Fillable FORM BE-13B (REV. 01/2020): SURVEY OF NEW FOREIGN (Bureau of Economic Analysis)

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FORM BE-13B (REV. 01/2020): SURVEY OF NEW FOREIGN (Bureau of Economic Analysis)

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FORM BE-13B (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-13B
(Report for Establishment of a New U.S. Business Enterprise)
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:
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
010
011
012
013
014
015
Company Name
1
In Care Of
1
Attention
1
Street 1
1
Street 2
1
City
1
State
2
Zip
3
Country
4
Name and mailing address of U.S. Business Enterprise
:
005 3
Due date: No later than 45 calendar days after the new legal entity is established.
WHO MUST REPORT
A BE-13B report must be filed by a U.S. business enterprise when a foreign entity, or an existing U.S. affiliate of a foreign entity, establishes a new legal
entity in the United States, and
(1) The projected total cost to establish and fully operationalize the new legal entity is greater than $3 million, and
(2) the foreign entity owns 10 percent or more of the new business enterprise’s voting interest (directly, or indirectly through an existing U.S. affiliate).
REPORT:
• Creation of a new legal entity whether incorporated or unincorporated, including a branch.
• Construction of real estate intended for lease or sale.
If the construction is for purposes of an expansion, see the instructions for reporting as an expansion on Form BE-13D.
• Creation of a new legal entity even if it does not have physical operations.
• Purchase of U.S. real estate including land, or rights to land, on which you intend to perform construction.
If the construction is for purposes of an expansion, see the instructions for reporting as an expansion on Form BE-13D.
DO NOT REPORT:
• Purchase of U.S. real estate that is intended for lease or sale without significant added construction.
This is deemed to be an acquisition of a U.S. business enterprise and should be reported on Form BE-13A.
• The creation of a holding company that is being set up with less than $60 million, solely to acquire at least one target company within 180
days, and then will be dissolved.
• Establishment of a new legal entity created for the sole purpose of acquiring a single entity within 30 days after the establishment.
Consolidate the new legal entity with the acquired entity in a
single report on the BE-13A.
• Certain private funds are exempt from filing Form BE-13B.
Review exemption criteria on page 3, question 1, response option 5 of Form BE-13 Claim for Exemption.
OTHER BE-13 FORMS
Go to www.bea.gov/be13 for more information about other BE-13 forms.
Form BE-13A covers certain acquisitions of a U.S. business
enterprise by a foreign entity.
Form BE-13D covers certain expansions of operations of existing U.S. affiliates.
Form BE-13E covers cost updates for previously filed Form BE-13B or BE-13D.
Form BE-13 Claim for Exemption covers certain transactions that are not required to be filed on Forms BE-13A, BE-13B, and BE-13D.
*See page 11 for penalties and confidentiality statements.
Fax reports to:
Page 2
FORM BE-13B (REV. 01/2020)
BE-13B – Instructions and Contact Information
INSTRUCTIONS
Monetary Values: Report in U.S. dollars
rounded to thousands
(omitting
000).
EXAMPLE – If
amount is $1,334,891.00, report as. .
.
.
.
..........................................................
Percentages: Report ownership percentages to a tenth of one percent. EXAMPLE . ........................................
$ Bil. Mil. Thous. Dols.
1
1
—
—
98.
—
7
—
%
1 335
,000
020
Name
1
021
Street 1
1
Telephone Number
2
Extension
3
022
Street 2
1
Fax Number
2
023
City
1
State
2
Zip
3
E-mail Address
4
CONTACT INFORMATION
Provide information of person to consult about this report:
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.
024
Signature of Authorized Official Date Telephone Number
1
Extension
2
025
Name
1
Title
2
Fax Number
3
(
—
—
—
)
—
—
—
-
—
—
—
—
(
—
—
—
)
—
—
—
-
—
—
—
—
(
—
—
—
)
—
—
—
-
—
—
—
—
(
—
—
—
)
—
—
—
-
—
—
—
—
Country
5
Estimates: If actual amounts are not available, supply estimates and specify in the notes section.
