LLP transfer application for groundfish and crab

Revised: 11/18/2020

LLP

OMB Control No. 0648-0334 Expiration Date: 01/31/2021

License Limitation
Program

APPLICATION FOR TRANSFER
LICENSE LIMITATION PROGRAM
GROUNDFISH / CRAB LICENSE

U.S. Dept. of Commerce/NOAA
National Marine Fisheries Service
Alaska Region
Restricted Access Management
P.O. Box 21668
Juneau, Alaska 99802-1668
(800) 304-4846 toll free / 586-7202 in Juneau
(907) 586-7354 fax

NOTE: The transfer of a License Limitation Program (LLP) license that was issued based on the documented harvests
from a vessel that did not have a Federal Fisheries Permit during the period beginning January 1, 1988, through October 8,
1998, is restricted by regulation at 50 CFR 679.4(k)(7)(ix). Under this transfer restriction, this type of groundfish LLP
license cannot be transferred separately and used on a vessel other than the original qualifying vessel. See instructions for
exceptions.
BLOCK A -- REQUIRED DOCUMENTATION
Use this block to determine which forms and other information must be attached to this transfer. Please check
all that apply to ensure that your application is complete and can be processed in a timely manner.
☐ C opy of Sale/T ransfer A greem ent
☐ C om pleted A pplication
A legible copy of a contract or sales agreement that specifies
☐ Pow er of A ttorney(if applicable)
the license to be transferred, the license holder, the designated
transferee, the monetary value or the terms of the license
☐ L L P O w nership Inform ation provided by the
transfer, and the signature of the license holder and the
Transferee /Receiver
designated transferee must be attached to this application.
BLOCK B - IDENTIFICATION OF LICENSE TO BE TRANSFERRED
(Use one application for each license)

Endorsement:
☐ Crab

☐ G roundfish

LLP Number:

☐ A leutian Islands < 60 ft T raw l E ndorsem ent

BLOCK C -- IDENTIFICATION OF ROCKFISH QS TO BE TRANSFERRED
This section applies only to Rockfish Quota Share (QS) assigned to an LLP license that exceeds a use cap specified in
§ 679.82 (a)(2). All other Rockfish QS is not severable from the LLP license on which it was initially allocated.

1. Enter LLP license number on which Rockfish QS
over the use cap is currently assigned:

2. Enter LLP license number to which the Rockfish QS
is being transferred. This LLP license must already
be assigned Rockfish QS:

Transfer Application for LLP Groundfish/Crab License
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3. Identification of Rockfish QS to be transferred (list number of QS units and Rockfish Species):

BLOCK D – IDENTIFICATION OF TRANSFEROR (SELLER)
1. Name of Transferor (as it appears on the LLP license):

2. Business Mailing Address. Indicate whether ☐ Perm anentor ☐T em porary:

3. Business Telephone Number:

4. Business Fax Number:

5. E-mail Address:

BLOCK E – IDENTIFICATION OF TRANSFEREE (RECEIVER)
1. Is the person applying to receive the license a U.S. Citizen or U.S. corporation, partnership, association, or other
non-individual entity?
☐ Y ES
☐ NO
If NO, STOP HERE. This person is not eligible to receive a license.
2. Name of Transferee(s) (as it will appear on the license):
3. Business Mailing Address. Indicate whether ☐ Perm anentor ☐T em porary:

4. Business Telephone Number:

5. Business Fax Number:

BLOCK F - VESSEL CURRENTLY NAMED
ON LICENSE
Name of Vessel:

6. E-mail Address:

BLOCK G - VESSEL TO BE NAMED
ON NEW LICENSE
Name of Vessel:

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Length Overall (LOA):

ADF&G Vessel Number:

U.S. Coast Guard (USCG) Number:

LOA:

USCG Number:

Transfer Application for LLP Groundfish/Crab License
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ADF&G Vessel Number:

REQUIRED SUPPLEMENTAL INFORMATION:
Applications Will Not Be Processed Unless All Information Requested In Blocks H, I, and J is Provided.
BLOCK H – LLP OWNERSHIP DOCUMENTATION
To be completed by the Transferee/Receiver

Provide the names of all persons, to the individual level, holding an ownership interest in the LLP License being
transferred and the percentage ownership each person and individual will hold in the LLP License.
Name
Percentage Ownership

BLOCK I -- TO BE COMPLETED BY THE TRANSFEROR
1. What is the total amount being paid for the license in this transaction, including all fees? $ ___________________
Does this price include the price of the vessel?

