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

FORM

BE-13 Claim for Exemption

OMB No. 0608-0035: Approval Expires 10/31/2022

(REV. 02/2022)

MANDATORY — CONFIDENTIAL

SURVEY OF NEW FOREIGN DIRECT INVESTMENT IN THE UNITED STATES
FORM BE-13 Claim for Exemption
005

If you received a letter from BEA with a Lead ID, please enter it here:
Electronic filing:

Go to www.bea.gov/efile for details

Fax reports to:

(301) 278-9504

Mail reports to:

U.S. Department of Commerce
Bureau of Economic Analysis
Direct Investment Division, BE-49(NI)
4600 Silver Hill Road
Washington, DC 20233

Deliver reports to: U.S. Department of Commerce
Bureau of Economic Analysis
Direct Investment Division, BE-49(NI)
4600 Silver Hill Road
Suitland, MD 20746
Assistance:

E-mail: [email protected]
Telephone: (301) 278-9419
Copies of form: www.bea.gov/be13

3

Name and mailing address of U.S. Business Enterprise
010

Company Name

011

In Care Of

012

Attention

013

Street 1

014

Street 2

015

City

1

1

1

1

1

1

State
2

Zip
3

Country

Definitions:

Selected terms are defined on page 2.

4

WHO MUST REPORT:
A U.S. business enterprise, whether or not contacted by BEA, that meets all requirements
for filing forms BE-13A, BE-13B, or BE-13D except the $3 million reporting threshold
A U.S. business enterprise that was contacted by BEA but does not meet the requirements
for filing forms BE-13A, BE-13B, or BE-13D

DUE DATE:
No later than 45 calendar days
after the transaction occurred
No later than 45 calendar days
after contacted by BEA

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 15 CFR Part 801.
Penalties: Whoever fails to report may be subject to a civil penalty of not less than $4,450, and not more than $44,539, 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, 4600 Silver Hill Road, Washington, DC 20233; 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. Per the
Cybersecurity Enhancement Act of 2015, your data are protected from cybersecurity risks through security monitoring of the BEA information systems.

BE-13 Claim for Exemption
DEFINITIONS
Foreign parent is the FIRST entity incorporated outside the United
States, proceeding up a chain of ownership, that has 10 percent or
more voting interest (directly, and/or indirectly through existing U.S.
affiliates) in the acquired, newly established, or expanding U.S.
business enterprise.

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.
Affiliated foreign group means:
(1) the foreign parent;
(2) 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
(3) 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.

Private fund refers to the same class of financial entities defined
by the Securities and Exchange Commission as private funds on
Form PF: “any issuer that would be an investment company as
defined in section 3 of the Investment Company Act of 1940 but for
section 3(c)(1) or 3(c)(7) of … [that] Act.”
Ultimate beneficial owner (UBO) means the entity, proceeding up
the ownership chain that includes the foreign parent, which is not
more than 50 percent owned or controlled by another entity.

Business enterprise means any organization, association, branch, or venture
that exists for profit-making purposes or to otherwise secure economic
advantage, and ownership of any real estate that is not held for personal use.

United 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.

Direct investment means the ownership or control, directly or indirectly, by one
entity of 10 percent or more of the voting interest in a business enterprise.

U.S. affiliate means an affiliate located in the United States in
which a foreign entity has a direct investment.

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).

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.
• In a general or limited partnership, voting interest is presumed
to be divided evenly between the general partners, and limited
partners are presumed to have zero voting interest, unless
otherwise stated in the partnership agreement.

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.

• In the case of a limited liability corporation (LLC), voting
interest is presumed to be divided equally between the members
(owners), unless otherwise stated in the articles of organization
or in the operating agreement.

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

Street 1

Telephone Number

1

2

021

Street 2

2

022

City
1

—

(—

— —) — — — - — — — —

Fax Number

1

State
2

Zip
3

—)

— — — - — — — —

(—

Extension
3

E-mail Address
4

023

Country
5

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
1

024

Name
1

Page 2

Title
2

—

(—

— —) — — — - — — — —

Fax Number
3

—)

— — — - — — — —

(—

Extension
2

FORM BE-13 Claim for Exemption (REV. 02/2022)

BE-13 Claim for Exemption
1

Why is this U.S. business enterprise filing a claim for exemption from forms BE-13A, BE-13B, and BE-13D? Select one:
050

1

This U.S. business enterprise was contacted by BEA; however, there is no reporting requirement because there was no acquisition,
establishment, or expansion by a foreign entity OR because a transaction occurred but did not result in a direct investment relationship.
For more information for transactions that must be reported on a BE-13, please refer to the “Who Must Report” section on the BE-13A,
BE-13B, and BE-13D forms.