Definitions: Underlined items are defined on page 12.
Retention of copies: Retain a copy of each BE-13 report for three years beyond the report’s original due date.
Notes
click to sign
signature
click to edit
NEW U.S. BUSINESS ENTERPRISE INFORMATION
1 Is the new U.S. business enterprise a holding company?
A holding company is a businesses engaged in holding the securities or financial assets of companies and enterprises for the purpose of owning a
controlling interest in them or influencing their management decisions. Businesses in this industry do not manage the day-to-day operations of the
firms whose securities they hold.
Yes
–
Select every statement below that applies to the new U.S.
business enterprise (holding company):
A
It is being set up solely for the purpose of acquiring or establishing at least one other U.S. business enterprise.
B
The initial capitalization, including debt and equity, of the holding company is $60 million or less.
C
The acquisition or establishment is occurring within 180 days of the creation of the holding company.
D
The holding company will be dissolved after the acquisition or establishment.
If all four options A-D were selected, then the new U.S. business enterprise (holding company) can file a Form BE-13 Claim
for Exemption instead of completing the rest of this form.
E
The new U.S. business enterprise (holding company) was established solely to make a single acquisition within 30 days.
Do not file this establishment on a Form BE-13B, report it with the acquisition on a single Form BE-13A.
No
2
What
date
was the new U.S. business enterprise established?
........................................
3
What is the total expected cost to all foreign parents’ affiliated foreign groups (AFG, see EXAMPLE 1)
and their U.S. affiliates to set up the new U.S. business enterprise?
INCLUDE:
• Actual expenditures
from past years and expected expenditures for current and future years.
• The cost of voting interest and non-voting equity interest.
• All expenses to set up the new business including, but not limited to: land; property, plant and equipment expenditures; intellectual
property rights; fees, taxes, permits, licenses, and miscellaneous other costs.
EXCLUDE:
• The cost to any U.S. or foreign entity that is not affiliated with any of the foreign parents.
BE-13B – New U.S. Business Enterprise Information
Month Day Year
FORM BE-13B (REV. 01/2020)
Page 3
100
1
1
1
2
Total cost
.
.
.
.
..
.
.
.
.
.
.........................102
,000
2
3
4
5
6
EXAMPLE 1.
Affiliated Foreign Group
Foreign
United States
≥10%
Foreign companies X, Y, and
Z and the foreign parent
compose the affiliated
foreign group in
this example
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 member above it.
(As used here, "entity" is synonymous with "person,"
as that term is used in the broad legal sense.)
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 enterprise.
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.
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).
1
__ __ / __ __ / __ __ __ __
$ Bil. Mil. Thous. Dols.
1
New U.S. Business Enterprise
101
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, or indirectly through existing U.S.
affiliates) in the new U.S. business enterprise.
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, including a branch or partnership.
• 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.
• 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.
Foreign Company X (2)
>50 %
Foreign Parent (1)
>50 %
Foreign Company Y (3)
>50 %
Foreign Company Z (3)
BE-13B – New U.S. Business Enterprise Information
109
Primary
Other
1
2
105
___ ___
–
___ ___ ___ ___ ___ ___ ___
___ ___
–
___ ___ ___ ___ ___ ___ ___
1
4 What is the legal name of the new U.S. business enterprise?
5 What is the employer identification number of the new U.S. business enterprise used to file income and payroll taxes?
6
Is the address of the new U.S. business enterprise different from the address on the cover page?
Yes – Provide address
No
:
500
1
1
1
2
501
Name
2
Street 1
1
Street 2
2
City
1
State
2
Zip
3
502
OWNERSHIP INFORMATION FOR THE NEW U.S. BUSINESS ENTERPRISE
7
How many foreign parents (direct, and indirect through U.S. affiliates)
does the new U.S. business enterprise have?
new U.S. business enterprise?
