FCC 235 ISP-PDR |
FEDERAL COMMUNICATIONS COMMISSION
Instructions for an Application for a Section 310(b) Petition for Declaratory Ruling Office of International Affairs
ISP-PDR
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OMB Approval 3060-1163
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Purpose of Form
This form is used to request the Federal Communications Commission’s (Commission) prior approval of foreign ownership in common carrier radio station licensees and common carrier spectrum lessees that would exceed the 25% benchmarks in section 310(b)(4) of the Act.
This form is also used to request the Commission’s prior approval of foreign ownership in common carrier radio station licensees and common carrier spectrum lessees that would exceed the 20% limit in section 310(b)(3) of the Act.
Petitioners will be prompted in the online form to attach a narrative response to the questions in sections 1.5000 and 1.5001, including all referenced attachments, exhibits, schedules.
Description of Form
This form consists of a main form and the ability to file attachments to support the request. The Petitioner is encouraged to upload a single document in machine readable format, including all required information. The Petitioner must fill in all required fields, upload required documents, make all required certifications, and sign the form before submitting the petition.
Information Current and Complete
Information filed in the petition with the Commission must be kept current and complete under section 1.65 of the Commission’s rules. 47 CFR § 1.65. The Petitioner or the party to the application must notify the Commission regarding any substantial and significant changes in the information provided in the petition while it remains pending.
Applicable Rules and Regulations
The requirements can be found in 47 U.S.C. §§ 310(b)(3) and (4) and 47 CFR §§ 1.5000-1.5004, 1.40001, 1.40003.
Petitioners should refer to the Debt Collection Improvement Act of 1996. The Debt Collection Act requires all federal agencies to ensure that no debtors to the Federal government obtain any licenses or other benefits from the FCC. To ensure this, the Commission must collect FRN information to correlate its Petitioners with any outstanding Federal debt that they might have incurred in other dealings with the Federal government. For additional information, see the FCC’s Debt Collection webpage, https://www.fcc.gov/licensing-databases/fees/debt-collection-improvement-act-implementation.
Other ISP Forms
ISP Amendment Form
This form is used to supplement/amend a submitted Petition for Declaratory Ruling.
ISP Waiver Form
This form is used to request a temporary and limited waiver of the requirement to obtain Commission approval before: (1) foreign ownership in the controlling U.S. parent of a common carrier radio station licensee or common carrier spectrum lessee would exceed the 25% benchmarks in section 310(b)(4) of the Act (47 CFR § 1.5000(a)(1)); or (2) foreign ownership in a common carrier radio station licensee or common carrier spectrum lessee would exceed the 20% benchmarks in section 310(b)(3) of the Act (47 CFR § 1.5000(a)(2)).
FCC Notice Required By The Paperwork Reduction Act
The number of hours it will take to respond to the collection will vary depending on whether the Applicant is required to file responses to the Standard Questions for an Applicant with reportable foreign ownership with the Committee for the Assessment of Foreign Participation in the United States Telecommunications Services Sector (Committee). We have estimated that on average each response to this collection of information for a section 310(b) petition will be 50 hours. If the Petitioner is required to file responses to the Standard Questions with the Committee, the average will be 170 hours (49 hours for the petition, 120 hours to respond to the Standard Questions and 1 hour to file the responses with the Committee). Our estimate includes the time to read the instructions, review existing records, gather and maintain the required data, and complete and review the form or response. If you have any comments on this burden estimate, or on how we can improve the collection and reduce the burden, e-mail them to pra@fcc.gov or send them to the Federal Communications Commission, AMDPERM, Paperwork Reduction Project (3060-1163), Washington, DC 20554.
The Petitioner is not required to respond to a collection of information sponsored by the Federal government, and the government may not conduct or sponsor this collection, unless it displays a currently valid OMB control number or if we fail to provide you with this notice. This collection has been assigned an OMB control number of 3060-1163. This notice is required by the Paperwork Reduction Act of 1995, P.L. 104-13, October 1, 1995, 44 U.S.C. Section 3507.
For Assistance
For technical assistance with completing the forms, contact the ICFS Helpline at (202) 418-2222 or ICFSINFO@fcc.gov. For general questions about the form requirements, contact the Office of International Affairs, Telecommunications and Analysis Division at (202) 418-1480 or at FCC-OIA-TAD@fcc.gov.