1

3

1

Explanation
(optional):

This U.S. business enterprise was contacted by BEA; however, the acquisition that occurred is not required to be reported since it
represents U.S. real estate acquired and held exclusively for personal use and not for profit making purposes.

2

• 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 and not subject to the reporting requirements.
• 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.
1

3

■

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? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1

4

■

2

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.

1

5

This U.S. business enterprise was contacted by BEA; however, there is no reporting requirement because the U.S. business
enterprise is a private fund,
AND the private fund does not own, directly or indirectly through another business enterprise, an operating company (a business
enterprise that is not a private fund or a holding company) in which the foreign parent owns at least 10 percent of the voting
interest (directly, or indirectly through another U.S. business enterprise),
AND if the foreign parent owns the private fund indirectly (through one or more other U.S. business enterprises), there are no U.S.
operating companies between the foreign parent and the indirecty-owned U.S. private fund.
NOTE: The foreign investment in the U.S. private fund may be required to be reported on Treasury International Capital (TIC)
Surveys. Review reporting requirements for TIC surveys at www.treasury.gov/tic.
For more information regarding private funds visit www.bea.gov/privatefunds.

1

6

■

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.
What is the name of the U.S. business enterprise that is filing the BE-13A?
051

1

PROCEED to question 2 .
1

7

The total cost of the acquisition, establishment, or expansion is $3 million or less. The "total cost" consists of all actual and
expected costs to all foreign parents' affiliated foreign groups and their U.S. affiliates, including costs funded through debt.
PROCEED to question 2 .

If your answer to question 1

is 6 or 7, complete questions 2

If your answer to question 1

is 1, 2, 3, 4, or 5, you have completed this form. RETURN TO COVER PAGE FOR FILING INSTRUCTIONS.

FORM BE-13 Claim for Exemption (REV. 02/2022)

through 13 .

BE-13 Claim for Exemption
TRANSACTION INFORMATION

Month

Day

Year

1

__ __ / __ __ / __ __ __ __

2

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

3

On the date provided in 2 , what was the legal name of the acquired, newly established, or expanding U.S. business enterprise?
105

1

Notes (optional):

4 Which type of transaction occurred? (See “Which BE-13 form do I file?” on www.bea.gov/be13 for more information.) Select one:
052 1

1

■

Acquisition of a U.S. business enterprise, segment, or operating unit.
When answering the following questions, report for the most recently completed fiscal year that ended on, or before, the acquisition date.
PROCEED to question 5 .

1

2

■

Establishment of a new U.S. affiliate.
When answering the following questions, report projections for the end of the first fiscal year of operations.
PROCEED to question 5 .

1

4 ■ Expansion of an existing U.S. affiliate.
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.

SKIP to and complete only questions

8

through 13 .

FINANCIAL AND OPERATING INFORMATION
If this information is not available, provide estimates and indicate as such in the notes section above.
For the acquired or newly established business enterprise, or the expansion, as of the date specified by
the response in 4 , what are the total:

$ Bil.

Mil.

Thous.

1

5

Assets? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 401

6

Liabilities? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 402

7

Net income (loss) after provision for income taxes? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1

1
404

1

8

Sales or gross operating revenues? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 403

9

Number of employees when fully operating?

Dols.

,000
,000
,000
,000

• Include all full-time and part-time employees in the United States on the payroll.
• Exclude contract workers and other workers not carried on the payroll.
• If a strike, or other interruption of operations, was in progress at the end of the year, report a number that represents normal operation.
• If the business enterprises’ activity involves large seasonal variations, report a number that represents an average for the year.
Number of Employees
405

Page 4

1

FORM BE-13 Claim for Exemption (REV. 02/2022)

BE-13 Claim for Exemption
FINANCIAL AND OPERATING INFORMATION
For the acquired or newly established business enterprise, or the expansion,
as of the date specified by the response in 4 :
10 What is the U.S. business enterprise’s four-digit industry classification?
Select the category below which best describes the industry in which the U.S. business enterprise, or expansion, had (or is expected to have)
the largest amount of sales or gross operating revenues. (See list on page 6 or go to www.bea.gov/NAICS_2022 for detailed descriptions.)
423

