BE-13B Report for Establishment of a New U.S. Business Enterpri

FORM

BE-13B

(REV. 11/2014)

OMB No. 0608-0035: Approval Expires 10/31/2017

If you received a letter from BEA with a Lead_ID, please enter it here.

MANDATORY — CONFIDENTIAL*

005 3

SURVEY OF NEW FOREIGN DIRECT INVESTMENT IN THE UNITED STATES
FORM BE-13B
(Report for Establishment of a New U.S. Business Enterprise)
Name and mailing address of U.S. Business Enterprise

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

010

Company Name

Mail reports to:

011

In Care Of

012

Attention

013

Street 1

014

Street 2

Deliver reports to:

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

Fax reports to:

(202) 606–5631

Assistance:

E-mail: [email protected]
Telephone: (202) 606-5613
Copies of form: www.bea.gov/fdi

1

1

1

1

1
015

City
1

State
2

Zip
3

Country
4

Due date: No later than 45 days after the new legal entity is established.
Who must report: A BE-13B report must be filed by a U.S. business enterprise when a foreign entity, or an existing U.S. affiliate of a foreign entity,
establishes a new legal entity in the United States and (1) the projected total cost to establish the new legal entity is greater than $3 million, and (2)
the foreign entity owns 10 percent or more of the new business enterprise’s voting interest (directly or indirectly).
INCLUDE:
• Creation of a new legal entity whether incorporated or unincorporated, including a branch.
• Construction of real estate intended for lease or sale. If the construction is for purposes of an expansion see the instructions for
reporting as an expansion on Form BE-13D.
• Creation of a new legal entity even if it does not have physical operations.
EXCLUDE:
• Purchase of U.S. real estate that is intended for lease or sale without significant added construction. This is deemed to be an
acquisition of a U.S. business enterprise and should be reported on Form BE-13A.
• The creation of a holding company that is being set up with less than $60 million, solely to acquire at least one target company
within 180 days, and then will be dissolved.
Alternate forms:
Report on Form BE-13A if a foreign entity acquires a voting interest (directly, or indirectly through an existing U.S. affiliate) in an existing U.S.
business enterprise, segment, or operating unit and (1) the total cost of the acquisition is greater than $3 million, (2) the U.S. business enterprise
will operate as a separate legal entity, and (3) by this acquisition, at least 10 percent of the voting interest in the acquired entity is now held (directly
or indirectly) by the foreign entity.
Report on Form BE-13C if an existing U.S. affiliate of a foreign parent acquires a U.S. business enterprise or segment that it then merges into its
operations and the total cost to acquire the business enterprise is greater than $3 million.
Report on Form BE-13D if an existing U.S. 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 $3 million.
Report on Form BE-13E if the U.S. business enterprise previously filed a BE-13B or BE-13D indicating that the established or expanded entity is
still under construction. This form will collect updated cost information and will be collected annually until construction is complete.
Report on Form BE-13 Claim for Exemption if the U.S. business enterprise (1) was contacted by BEA but does not meet the requirements for filing
forms BE-13A, BE-13B, BE-13C, or BE-13D; or (2) whether or not contacted by BEA, met all requirements for filing on forms BE-13A, BE-13B, BE13C, or BE-13D except the $3 million reporting threshold.

*See page 10 for penalties and confidentiality statements.

BE-13B – Instructions and Contact Information
$

INSTRUCTIONS
Monetary Values: Report in U.S. dollars rounded to thousands (omitting 000).
EXAMPLE – If amount is $1,334,891.00, report as. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Bil.

1

Percentages: Report ownership percentages to a tenth of one percent. EXAMPLE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Mil.

Thous.

Dols.

1

335

000

9 ___
8 . ___
7 %
___ ___

Estimates: If actual amounts are not available, supply estimates and specify in the notes section.
Definitions: Selected items are defined on page 11.
Retention of copies: Retain a copy of each BE-13 report for three years beyond the report’s original due date.
Notes

CONTACT INFORMATION
Provide information of person to consult about this report:
020 Name
1
021 Street 1
1

Telephone Number

022 Street 2
1

Fax Number

023 City
1

2

2

State
2

Zip
3

—)

— — — - — — — —

(—

—

(—

— —) — — — - — — — —

Extension
3

E-mail Address
4

NOTE: BEA uses a Secure Messaging System to correspond with you via encrypted message to discuss questions relating to this form. We may use
your e-mail address for survey-related announcements and to inform you about secure messages. When communicating with BEA by e-mail, please do
not include any confidential business or personal information.