Foreign parent is
the FIRST entity incorporated
outside the United States, proceeding up a chain of
ownership, that has a 10 percent or more voting
interest (directly, and/or indirectly through existing
U.S. affiliates) in the new U.S. business enterprise.
A.
DIRECTLY by foreign parents?
B.
DIRECTLY by existing U.S. affiliates of the foreign parents?
C.
DIRECTLY by other U.S. entities?
D.
DIRECTLY by other foreign entities?
(Each holding less than 10 percent voting interest in the new U.S. business enterprise.)
Total of 9 A through 9 D must sum to
100.0 %
Voting Interest
1
. ................................
151
%
1
%
1
. ..........153
%
.....................................................152
New U.S. Business Enterprise
Foreign
United States
Foreign Parent
≥10% voting interest
EXAMPLE 2.
Different Types of Ownership
Existing U.S. Affiliate(s)
Z%
voting interest
Y% voting interest
Y%
*
Z% ≥ 10%
9
A
(direct by other U.S. entity)
Other U.S. Entity
Foreign
United States
9
D
<10% voting interest
Existing U.S. Affiliate(s)
9
B
≤90% voting interest
9
C
1
(direct by U.S. affiliate)
Foreign Parent
(direct by other foreign entity)
Other Foreign Entity
(direct by foreign parent)
DIRECT
Voting Interest
Foreign Parents
191
1
2
—
—
—
.
—
%
192
1
2
—
—
—
.
—
%
If necessary, please list additional entries on a separate page.
1
%
Page 4
FORM BE-13B (REV. 01/2020)
:
..................................150
INDIRECT Voting
Interest, Through
Existing U.S. Affiliates
3
—
—
—
.
—
%
3
—
—
—
.
—
%
TOTAL Voting
Interest
4
%
4
%
—
—
—
.
—
—
—
—
.
—
—
—
—
.
—
Number of Foreign Parents........
180
As of the establishment date reported in 2 :
8
What are the names of all foreign parents and the percent of direct and indirect voting interest that each
holds in the
9
What percent of voting interest in the new U.S. business enterprise (see EXAMPLE 2) is held
(This is the sum of direct voting interest provided in 8 ).
0.0
0.0
0.0
230 1
1
1
2
BE-13B – Existing U.S. Affiliates
EXISTING U.S. AFFILIATES
As of the establishment date reported in 2 :
10
Does any one existing U.S. affiliate DIRECTLY own more than 50 percent of the voting interest in the new U.S. business enterprise?
Page 5
FORM BE-13B (REV. 01/2020)
Yes - Please provide an organizational chart, as of the date of the acquisition. CONTINUE to 11 .
No - SKIP to 13 .
(if it has one) of the existing U.S. affiliate that,
proceeding up the ownership chain from the
new U.S. business enterprise, is first that is
NOT more than 50 percent directly owned by
another existing U.S. affiliate?
See EXAMPLES 3 and 4.
EXAMPLE 3.
Identifying the U.S. Affiliates
EXAMPLE 4. Identifying the U.S. Affiliates
12
What is the legal name, address, and BEA ID
4
City
5
State
Zip
6
Street 1
3
Street 2
231
2
Name
1
232
New U.S. Business Enterprise
Foreign Parent Y
Foreign
> 50% voting interest
Other Existing U.S. Affiliate(s)
United States
≥10% voting interest
Foreign Parent X
≥10% voting
interest
Existing U.S. Affiliate 12
Existing U.S. Affiliate 11
> 50% voting interest
> 50% voting interest
BEA ID
8
Country
7
4
City
5
State
Zip
6
Street 1
3
Street 2
2
Name
1
BEA ID
8
Country
7
New U.S. Business Enterprise
Foreign
United States
> 50% voting interest
> 50% voting interest
Other Existing U.S. Affiliate(s)
Foreign Parent Y
Other U.S. Entity
≥50% voting
interest
≥10% voting interest
Existing U.S. Affiliate 12
≤ 50% voting interest
Existing U.S. Affiliate 11
NOTE: If there is more than one foreign parent (direct and/or indirect through existing U.S. affiliates), complete 13 through 21 for each additional
foreign parent on separate pages. Additional copies of these pages may be downloaded from www.bea.gov/be13.