1

--Select ISI CODE--

11 In which country is the U.S. business enterprise’s foreign parent incorporated?

If the U.S. affiliate has more than one foreign parent, choose the country for the foreign parent with greatest control of the U.S. business enterprise.
(See EXAMPLE 1 below and definition on page 2)
BEA USE ONLY

202

--Select Country--

1

12 In which country is the U.S. business enterprise’s ultimate beneficial owner (UBO) incorporated?
(See EXAMPLES 2 and 3 below and definition on page 2)
BEA USE ONLY

212

--Select Country--

1

EXAMPLE 2.

Foreign Parent is UBO
Company X

EXAMPLE 1.

”50% voting interest

Foreign Parent

Foreign Company X
(NOT a foreign parent)

Foreign Parent = UBO

Foreign
United States

U.S. Business Enterprise

Foreign Parent

Foreign

Y% voting interest

United States
Direct
voting
interest

Y% * Z% = Indirect
voting
Z% voting interest
interest

Existing U.S. Affiliate(s)

EXAMPLE 3.

Foreign Parent is Not UBO
Company X = UBO
> 50% voting interest

U.S. Business Enterprise

Foreign Parent

Foreign
United States

U.S. Business Enterprise

13 In which state is the acquired or newly established U.S. business enterprise, or expansion, located?

• Select the state where the greatest number of employees are based.
• Only select the state of incorporation if there are no employees and no physical location.
422

1

— Select State —

RETURN TO COVER PAGE FOR FILING INSTRUCTIONS
FORM BE-13 Claim for Exemption (REV. 02/2022)

Page 5

Summary of Industry Classifications (ISI codes) – For a full explanation of each code see www.bea.gov/naics_2022
Agriculture, Forestry, Fishing, and Hunting 3336 Engines, turbines, and power
1110
1120
1130
1140
1150

Crop production
Animal production and aquaculture
Forestry and logging
Fishing, hunting, and trapping
Support activities for agriculture and forestry

Mining
2111
2121
2123
2124
2125
2126
2127
2132
2133

Oil and gas extraction
Coal
Nonmetallic minerals
Iron ores
Gold and silver ores
Copper, nickel, lead, and zinc ores
Other metal ores
Support activities for oil and gas operations
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
3112
3113
3114
3115
3116
3117
3118
3119
3121
3122
3130
3140
3150
3160
3210
3221
3222
3231
3242
3243
3244
3251
3252
3253
3254
3255
3256
3259
3261
3262
3271
3272
3273
3274
3279
3311
3312
3313
3314
3315
3321
3322
3323
3324
3325
3326
3327
3328
3329
3331
3332
3333
3334
3335

Animal food manufacturing
Grain and oilseed milling
Sugar and confectionery products
Fruit and vegetable preserving and
specialty foods
Dairy products
Meat products
Seafood product preparation and packaging
Bakeries and tortilla manufacturing
Other food products
Beverages
Tobacco
Textile mills
Textile product mills
Apparel
Leather and allied products
Wood products
Pulp, paper, and paperboard mills
Converted paper products
Printing and related support activities
Integrated petroleum refining and extraction
Petroleum refining without extraction
Asphalt and other petroleum and
coal products
Basic chemicals
Resins, synthetic rubbers, and artificial
and synthetic fibers and filaments
Pesticides, fertilizers, and other
agricultural chemicals
Pharmaceuticals and medicines
Paints, coatings, and adhesives
Soap, cleaning compounds, and
toilet preparations
Other chemical products and preparations
Plastics products
Rubber products
Clay products and refractories
Glass and glass products
Cement and concrete products
Lime and gypsum products
Other nonmetallic mineral products
Iron and steel mills
Steel products from purchased steel
Alumina and aluminum production
and processing
Nonferrous metal (except aluminum)
production and processing
Foundries
Forging and stamping
Cutlery and hand tools
Architectural and structural metals
Boilers, tanks, and shipping containers
Hardware
Spring and wire products
Machine shop products, turned products, and
screws, nuts, and bolts
Coating, engraving, heat treating,
and allied activities
Other fabricated metal products
Agriculture, construction, and mining machinery
Industrial machinery
Commercial and service industry machinery
Ventilation, heating, air-conditioning,
and commercial refrigeration equipment
Metalworking machinery