☐ Y ES ☐ N O

If YES, what is the sales price of the license?

____________________

2. What is your reason(s) for transferring the license? (check all that apply)
☐ R etirem entfrom the fishery(ies)

☐ H ealth problem s

☐ E nter other fishery(ies)

☐ Pursuenon-fishing activities

☐ O ther (explain):

3. Are you employing a broker to assist with this transaction?

☐ Y ES ☐ N O

If YES, how much is being paid in brokerage fees? $ _________________ (or) ________ % of total price

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BLOCK J - TO BE COMPLETED BY THE TRANSFEREE
1. Is the license being used as collateral for a loan?

☐ Y ES

☐NO

If YES, name of party holding security interest or lien: _______________________________________________
2. What is the primary source of financing for this transfer?
☐ PersonalR esources (cash)
☐ Private B ank/C reditU nion
☐ A laska D ept.O f C om m erce

☐ T ransferor/Seller

☐ Processor/Fishing C om pany

☐ A K C om .Fish & A g.B ank (C FA B )

☐ N M FS L oan Program

☐ R eceived as a G ift

☐ O ther(name):
3. How was the license located? (check all that apply)
☐ R elative

☐ PersonalFriend

☐ A dvertisem ent/Public N otice

☐ C asualA cquaintance

☐ Perm itB roker

☐ O ther (explain):

4. What is the transferee's relationship to the transferor? (check all that apply)
☐ N o R elationship

☐ Fam ily M em ber

☐ B usiness Partner/A ssociate

☐ Friend

☐ O ther (explain):
5. Does the transfer of this LLP license include the sale of the fishing history of a vessel?
☐ Y ES

☐ NO

If YES, enter Name of Vessel: ____________________________________________________________
LOA:

ADF&G Number:

USCG Number:

6. Is the transfer of this LLP license part of an agreement that also transfers ownership of a vessel?
☐ Y ES
If YES, enter Name of Vessel
LOA:

☐ NO

_______________________________________________________
ADF&G Number:

USCG Number:

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7. Is there an agreement to return the license to the transferor or to transfer it to any other person, or
is there any condition requiring the resale or conveyance of the license?
☐ Y ES

☐ NO

If YES, please explain (use attachment if necessary):

NOTE: If an authorized representative is signing on behalf of a party, authorization (in the form of a Power of
Attorney or other legally sufficient documentation) must be submitted with this application, or be on file with
the RAM Program.

BLOCK K – CERTIFICATION OF TRANSFEROR
Under penalty of perjury, I hereby declare that I have examined this application, and the information presented herein is
true, accurate, and complete to the best of my knowledge and belief.
1. Signature of Transferor or Authorized Representative:
2. Date:
3. Printed Name of Transferor or Authorized Representative Note: If Representative, attach authorization.

4. Notary Public Signature

ATTEST

5. Affix Notary Stamp or Seal Here:

6. Commission Expires:
BLOCK L – CERTIFICATION OF TRANSFEREE
Under penalty of perjury, I hereby declare that I have examined this application, and the information presented herein is
true, accurate, and complete to the best of my knowledge and belief.
1. Signature of Transferee or Authorized Representative:
2. Date:
3. Printed Name of Transferee or Authorized Representative Note: if Representative, attach authorization.

