Agency Information Collection Activities: Proposed Collection Renewals; Comment Request (3064-0030, -0104 & -0122), 42353-42356 [2016-15294]
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Federal Register / Vol. 81, No. 125 / Wednesday, June 29, 2016 / Notices
collection techniques or other forms of
information technology; and ways to
further reduce the information
collection burden on small business
concerns with fewer than 25 employees.
The FCC may not conduct or sponsor
a collection of information unless it
displays a currently valid OMB control
number. No person shall be subject to
any penalty for failing to comply with
a collection of information subject to the
PRA that does not display a valid OMB
control number.
DATES: Written comments should be
submitted on or before July 29, 2016. If
you anticipate that you will be
submitting comments, but find it
difficult to do so within the period of
time allowed by this notice, you should
advise the contacts below as soon as
possible.
ADDRESSES: Direct all PRA comments to
Nicholas A. Fraser, OMB, via email
Nicholas_A._Fraser@omb.eop.gov; and
to Cathy Williams, FCC, via email PRA@
fcc.gov and to Cathy.Williams@fcc.gov.
Include in the comments the OMB
control number as shown in the
‘‘Supplementary Information’’ section
below.
FOR FURTHER INFORMATION CONTACT: For
additional information or copies of the
information collection, contact Cathy
Williams at (202) 418–2918. To view a
copy of this information collection
request (ICR) submitted to OMB: (1) Go
to the Web page <https://
www.reginfo.gov/public/do/PRAMain>,
(2) look for the section of the Web page
called ‘‘Currently Under Review,’’ (3)
click on the downward-pointing arrow
in the ‘‘Select Agency’’ box below the
‘‘Currently Under Review’’ heading, (4)
select ‘‘Federal Communications
Commission’’ from the list of agencies
presented in the ‘‘Select Agency’’ box,
(5) click the ‘‘Submit’’ button to the
right of the ‘‘Select Agency’’ box, (6)
when the list of FCC ICRs currently
under review appears, look for the OMB
control number of this ICR and then
click on the ICR Reference Number. A
copy of the FCC submission to OMB
will be displayed.
SUPPLEMENTARY INFORMATION:
OMB Control Number: 3060–0975.
Title: Sections 68.105 and 1.4000,
Promotion of Competitive Networks in
Local Telecommunications Markets
Multiple Tenant Environments (MTEs).
Form Number: N/A.
Type of Review: Extension of a
currently approved collection.
Respondents: Business or other forprofit, not-for-profit institutions, and
state, local and tribal government.
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Number of Respondents: 6,916
respondents; 249,833 responses.
Estimated Time per Response: .5–10
hours.
Frequency of Response: On occasion
reporting requirement and third party
disclosure requirement.
Obligation to Respond: Required to
obtain or retain benefits. Statutory
authority for this information collection
is contained in 47 U.S.C. 151 and the
Telecommunications Act of 1996,
Public Law 104–104.
Total Annual Burden: 178,297 hours.
Total Annual Cost: No cost.
Privacy Act Impact Assessment: No
impact(s).
Nature and Extent of Confidentiality:
There is no need for confidentiality with
this collection of information.
Needs and Uses: This information
will facilitate efficient interaction
between premises owners and local
exchange carriers (LECs) regarding the
placement of the demarcation point,
which marks the end of wiring under
control of the LEC and the beginning of
wiring under the control of the premises
owner or subscriber. The demarcation
point is a critical point of
interconnection where competitive
LECs can gain access to the inside
wiring of the building to provide service
to customers in the building. This
collection will also help ensure that
customer-end antennas used for
telecommunications service comply
with the Commission’s limits on
radiofrequency exposure, and it will
provide the Commission with
information on the state of the market.
In short, this information will be used
to foster competition in local
telecommunications markets by
ensuring that competing
telecommunications providers are able
to provide services to customers in
multiple tenant environments.
Federal Communications Commission.
Marlene H. Dortch,
Secretary. Office of the Secretary.
[FR Doc. 2016–15337 Filed 6–28–16; 8:45 am]
BILLING CODE 6712–01–P
FEDERAL DEPOSIT INSURANCE
CORPORATION
Agency Information Collection
Activities: Proposed Collection
Renewals; Comment Request (3064–
0030, –0104 & –0122)
Federal Deposit Insurance
Corporation (FDIC).
ACTION: Notice and request for comment.
AGENCY:
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42353
The FDIC, as part of its
continuing effort to reduce paperwork
and respondent burden, invites the
general public and other Federal
agencies to take this opportunity to
comment on the renewal of existing
information collections, as required by
the Paperwork Reduction Act of 1995.
Currently, the FDIC is soliciting
comment on the renewal of the
information collections described
below.