FORM BE-13 Claim for Exemption (REV. 02/2022)

3339
3341
3342
3343
3344
3345
3346
3351
3352
3353
3359
3361
3362
3363
3364
3365
3366
3369
3370
3391
3399

transmission equipment
Other general purpose machinery
Computer and peripheral equipment
Communications equipment
Audio and video equipment
Semiconductors and other
electronic components
Navigational, measuring, electromedical,
and control instruments
Manufacturing and reproducing
magnetic and optical media
Electric lighting equipment
Household appliances
Electrical equipment
Other electrical equipment and components
Motor vehicles
Motor vehicle bodies and trailers
Motor vehicle parts
Aerospace products and parts
Railroad rolling stock
Ship and boat building
Other transportation equipment
Furniture and related products
Medical equipment and supplies
Other miscellaneous manufacturing

Wholesale Trade, Durable Goods
4231
4232
4233
4234
4235
4236
4237
4238
4239

Motor vehicles and motor vehicle parts and supplies
Furniture and home furnishing
Lumber and other construction materials
Professional and commercial
equipment and supplies
Metal and mineral (except petroleum)
Household appliances, and electrical and
electronic goods
Hardware, and plumbing and heating
equipment and supplies
Machinery, equipment, and supplies
Miscellaneous durable goods

Wholesale Trade, Non-Durable Goods
4241
4242
4243
4244
4245
4246
4247
4248
4249

Paper and paper product
Drugs and druggists’ sundries
Apparel, piece goods, and notions
Grocery and related product
Farm product raw material
Chemical and allied products
Petroleum and petroleum products
Beer, wine, and distilled alcoholic beverage
Miscellaneous nondurable goods

Wholesale Trade, Electronic Markets
and Agents And Brokers
4251 Wholesale trade agents and brokers

Retail Trade
4410 Motor vehicle and parts dealers
4440 Building material and garden equipment
and supplies dealers
4450 Food and beverage retailers
4491 Furniture and home furnishings retailers
4492 Electronics and appliance retailers
4550 General merchandise retailers
4561 Health and personal care retailers
4571 Gasoline stations
4572 Fuel dealers
4580 Clothing, clothing accessories, shoe, and jewelry
retailers
4591 Sporting goods, hobby, and musical instrument
retailers
4592 Book retailers and news dealers
4596 Miscellaneous retailers

Transportation and Warehousing
4810
4821
4833
4839
4840
4850
4863
4868
4870
4880
4920
4932
4939

Air transportation
Rail transportation
Petroleum tanker operations
Other water transportation
Truck transportation
Transit and ground passenger transportation
Pipeline transportation of crude oil,
refined petroleum products, and natural gas
Other pipeline transportation
Scenic and sightseeing transportation
Support activities for transportation
Couriers and messengers
Petroleum storage for hire
Other warehousing and storage

Information
5121
5122
5131
5132
5161
5162
5171
5174
5178
5182
5192

Motion picture and video industries
Sound recording industries
Newspaper, periodical, book, and directory publishers
Software publishers
Radio and television broadcasting stations
Media streaming distribution services, social networks, and
other media networks and content providers
Wired and wireless telecommunications (except satellite)
Satellite telecommunications
All other telecommunications
Computing infrastructure providers, data processing, web
hosting, and related services
Web search portals, libraries, archives, and other information
services

Finance and Insurance
5221 Depository credit intermediation (Banking)
5223 Activities related to credit intermediation
5224 Non-depository credit intermediation, except
branches and agencies
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 direct life insurance carriers
5249 Direct life insurance carriers
5252 Funds, trusts, and other finance vehicles

Real Estate and Rental and Leasing
5310
5321
5329
5331

Real estate
Automotive equipment rental and leasing
Other rental and leasing services
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, Waste
Management, and Remediation Services
5611
5612
5613
5614
5615
5616
5617
5619
5620

Office administrative services
Facilities support services
Employment services
Business support services
Travel arrangement and reservation services
Investigation and security services
Services to buildings and dwellings
Other support services
Waste management and remediation services

Educational Services
6110 Educational services

Health Care and Social Assistance
6210
6220
6230
6240

Ambulatory health care services
Hospitals
Nursing and residential care facilities
Social assistance services

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

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