4. Notary Public Signature

ATTEST

5. Affix Notary Stamp or Seal Here:

6. Commission Expires:

Transfer Application for LLP Groundfish/Crab License
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PUBLIC REPORTING BURDEN STATEMENT
A Federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be
subject to a penalty for failure to comply with an information collection subject to the requirements of the
Paperwork Reduction Act of 1995 unless the information collection has a currently valid OMB Control Number.
The approved OMB Control Number for this information collection is 0648-0334. Without this approval, we could
not conduct this information collection. Public reporting for this information collection is estimated to be
approximately 1 hour per response, including the time for reviewing instructions, searching existing data sources,
gathering and maintaining the data needed, and completing and reviewing the information collection. All responses
to this information collection are required to obtain benefits pursuant to 50 CFR part 679. Send comments regarding
this burden estimate or any other aspect of this information collection, including suggestions for reducing this
burden to: Assistant Regional Administrator for Sustainable Fisheries Division, NMFS Alaska Region, P.O. Box
21668, Juneau, AK 99802-1668.
PRIVACY ACT STATEMENT
Authority: The collection of this information is authorized under the Magnuson-Stevens Fishery Conservation and
Management Act, 16 U.S.C 1801 et seq.
Purpose: In order to manage U.S. fisheries, the NOAA National Marine Fisheries Service (NMFS) requires the use
of permits or registrations by participants in the United States. A License Limitation Program (LLP) license is
required for vessels participating in directed fishing for LLP groundfish species in the Bering Sea and Aleutian
Islands (BSAI) or Gulf of Alaska, or fishing in any BSAI LLP crab fisheries. As the selection process for the LLP
has ended, no new licenses will be issued; an LLP license may only be obtained through transfer. The information
requested on this form is used to manage the LLP. The information requested is for the express purpose of ensuring
that transfers of groundfish and crab LLP licenses are properly executed as requested by the parties to the transfer
and to ensure that all provisions of the Federal regulations governing the transfer of such licenses (50 CFR
679.4(k)(7)) have been met.
Routine Uses: The Department will use this information to identify fishery participants and to determine transfer
eligibility. Disclosure of this information is permitted under the Privacy Act of 1974 (5 U.S.C. Section 552a), to be
shared within NMFS offices, in order to coordinate monitoring and management of sustainability of fisheries and
protected resources, as well as with the applicable State or Regional Marine Fisheries Commissions and
International Organizations. Disclosure of this information is also subject to all of the published routine uses as
identified in the Privacy Act System of Records Notice COMMERCE/NOAA-19, Permits and Registrations for the
United States Federally Regulated Fisheries.
Disclosure: Furnishing this information is required to transfer a groundfish or crab license under the LLP; failure to
provide complete and accurate information will prevent the determination of eligibility to transfer or receive an LLP
license.

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Instructions
APPLICATION FOR
LICENSE LIMITATION PROGRAM (LLP) TRANSFER
GROUNDFISH/CRAB LICENSE
Vessel-specific LLP
The transfer of a license that was issued based on the documented harvests from a vessel that did not have a Federal
Fisheries Permit (FFP) during the period beginning January 1, 1988, through October 8, 1998, is restricted by
regulation at 50 CFR 679.4(k)(7)(ix). Under this transfer restriction, this type of groundfish LLP license cannot be
transferred separately and used on a vessel other than the original qualifying vessel, with two exceptions.
1. If the fishing history of a vessel that did not have an FFP was transferred before February 7, 1998, the
qualifying vessel did not have to accompany the license.
2. A vessel that is subject to this provision but that is lost or destroyed can be replaced under the general vessel
replacement provisions of the LLP.
However, subsequent transfers will require the license to be “coupled” with the existing vessel (i.e., the license cannot
be transferred separately from the vessel named on the license).
Aleutian Island Area (AI) Endorsement
An AI area endorsement is issued based on the landings of vessels less than 60 feet length overall and is severable and
transferable from the overall license. No other regulatory area endorsement in the existing LLP is allowed to be
transferred separately from the LLP license to which it is attached. However, the AI area endorsement must be
reassigned, or reattached, only to a trawl catcher vessel LLP license with a maximum length overall of less than 60 feet
in order to be used.
GENERAL INFORMATION
●

Both the proposed transferor (seller) and the proposed transferee (receiver) must complete and sign this
application.