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.
024 Signature of Authorized Official

025 Name
1

Page 2

Date

Title
2

Telephone Number
1

—

(—

— —) — — — - — — — —

Fax Number
3

—)

— — — - — — — —

(—

Extension
2

FORM BE-13B (REV. 11/2014)

BE-13B – New U.S. Business Enterprise Information
NEW U.S. BUSINESS ENTERPRISE INFORMATION

1 Is the new U.S. business enterprise a holding company?
100

1

1

Yes – NOTE:

1

2

IF the new U.S. business enterprise is a holding company

AND is being set up solely for the purpose of acquiring or establishing at least one other U.S. business enterprise

AND the initial capitalization, including debt and equity, of the holding company is $60 million or less

AND the acquisition or establishment occurs within 180 days of the creation of the holding company

AND the holding company will be dissolved after the acquisition or establishment

THEN the new U.S. business enterprise (holding company) can file a Form BE-13 Claim for Exemption instead of completing
the rest of this form.

No

Month

Day

Year

1

2 What date was the new U.S. business enterprise established? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

101

__ __ / __ __ / __ __ __ __

Foreign parent is the FIRST entity outside the United States, proceeding up a chain of ownership, that has a 10 percent or more voting interest in the
U.S. affiliate. (See page 4 EXAMPLES 1 and 2)
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, including a branch or partnership.
$
3 What is the total expected cost to all foreign parents’ affiliated foreign groups (see page 7 EXAMPLE 6)
and their U.S. affiliates to set up the new U.S. business enterprise?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102

INCLUDE:
• Actual expenditures from past years and expected expenditures for current and future years
• The cost of voting and non-voting equity interests.

EXCLUDE:
• The cost to any U.S. entity that is not affiliated with any of the foreign parents.

Bil.

Mil.

1

Thous.

Dols.

000

4 What is the name of the new U.S. business enterprise?
105

Name

1

5 What is the employer identification number of the new U.S. business enterprise used to file income and payroll taxes?

Primary
109

1

___ ___ – ___ ___ ___ ___ ___ ___ ___

FORM BE-13B (REV. 11/2014)

Other
2

___ ___ – ___ ___ ___ ___ ___ ___ ___

Page 3

BE-13B – Ownership Information
OWNERSHIP INFORMATION FOR THE NEW U.S. BUSINESS ENTERPRISE

Percent of
Voting Interest

What percent of voting interest, or equivalent, of the new U.S. business enterprise is held:

1

6 DIRECTLY by foreign parents? (See EXAMPLE 1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

150

7 DIRECTLY by existing U.S. affiliates of the foreign parents? (See EXAMPLE 2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

151

8 DIRECTLY by other U.S. entities? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

152

EXAMPLE 1.

EXAMPLE 2.

Foreign Parent Directly Owns
New U.S. Business Enterprise

Foreign Parent Indirectly Owns
New U.S. Business Enterprise
Through Existing U.S. Affiliate

Foreign Company X

——— —

%

——— —

%

.

1 0 0 .0 %

Foreign Company X

Foreign Parent

Foreign Parent

Foreign
United States

%

.

1

Total of 6 through 9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

——— —
.

1

153

%

.

1

9 DIRECTLY by other foreign entities? (each holding less than 10 percent voting interest in the new U.S. business
enterprise) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

——— —

Foreign

≥10% voting interest

United States

New U.S. Business Enterprise

Y% voting interest
Y% * Z% ≥ 10%

Existing U.S. Affiliate(s)
Z% voting interest
New U.S. Business Enterprise

10 Will data for the new U.S. business enterprise be fully consolidated with the data for another U.S. affiliate that is currently, or will be,
filing on BEA forms BE-605, BE-12, or BE-15?
170

1

1

1

2

No, it will be filed separately – the new U.S. affiliate is not owned more than 50% by another U.S. enterprise.—SKIP to

12

Yes, it will be fully consolidated with another U.S. affiliate.

