Fill - Free fillable FORM BE-13 Claim for Exemption (REV. 01/2020): SURVEY (Bureau of Economic Analysis) PDF form

FORM BE-13 Claim for Exemption (REV. 01/2020)

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

MANDATORY — CONFIDENTIAL

SURVEY OF NEW FOREIGN DIRECT INVESTMENT IN THE UNITED STATES

FORM BE-13 Claim for Exemption

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

Mail reports to:

(301) 278-9504

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

Assistance:

Definitions:

Bureau of Economic Analysis

Direct Investment Division, BE-49(NI)

4600 Silver Hill Road

Suitland, MD 20746

E-mail: be13@bea.gov

Telephone: (301) 278-9419

Copies of form: www.bea.gov/be13

Selected terms are defined on page 2.

010

011

012

013

014

015

Name and mailing address of U.S. Business Enterprise

Company Name

In Care Of

Attention

Street 1

Street 2

City

State

Zip

Country

005

WHO MUST REPORT:

DUE DATE:

A U.S. business enterprise, whether or not contacted by BEA, that meets all requirements

No later than 45 calendar days

for filing forms BE-13A, BE-13B, or BE-13D except the $3 million reporting threshold

after the transaction occurred

A U.S. business enterprise that was contacted by BEA but does not meet the requirements

No later than 45 calendar days

for filing forms BE-13A, BE-13B, or BE-13D

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.

Fax reports to:

025

Page 2

BE-13 Claim for Exemption

020

021

022

023

024

Signature of Authorized Ofﬁcial Date Telephone Number

Extension

Name

Title

Fax Number

(

—

)

—

(

—

)

—

FORM BE-13 Claim for Exemption (REV. 01/2020)

DEFINITIONS

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.

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.

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.

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 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.

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.

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.

U.S. affiliate means an affiliate located in the United States in

which a foreign entity has a direct investment.

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.

foreign government, the United States Government, a state or local

government, and any agency, corporation, financial institution, or other entity or

• In a general or limited partnership, voting interest is presumed

instrumentality thereof, including a government-sponsored agency).

to be divided evenly between the general partners, and limited

partners are presumed to have zero voting interest, unless

Foreign when used in a geographic sense, means that which is situated

otherwise stated in the partnership agreement.

outside the United States or which belongs to or is characteristic of a country

• In the case of a limited liability corporation (LLC), voting

other than the United States.

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

Street 1

Telephone Number

Extension

Street 2

Fax Number

City

State

Zip

E-mail Address

(

—

)

—

(

—

)

—

Country

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.

click to sign

signature

click to edit

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

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.

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.

•

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.

What is the BEA ID number, if known, used to ﬁle the BE-605, BE-12, or BE-15 forms for

■

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.

this existing U.S. afﬁliate?

■

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.

Page 3

FORM BE-13 Claim for Exemption (REV. 01/2020)

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

050

051

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.

■

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?

BE-13 Claim for Exemption

your answer to question 1 is 6 or 7, complete questions 2 through 13 .

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.

PROCEED to question 2 .

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 .

............... .................................................................401

..............................................................................402

.........................................................403

........................................... 404

Number of Employees

BE-13 Claim for Exemption

Bil. Mil. Thous. Dols.

,000

Page 4

FORM BE-13 Claim for Exemption (REV. 01/2020)

Year

__ __ / __ __ / __ __ __ __

Month Day

.....101

052

TRANSACTION INFORMATION

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

Notes (optional):

■

Expansion of an existing U.S. afﬁliate.

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

5 Assets?

6 Liabilities?

105

405

8 Sales or gross operating revenues?

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

9 Number of employees when fully operating?

• 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.

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

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 .

■

Acquisition of a U.S. business enterprise, segment, or operating unit.

When answering

the following questions, report for the most recently completed

fisca

ear

that ended on, or before,

the acquisition date.

PROCEED

question 5

■

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 .

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:

202

212

BE-13 Claim for Exemption

422

Page 5 FORM BE-13 Claim for Exemption (REV. 01/2020)

423

RETURN TO COVER PAGE FOR FILING INSTRUCTIONS

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 :

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/NAICS2017 for detailed descriptions.)

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)

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)

EXAMPLE 1.

Foreign Parent

Existing U.S. Affiliate(s)

Foreign Company X

(NOT a foreign parent)

Z% voting interest

U.S. Business Enterprise

Y% voting interest

Z% =

Direct

voting

interest

Indirect

voting

interest

Foreign Parent

Foreign

United States

Company X

Foreign Parent = UBO

50% voting interest

Foreign

United States

Company X = UBO

Foreign Parent

> 50% voting interest

EXAMPLE 2. Foreign Parent is UBO

EXAMPLE 3. Foreign Parent is Not UBO

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.

— Select Industry Classification —

BEA USE ONLY

-Country of Foreign Parent-

BEA USE ONLY

-Country of UBO-

— Select State —

Page 6

FORM BE-13 Claim for Exemption (REV. 01/2020)

SUMMARY OF INDUSTRY CLASSIFICATIONS (ISI codes)