●

This application is available:
On the NMFS, Alaska Region web site at https://www.fisheries.noaa.gov/permit/alaska-license-limitationprogram-applications-groundfish-and-crab.
Call RAM at 1-800-304-4846 (option 2) or (907) 586-7202 (option 2)
Walk in to the RAM office (709 W 9th Street, 7th Floor, Suite 713, Juneau, Alaska)

●

When completed, submit the application:
By mail to:

NMFS Alaska Region
Restricted Access Management (RAM)
P.O. Box 21668

By delivery to:
●

Juneau, Alaska 99802-1668
709 West 9th Street Suite 713
Juneau, Alaska 99801

Send the original application. An application sent by fax will not be processed.
Transfer Application for LLP Groundfish/Crab License
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♦

Please allow at least ten working days for your application to be processed. Items will be sent by first class
mail, unless you provide alternate instructions and include a prepaid mailer with appropriate postage or
corporate account number for express delivery.

♦

It is important that all blocks are completed and attachments provided. Failure to answer any of the questions,
provide any of the required documents, or to have signatures notarized could result in delays in the processing
of your request for a transfer under the provisions of 50 CFR 679.4(k)(7).

COMPLETING THE APPLICATION
BLOCK A – REQUIRED DOCUMENTATION
To ensure timely processing of your transfer application, use this list as a guide to include all the necessary items in the
mailing of your application.
Attachments. A legible copy of a contract or sales agreement that specifies the license to be transferred, the license
holder, the designated transferee, the monetary value or the terms of the license transfer, and the signature of the license
holder and the designated transferee must be attached to this application.
BLOCK B – IDENTIFICATION OF LLP LICENSE TO BE TRANSFERRED
Use one application for each LLP license.
Indicate the endorsement type: groundfish, crab, or Aleutian Islands < 60 ft Trawl.
Indicate the LLP license number being transferred.
Note: If both crab and groundfish licenses resulted from the activities of the same qualifying
vessel, the two licenses may not be transferred independently of each other.
BLOCK C – IDENTIFICATION OF ROCKFISH QS TO BE TRANSFERRED
This section applies only to Rockfish QS assigned to an LLP license that exceeds a use cap specified at
§ 679.82 (a)(2). All other Rockfish QS is not severable from the LLP license on which it was initially allocated
and will transfer with the LLP license.
1. Enter the LLP license number on which the Rockfish QS over the use cap is currently assigned.
2. Enter the LLP license number to which the Rockfish QS is being transferred. This LLP license must already
be assigned Rockfish QS.
3. Identify the Rockfish QS to be transferred; list the number of QS units and Rockfish species.
BLOCK D – IDENTIFICATION OF TRANSFEROR (SELLER)
1. Enter the full name of transferor as it appears on the LLP license.
2. Enter the business mailing address (include city, state, and zip code) and indicate whether permanent or
temporary. Check temporary mailing address if you would like the transfer documentation sent somewhere
other than your permanent address.
3–4. Enter the business telephone and fax numbers, including area code.
5. Enter the e-mail address.
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BLOCK E – IDENTIFICATON OF TRANSFEREE (RECEIVER)
1. Indicate if the person applying to receive the license by transfer is a U.S. Citizen or U.S. corporation,
partnership, association, or other non-individual entity, as defined at chapter 121, title 46, U.S.C.
If NO, STOP. This person is not eligible to receive a license.
2. Enter the full name of the transferee as it will appear on the license.
3. Enter the business mailing address (include city, state, and zip code) and indicate whether permanent or
temporary. Check temporary mailing address if you would like the transfer documentation sent somewhere other
than your permanent address.
4–5. Enter the business telephone and fax numbers, including area code.
6. Enter the e-mail address.
BLOCK F –VESSEL CURRENTLY NAMED ON LICENSE
Enter the vessel’s name, Alaska Department of Fish and Game (ADF&G) vessel registration number, U.S. Coast
Guard (USCG) documentation number, and length overall (LOA) of the vessel currently named on the license.
BLOCK G – VESSEL TO BE NAMED ON NEW LICENSE
NOTE: If the LOA of this vessel exceeds the maximum LOA of the original
qualifying vessel, this vessel may not receive this license by transfer.
Enter the vessel’s name, ADF&G vessel registration number, USCG documentation number, and LOA of the vessel to
be named on the new license. If no vessel is named in this block, no license will be issued until a vessel is named.
REQUIRED SUPPLEMENTAL INFORMATION
APPLICATION WILL NOT BE PROCESSED
UNLESS ALL INFORMATION REQUESTED IN BLOCKS H, I, AND J IS PROVIDED.
BLOCK H – LLP OWNERSHIP DOCUMENTATION (to be provided by the Transferee)
Enter the names of all persons, to the individual level, holding an ownership interest in the LLP License being
transferred and the percentage ownership each person and individual holds in the LLP License. If the LLP License
Holder is a non-individual (i.e., a corporation, partnership, or other non-individual entity), provide the names of, and
the percentage of ownership held by, all of its owners. Provide information to the individual level. See example below.
Name of Owner

