Form SD 30 Day Federal Register Notice

67764

Federal Register / Vol. 84, No. 238 / Wednesday, December 11, 2019 / Notices

lotter on DSKBCFDHB2PROD with NOTICES

Rule 147(f)(1)(iii) Written Representation
as to Purchaser Residency, SEC File No.
270–805, OMB Control No. 3235–0756

Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.), the Securities
and Exchange Commission
(‘‘Commission’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
Rule 147 is a safe harbor under the
Securities Act Section 3(a)(11)(15 U.S.C.
77c(a)(11)) exemption from registration.
To qualify for the safe harbor, Rule
147(f)(1)(iii) (17 CFR 230.147) will
require the issuer to obtain from the
purchaser a written representation as to
the purchaser’s residency. Under Rule
147, the purchaser in the offering must
be a resident of the same state or
territory in which the issuer is a
resident. While the formal
representation of residency by itself is
not sufficient to establish a reasonable
belief that such purchasers are in-state
residents, the representation
requirement, together with the
reasonable belief standard, may result in
better compliance with the rule and
maintaining appropriate investor
protections. The representation of
residency is not provided to the
Commission. Approximately 700
respondents provide the information
required by Rule 147(f)(1)(iii) at an
estimated 2.75 hours per response for a
total annual reporting burden of 1,925
hours (2.75 hours × 700 responses).
Written comments are invited on: (a)
Whether this proposed collection of
information is necessary for the
performance of the functions of the
agency, including whether the
information will have practical utility;
(b) the accuracy of the agency’s estimate
of the burden imposed by the collection
of information; (c) ways to enhance the
quality, utility, and clarity of the
information collected; and (d) ways to
minimize the burden of the collection of
information on respondents, including
through the use of automated collection
techniques or other forms of information
technology. Consideration will be given
to comments and suggestions submitted
in writing within 60 days of this
publication.
An agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless it displays a currently valid
control number.
Please direct your written comment to
Charles Riddle, Acting Director/Chief
Information Officer, Securities and

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16:23 Dec 10, 2019

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Exchange Commission, c/o Cynthia
Roscoe, 100 F Street NE, Washington,
DC 20549 or send an email to: PRA_
[email protected].
Dated: December 5, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–26627 Filed 12–10–19; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
Comment Request

Extension:
Form SD, SEC File No. 270–647, OMB
Control No. 3235–0697

Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.), the Securities
and Exchange Commission
(‘‘Commission’’) has submitted to the
Office of Management and Budget this
request for extension of the previously
approved collection of information
discussed below.
Form SD (17 CFR 249b–400) under
Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) (‘‘Exchange Act’’)
pursuant to Section 13(p) (15 U.S.C.
78m(p)) of the Exchange Act is filed by
issuers to provide disclosures regarding
the source and chain of custody of
certain minerals used in their products.
The information provided is mandatory
and all information is made available to
the public upon request. We estimate
that Form SD takes approximately
541.3596 hours per response to prepare
and is filed by approximately 1,481
issuers. We estimate that 75% of the
541.3596 hours per response (406.0197
hours) is prepared by the issuer
internally for a total annual burden of
601,315 hours (406.0197 hours per
response × 1,481 responses).
An agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless it displays a currently valid
control number.
The public may view the background
documentation for this information
collection at the following website,
www.reginfo.gov. Comments should be
directed to: (i) Desk Officer for the
Securities and Exchange Commission,
Office of Information and Regulatory
Affairs, Office of Management and
Budget, Room 10102, New Executive

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Dated: December 5, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–26628 Filed 12–10–19; 8:45 am]

Upon Written Request Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736

PO 00000

Office Building, Washington, DC 20503,
or by sending an email to:
[email protected]; and (ii)
Charles Riddle, Acting Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Cynthia
Roscoe, 100 F Street NE, Washington,
DC 20549 or send an email to: PRA_
[email protected]. Comments must be
submitted to OMB within 30 days of
this notice.

BILLING CODE 8011–01–P

SMALL BUSINESS ADMINISTRATION
[License No. 04/04–0330]

Ballast Point Ventures III, L.P.; Notice
Seeking Exemption Under Section 312
of the Small Business Investment Act,
Conflicts of Interest
Notice is hereby given that Ballast
Point Ventures III, L.P., 401 East Jackson
Street, Suite 2300, Tampa, FL 33602, a
Federal Licensee under the Small
Business Investment Act of 1958, as
amended (‘‘the Act’’), in connection
with the financing in a small concern,
has sought an exemption under Section
312 of the Act, Section 107.730,
Financings which constitute Conflicts of
Interest of the Small Business
Administration (‘‘SBA’’) Rules and
Regulations (13 CFR 107.730). Ballast
Point Ventures III, L.P. proposes to
invest $2 million in YPrime Inc., 9 Great
Valley Parkway, Malvern, PA 19355, in
a proposed $5 million follow-on
financing led by a significant
sophisticated third party. The financing
is brought within the purview of
§ 107.730(a)(1) of the Regulations
because Ballast Point Ventures II, LP
and Ballast Point Ventures EF II, LP
(together ‘‘BPV II’’) and YPrime Inc. are
Associates to the Licensee. YPrime is
expected to receive $5 million from a
proposed $5 million follow-on
financing. Thus, this transaction
constitutes a Conflict of Interest
requiring SBA’s prior written
exemption.
Notice is hereby given that any
interested person may submit written
comments on this transaction within
fifteen days of the date of this
publication to the Associate
Administrator, Office of Investment and
Innovation, U.S. Small Business

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