18 Cfr 131.31

Federal Energy Regulatory Commission

§ 131.31

§ 131.31 FERC Form No. 561, Annual report of interlocking positions.
(See section 46.4 of this chapter.)

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§ 131.31

18 CFR Ch. I (4–1–13 Edition)

INSTRUCTIONS FOR COMPLETING ANNUAL REPORT OF INTERLOCKING POSITIONS

SPECIFIC INSTRUCTIONS

GENERAL INFORMATION:

Respondent Information

Purpose of Report
The data collected by this report will be
used by the Federal Energy Regulatory
Commission’s staff for the review and
oversight of interlocking positions between public utilities and certain other
entities as described below.
Who Must Submit
This report must be completed by all persons holding interlocking positions between public utilities and certain other
entities (described in the specific instructions) during any portion of the calendar year.
When to Submit
Submit this report on or before April 30 of
each year for the preceding calendar
year. (For example, the report for the
year 1999 would be filed on or before
April 30, 2000.)
What and Where to Submit
Submit an original and one (1) copy of this
report to: Federal Energy Regulatory
Commission, Office of the Secretary, Attention FERC 561, 888 First Street NE,
Washington, DC 20426
Sanctions
This report is mandatory and is prescribed
by Section 305(c)(1) of the Federal Power
Act and 18 CFR 46.4. Failure to report
may result in certain penalties and other
sanctions as provided by law.
Where to Send Comments on Public Reporting Burden
The public reporting burden for this collection of information is estimated to average 0.25 hours per response, including the
time for reviewing the 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 to: Federal Energy Regulatory
Commission, Attn: Federal Energy Regulatory Commission Information Clearance Officer, 888 First Street NE., Washington, DC 20426.
You shall not be penalized for failure to respond to this collection of information
unless the collection of information displays a valid OMB control number.

1 and 2 Enter your full name and your business address.
3 Enter the calendar year for which this report is filed.
4 and 5 If you are authorized by this Commission to hold the position of officer or director in accordance with Part 45 of the
Commission’s regulations: enter in space
4 the complete FERC docket number of
such authorization; enter in space 5 the
latest date of such authorization. Otherwise, leave these spaces blank.
6 Enter the public utility or public utility
holding company to which you want next
year’s Form 561 sent.

GENERAL INSTRUCTIONS
1. Prepare this report in conformity with
the requirements prescribed in 18 CFR 46.4.
2. Leave blank any columns that are not
applicable.

Item and Instruction

Public Utility Data
Col (1) and Col (2) Enter in column (1) the
name of each public utility in which you
hold an executive position. In column (2)
enter the appropriate code for each such
position, according to the list below:
Code and Name
Dir Director
CEO Chief Executive Officer
PRES President
VP Vice President
SEC Secretary
TREA Treasurer
GM General Manager
COMP Comptroller
PURA Chief Purchasing Agent
OEP Other Executive Position
Interlocking Entity Data
Col (3) and Col (4) Enter in Column (3) the
name of each entity in which you hold an
interlocking position. Enter the appropriate code for each executive position
you hold in the entity named in Column
(3), using the list below:
Code and Name
DIR Director
CEO Chief Executive Officer
PRES President
VP Vice President
SEC Secretary
TREA Treasurer
GM General Manager
COMP Comptroller
PURA Chief Purchasing Agent
PART Partner
APPT Appointee
REP Representative
OEP Other Executive Position
Col (5) Enter in Column (5) the appropriate
code type for each entity listed in Column (3), using the list below:

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Federal Energy Regulatory Commission

§ 131.50

Code and Name

REPORT OF SECURITIES ISSUED—Continued

FIN Investment bank; bank holding company; foreign bank or subsidiary thereof
doing business in the United States;
other organization primarily engaged in
the business of providing financial services or credit; mutual savings bank; or
savings and loan association
FINI Insurance company
SECU Entity authorized by law to underwrite or participate in the marketing of
securities of a public utility
ELEQ Entity which produces/supplies electric equipment for the use of any public
utility
FUEL Entity which produces/supplies coal,
natural gas, nuclear fuel, or other fuel
for the use of any public utility
20CL Entity specified in 18 CFR 46.3 (one of
the 20 largest purchasers of electric energy from a utility)
CNEN Entity which is controlled by any one
of the above named entities
305B Entity referred to in Section 305(b) of
the Federal Power Act (not otherwise
identified above)
Col (6) For each entity that supplies electric
equipment (ELEQ) named in Column (3)
enter the aggregate amount of revenues
from producing or supplying electrical
equipment to any public utility named in
column (1) in the subject calendar year,
rounded to the nearest $100,000. Otherwise, leave this column blank.
Signature The original of this report must be
dated and signed. The copy must bear the
date that appeared on the original. The
signature on the copy may be stamped or
typed on the copy.

Description of security....................................

[Order 601, 63 FR 72169, Dec. 31, 1998]

§ 131.43 Report of securities issued.
(See § 34.10 of this chapter.)
(Submit an original and four copies.)
[NAME OF RESPONDENT]
REPORT OF SECURITIES ISSUED
Description of security....................................
Description

Amount

1. Face value or principal amount ...........................
2. Plus premium or less discount ............................
3. Gross proceeds ...................................................

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

4. Underwriter’s spread or commission ...................
5. Securities and Exchange Commission registration fee .................................................................
6. State mortgage registration tax ...........................
7. State commission fee ..........................................
8. Fee for recording indenture .................................
9. United States document tax ................................
10. Printing and engraving expenses ......................
11. Trustee’s charges ..............................................
12. Counsel fees .....................................................
13. Accountant’s fees ..............................................

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

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

Description

Amount

14. Cost of listing .....................................................
15. Miscellaneous expenses of issue .....................
(Describe large items) ......................................

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

16.

Total deductions ......................................

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

17.

Net amount realized ................................

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

[Order 141, 12 FR 8591, Dec. 19, 1947, as
amended by Order 182, 46 FR 50517, Oct. 14,
1981]
EFFECTIVE DATE NOTE: At 70 FR 35375, June
20, 2005, § 131.43 introductory text was revised, effective at the time of the next e-filing release during the Commission’s next fiscal year. For the convenience of the user, the
revised text follows:
§ 131.43

Report of securities issued.

(See § 34.10 of this chapter)
(Submit in electronic format in accordance
with § 385.2003 of this chapter.)

*
§ 131.50

*

*

*

*

Reports of proposals received.

No later than 30 days after the sale or
placement of long-term debt or equity
securities or the entry into guarantees
or assumptions of liabilities (collectively referred to as ‘‘placement’’) pursuant to authority granted under Part
34 of this chapter, the applicant must
file a summary of each proposal or proposals received for the placement. The
proposal or proposals accepted must be
indicated. The information to be filed
must include:
(a) Par or stated value of securities;
(b) Number of units (shares of stock,
number of bonds) issued;
(c) Total dollar value of the issue;
(d) Life of the securities, including
maximum life and average life of sinking fund issue;
(e) Dividend or interest rate;
(f) Call provisions;
(g) Sinking fund provisions;
(h) Offering price;
(i) Discount or premium;
(j) Commission or underwriter’s
spread;
(k) Net proceeds to company for each
unit of security and for the total issue;

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