FILING INSTRUCTIONS
Remember to save your draft application periodically by clicking the save button. ICFS will time-out out after 15 minutes of no activity, and failure to save will result in loss of any information entered into the application form after the last save.
Petitioner Information
Item 1. This item identifies the petitioning common carrier applicant, licensee, or spectrum lessee. (Petitioner).
Enter the information requested. Some data will be pre-populated using the data associated with Petitioner’s FCC Registration Number (FRN).
When the Petitioner enters its FRN, the Petitioner Information will pre-populate with its FRN data in CORES. To modify these pre-populated data, update the data associated with the FRN in CORES.
Enter any missing data and sections that are not already populated from CORES, such as the “Applicant/Legal Entity Type” or “Doing Business As (DBA)” name.
Multiple common carrier applicants, licensees, and/or spectrum lessees that are under common control and that contemporaneously hold, or are contemporaneously filing applications for, common carrier licenses or spectrum leasing arrangements must file their section 1.5000(a)(1) petition jointly. In such a case, enter the name/FRN of the joint petitioners’ controlling U.S. parent when you are prompted to enter the Petitioner’s name/FRN. The controlling U.S. parent may also certify to the information contained in the petition on behalf of itself and the joint petitioners.
Where the petition is being filed in connection with an application for consent to transfer control of licenses or spectrum leasing arrangements, the transferee or its ultimate controlling parent may file the petition on behalf of the licensees or spectrum lessees that would be acquired as a result of the proposed transfer of control and certify to the information contained in the petition.
Multiple applicants, licensees, and spectrum lessees shall not be permitted to file a petition for declaratory ruling jointly unless they are under common control.
Contact Information
Item 2. Identify the contact representative, if different from the Petitioner.
The contact information can be imported automatically from CORES if the Petitioner supplied an FRN, but fields are still editable.
If the contact representative is the same as the person indicated in Item 1, then check the box “Same as Petitioner.” If the contact representative is not the same as the Petitioner, provide the requested information.
Provide the name of a person in your organization, your outside counsel, or other representative whom we can contact if there are questions regarding your petition. This person should have decisional authority over the contents of your petition.
Provide the Company name if different from the “Petitioner” name in Item 1 or repeat “Company” name here.
Provide the contact representative’s address, phone number, fax number, and email.
Provide your “Doing Business As (DBA)” name. If the Petitioner is not operating its business using a DBA, you may leave this section blank.
Indicate how the contact person is related to the Petitioner by making a selection from the drop-down menu. For example, select “Legal Counsel” if the contact is the Petitioner’s counsel
Petition Information
Item 3. Provide a description of the petition. For example, state “Telecom Company, LLC, Petition for Declaratory Ruling Under Section 310(b)(4) of the Communications Act of 1934, as Amended, to permit 100% aggregate foreign ownership of Telecom Company, LLC, and specific approval of certain, non-controlling foreign-organized entities, subject to the terms and conditions in section 1.5004 of the Commission’s rules.” This description will appear in the My Filings tab of your ICFS account page where all your applications are listed.
Item 4. Select either “Yes” or “No” to indicate whether the Petitioner has a current declaratory ruling to permit foreign investment above the benchmarks in section 310(b) of the Act. If “Yes,” proceed to Questions 4a and 4b.
Item 4a. Provide in the fill-in box the ICFS file number(s) that contain(s) the current declaratory ruling permitting foreign investment above the benchmarks in section 310(b) of the Act.
Item 4b. Select either “Yes” or “No” to indicate whether the Petitioner is in compliance with the current declaratory ruling. If not, you must make a filing in the file for the current ruling explaining why you are no longer in compliance pursuant to 47 CFR § 1.5004(f).
Item 5. FCC Authorizations and Applications Associated with Petition
Item 5a. Select either “Yes” or “No” to indicate whether the Petitioner currently holds: (i) common carrier wireless licenses or spectrum leases; or (ii) common carrier earth or space station licenses.
If “Yes,” enter (i) in Item 5.a.1. the ICFS File No(s). of the associated common carrier earth or space station licenses and/or (ii) in Item 5.a.2. the ULS File No(s). of the associated common carrier wireless licenses and spectrum leases.
Item 5b. Select either “Yes” or “No” to indicate whether there are other contemporaneous or pending filings that are associated with the petition, such as applications to acquire a common carrier wireless license and/or spectrum lease; and/or a common carrier earth station license and/or space station license.