11
What are the legal name, address, and BEA ID
(if it has one) of the existing U.S. affiliate that,
proceeding up the ownership chain from the
new U.S. business enterprise, is first that is
at least 10 percent DIRECTLY owned by a
foreign parent?
See EXAMPLES 3 and 4 above.
If it is the same existing U.S. affiliate as in 11 ,
write "same" in name field.
BE-13B – Identifying Foreign Parent Number of
IDENTIFYING THE FOREIGN PARENT
If
this
foreign parent is an individual who owns 10 percent of
the
voting interest
(directly, and/or indirectly through existing U.S. affiliates)
in the acquired U.S. entity, write “individual” instead of the individual’s name.
201
1
202
Country of Foreign Parent
1
New U.S. Business Enterprise
EXAMPLE 5.
Direct and Indirect Voting Interest
Page 6
FORM BE-13B (REV. 01/2020)
NOTE: If there is more than one foreign parent (direct and/or indirect through existing U.S. affiliates), complete 13 through 21 for each additional
foreign parent on separate pages. Additional copies of these pages may be downloaded from www.bea.gov/be13.
Foreign
United States
Existing U.S. Affiliate(s)
Foreign Company X
(NOT a foreign parent)
Z%
voting interest
Y% voting interest
Y%
*
Z% =
Indirect
voting
interest
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, or indirectly through existing U.S.
affiliates) in the new U.S. business enterprise.
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, including a branch or partnership.
• 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.
• 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.
203
1
Foreign Parent
Direct
voting
interest
14 What is this foreign parent's country of incorporation?
If the foreign parent is an individual or government, enter the country of residence.
For individuals who do not reside in their country of citizenship, please follow the
guidelines for country of residence on page 12.
15
What is this foreign parent's industry code?
•
Select the category below which best describes the PRIMARY activity of the SINGLE entity named as the foreign parent.
(The codes are also listed on page 11.)
•
DO NOT base the code on the worldwide sales of all consolidated subsidiaries of the foreign parent.
•
If the UBO is an individual, select the category "05 - Individual."
13 What is the name of this foreign parent? See Example 5.
0
BEA USE ONLY
-Country-
— Select Industry Code —
BE-13B – Identifying the Ultimate Beneficial Owner for Foreign Parent Number of
IDENTIFYING THE
ULTIMATE
BENEFICIAL OWNER (UBO)
16
Is
this
foreign parent also the ultimate beneficial owner (UBO)? See EXAMPLES 6 and 7.
• The UBO is the entity, proceeding up the ownership chain that includes the foreign parent, whose voting interest is not more
than 50 percent owned by another entity.
• If the foreign parent is owned or controlled more than 50 percent by another entity, then the foreign parent is NOT the UBO.
Yes — SKIP to
19
No
EXAMPLE 6.
Foreign Parent is UBO
EXAMPLE 7.
Foreign Parent is Not UBO
17 What is the name of the UBO?
If the UBO is an individual, write “individual” instead of the individual’s name.
18
What is the UBO's country of incorporation?
If the UBO is an individual or government, provide the country of residence . For individuals who do not reside in their country of citizenship,
please follow the guidelines for country of residence on page 12.
19 What
is
the UBO's industry code?
•
Select the category below which best reflects the consolidated worldwide sales of the UBO, including all majority-owned subsidiaries.
(The codes are also listed on page 11.)
•
If the UBO is an individual, select the category "05 - Individual."
•
Do not use code 14 unless you receive permission from BEA.