11 What is the name and address of the U.S. affiliate that will file the consolidated report?
171

Name

172

Street 1

173

City

1

1

1

Street 2
2

State
2

Zip
3

Number of
Foreign Parents
1

12 How many foreign parents does the new U.S. business enterprise have?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180

NOTE: If there is more than one foreign parent (direct and/or indirect) complete 13 through 29 for each additional foreign parent on separate
pages. Additional copies of these pages may be downloaded from www.bea.gov/fdi.
Page 4

FORM BE-13B (REV. 11/2014)

0 and Its Ultimate Beneficial Owner
BE-13B – Identifying Foreign Parent Number ■■ of ■■

NOTE: If there is more than one foreign parent (direct and/or indirect) complete 13 through 29 for each additional foreign parent on separate
pages. Additional copies of these pages may be downloaded from www.bea.gov/fdi.

IDENTIFYING THE FOREIGN PARENT

13 What is the name of this foreign parent holding a direct or indirect voting interest in the new U.S. business enterprise?
If the foreign parent is an individual, write “individual” instead of the individual’s name.
201

Name
1

14 What is the country of incorporation of this foreign parent?
If the foreign parent is an individual or government, enter the country of residence.

Country of Foreign Parent

BEA USE ONLY

1

-Country-

202

15 What is the industry code of this foreign parent? Select the category below which best describes the PRIMARY activity of the SINGLE entity
named as the foreign parent. DO NOT base the code on the worldwide sales of all consolidated subsidiaries of the foreign parent.
203 1

— Select Industry Code —

IDENTIFYING THE ULTIMATE BENEFICIAL OWNER (UBO)
16 Is this foreign parent also the ultimate beneficial owner (UBO)? (See EXAMPLES 3 and 4)

• The UBO is the entity, proceeding up the ownership chain, which is not more than 50 percent owned or controlled by another entity.
• If the foreign parent is owned or controlled more than 50 percent by another entity, then the foreign parent is NOT the UBO.
210

1

1
Yes — SKIP to 19

1
No
2

EXAMPLE 3.
Foreign Parent is UBO
Company X

EXAMPLE 4.
Foreign Parent is Not UBO
Company X (UBO)

1 to 50%
Foreign Parent = UBO

> 50%

Foreign

Foreign Parent

United States
New U.S. Business
Enterprise

Foreign
United States

New U.S. Business
Enterprise

17 What is the name of the ultimate beneficial owner?
If the UBO is an individual, write “individual” instead of the individual’s name.
211

Name
1

18 What is the country of incorporation of the ultimate beneficial owner?
If the UBO is an individual or government, provide the country of residence. . . . . . . . . . .

Country of UBO

BEA USE ONLY

1

-Country-

212

19 What is the industry code of the ultimate beneficial owner?
Select the category below which best reflects the consolidated worldwide sales of the UBO, including all majority-owned subsidiaries.
213 1

— Select Industry Code —

FORM BE-13B (REV. 11/2014)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Page 5

0
BE-13B – Identifying the Existing U.S. Affiliates for Foreign Parent Number ■■ of ■■

IDENTIFYING THE EXISTING U.S. AFFILIATES

20 How was the new U.S. business enterprise established?
220

1

1

1

2

Directly by the foreign parent. (See EXAMPLE 1 on page 4) – SKIP to 25
By existing U.S. affiliates of the foreign parent. (See EXAMPLE 2 on page 4)

1

3

Both directly by the foreign parent and by existing U.S. affiliates of the foreign parent.

In the chart below, answer the following questions:
21 What are the names and addresses of the existing U.S. affiliates through which the new U.S. business enterprise was established?
22 What is the percent of voting interest, to a tenth of one percent, in the new U.S. business enterprise held directly by each existing U.S.
affiliate listed in 21 ?
23 For each existing U.S. affiliate listed in 21 , what is the name and address of the existing U.S. affiliate in the same ownership chain
that is DIRECTLY owned by this foreign parent? (See EXAMPLE 5) If 23 is the same as 21 , write “same” for 23 .
24 What is the percent of voting interest, to a tenth of one percent, held by this foreign parent in each directly-owned U.S. affiliate?
21

