Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Regulation 13D-G Supporting Statementd.FinalFinal.pdf	Supporting Statement A	Uploaded 2024-01-18	Repair queued
March 22, 2023 EDGAR PIA.pdf	Supplementary Document	Uploaded 2024-01-17	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34436	Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G		Modified

ICR Details

OMB Control No: 3235-0145	ICR Reference No: 202401-3235-011
Status: Active	Previous ICR Reference No: 202310-3235-019
Agency/Subagency: SEC	Agency Tracking No: CF 270-137
Title: Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 03/15/2024
Retrieve Notice of Action (NOA)	Date Received in OIRA: 01/19/2024
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2027	36 Months From Approved	12/31/2026
Responses	71,471	0	8,587
Time Burden (Hours)	70,135	0	27,412
Cost Burden (Dollars)	126,241,200	0	32,894,000

---

Abstract: Schedule 13D and Schedule 13G are used by persons to report their ownership of more than five percent of a class of equity securities registered under Section 12 of the Securities Exchange Act of 1934.

---

Authorizing Statute(s): US Code: 15 USC 78c(b), 78m, 78w(a) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AM93	Final or interim final rulemaking	88 FR 76896	11/07/2023

---

Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G

---

ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	71,471	8,587	0	41,679	21,205	0
Annual Time Burden (Hours)	70,135	27,412	0	29,806	12,917	0
Annual Cost Burden (Dollars)	126,241,200	32,894,000	0	53,650,200	39,697,000	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: As explained in further detail in Items 1, 2, 12, and 13 above, changes in burden for Schedules 13D and 13G would result from the amendments to Rules 13d-2(b) and Item 6 of Schedule 13D as well as the structured data requirements for Schedules 13D and 13G. The Commission adopted the amendments in order to modernize the beneficial ownership reporting rules. We estimate that the amendments will increase the burdens associated with Regulation 13D-G. In addition, as explained in further detail in Items 12 and 13 above, we also believe that the OMB inventory for Regulation 13D-G should be updated to reflect the burdens arising from both the initial Schedule 13D and 13G filings and amended Schedule 13D and 13G filings. We expect that this updated approach also will increase the burdens associated with Regulation 13D-G. For purposes of the PRA, we estimate that the amendments together with the updated inventory numbers will result in an increase of 62,884 annual responses for Regulation 13D-G, an increase of 42,723 burden hours for Regulation 13D-G and an increase in the cost burden of $93,347,200 for the services of outside professionals for Regulation 13D-G.

---

Annual Cost to Federal Government: $129,168,390

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

---

Common Form ICR:  No

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 01/19/2024

---