210
1
1
1
2
211
212
1
1
Country of UBO
Foreign
United States
Company X
=
UBO
Foreign Parent
Foreign
United States
Company X
Foreign Parent = UBO
New U.S. Business
Enterprise
New U.S. Business
Enterprise
Page 7
FORM BE-13B (REV. 01/2020)
213
11
≤ 50% voting interest
> 50% voting interest
0
BEA USE ONLY
-Country-
— Select Industry Code —
ESTABLISHMENT INFORMATION
BE-13B – E
■■
of
20 What is the total expected cost to this foreign parent’s affiliated foreign group (see EXAMPLE 8)
and its U.S. affiliates to establish the new U.S. business enterprise?
IN
CLUDE:
•
Actual expenditures from past years and expected expenditures
for current and future years.
•
The cost of voting interest and non-voting equity interest.
EXCLUDE:
• The cost to any U.S. entity that is not affiliated with this foreign parent.
EXAMPLE 8.
Affiliated Foreign Group
(Repeated from page 3)
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 member above it.
(As used here, "entity" is synonymous with "person,"
as that term is used in the broad legal sense.)
$ Bil. Mil. Thous. Dols.
1
,000
$ Bil. Mil. Thous. Dols.
,000
,000
,000
,000
1
Page 8
FORM BE-13B (REV. 01/2020)
A.
This affiliated foreign group DIRECTLY invest in the new U.S. business enterprise as cash or equity?
B. This affiliated foreign group DIRECTLY
loan to the new U.S. business enterprise?
C.
This affiliated foreign group invest in existing U.S. affiliates as cash or equity?
D.
This affiliated foreign group loan to existing U.S. affiliates?
DEBT
AND EQUITY BETWEEN THE AFFILIATED FOREIGN GROUP (AFG) AND U.S. AFFILIATES
NOTE:
If there is more than one foreign parent (direct and/or indirect through existing U.S. affiliates), complete 13 through 21 for each additional
foreign parent on separate pages. Additional copies of these pages may be downloaded from www.bea.gov/be13.
. ........381
....
....................382
............................
383
...........................................384
1
1
1
Foreign
United States
≥10%
Foreign companies X, Y, and
Z and the foreign parent
compose the affiliated
foreign group in this example
New U.S. Business Enterprise
Foreign Company X (2)
>50 %
Foreign Parent (1)
>50 %
Foreign Company Y (3)
>50 %
Foreign Company Z (3)
Total cost to this foreign parent's AFG and U.S. affiliates.......................... 320
• If
there is only one
foreign parent, this is the same as the total cost reported in 3 .
• If
there is more than
one foreign parent
, the
sum of the
cost for
each should match
the
total reported in
3
.
21
For the establishment of the new U.S. business enterprise, how much did:
stablishment Information for Foreign Parent Number
■■
0
FINANCIAL AND OPERATING INFORMATION FOR THE NEW U.S. BUSINESS ENTERPRISE
22 What is the ending date for the new U.S. business enterprise’s first fiscal year of operations? ............400
As of the date reported in 22 , what are the new U.S. business enterprise's projected:
23 Assets? .....................................................................................401
24 Liabilities?
25 Annual sales or gross operating revenues?
26 Annual net income (loss) after provision for income taxes? ..........................................404
420
1
27 What is the projected number of employees of the new business enterprise when it is fully operating?
Exclude contract workers and other workers not expected to be carried on the payroll.
If the new U.S. business enterprise’s activity will involve large seasonal variations,
report a number that represents an average over a year.
• Include all full-time and part-time employees on the payroll.
• Exclude contract workers and other workers not carried on the payroll.
29 What will be the major activities of the new U.S. business enterprise when it is fully operating? Check all that apply.
1
Producer of goods
2
Provider of services
3
Real estate
2
3
4
4
Seller of goods it does not produce
5
Producer or distributor of information
Other—Specify:
6
7
5
6
421
424
1
30 What are the major products and/or services involved in the activities identified in 29 ?
If a product, also state what is done to it, i.e., whether it is mined, manufactured, sold at wholesale, transported, packaged, etc.