22

Name and Address of Existing U.S. Affiliate

Voting Interest Held by
21 in the New U.S.
Business Enterprise

251 Name
1

2

___ ___ ___ . ___ %

23

24

Name and Address of U.S. Affiliate
Directly-owned by This Foreign Parent

Voting Interest Held
by This Foreign Parent
in 23

Name
3

252

Street 1
1

Street 1
2

253

Street 2
1

Street 2
2

254

City
1

State
2

Zip
3

255 Name
1

City
4
2

___ ___ ___ . ___ %

Street 1
1

Street 1
2

257

Street 2
1

Street 2
2

258

City
1

Zip
3

___ ___ ___ . ___ %

State
5

Zip
6

Name
3

256

State
2

4

City
4

4

___ ___ ___ . ___ %

State
5

Zip
6

List additional entries on a separate page, if necessary.
Please provide an organizational chart if there are any U.S. businesses in the ownership chain between an existing U.S. affiliate and its
corresponding directly-owned U.S. affiliate.
EXAMPLE 5.
Existing U.S. Affiliate That Established the New U.S. Business Enterprise
is Not Owned Directly by This Foreign Parent
Foreign Parent
Foreign
United States

% for 24
Directly Owned U.S. Affiliate 23

Existing U.S. Affiliate 21
% for 22
New U.S. Business Enterprise
Page 6

FORM BE-13B (REV. 11/2014)

0
BE-13B – Establishment Information for Foreign Parent Number ■■ of ■■

ESTABLISHMENT INFORMATION

$

25 What is the total expected cost to this foreign parent’s affiliated foreign group (see EXAMPLE 6) and

its U.S. affiliates to establish the new U.S. business enterprise. Equals sum of 26 and 27 .. . . . . . . .

Bil.

Mil.

Thous.

1

Dols.

000

320

INCLUDE:
• Actual expenditures from past years and expected expenditures for current and future years.
• The cost of voting and non-voting equity interests.
EXCLUDE:
• The cost to any U.S. entity that is not affiliated with this foreign parent.

26 What portion of the cost reported in 25 was provided by each of this foreign parent’s U.S. affiliates?
List additional entries on a separate page, if necessary.
Name of U.S. Affiliate

$

351

1

2

352

1

2

353

1

2

354

1

2

27 What portion of the cost reported in 25 was provided by the affiliated foreign group?
Include funds they borrowed in the United States and abroad. Equals sum of 28 and 29 . . . . . . . . . . . . .

Bil.

Mil.

Thous. Dols.

1
371
1

28 What portion of 27 was in the form of equity?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 372
1

29 What portion of 27 was in the form of debt? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373

000
000
000
000
000
000
000

EXAMPLE 6. Affiliated Foreign Group

Foreign companies X, Y,
and Z and the foreign parent
comprise the affiliated foreign
group in this example

Foreign Company X
>50 %

>50 %

Foreign Parent

Foreign Company Y

>50 %
Foreign Company Z

Foreign
United States

Affiliated Foreign Group means (i) the foreign parent,
(ii) any foreign person, proceeding up the foreign
parent’s ownership chain, which owns more than 50
percent of the person below it, up to and including that
person which is not owned more than 50 percent by
another foreign person, and (iii) any foreign person,
proceeding down the ownership chain(s) of each of
these members, which is owned more than 50 percent
by the person above it. (“Person” is used in the broad
legal sense and includes companies.)

≥10
New U.S. Business Enterprise

NOTE: If there is more than one foreign parent (direct and/or indirect) complete 13 through 29 for each additional foreign parent on separate
pages. Additional copies of these pages may be downloaded from www.bea.gov/fdi.
FORM BE-13B (REV. 11/2014)

Page 7

BE-13B – Financial and Operating Information
FINANCIAL AND OPERATING INFORMATION FOR THE NEW U.S. BUSINESS ENTERPRISE
Report projections for the first fiscal year of operations. Use projections made in the course of planning the investment if available; otherwise give best
estimate. If the first fiscal year is less than 12 months, provide annualized numbers for 33 and 34 .
Month Day
Year
1

30 What is the ending date for the new U.S. business enterprise’s first fiscal year?. . . . . . . . . . . . . . . . . . . . .

400

$

__ __ / __ __ / __ __ __ __
Bil.

Mil.

Dols.

000

31 What are the projected total assets of the new U.S. business enterprise?. . . . . . . . . . . . . . . . . . . . . . . . 401
1

000

32 What are the projected total liabilities of the new U.S. business enterprise? . . . . . . . . . . . . . . . . . . . . . 402
33 What are the projected total annual sales, or gross operating revenues, of the new U.S. business
enterprise? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 403

1

34 What is the projected annual net income (loss) of the new U.S. business enterprise after provision
for U.S. federal, state, and local income taxes?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 404

1

000
000

35 What is the projected number of employees of the new business enterprise when it is fully operating?
If the new U.S. business enterprise’s activity will involve large seasonal variations, report a number that
presents an average over a year. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 405

Thous.