If “Yes,” enter (i) in Item 5.b.1. the ULS File No(s). of the associated common carrier wireless licenses and spectrum leases, (ii) in Item 5.b.2. the ICFS File No(s). of the common carrier earth or space station license, and/or (iii) in Item 5.b.3. the associated Docket No(s).
Item 5c. Select either “Yes” or “No” to indicate whether the petition is being submitted as part of a transaction that includes applications to transfer control of or assign domestic and/or international section 214 authorizations.
If “Yes,” enter (i) Item 5.c.1. the ICFS File No(s). for applications to transfer control of or assign international section 214 authorization(s), if any, (ii) in Item 5.c.2. the ULS File No(s) if any, (iii) in Item 5.c.3. the Docket No. for an application to transfer control of domestic section 214 authorization, if any, and (iv) in Item 5.c.4. any Other relevant proceeding.
Item 5d. Select either “Yes” or “No” to indicate whether the petition is being submitted as part of a transaction that includes non-common carrier (private) wireless licenses and/or spectrum leases; non-common carrier (private) earth station licenses and/or space station licenses; and/or other FCC licenses.
Item 6. Indicate whether the petition is being submitted under section 1.5000(a)(1) or 1.5000(a)(2) of the rules. The Petitioner can select only section 1.5000(a)(1) or section 1.5000(a)(2).
If the Petitioner is filing under section 1.5000(a)(1), it will be prompted to answer questions that correspond to the content requirements for such petitions, which are set forth in section 1.5001 of the Commission’s rules. Use the fillable fields to answer the questions in the chart that will appear on your screen. These questions are set forth in Supplement I below.
If the Petitioner is filing under section 1.5000(a)(2), it will be prompted to answer questions that correspond to the content requirements for such petitions, which are set forth in section 1.5001 of the Commission’s rules. Use the fillable fields to answer the questions in the chart that will appear on your screen. These questions are set forth in Supplement II below.
Item 7. Select either “Yes” or “No” to indicate whether the Petition qualifies for an exclusion from referral to the Executive Branch because the only reportable foreign ownership is through wholly owned intermediate holding companies and the ultimate ownership and control is held by U.S. citizens or entities.
If the answer is “Yes,” the Petitioner must make and attach a specific showing in its application that it qualifies for the exclusion(s), as provided in 47 CFR § 1.40001(a)(2).
Application Fees
Item 8. An application fee is required for this form. Indicate whether you are exempt from the application fee by selecting “Yes” or “No.”
If “No,” indicate the reason for fee exemption by checking “Government Entity,” “Noncommercial educational license,” or “Other.”
If “No,” then the Applicant must submit an attachment demonstrating the Applicant’s eligibility for exemption from FCC application fees.
If Applicant selects “Other” as the reason for the exemption, the Applicant must explain in the text box.
If the Applicant filed a request for waiver/deferral of the FCC application fees, provide the date-stamped copy of the request filed with the Commission’s Office of the Managing Director as an attachment.
If “Yes,” select the appropriate fee code for the application from the drop down menu. To determine the required fee amount, refer to Subpart G of Part 1 of the Commission’s Rules (47 CFR Part 1, Subpart G) and the current Fee Filing Guide. The current Fee Filing Guide can be downloaded from the FCC’s website at http://www.fcc.gov/fees, by calling the FCC’s Form Distribution Center at (800) 418-FORM (3676), or by faxing your request to the FCC’s Fax Information System at 1-866-418-0232.
Waivers
Item 9. Select either “Yes” or “No” to indicate whether this petition includes a waiver request.
Item 9a. If the answer to Item 9 is “Yes,” identify the rule section(s) for which a waiver is sought and attach the request with a supporting narrative and documentation.
Attachments
Item 10. To submit the Petition, the Petitioner must acknowledge that it has uploaded all attachments and exhibits required by section 1.5001 of the Commission’s rules. Petitioner must provide, in an attachment, an estimate of aggregate foreign ownership, description of the methods used to determine the percentages, a statement addressing the circumstances that prompted the filing of the petition and demonstrating that the public interest would be served by grant of the petition, and a description of the ownership and control structure, including an ownership diagram.
Item 11. If the Petitioner answered “Yes” to Item 7, the Petitioner must acknowledge that it has uploaded a statement showing in its application that it qualifies for the exclusion(s), as provided in 47 CFR § 1.40001(a)(2).
Item 12. If the Petitioner answered “Yes” to Item 9, Petitioner must acknowledge that it has uploaded a statement identifying the rule section(s) for which a waiver is sought and supporting narrative and documentation.