31 What will be the new U.S. business enterprise’s four-digit industry classification?
Select the category below which best describes the industry classification in which the new U.S. business enterprise will have the
largest amount of sales or gross operating revenues. (See page 13 for list or go to www.bea.gov/NAICS2017 for detailed descriptions.)
• 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.
33 Will the new U.S. business enterprise conduct research and development activities when it is fully operating?
1
Yes
2
No
1
.......................................................403
1
1
__ __ / __ __ / __ __ __ __
BE-13B – Financial and Operating Information
423
1
422
1
1
Current Number of Employees..........................................................................506
• Include all full-time and part-time employees expected to be on the payroll.
•
•
Month Day Year
$ Bil. Mil. Thous. Dols.
,000
1
,000
1
,000
1
,000
1
...................................................................................402
405
Projected Number of Employees.........................................................................
Page 9
FORM BE-13B (REV. 01/2020)
• Report projections for the first fiscal year of operations.
• Use projections made in the course of planning the investment if available; otherwise give best estimate.
• If the first fiscal year is less than 12 months, provide annualized numbers for 25 and 26 .
28 How many employees did the new U.S. business enterprise have at the time of this filing?
32 In what state is the new U.S. business enterprise located?
— Select State —
PROJECT INFORMATION
34 Is the new U.S. business enterprise currently under construction?
■
......................................
1
Ye s
2
■
No, construction has yet to begin
3
No, construction
is
complete – Provide
completion date:
4
■
No, the project has been canceled
5
■
No, construction is not required for this project
For 35 and
36
,
break down the total expected cost to set
up
the new U.S. business
enterprise by type and
by fiscal year.
35
How much of the total expected cost to set up the new U.S. business enterprise is for:
A.
Land? ....................................................................................510
508
1
1
1
1
1
Month Day Year
2
__ __ / __ __ / __ __ __ __
Fiscal Year
B.
Property, plant, and equipment? Include construction. Exclude land.
C.
Intellectual property rights?
D.
Fees, taxes, permits, licenses?
E.
Other costs? Describe in notes section on page 2.
36
In which fiscal years will the total expected cost be incurred and how much each year?
• Only
include leases until the business is fully operating.
•
Provide actual cash or in-kind outlays, not depreciation.
• Use the new U.S. business enterprise's fiscal calendar for determining year.
517
BE-13B – Project Information
3
..................................
.....................
.............512
..................................................................514
...............................................................515
................................................ 516
Total expected cost reported in
3
,000
$ Bil. Mil. Thous. Dols.
$ Bil.
1
1
1
1
1
1
,000
$ Bil. Mil. Thous. Dols.
,000
,000
,000
,000
2
2
2
2
2
,000
,000
,000
,000
,000
2
2
2
2
2
550
1
551
1
552
1
553
1
554
1
555
1
556
1
557
1
558
1
559
1
The difference is currently:
Page 10
FORM BE-13B (REV. 01/2020)
Sum of 35 A through
35
E:
This should match the total expected cost reported in
3
NOTE: BEA will request updated project information each year until final data are collected.
RETURN TO COVER PAGE FOR FILING INSTRUCTIONS
Mil. Thous. Dols.
525
2
The difference is currently:
Sum of 36 A through
36
E:
This should match the total expected cost reported in
3
,000
,000
,000
,000
,000
,000
,000
,000
,000
0
0
0
2018
2019
2020
2021
2022
2023
2024
2025
2026
2027
0
0
SURVEY INFORMATION
Purpose: This 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-13B form is estimated to average 2.2 hours 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.
FOREIGN PARENT AND UBO INDUSTRY CODES
Note: “ISI codes” are International Surveys Industry codes, as given in the Guide to Industry Classifications for International Surveys, 2017,
available at www.bea.gov/naics2017. See the Summary of Industry Classifications on page 13 of this form.