1

AS OF THE DATE REPORTED IN 30 :

Projected Number
of Employees
1

36 What will be the major activities of the new U.S. business enterprise when it is fully operating? Check all that apply.
1

420
1

Producer of goods
2
2

Seller of goods it does not produce
3
3

Producer or distributor of information
4
4

Provider of services
5
5

Real estate
7
6
6
Other—Specify:

37 What are the major products and/or services involved in the activities identified in 36 ?
If a product, also state what is done to it, i.e., whether it is mined, manufactured, sold at wholesale, transported, packaged, etc.
421

Name
1

38 In what state is the new U.S. business enterprise located? If the new U.S. business enterprise operates in
more than one state, then select the state where the largest number of employees are based. If there are no
employees, then select the state of incorporation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 422

1

— Select State —

39 What will be the new U.S. business enterprise’s four-digit industry classification? Select the category below which best describes the industry
classification, based on sales or gross operating revenues. (See page 12 for list or go to www.bea.gov/NAICS2012)
423 1

— Select Industry Classification —

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

40 Will the new U.S. business enterprise conduct research and development activities when it is fully operating?
424

Page 8

1

Yes
1
1

2
No

FORM BE-13B (REV. 11/2014)

BE-13B – Project Information
PROJECT INFORMATION
41 Is the address of the new U.S. business enterprise different from the address on the cover page?
500

1

1

1

2

Yes – Provide address:
No
501

502

Name
2

Street 1

Street 2

City

State

1

2

Zip

2

1

3

Current Number
of Employees
42 What is the current number of employees of the new U.S. business enterprise? Include all full-time and part-time
employees on the payroll. Exclude contract workers and other workers not carried on the payroll.. . . . . . . . . . . . . . . . . . . . . .

1
506

43 Is the new U.S. business enterprise currently under construction?
508

1
1
1
1
1

1
2
3
4
5

Month Day
Year
■ Yes
2
No,
construction
has
yet
to
begin
■
__ __ / __ __ / __ __ __ __
■ No, construction is complete – Provide completion date:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
No,
the
project
has
been
canceled
■
■ No, construction is not required for this project

For 44 through 50 , how much of the total expected cost to set up the new U.S. business enterprise, reported in 3 , is for:
$

Bil.

Mil.

Thous.

1

44 Land?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

510

45 Lease (excluding leasehold improvements)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

511

000

1

000

1

46 Property, plant and equipment expenditures other than land? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

000

512
1

47 Construction (including construction of leasehold improvements)?. . . . . . . . . . . . . . . . . . . . . . . . . . . .

000

513
1

48 Intellectual property rights? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

000

514
1

49 Fees, taxes, permits, licenses?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

000

515
1

50 Other costs (specify in notes section on page 2)?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

000

516
1
1

51 Total expenditures reported in 3 3
. This must match the sum .of. . 44
. . . .through
. . . . . . .50
. . . .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
0 000
The difference between 51 and the sum of 44 through 50 is currently:
52 In which years will the total expenditures reported in 51 be incurred
and how much each year?

1

551

1

552

1

553

1

554

1

555

1

556

1

0 000

517

Year
550

- Year - Year - Year - Year - Year -

- Year - Year -

Dols.

Bil.

Mil.

Thous.

Dols.

2

000

2

000

2

000

2

000

2

000

2

000

2

000

NOTE: BEA will request updated responses to 43 through 52 each year until the project is complete.

RETURN TO COVER PAGE FOR FILING INSTRUCTIONS
FORM BE-13B (REV. 11/2014)

Page 9

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 BE-13B form is estimated to average 2.2 hours per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.
Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing burden, to:
Director, Bureau of Economic Analysis (BE-1), U.S. Department of Commerce, Washington, DC 20230; and to the Office of Management and Budget,
Paperwork 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
Note: “ISI codes” are International Surveys Industry codes, as given in the Guide to Industry Classifications for International Surveys, 2012,
available at www.bea.gov/naics2012. See the Summary of Industry Classifications on page 12 of this form.
01 Government and government-owned or
-sponsored enterprise, or quasi-government
organization or agency
02 Pension fund — Government run
03 Pension fund — Privately run
04 Estate, trust, or nonprofit organization
05 Individual

