Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Electronic Data Gathering Analysis and Retrieval System (EDGAR). January 29,2016.pdf	Supplementary Document	Uploaded 2017-06-14	Available
SCH13DandSCH13G.SS.6-14-2016.pdf	Supporting Statement A	Uploaded 2017-06-14	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34436	Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G		Modified

ICR Details

OMB Control No: 3235-0145	ICR Reference No: 201609-3235-012
Status: Historical Active	Previous ICR Reference No: 201312-3235-005
Agency/Subagency: SEC	Agency Tracking No: CF-270-137
Title: Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 08/23/2017
	Date Received in OIRA: 01/25/2017
Terms of Clearance: Updated during review.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2020	36 Months From Approved	08/31/2017
Responses	8,587	0	8,659
Time Burden (Hours)	27,412	0	27,776
Cost Burden (Dollars)	32,894,000	0	33,331,200

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Abstract: Schedule 13D and Schedule 13G are used by persons to report their ownership of more than five percent of a class of equity securities registered under Section 12 of the Securities Exchange Act of 1934.

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Authorizing Statute(s): US Code: 15 USC 78m, 78n, 78w(a) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 68087	10/03/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 94457	12/23/2016
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	8,587	8,659	0	0	-72	0
Annual Time Burden (Hours)	27,412	27,776	0	0	-364	0
Annual Cost Burden (Dollars)	32,894,000	33,331,200	0	0	-437,200	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The decrease of -364 reporting burden hours and the decrease of ($437,200) in cost burden is due to an adjustment. The decrease in burden hours and cost burden were due to change in the number of respondents filing Schedule 13D and Schedule 13G with the Commission.

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Annual Cost to Federal Government: $31,050

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 01/25/2017

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