01 Government and government-owned or -sponsored
17 Information (ISI codes 5111–5191)
enterprise, or quasi-government organization or agency
18 Professional, scientific, and technical services (ISI codes 5411–5419)
02 Pension fund — Government run
19 Other services
03 Pension fund — Privately run
(ISI codes 1150, 2132, 2133, 5321, 5329, and 5611–8130)
04 Estate, trust, or nonprofit organization
Manufacturing, including fabricating, assembling, and processing of
goods:
05 Individual
20 Food (ISI codes 3111–3119)
Private business enterprise, investment organization,
or group
engaged in:
21 Beverages and tobacco products (ISI codes 3121 and 3122)
06 Insurance (ISI codes 5242, 5243, 5249)
22 Pharmaceuticals and
medicine (ISI code 3254)
07 Agriculture, forestry, fishing and hunting (ISI codes 1110–1140)
23 Other chemicals (ISI codes 3251–3259, except 3254)
08 Mining (ISI codes 2111–2127)
24
Nonmetallic mineral products (ISI codes 3271–3279)
09 Construction (ISI codes 2360–2380)
25 Primary and fabricated metal products (ISI codes 3311–3329)
10 Transportation and warehousing (ISI codes 4810–4939)
26 Computer and electronic products (ISI codes 3341–3346)
11 Utilities (ISI codes 2211–2213)
27 Machinery (ISI codes 3331–3339)
12 Wholesale and retail trade (ISI codes 4231–4540)
28 Electrical equipment, appliances and components (ISI codes 3351–3359)
13 Banking, including bank holding companies (ISI codes 5221 and 5229)
29 Motor
vehicles and parts (ISI codes 3361–3363)
14 Holding companies, excluding bank holding companies
30 Other transportation equipment (ISI codes 3364–3369)
(ISI codes 5512 and 5513)
31 Other manufacturing
15 Other finance
(ISI codes 3130–3231, 3261, 3262, 3370–3399)
(ISI codes 5223, 5224,
5231, 5238, that part of ISI code 5252 that is
32 Petroleum manufacturing, including integrated petroleum and petroleum
not estates and trusts, and ISI code 5331)
refining without extraction (ISI codes 3242–3244)
16 Real estate (ISI code 5310)
Page 11
FORM BE-13B (REV. 01/2020)
DEFINITIONS
Affiliate means a business enterprise located in one country that is
Foreign, when used in a geographic sense, means that which is situated
directly or indirectly owned or controlled by an entity of another country to
outside the United States or which belongs to or is characteristic of a country
the extent of 10 percent or more of its voting stock for an incorporated
other than the United States.
business or an equivalent interest for an unincorporated business
Foreign direct investment in the United States means the
enterprise.
ownership or control, directly or indirectly, by one foreign investor of 10
percent or more of the voting securities of an incorporated U.S. business
Affiliated foreign group means:
enterprise or an equivalent interest in an unincorporated U.S. business
(1) the foreign parent,
enterprise,
including a branch or partnership.
(2) any foreign entity, proceeding up the foreign parent’s
Foreign parent is the FIRST entity incorporated outside the United States,
ownership chain, that owns more than 50 percent of the
proceeding up a chain of ownership, that has 10 percent or more voting
entity below it up to and including that entity which is not
interest (directly, and/or indirectly through existing U.S. affiliates) in the new
owned more than 50 percent by another foreign entity; and
U.S. business enterprise.
(3) any foreign entity, proceeding down the ownership chain(s)
Research and development (R&D) is planned, creative work aimed at
of each of these members, which is owned more than 50
discovering new knowledge or developing new or significantly improved
percent by the entity above it.
goods and services. This includes
Branch means the operations or activities conducted by an entity in a
(1) activities aimed at acquiring new knowledge or understanding without
different location in its own name rather than through an incorporated
specific immediate commercial application or use (basic research);
entity.
(2)
activities aimed at solving a specific problem or meeting a specific
Business enterprise means any organization, association, branch,
commercial objective (applied research); and
or venture that exists for profit-making purposes or to otherwise
(3) systematic use of research and practical experience to produce new or
secure economic advantage, and ownership of any real estate that is not
significantly improved goods, services, or processes (development).
held for personal use.