17 Information (ISI codes 5111–5191)
18 Professional, scientific, and technical services
(ISI codes 5411–5419)
19 Other services (ISI codes 1150, 2132, 2133, 5321,
5329, and 5611–8130)
Manufacturing, including fabricating,
assembling, and processing of goods:
20 Food (ISI codes 3111–3119)

Private business enterprise, investment
organization, or group engaged in:

21 Beverages and tobacco products (ISI codes 3121 and 3122)

06 Insurance (ISI codes 5242, 5243, 5249)

22 Pharmaceuticals and medicine (ISI code 3254)

07 Agriculture, forestry, fishing and hunting
(ISI codes 1110–1140)

23 Other chemicals (ISI codes 3251–3259, except 3254)

08 Mining (ISI codes 2111–2127)
09 Construction (ISI codes 2360–2380)
10 Transportation and warehousing (ISI codes 4810–
4939)
11 Utilities (ISI codes 2211–2213)
12 Wholesale and retail trade (ISI codes 4231–4540)
13 Banking, including bank holding companies
(ISI codes 5221 and 5229)
14 Holding companies, excluding bank holding
companies (ISI codes 5512 and 5513)
15 Other finance (ISI codes 5223, 5224, 5231, 5238, that
part of ISI code 5252 that is not estates and trusts,
and ISI code 5331)

24 Nonmetallic mineral products (ISI codes 3271–3279)
25 Primary and fabricated metal products
(ISI codes 3311–3329)
26 Computer and electronic products (ISI codes 3341–3346)
27 Machinery (ISI codes 3331–3339)
28 Electrical equipment, appliances and
components (ISI codes 3351–3359)
29 Motor vehicles and parts (ISI codes 3361–3363)
30 Other transportation equipment (ISI codes 3364–3369)
31 Other manufacturing (ISI codes 3130–3231, 3261, 3262,
3370–3399)
32 Petroleum manufacturing, including integrated petroleum
and petroleum refining without extraction (ISI codes
3242–3244)

16 Real estate (ISI code 5310)
Page 10

FORM BE-13B (REV. 11/2014)

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 10 percent or more of its voting stock for an incorporated
business or an equivalent interest for an unincorporated business,
including a branch.
Affiliated foreign group means (i) the foreign parent, (ii) any foreign
entity, proceeding up the foreign parent’s ownership chain, that owns
more than 50 percent of the entity below it up to and including that entity
which is not owned more than 50 percent by another foreign entity, and
(iii) any foreign entity, proceeding down the ownership chain(s) of each
of these members, which is owned more than 50 percent by the entity
above it.
Associated group means two or more persons 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. Each of the following are
deemed to be an associated group:
(1) Members of the same family,
(2) A business enterprise and one or more of its officers and
directors,
(3) Members of a syndicate or joint venture, or
(4) A corporation 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 purposes or to otherwise secure
economic advantage, and any ownership of any real estate.
Entity (as used here, “entity” is synonymous with “person,” 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 United
States Government, 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 United States or which belongs to or is
characteristic of a country other than the United States.

Foreign parent means each and every foreign entity that directly
holds a voting interest of 10 percent or more in the U.S. business
enterprise identified as the U.S. affiliate.
Foreign residence for individuals who do not reside in their country
of citizenship is determined using the following guidelines:
(1) Individuals 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.
(2) Individuals 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 3 below.
(3) If 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.
(4) Individuals and members of their immediate families who reside
outside their country of citizenship as a result of employment
by the government of that country – diplomats, consular
officials, members of the armed forces, etc. – are considered to
be residents of their country of citizenship.
Real estate ownership is a business enterprise unless the real estate
is held exclusively for personal use. See the BE-13 Claim for Not Filing
for more specific information.
U.S. affiliate means an affiliate located in the United States in which
a foreign entity has a direct investment.
U.S. corporation means a business enterprise incorporated in the
United States.
Unites States when used in a geographical sense, means the 50
States, the District of Columbia, the Commonwealth of Puerto Rico, and
all territories and possessions of the United States.
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, including a branch or partnership.

Foreign direct investment in the United States means the
ownership or control, directly or indirectly, by one foreign investor of 10
percent or more of the voting securities of an incorporated U.S. business
enterprise or an equivalent interest in an unincorporated U.S. business
enterprise, including a branch or partnership.

FORM BE-13B (REV. 11/2014)

Page 11

SUMMARY OF INDUSTRY CLASSIFICATIONS (ISI codes)
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 12

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-13B (REV. 11/2014)