18 Cfr 131.43

§ 131.43

18 CFR Ch. I (4–1–17 Edition)
Code and Name

REPORT OF SECURITIES ISSUED—Continued

FIN Investment bank; bank holding company; foreign bank or subsidiary thereof
doing business in the United States;
other organization primarily engaged in
the business of providing financial services or credit; mutual savings bank; or
savings and loan association
FINI Insurance company
SECU Entity authorized by law to underwrite or participate in the marketing of
securities of a public utility
ELEQ Entity which produces/supplies electric equipment for the use of any public
utility
FUEL Entity which produces/supplies coal,
natural gas, nuclear fuel, or other fuel
for the use of any public utility
20CL Entity specified in 18 CFR 46.3 (one of
the 20 largest purchasers of electric energy from a utility)
CNEN Entity which is controlled by any one
of the above named entities
305B Entity referred to in Section 305(b) of
the Federal Power Act (not otherwise
identified above)
Col (6) For each entity that supplies electric
equipment (ELEQ) named in Column (3)
enter the aggregate amount of revenues
from producing or supplying electrical
equipment to any public utility named in
column (1) in the subject calendar year,
rounded to the nearest $100,000. Otherwise, leave this column blank.
Signature The original of this report must be
dated and signed. The copy must bear the
date that appeared on the original. The
signature on the copy may be stamped or
typed on the copy.

Description of security....................................

[Order 601, 63 FR 72169, Dec. 31, 1998]

§ 131.43 Report of securities issued.
(See § 34.10 of this chapter.)
(Submit an original and four copies.)
[NAME OF RESPONDENT]
REPORT OF SECURITIES ISSUED

lpowell on DSK54DXVN1OFR with $$_JOB

Description of security....................................
Description

Amount

1. Face value or principal amount ...........................
2. Plus premium or less discount ............................
3. Gross proceeds ...................................................

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4. Underwriter’s spread or commission ...................
5. Securities and Exchange Commission registration fee .................................................................
6. State mortgage registration tax ...........................
7. State commission fee ..........................................
8. Fee for recording indenture .................................
9. United States document tax ................................
10. Printing and engraving expenses ......................
11. Trustee’s charges ..............................................
12. Counsel fees .....................................................
13. Accountant’s fees ..............................................

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Description

Amount

14. Cost of listing .....................................................
15. Miscellaneous expenses of issue .....................
(Describe large items) ......................................

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

16.

Total deductions ......................................

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17.

Net amount realized ................................

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[Order 141, 12 FR 8591, Dec. 19, 1947, as
amended by Order 182, 46 FR 50517, Oct. 14,
1981]
EFFECTIVE DATE NOTE: At 70 FR 35375, June
20, 2005, § 131.43 introductory text was revised, effective at the time of the next e-filing release during the Commission’s next fiscal year. For the convenience of the user, the
revised text follows:
§ 131.43

Report of securities issued.

(See § 34.10 of this chapter)
(Submit in electronic format in accordance
with § 385.2003 of this chapter.)

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§ 131.50

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Reports of proposals received.

No later than 30 days after the sale or
placement of long-term debt or equity
securities or the entry into guarantees
or assumptions of liabilities (collectively referred to as ‘‘placement’’) pursuant to authority granted under Part
34 of this chapter, the applicant must
file a summary of each proposal or proposals received for the placement. The
proposal or proposals accepted must be
indicated. The information to be filed
must include:
(a) Par or stated value of securities;
(b) Number of units (shares of stock,
number of bonds) issued;
(c) Total dollar value of the issue;
(d) Life of the securities, including
maximum life and average life of sinking fund issue;
(e) Dividend or interest rate;
(f) Call provisions;
(g) Sinking fund provisions;
(h) Offering price;
(i) Discount or premium;
(j) Commission or underwriter’s
spread;
(k) Net proceeds to company for each
unit of security and for the total issue;

540

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