R&D does NOT include expenditures for costs for routine product testing,
quality control, and technical services unless they are an integral part of an
Country of residence for individuals who do not reside in their
R&D project; market research; efficiency surveys or management studies;
country of citizenship is determined using the following guidelines:
literary, artistic, or historical projects, such as films, music, or books and other
publications; prospecting or exploration for natural resources.
(1) Individuals who reside, or expect to reside, outside their country
of citizenship for less than one year are considered to be
Ultimate beneficial owner (UBO) means the entity, proceeding up the
residents of their country of citizenship.
ownership chain that includes the foreign parent, which is not more than 50
(2) Individuals who reside, or expect to reside, outside their country
percent owned or controlled by another entity.
of citizenship for one year or more are considered to be
United States, when used in a geographic sense, means the 50 states,
residents of the country in which they are residing, except as
the District of Columbia, the Commonwealth of Puerto Rico, and all territories
provided in (3) below.
and possessions of the United States.
(3) If an owner or employee of a business enterprise resides
outside the country of location of the enterprise for one year or
U.S. affiliate means an affiliate located in the United States in which
more for the purpose of furthering the business of the
a foreign entity has a direct investment.
enterprise, and the country of the business enterprise is the
Voting interest is the percent of ownership in the voting securities of an
country of citizenship of the owner or employee, then the owner
incorporated business enterprise or an equivalent interest in an
or employee is considered a resident of the country
unincorporated business enterprise.
of citizenship provided he or she intends to return within a
• In a general or limited partnership, voting interest is presumed to
reasonable period of time.
be divided evenly between the general partners, and limited partners
(4) Individuals and members of their immediate families who reside
are presumed to have zero voting interest, unless otherwise stated in
outside their country of citizenship as a result of employment by
the partnership agreement.
the government of that country – diplomats, consular officials,
• In the case of a limited liability corporation (LLC), voting interest
members of the armed forces, etc. – are considered to be
is presumed to be divided equally between the members (owners),
residents of their country of citizenship.
unless otherwise stated in the articles of organization or in the
Direct investment means the ownership or control, directly or
operating agreement.
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 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).
Page 12
FORM BE-13B (REV. 01/2020)
Page 13
FORM BE-13B (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
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
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
4450 Food and beverage
4461 Health and personal care
Educational Services
4471 Gasoline stations
6110 Educational services
4480 Clothing and clothing accessories
Health Care and Social Assistance
4510 Sporting goods, hobby, book, and music
6210 Ambulatory health care services
4520 General merchandise
6220 Hospitals
4530 Miscellaneous store retailers
6230 Nursing and residential care facilities
4540 Nonstore retailers
6240 Social assistance
Transportation and Warehousing
Arts, Entertainment, and Recreation
4810 Air transportation
7110 Performing arts, spectator sports, and related
4821 Rail transportation
industries
4833 Petroleum tanker operations
7121 Museums, historical sites, and similar institutions
4839 Other water transportation
7130 Amusement, gambling, and recreation industries
4840 Truck transportation
4850 Transit and ground passenger transportation
Accommodation and Food Services
4863 Pipeline transportation of crude oil, refined
7210 Accommodation
petroleum products, and natural gas
7220 Food services and drinking places
4868 Other pipeline transportation
Other Services
4870 Scenic and sightseeing transportation
8110 Repair and maintenance
4880 Support activities for transportation
8120 Personal and laundry services
4920 Couriers and messengers
8130 Religious, grantmaking, civic, professional,
4932 Petroleum storage for hire
and similar organizations
4939 Other warehousing and storage
Public Administration
Information
9200 Public administration
5111 Newspaper, periodical, book, and directory
publishers
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
5112 Software publishers
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FORM BE-13B (REV. 012020): SURVEY OF NEW FOREIGN (Bureau of Economic Analysis)

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