For a full description of each

classification, see www.bea.gov/naics2017

3334 Ventilation, heating, air-conditioning,

and commercial refrigeration equipment

3335 Metalworking machinery

3336 Engines, turbines, and power

transmission equipment

3339 Other general purpose machinery

3341 Computer and peripheral equipment

3342 Communications equipment

3343 Audio and video equipment

5121 Motion picture and video industries

5122 Sound recording industries

5151 Radio and television broadcasting

5152 Cable and other subscription programming

5173 Wired and wireless telecommunications

carriers

5174 Satellite telecommunications

5179 Other telecommunications

3344 Semiconductors and other electronic components

5182 Data processing, hosting, and related services

3345 Navigational, measuring, electromedical,

5191 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 contract

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 financial vehicles

Real Estate and Rental and Leasing

5310 Real estate

5321 Automotive equipment rental and leasing

5329 Other rental and leasing services

5331 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 and Waste

Management and Remediation Services

5611 Office administrative services

5612 Facilities support services

5613 Employment services

5614 Business support services

5615 Travel arrangement and reservation services

5616 Investigation and security services

5617 Services to buildings and dwellings

5619 Other support services

5620 Waste management and remediation services

Educational Services

6110 Educational services

Health Care and Social Assistance

6210 Ambulatory health care services

6220 Hospitals

6230

Nursing and residential care facilities

6240 Social assistance

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

Agriculture, Forestry, Fishing, and Hunting

1110 Crop production

1120 Animal production

1130 Forestry and logging

1140 Fishing, hunting, and trapping

1150 Support activities for agriculture and forestry

Mining

2111 Oil and gas extraction

2121 Coal

2123 Nonmetallic minerals

2124 Iron ores

2125 Gold and silver ores

2126 Copper, nickel, lead, and zinc ores

2127 Other metal ores

2132 Support activities for oil and gas operations

2133 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 Animal foods

3112 Grain and oilseed milling

3113 Sugar and confectionery products

3114 Fruit and vegetable preserving and specialty

foods

3115 Dairy products

3116 Meat products

3117 Seafood product preparation and packaging

3118 Bakery products and tortillas

3119 Other food products

3121 Beverages

3122 Tobacco

3130 Textile mills

3140 Textile product mills

3150 Apparel

3160 Leather and allied products

3210 Wood products

3221 Pulp, paper, and paperboard mills

3222 Converted paper products

3231 Printing and related support activities

3242 Integrated petroleum refining and extraction

3243 Petroleum refining without extraction

3244 Asphalt and other petroleum and coal products

3251 Basic chemicals

3252 Resins, synthetic rubbers, and artificial and

synthetic fibers an filaments

3253 Pesticides, fertilizers, and other agricultural

chemicals

3254 Pharmaceuticals and medicines

3255 Paints, coatings, and adhesives

3256 Soap, cleaning compounds, and toilet

preparations

3259 Other chemical products and preparations

3261 Plastics products

3262 Rubber products

3271 Clay products and refractories

3272 Glass and glass products

3273 Cement and concrete products

3274 Lime and gypsum products

3279 Other nonmetallic mineral products

3311 Iron and steel mills

3312 Steel products from purchased steel

3313 Alumina and aluminum production and

processing

3314 Nonferrous metal (except aluminum)

production and processing

3315 Foundries

3321 Forging and stamping

3322 Cutlery and handtools

3323 Architectural and structural metals

3324 Boilers, tanks, and shipping containers

3325 Hardware

3326 Spring and wire products

3327 Machine shop products, turned products, and

screws, nuts, and bolts

3328 Coating, engraving, heat treating, and allied

activities

3329 Other fabricated metal products

3331 Agriculture, construction, and mining

machinery

3332 Industrial machinery

3333 Commercial and service industry machinery

and control instruments

3346 Manufacturing and reproducing magnetic

and optical media

3351 Electric lighting equipment

3352 Household appliances

3353 Electrical equipment

3359 Other electrical equipment and components

3361 Motor vehicles

3362 Motor vehicle bodies and trailers

3363 Motor vehicle parts

3364 Aerospace products and parts

3365 Railroad rolling stock

3366 Ship and boat building

3369 Other transportation equipment

3370 Furniture and related products

3391 Medical equipment and supplies

3399 Other miscellaneous manufacturing

Wholesale Trade, Durable Goods

4231 Motor vehicles and motor vehicle

parts and supplies

4232 Furniture and home furnishing

4233 Lumber and other construction materials

4234 Professional and commercial

equipment and supplies

4235 Metal and mineral (except petroleum)

4236 Electrical and electronic goods

4237 Hardware, and plumbing and heating

equipment and supplies

4238 Machinery, equipment, and supplies

4239 Miscellaneous durable goods

Wholesale Trade, Nondurable Goods

4241 Paper and paper product

4242 Drugs and druggists’ sundries

4243 Apparel, piece goods, and notions

4244 Grocery and related product

4245 Farm product raw material

4246 Chemical and allied products

4247 Petroleum and petroleum products

4248 Beer, wine, and distilled alcoholic beverage

4249 Miscellaneous nondurable goods

Wholesale Trade, Electronic Markets and

Agents and Brokers

4251 Wholesale electronic markets and

agents and brokers

Retail Trade

4410 Motor vehicle and parts dealers

4420 Furniture and home furnishings

4431 Electronics and appliance

4440 Building material and garden

equipment and supplies dealers

4450 Food and beverage

4461 Health and personal care

4471 Gasoline stations

4480 Clothing and clothing accessories

4510 Sporting goods, hobby, book, and music

4520 General merchandise

4530 Miscellaneous store retailers

4540 Nonstore retailers

Transportation and Warehousing

4810 Air transportation

4821 Rail transportation

4833 Petroleum tanker operations

4839 Other water transportation

4840 Truck transportation

4850 Transit and ground passenger transportation

4863 Pipeline transportation of crude oil, refined

petroleum products, and natural gas

4868 Other pipeline transportation

4870 Scenic and sightseeing transportation

4880 Support activities for transportation

4920 Couriers and messengers

4932 Petroleum storage for hire

4939 Other warehousing and storage

Information

5111 Newspaper, periodical, book, and directory

publishers

5112 Software publishers

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FORM BE-13 Claim for Exemption (REV. 012020): SURVEY (Bureau of Economic Analysis)

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