Attachments/Confidential Treatment of Attachments
Item 13. Indicate whether the Applicant is requesting confidential treatment of an attachment(s) under 0.459 of the Commission’s rules by checking “Yes” or “No.”
If “Yes,” then Item 13 requires the Applicant requesting confidential treatment of an attachment(s) under 0.459 of the Commission’s rules to upload a request for confidentiality and file a redacted an non-redacted version of the request.
In the table, the Applicant must identify the attachment(s) it has uploaded with a short description for easy identification of the information included in each attachment.
Note: Each document required to be filed as an attachment should be current as of the date of filing. Each page of every attachment must be identified with the number or letter, the number of the page, and the total number of pages.
In the table of this item, the Applicant may use the upload button to upload its attachments. After uploading, the Applicant can rename the attachment. Also after uploading, the Applicant can click the confidential treatment button next the attachment name if it so desires. Clicking the confidential treatment button will trigger a request to upload both a redacted, public version of the attachment and a public supporting statement justifying the confidentiality request. Identify the applicable rule(s) and provide other supporting materials or information. Documents designated for confidential treatment will not be publicly viewable in ICFS while the Commission considers the confidentiality request.
National Security/Law Enforcement Certification Statements
Item 14. The Petitioner will need to certify the petition and provide the required information for signing the petition.
By checking the box, the Petitioner certifies that in submitting this application form:
Comply with all applicable Communications Assistance for Law Enforcement Act (CALEA) requirements and related rules and regulations, including any and all FCC orders and opinions governing the application of CALEA, pursuant to the Communications Assistance for Law Enforcement Act and the Commission’s rules and regulations in Title 47, part 1, subpart Z;
Make communications to, from, or within the United States, as well as records thereof, available in a form and location that permits them to be subject to a valid and lawful request or legal process in accordance with U.S. law, including but not limited to:
The Wiretap Act, 18 U.S.C. § 2510 et seq.;
The Stored Communications Act, 18 U.S.C. § 2701 et seq.;
The Pen Register and Trap and Trace Statute, 18 U.S.C. § 3121 et seq.; and
Other court orders, subpoenas or other legal process;
Designate a point of contact who is located in the United States and is a U.S. citizen or lawful U.S. permanent resident, for the execution of lawful requests and as an agent for legal service of process;
Ensure the continuing accuracy and completeness of all information submitted, whether at the time of submission of the application or subsequently in response to either the Commission or the Committee’s request, as required under section 1.65(a) of the Commission’s rules, and to inform the Commission and the Committee of any substantial and significant changes while an application is pending;
Ensure that after the application is no longer pending for purposes of section 1.65 of the Commission’s rules, it will notify the Commission and the Committee of any changes in the authorization holder or licensee information and/or contact information promptly, and in any event within thirty (30) days; and
Fulfill the conditions and obligations set forth in the certifications set out in section 63.18(q)of the Commission’s rules or in the grant of an application or authorization and/or that if the information provided to the United States Government is materially false, fictitious, or fraudulent, it may be subject to all remedies available to the United States Government, including but not limited to revocation and/or termination of the Commission’s authorization or license, and criminal and civil penalties, including penalties under 18 U.S.C. § 1001.
General Certification Statement
Item 15. In order to submit the petition, the Petitioner must certify acknowledgement of all requirements listed here and elsewhere in this form by clicking on the single indicated checkbox. If there are multiple petitioners, each petitioner must certify acknowledgement of these requirement. The Petitioner must certify that:
It has submitted all necessary statements and exhibits.
It has calculated and disclosed the ownership interests in the petition for declaratory ruling based on the standards set forth in sections 1.5001-1.5004 of the Commission’s rules.
It acknowledges that the Commission, in its discretion, may refer applications, petitions, and other filing to the Executive Branch for review for national security, law enforcement, foreign policy, and/or trade policy concerns.
It certifies that neither it nor any other party to the application or petition is subject to a denial of Federal benefits, including FCC benefits pursuant to section 5301 of the Anti-Drug Abuse Act of 1988, 21 U.S.C. § 862, because of a conviction for possession or distribution of a controlled substance. See 47 CFR § 1.2002(b) for the meaning of "party to the application" for these purposes.
This certification does not apply to applications filed in services exempted under § 1.2002(c) of the rules, or to Federal, State or local governmental entities or subdivisions thereof. See 47 CFR § 1.2002(c).