% Interest

Joe Groundfish

25%

Alice Groundfish

25%

LLP Family Holdings, Inc.

50%

A. LLP Holder

25% (of 50%)

B. LLP Holder

25% (of 50%)

C. LLP Holder

25% (of 50%)

D. LLP Holder

25% (of 50%)

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BLOCK I – TO BE COMPLETED BY THE TRANSFEROR
1. Enter the total amount being paid for the license in this transaction, including all fees. The total amount
entered should include any and all monies collected on behalf of the seller for the subject license.
Indicate whether this price includes the price of the vessel.
If YES, the sale of the license is combined with, or part of, the sale of some other asset (i.e., a vessel), the
sales price of the license must be specified, including any fees that will later be paid out to other parties for the
expenses of brokering or assisting in the sale of this license.
2. Indicate reason(s) for transferring the license. Please check all boxes that apply to this transaction.
3. Indicate whether a permit broker or other third party was paid to assist with this transaction.
If YES, enter the total price paid to the broker or calculate how much was paid to the third party as a percentage
of the total sales price (including fee).
BLOCK J – TO BE COMPLETED BY THE TRANSFEREE
1. Indicate if the license will be used as collateral for a loan.
If YES, enter the name of entity or person(s) who will hold the security interest or lien.
2. Indicate the primary source of financing for this transfer (check all that apply).
3. Indicate how the license was located (check all that apply).
4. Indicate the transferee’s relationship to the transferor (check all that apply).
5. Indicate whether the transfer of this LLP license includes the sale of the fishing history of a vessel.
If YES, enter the name, LOA, ADF&G vessel registration number, and USCG documentation number of the
vessel.
6. Indicate whether the transfer of this LLP license is part of an agreement that also transfers ownership of a vessel.
If YES, enter the name, LOA, ADF&G vessel registration number, and USCG documentation number of the
vessel.
7. Indicate whether an agreement exists to return the license to the transferor, or to transfer it to any other person,
or whether a condition is placed on resale or conveyance of the license.
If YES, provide details.
BLOCKS K & L – CERTIFICATION OF TRANSFEROR AND TRANSFEREE
Enter signature, date signed, and print name of transferor and transferee in the presence of a Notary Public. If an
authorized representative, attach authorization. If an authorized representative is signing on behalf of a party,
authorization (in the form of a Power of Attorney or other legally sufficient documentation) must be submitted with
this application, or be on file with the RAM Program. A Notary Public must attest and affix a Notary Stamp or Seal.
NOTE: Application forms submitted to RAM must bear the original
signatures of the parties. RAM will not process faxed applications.
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