mineral products
3311 Iron and steel mills and ferroalloys
3312 Steel products from purchased steel
3313 Alumina and aluminum production and
processing
3314 Nonferrous metal (except aluminum)
production and processing
3315 Foundries
3321 Forging and stamping
3322 Cutlery and handtools
3323 Architectural and structural metals
3324 Boilers, tanks, and shipping containers
3325 Hardware
3326 Spring and wire products
3327 Machine shops; turned products; and screws,
nuts, and bolts
3328 Coating, engraving, heat treating,
and allied activities
3329 Other fabricated metal products
3331 Agriculture, construction, and
mining machinery
3332 Industrial machinery
3333 Commercial and service industry machinery

Page 4

3334 Ventilation, heating, air-conditioning,
and commercial refrigeration equipment
3335 Metalworking machinery
3336 Engines, turbines, and power
transmission equipment
3339 Other general purpose machinery
3341 Computer and peripheral equipment
3342 Communications equipment
3343 Audio and video equipment
3344 Semiconductors and other
electronic components
3345 Navigational, measuring, electromedical,
and control instruments
3346 Manufacturing and reproducing
magnetic and optical media
3351 Electric lighting equipment
3352 Household appliances
3353 Electrical equipment
3359 Other electrical equipment and
components
3361 Motor vehicles
3362 Motor vehicle bodies and trailers
3363 Motor vehicle parts
3364 Aerospace products and parts
3365 Railroad rolling stock
3366 Ship and boat building
3369 Other transportation equipment
3370 Furniture and related products
3391 Medical equipment and supplies
3399 Other miscellaneous manufacturing

Wholesale Trade, Durable Goods
4231 Motor vehicles and motor vehicle
parts and supplies
4232 Furniture and home furnishing
4233 Lumber and other construction materials
4234 Professional and commercial
equipment and supplies
4235 Metal and mineral (except petroleum)
4236 Electrical and electronic goods
4237 Hardware, and plumbing and heating
equipment and supplies
4238 Machinery, equipment, and supplies
4239 Miscellaneous durable goods
Wholesale Trade, Nondurable Goods
4241 Paper and paper product
4242 Drugs and druggists’ sundries
4243 Apparel, piece goods, and notions
4244 Grocery and related product
4245 Farm product raw material
4246 Chemical and allied products
4247 Petroleum and petroleum products
4248 Beer, wine, and distilled alcoholic beverage
4249 Miscellaneous nondurable goods
Wholesale Trade, Electronic Markets
and Agents and Brokers
4251 Wholesale electronic markets and
agents and brokers
Retail Trade
4410 Motor vehicle and parts dealers
4420 Furniture and home furnishings
4431 Electronics and appliance
4440 Building material and garden
equipment and supplies dealers
4450 Food and beverage
4461 Health and personal care
4471 Gasoline stations
4480 Clothing and clothing accessories
4510 Sporting goods, hobby, book, and music
4520 General merchandise
4530 Miscellaneous store retailers
4540 Nonstore retailers
Transportation and Warehousing
4810 Air transportation
4821 Rail transportation
4833 Petroleum tanker operations
4839 Other water transportation
4840 Truck transportation
4850 Transit and ground passenger
transportation
4863 Pipeline transportation of crude oil, refined
petroleum products, and natural gas
4868 Other pipeline transportation
4870 Scenic and sightseeing transportation
4880 Support activities for transportation
4920 Couriers and messengers
4932 Petroleum storage for hire
4939 Other warehousing and storage
Information
5111 Newspaper, periodical, book, and
directory publishers
5112 Software publishers
5121 Motion picture and video industries
5122 Sound recording industries
5151 Radio and television broadcasting

5152 Cable and other subscription
programming
5171 Wired telecommunications carriers
5172 Wireless telecommunications carriers,
except satellite
5174 Satellite telecommunications
5179 Other telecommunications
5182 Data processing, hosting, and related services
5191 Other information services

Finance and Insurance
5221 Depository credit intermediation (Banking)
5223 Activities related to credit intermediation
5224 Nondepository credit intermediation
5229 Nondepository branches and agencies
5231 Securities and commodity contracts
intermediation and brokerage
5238 Other financial investment activities and
exchanges
5242 Agencies, brokerages, and other
insurance related activities
5243 Insurance carriers, except life insurance
carriers
5249 Life insurance carriers
5252 Funds, trusts, and other financial vehicles
Real Estate and Rental and Leasing
5310 Real estate
5321 Automotive equipment rental and leasing
5329 Other rental and leasing services
5331 Lessors of nonfinancial intangible assets,
except copyrighted works
Professional, Scientific, and Technical
Services
5411 Legal services
5412 Accounting, tax preparation, bookkeeping,
and payroll services
5413 Architectural, engineering, and related
services
5414 Specialized design services
5415 Computer systems design and related
services
5416 Management, scientific, and technical
consulting services
5417 Scientific research and development
services
5418 Advertising, public relations, and related
services
5419 Other professional, scientific, and
technical services
Management of Companies and Enterprises
5512 Holding companies, except bank holding
companies
5513 Corporate, subsidiary, and regional
management offices
Administrative and Support and Waste
Management and Remediation Services
5611 Office administrative services
5612 Facilities support services
5613 Employment services
5614 Business support services
5615 Travel arrangement and reservation
services
5616 Investigation and security services
5617 Services to buildings and dwellings
5619 Other support services
5620 Waste management and remediation
services
Educational Services
6110 Educational services
Health Care and Social Assistance
6210 Ambulatory health care services
6220 Hospitals
6230 Nursing and residential care facilities
6240 Social assistance
Arts, Entertainment, and Recreation
7110 Performing arts, spectator sports, and
related industries
7121 Museums, historical sites, and similar
institutions
7130 Amusement, gambling, and recreation
industries
Accommodation and Food Services
7210 Accommodation
7220 Food services and drinking places
Other Services
8110 Repair and maintenance
8120 Personal and laundry services
8130 Religious, grantmaking, civic, professional,
and similar organizations
Public Administration
9200 Public administration
FORM BE-13Claims (REV. 09/2014)