It certifies under penalty of perjury under the laws of the United States of America, that Petitioner’s statements made in this petition for declaratory ruling and in the attachments or documents incorporated by reference are material, are part of this petition, and are true, complete, correct, and made in good faith.
Party Authorized to Sign
The Petitioner must sign the petition.
Item 16. Enter all of the required information in the table:
the name of the Petitioner.
the title of the person signing the petition. If the Petitioner is a corporation or other business entity, the person submitting the application must be an officer.
the signature of the person signing the petition.
Do not enter a date. ICFS will fill in the date automatically with the date on which the application is submitted.
WILLFUL FALSE STATEMENTS MADE ON THIS FORM ARE PUNISHABLE BY FINE AND/OR IMPRISONMENT (U.S. Code, Title 18, Section 1001), AND/OR REVOCATION OF ANY STATION AUTHORIZATION (U.S. Code, Title 47, Section 312(a)), AND/OR FORFEITURE (U.S. Code, Title 47, Section 503). BY SIGNING THIS, YOU CERTIFY THAT YOU ARE A PARTY AUTHORIZED TO SIGN AND ALL STATEMENTS MADE IN THIS APPLICATION AND IN THE ATTACHMENT OR DOCUMENTS INCORPORATED BY REFERENCE ARE MATERIAL, ARE PART OF THIS APPLICATION, AND ARE TRUE, COMPLETE, CORRECT, AND MADE IN GOOD FAITH.
Supplement I: If 47 CFR § 1.5000(a)(1) is Selected for Question 6
Item 6a. Select either “Yes” or “No” to indicate whether any individuals or entities hold, or would hold, directly 10% or more of the equity interests and/or voting interests, or a controlling interest, in the controlling U.S. parent of the petitioning applicant(s), licensee(s), or spectrum lessees as specified in section 1.5001(e)(1) through (4) of the Commission’s rules. Equity and voting interests shall be calculated in accordance with the principles set forth in section 1.5002 of the Commission’s rules.
If “Yes,” use the fillable fields in the chart that will appear on your screen to provide the information requested for each individual or entity that holds an interest of the type described in Item 6.a. (referred to as a Disclosable Interest Holder for the purposes of Item 6.a. in these instructions and in the corresponding Commission rules, sections 1.5001(e), (g)).
Enter the name of each Disclosable Interest Holder (name of entity or individual); country of organization or citizenship (in the case of an individual); dual or more citizenships (if applicable); and the Disclosable Interest Holder’s direct equity and voting interests that are, or would be, held in the controlling U.S. parent of the Petitioner. These interests must be expressed and entered as percentages. The Petitioner may specify a range of interests, as explained below.
In circumstances where a Disclosable Interest Holder’s direct equity and/or voting interests will consist of a range of interests at the time the petition is filed, enter the “Minimum” and the “Maximum” percentages. The percentages that you enter must consist only of whole numbers. Round as necessary for purposes of filling out this form.
In circumstances where a Disclosable Interest Holder’s direct equity and/or voting interests will consist of a single number rather than a range, enter that number for both the “Minimum” and the “Maximum.” The percentages that you enter must consist only of whole numbers. Round as necessary for purposes of filling out this form.
Item 6b. By checking “Yes” or “No,” indicate whether any individuals or entities hold, or would hold, indirectly, through one or more intervening entities, 10% or more of the equity interests and/or voting interests, or a controlling interest, in the controlling U.S. parent of the petitioning applicant(s), licensee(s), or spectrum lessee(s) as specified in section 1.5001(f)(1) through (3) of the Commission’s rules. Equity and voting interests shall be calculated in accordance with the principles set forth in section 1.5002 of the Commission’s rules.
If “Yes,” use the fillable fields in the chart that will appear on your screen to provide the information requested for each individual or entity that holds an interest of the type described in Item 6.b. (referred to as a Disclosable Interest Holder for the purposes of Item 6.b. in these instructions and in the corresponding Commission rule Commission rules, sections 1.5001(f) through (g)).
Enter the name of each Disclosable Interest Holder (name of entity or individual); country of organization or citizenship (in the case of an individual); dual or more citizenships (if applicable); and the Disclosable Interest Holder’s indirect equity and voting interests that are, or would be, held in the controlling U.S. parent of the Petitioner. These interests must be expressed and entered as percentages. The Petitioner may specify a range of interests, as explained below.
