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

ICR 202308-3235-016

OMB: 3235-0145

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2023-08-24
Supplementary Document
2023-08-23
IC Document Collections
ICR Details
3235-0145 202308-3235-016
Received in OIRA 202008-3235-012
SEC CF-270-137
Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G
Revision of a currently approved collection   No
Regular 08/24/2023
  Requested Previously Approved
36 Months From Approved 11/30/2023
45,289 8,587
133,011 27,412
46,974,000 32,894,000

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.

US Code: 15 USC 78c(a), 78c(b), 78m, 78p Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w(a) Name of Law: Securities Exchange Act of 1934
  
None

3235-AM93 Proposed rulemaking 87 FR 13846 03/10/2022

No

1
IC Title Form No. Form Name
Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G

  Total Request 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 45,289 8,587 0 36,702 0 0
Annual Time Burden (Hours) 133,011 27,412 0 105,599 0 0
Annual Cost Burden (Dollars) 46,974,000 32,894,000 0 14,080,000 0 0
Yes
Changing Regulations
No
As explained in further detail in Items 1, 2, 12 and 13 above, changes in burden for Schedules 13D and 13G and Forms 3, 4 and 5 would result from the proposed amendments to Rules 13d-2(b), 13d-3, 13d-5 and Item 6 of Schedule 13D. These amendments were proposed in order to modernize the Commission’s beneficial ownership reporting rules. We estimate that the proposed amendments would increase the burdens associated with Regulation 13D-G and the burdens associated with Forms 3, 4 and 5. For purposes of the PRA, we estimate that the proposed amendments would result in an increase of 36,702 annual responses for Regulation 13D-G, an increase of 105,599 burden hours for Regulation 13D-G and an increase in the cost burden of $14,080,000 for the services of outside professionals for Regulation 13D-G.

$129,368,190
No
    Yes
    No
No
No
No
No
Valian Afshar 202 551-3440 afsharv@sec.gov

  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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
08/24/2023


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