BE-13 Claim for Ex BE-13 Claim for Exemption

FORM

BE-13 Claim for Exemption

(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.
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MANDATORY — CONFIDENTIAL

SURVEY OF NEW FOREIGN DIRECT INVESTMENT IN THE UNITED STATES
FORM BE-13 Claim for Exemption
Name and mailing address of U.S. Business Enterprise

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

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

Fax reports to:

(202) 606–5631

Assistance:

E-mail: [email protected]
Telephone: (202) 606-5613
Copies of form: www.bea.gov/be13

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Company Name

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In Care Of

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Attention

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Street 1

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Street 2

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City

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State
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Zip
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Country
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Who must report: A BE-13 Claim for Exemption must be filed if a 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, BE- 13C, or BE-13D except the $3 million reporting threshold.

Purpose: The BE-13 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-13 Claim for Exemption form is estimated to average 15 minutes 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.

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BE-13 Claim for Exemption

1 This U.S. business enterprise is filing a claim for exemption from forms BE-13A, BE-13B, BE-13C, and BE-13D for the following reason:

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■ A. This U.S. business enterprise was contacted by BEA; however, there is no reporting requirement because there was no

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■ B. This U.S. business enterprise was contacted by BEA; however, the acquisition that occured is not required to be reported since it

acquisition, establishment, or expansion by a foreign entity OR because a transaction occurred but did not result in a direct
investment relationship.
SKIP to CONTACT INFORMATION on page 3.
represents U.S. real estate acquired and held exclusively for personal use and not for profit making purposes. SKIP to
CONTACT INFORMATION on page 3.

• 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.

• 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.

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■ C. This U.S. business enterprise was contacted by BEA; however, the acquisition that occurred is not required to be reported
since it involves the acquisition of voting interest in an existing U.S. affiliate in which a foreign entity already
owns 10 percent or more, directly or indirectly.
What is the BEA ID number, if known, used to file the BE-605, BE-12, or BE-15 forms for
this existing U.S. affiliate? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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SKIP to CONTACT INFORMATION on page 3.
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■ D. This U.S. business enterprise was contacted by BEA; however, this 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 will occur within 180 days of the creation of the holding company,
AND the holding company will be dissolved after the acquisition or establishment.

NOTE: A BE-13 form will be required when the holding company acquires or establishes a U.S. business enterprise.
SKIP to CONTACT INFORMATION on page 3.
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■ E. This U.S. business enterprise has not previously filed a BE-13, BE-605, BE-12, or BE-15

AND the voting interest in this U.S. business enterprise is owned to the extent of 50 percent or less by another U.S.
business enterprise that is subject to the filing requirements of the BE-13A or BE-13C.
What is the name of the U.S. business enterprise that is filing the BE-13A or BE-13C?
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Name
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■ F.

The total actual or expected cost of the acquisition, establishment, or expansion is $3 million or less.

If your answer to 1 is E or F, complete 2 through 11 .

Month

Day

Year

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What date was the acquisition completed, the new legal entity established, or the expansion begun? . . . . . 101

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What type of transaction occurred? (See “Which BE-13 form do I file?” on www.bea.gov/be13 for more information on transaction types.)
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■ Acquisition of a U.S. business enterprise, segment, or operating unit that remains a separate U.S. affiliate.

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When answering the following questions, report for the most recently completed fiscal year that ended on, or before, the
acquisition date.

■ Establishment of a new U.S. affiliate.

When answering the following questions, report projections for the end of the first fiscal year of operations.

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

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■ Expansion of an existing U.S. affiliate.

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When answering the following questions, report for the most recently completed fiscal year that ended on, or before, the
acquisition date.

When answering the following questions, report projections for the end of the first fiscal year of operations. Include only the
data that pertain to the expansion, NOT the entire U.S. affiliate.

FORM BE-13 Claim for Exemption (REV. 11/2014)

BE-13 Claim for Exemption
$

FINANCIAL AND OPERATING INFORMATION

Bil.

Mil.

Thous.

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4 What are the U.S. affiliate’s total assets?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

000

401

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5 What are the U.S. affiliate’s total liabilities?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

000

402

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6 What are the U.S. affiliate’s total sales or gross operating revenues?. . . . . . . . . . . . . . . . . . . . . . . . . . .

000

403

7 What is the U.S. affiliate’s net income (loss) after provision for U.S. federal, state, and

Dols.

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000

local income taxes? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 404

Number of Employees
8 What is the number of employees of the newly acquired or established entity, or expansion, when fully operating?
If the entity’s activity involves large seasonal variations, report a number that presents an average over a year.. . . . . . . . . . . 405
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1

What is the U.S. affiliate’s four-digit industry classification, based on sales or gross operating revenue?
(See list on page 4 or go to www.bea.gov/NAICS2012). . . . . 423 1 — Select Industry Classification —

10 What is the country of incorporation of the U.S. affiliate’s foreign parent? A 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 EXAMPLE 1) . . . . .

11 What is the country of incorporation 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 1) . . . . . . . . .

Country of Foreign Parent
BEA USE ONLY

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Country of UBO
BEA USE ONLY

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-Country-

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EXAMPLE 2.
Foreign Parent Indirectly Owns U.S. Affiliate

EXAMPLE 1.
Foreign Parent and Ultimate Beneficial Owner

Foreign Parent

Company X (UBO)
Foreign

> 50% voting interest

United States
Foreign Parent

Y% voting interest
Other U.S. Affiliate(s)

Foreign

Y% * Z% ≥ 10%

Z% voting interest

≥10% voting interest

United States

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-Country1

Directly Owned U.S. Affiliate

Indirectly Owned U.S. Affiliate

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

Telephone Number

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Street 2

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City
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Fax Number

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State
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Zip
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Extension
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E-mail Address
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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.
Signature of Authorized Official

Date

Telephone Number
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Name
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FORM BE-13 Claim for Exemption (REV. 11/2014)

Title
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Fax Number
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Extension
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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

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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-13 Claim for Exemption (REV. 11/2014)