In circumstances where a Disclosable Interest Holder’s indirect equity and/or voting interests will consist of a range of interests at the time the petition is filed, enter the “Minimum” and the “Maximum” percentages. The percentages that you enter must consist only of whole numbers. Round as necessary for purposes of filling out this form.
In circumstances where a Disclosable Interest Holder’s indirect equity and/or voting interests will consist of a single number rather than a range, enter that number for both the “Minimum” and the “Maximum.” The percentages that you enter must consist only of whole numbers. Round as necessary for purposes of filling out this form.
Requests for Specific Approval
Item 6c. Select either “Yes” or “No” to indicate whether the petition requests specific approval, under section 1.5001(i) of the rules, 47 CFR §1.5001(i), for one or more foreign individuals or foreign-organized entities that hold, or would hold, directly and/or indirectly, equity and/or voting interests in the controlling U.S. parent of the petitioning common carrier applicant(s), licensee(s), or spectrum lessees.
If “Yes,” use the fillable fields in the chart that will appear on your screen to provide the information requested for each foreign individual and/or entity for which the petition requests specific approval (referred to in these instructions as a Named Foreign Interest Holder) and the respective percentages of equity and/or voting interests (to the nearest one percent) that each such foreign individual or entity holds, or would hold, directly and/or indirectly, in the controlling U.S. parent of the petitioning common carrier applicant(s), licensee(s), or spectrum lessee(s).
Enter the name of the Named Foreign Interest Holder; country of organization or citizenship (in the case of an individual); dual or more citizenships (if applicable); and the Named Foreign Interest Holder’s direct and/or indirect equity and/or voting interests that are, or would be, held in the controlling U.S. parent of the Petitioner. These interests must be expressed and entered as percentages. The Petitioner may specify a range of interests, as explained below.
In circumstances where a Named Foreign Interest Holder’s direct and/or indirect equity and/or voting interests will consist of a range of interests at the time the petition is filed, enter the “Minimum” and the “Maximum” percentages. The percentages that you enter must consist only of whole numbers. Round as necessary for purposes of filling out this form.
In circumstances where a Named Foreign Interest Holder’s direct and/or indirect equity and/or voting interests will consist of a single number rather than a range, enter that number for both the “Minimum” and the “Maximum.” The percentages that you enter must consist only of whole numbers. Round as necessary for purposes of filling out this form.
Aggregate Foreign Ownership
Item 6d. Use the fillable fields in the chart to provide the estimate of the percentage of aggregate direct and/or indirect foreign equity interests and the aggregate direct and/or indirect foreign voting interests held or to be held in the petitioning Applicant, licensee, or spectrum lessee (where the Equity or Voting percentages consist of a single number rather than a range, enter that number for both the “Minimum” and “Maximum”).
Requests for Advance Approval
Item 6e. Select either “Yes” or “No” to indicate whether the petition requests advance approval under section 1.5001(k) of the rules, 47 CFR §1.5001(k), for a Named Foreign Interest Holder to increase its direct and/or indirect equity and/or voting interests in the controlling U.S. parent of the petitioning common carrier applicant(s), licensee(s), or spectrum lessees at some future time.
If “Yes,” use the fillable fields in the chart that will appear on your screen to provide the required information, including the respective percentages of equity and/or voting interests (rounded to two decimal places) for which the petition requests advance approval.
Enter the name of each Named Foreign Interest Holder for which the petition requests advance approval; country of organization or citizenship (in the case of an individual); dual or more citizenships (if applicable); and the direct and/or indirect equity and/or voting interests for which advance approval is requested. These interests must be expressed and entered as percentages, rounded to two decimal places. The Petitioner may specify a range of interests, as explained below.
In circumstances where the petition requests advance approval for a Named Foreign Interest Holder to increase its direct and/or indirect equity and/or voting interests within a range of interests, enter the “Minimum” and the “Maximum” percentages, rounded to two decimal places).
In circumstances where a Named Foreign Interest Holder’s request for advance approval consists of a single number rather than a range, enter that number for both the “Minimum” and the “Maximum” percentages, rounded to two decimal places.
Controlling Interests. Under section 1.5001(k)(1) of the rules, in circumstances where a Named Foreign Interest Holder holds, or would hold, after consummation of any transactions described in the petition, a de jure or de facto controlling interest in the controlling U.S. parent, the Petitioner may request advance approval for the foreign individual or entity to increase its interests, at some future time, up to any amount, including 100 percent of the direct and/or indirect equity and/or voting interests in the controlling U.S. parent.
Non-controlling Interests. Under section 1.5001(k)(2) of the rules, in circumstances where a Named Foreign Interest Holder holds, or would hold upon consummation of any transactions described in the petition, a non-controlling interest in the controlling U.S. parent, the Petitioner may request advance approval for the Named Foreign Interest Holder to increase its interests, at some future time, up to any non-controlling amount not to exceed 49.99 percent. The petition shall specify for the named foreign individual(s) or entity(ies) the maximum percentages of equity and/or voting interests for which advance approval is sought or, in lieu of a specific amount, shall state that the Petitioner requests advance approval for the named foreign individual(s) or entity(ies) to increase their interests up to and including a non-controlling 49.99 percent equity and/or voting interest in the controlling U.S. parent.
Item 7. Select either “Yes” or “No” to indicate whether the Petition qualifies for an exclusion from referral to the Executive Branch because the only reportable foreign ownership is through wholly owned intermediate holding companies and the ultimate ownership and control is held by U.S. citizens or entities.
Supplement II: If 47 CFR § 1.5000(a)(2) is Selected for Question 6
Item 6a. Select either “Yes” or “No” to indicate whether any individuals or entities hold, or would hold, directly 10 percent or more of the equity interests and/or voting interests, or a controlling interest, in the petitioning applicant, licensee, or spectrum lessee as specified in section 1.5001(e)(1) through (4) of the Commission’s rules. Equity and voting interests shall be calculated in accordance with the principles set forth in section 1.5002 of the Commission’s rules.
If “Yes,” use the refillable fields in the chart that will appear on your screen to provide the information requested for each individual or entity that holds an interest of the type described in Item 6a (referred to as a Disclosable Interest Holder in these instructions and in the corresponding Commission rules, sections 1.5001(e), (g)).
Enter the name of each Disclosable Interest Holder (name of entity or individual); country of organization or citizenship (in the case of an individual); dual or more citizenships (if applicable); and the Disclosable Interest Holder’s direct equity and voting interests that are, or would be, held in the Petitioner. These interests must be expressed and entered as percentages. The Petitioner may specify a range of interests, as explained below.
In circumstances where a Disclosable Interest Holder’s direct equity and/or voting interests will consist of a range of interests at the time the petition is filed, enter the “Minimum” and the “Maximum” percentages. The percentages that you enter must consist only of whole numbers. Round as necessary for purposes of filling out this form.
In circumstances where a Disclosable Interest Holder’s direct equity and/or voting interests will consist of a single number rather than a range, enter that number for both the “Minimum” and the “Maximum.” The percentages that you enter must consist only of whole numbers. Round as necessary for purposes of filling out this form.
Item 6b. Select either “Yes” or “No” to indicate whether any individuals or entities hold, or would hold, indirectly, through one or more intervening entities, 10 percent or more of the equity interests and/or voting interests, or a controlling interest in the petitioning applicant, licensee, or spectrum lessee as specified in section 1.5001(f)(1) through (3) of the Commission’s rules. Equity and voting interests shall be calculated in accordance with the principles set forth in section 1.5002 of the Commission’s rules
If the answer is “Yes,” use the refillable fields in the chart that will appear on your screen to provide the information requested for each individual or entity that holds an interest of the type described in Item 6b. (referred to as a Disclosable Interest Holder in these instructions and in the corresponding Commission rule Commission rules, sections 1.5001(f), (g)).
Enter the name of each Disclosable Interest Holder (name of entity or individual); country of organization or citizenship (in the case of an individual); dual or more citizenships (if applicable); and the Disclosable Interest Holder’s indirect equity and voting interests that are, or would be, held in the Petitioner. These interests must be expressed and entered as percentages. The Petitioner may specify a range of interests, as explained below.
In circumstances where a Disclosable Interest Holder’s indirect equity and/or voting interests will consist of a range of interests at the time the petition is filed, enter the “Minimum” and the “Maximum” percentages. The percentages that you enter must consist only of whole numbers. Round as necessary for purposes of filling out this form.
In circumstances where a Disclosable Interest Holder’s indirect equity and/or voting interests will consist of a single number rather than a range, enter that number for both the “Minimum” and the “Maximum.” The percentages that you enter must consist only of whole numbers. Round as necessary for purposes of filling out this form.
Requests for Specific Approval
Item 6c. Select either “Yes” or “No” to indicate whether the petition requests specific approval, under section 1.5001(i) of the rules, for one or more foreign individuals or foreign-organized entities that hold, or would hold, directly and/or indirectly, equity and/or voting interests in the petitioning common carrier applicant(s), licensee(s), or spectrum lessees.
If “Yes”, use the fillable fields in the chart that will appear on your screen to provide the information requested for each foreign individual and/or entity for which the petition requests specific approval (referred to in these instructions as a Named Foreign Interest Holder) and the respective percentages of equity and/or voting interests (to the nearest one percent) that each such foreign individual or entity holds, or would hold, directly and/or indirectly, in the petitioning common carrier applicant, licensee, or spectrum lessee.
Enter the name of the Named Foreign Interest Holder; country of organization or citizenship (in the case of an individual); dual or more citizenships (if applicable); and the Named Foreign Interest Holder’s direct and/or indirect equity and/or voting interests that are, or would be, held in the Petitioner. These interests must be expressed and entered as percentages. The Petitioner may specify a range of interests, as explained below.
In circumstances where a Named Foreign Interest Holder’s direct and/or indirect equity and/or voting interests will consist of a range of interests at the time the petition is filed, enter the “Minimum” and the “Maximum” percentages. The percentages that you enter must consist only of whole numbers. Round as necessary for purposes of filling out this form.
In circumstances where a Named Foreign Interest Holder’s direct and/or indirect equity and/or voting interests will consist of a single number rather than a range, enter that number for both the “Minimum” and the “Maximum.” The percentages that you enter must consist only of whole numbers. Round as necessary for purposes of filling out this form.
Aggregate Foreign Ownership
Item 6d. Use the fillable fields in the chart to provide the estimate of the percentage of aggregate direct and/or indirect foreign equity interests and the aggregate direct and/or indirect foreign voting interests held or to be held in the petitioning Applicant, licensee, or spectrum lessee (where the Equity or Voting percentages consist of a single number rather than a range, enter that number for both the "Minimum" and "Maximum").
Requests for Advance Approval
Item 6e. Select either “Yes” or “No” to identify whether the petition requests advance approval under section 1.5001(k) of the rules, 47 CFR §1.5001(k), for a Named Foreign Interest Holder to increase its direct and/or indirect equity and/or voting interests in the Petitioner at some future time.
If the answer is “Yes,” use the fillable fields in the chart that will appear on your screen to provide the required information, including the respective percentages of equity and/or voting interests (rounded to two decimal places) for which the petition requests advance approval.
Enter the name of each Named Foreign Interest Holder for which the petition requests advance approval; country of organization or citizenship (in the case of an individual); dual or more citizenships (if applicable); and the direct and/or indirect equity and/or voting interests for which advance approval is requested. These interests must be expressed and entered as percentages, rounded to two decimal places. The Petitioner may specify a range of interests, as explained below.
In circumstances where the petition requests advance approval for a Named Foreign Interest Holder to increase its direct and/or indirect equity and/or voting interests within a range of interests, enter the “Minimum” and the “Maximum” percentages, rounded to two decimal places).
In circumstances where a Named Foreign Interest Holder’s request for advance approval consists of a single number rather than a range, enter that number for both the “Minimum” and the “Maximum” percentages, rounded to two decimal places.
Non-controlling Interests. Under section 1.5001(k)(2) of the rules, in circumstances where a Named Foreign Interest Holder holds, or would hold upon consummation of any transactions described in the petition, a non-controlling interest in the Petitioner, the Petitioner may request advance approval for the Named Foreign Interest Holder to increase its interests, at some future time, up to any non-controlling amount not to exceed 49.99 percent. The petition shall specify for the named foreign individual(s) or entity(ies) the maximum percentages of equity and/or voting interests for which advance approval is sought or, in lieu of a specific amount, shall state that the Petitioner requests advance approval for the named foreign individual(s) or entity(ies) to increase their interests up to and including a non-controlling 49.99 percent equity and/or voting interest in the petitioning common carrier applicant, licensee, or spectrum lessee.
Item 7. Select either “Yes” or “No” to indicate whether the Petition qualifies for an exclusion from referral to the Executive Branch because the only reportable foreign ownership is through wholly owned intermediate holding companies and the ultimate ownership and control is held by U.S. citizens or entities.
August 2024
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| Author | Denise Coca |
| File Modified | 0000-00-00 |
| File Created | 2024-09-06 |