SUMMARY:
Comments must be submitted on
or before August 29, 2016.
DATES:
Interested parties are
invited to submit written comments to
the FDIC by any of the following
methods:
• https://www.FDIC.gov/regulations/
laws/federal/.
• Email: comments@fdic.gov. Include
the name and number of the collection
in the subject line of the message.
• Mail: Manny Cabeza
(202.898.3767), Counsel MB–3105,
Federal Deposit Insurance Corporation,
550 17th Street NW., Washington, DC
20429.
• Hand Delivery: Comments may be
hand-delivered to the guard station at
the rear of the 17th Street Building
(located on F Street), on business days
between 7:00 a.m. and 5:00 p.m.
All comments should refer to the
relevant OMB control number. A copy
of the comments may also be submitted
to the OMB desk officer for the FDIC:
Office of Information and Regulatory
Affairs, Office of Management and
Budget, New Executive Office Building,
Washington, DC 20503.
ADDRESSES:
FOR FURTHER INFORMATION CONTACT:
Manny Cabeza, at the FDIC address
above.
Proposal
to renew the following currentlyapproved collections of information:
1. Title: Securities of Insured
Nonmember Banks and State Savings
Associations.
OMB Number: 3064–0030.
Affected Public: Generally, any issuer
of securities, reporting company, or
shareholder of an issuer registered
under the Securities Exchange Act of
1934 with respect to securities
registered under 12 CFR part 335.
Annual Number of Respondents: 396
separate respondents, some filing
multiple forms, resulting in 535
estimated total annual responses.
Burden Estimate:
SUPPLEMENTARY INFORMATION:
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Federal Register / Vol. 81, No. 125 / Wednesday, June 29, 2016 / Notices
Estimated
number of
responses
Form 3—Initial Statement of Beneficial Ownership.
Form 4—Statement of Changes in Beneficial
Ownership.
Form 5—Annual Statement of Beneficial Ownership.
Form 8–A .............................................................
Form 8–C .............................................................
Form 8–K .............................................................
Form 10 ................................................................
Form 10–C ...........................................................
Form10–K .............................................................
Form 10–Q ...........................................................
Form 12b–25 ........................................................
Form 15 ................................................................
Form 25 ................................................................
Schedule 13D .......................................................
Schedule 13E–3 ...................................................
Schedule 13G ......................................................
Schedule 14A .......................................................
Schedule 14C .......................................................
Schedule 14D–1 (Schedule TO) ..........................
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Frequency of response
Number of
responses
per year
Estimated
burden
58
1
On Occasion .................
1
58
297
0.5
On Occasion .................
4
594
69
1
Annual ...........................
1
69
2
2
21
2
1
21
21
6
2
2
2
2
2
21
2
2
3
2
2
215
1
140
100
3
1
1
3
3
3
40
40
5
On Occasion .................
On Occasion .................
On Occasion .................
On Occasion .................
On Occasion .................
Annual ...........................
Quarterly .......................
On Occasion .................
On Occasion .................
On Occasion .................
On Occasion .................
On Occasion .................
On Occasion .................
Annual ...........................
On Occasion .................
On Occasion .................
2
1
4
1
1
1
3
1
1
1
1
1
1
1
1
1
12
4
168
430
1
2,940
6,300
18
2
2
6
6
6
840
80
10
535
Totals ............................................................
General Description: Section 12(i) of
the Securities Exchange Act of 1934, as
amended, (the ‘‘Exchange Act’’) grants
authority to the Federal banking
agencies to administer and enforce
Sections 10A(m), 12, 13, 14(a), 14(c),
14(d), 14(f), and 16 of the Exchange Act
and Sections 302, 303, 304, 306, 401(b),
404, 406, and 407 of the Sarbanes-Oxley
Act of 2002. Pursuant to Section 12(i),
the FDIC has the authority, including
rulemaking authority, to administer and
enforce these enumerated provisions as
may be necessary with respect to state
nonmember banks and state savings
associations over which it has been
designated the appropriate Federal
banking agency. Section 12(i) generally
requires the FDIC to issue regulations
substantially similar to those issued by
the Securities and Exchange
Commission (‘‘SEC’’) to carry out these
responsibilities. Thus, Part 335 of the
FDIC regulations incorporates by crossreference the SEC rules and regulations
regarding the disclosure and filing
requirements of registered securities of
state nonmember banks and state
savings associations.
This information collection includes
the following:
Beneficial Ownership Forms: FDIC
Forms 3, 4, and 5 (FDIC Form Numbers
6800/03, 6800/04, and 6800/05.)
Pursuant to Section 16 of the Exchange
Act, every director, officer, and owner of
more than ten percent of a class of
equity securities registered with the
FDIC under Section 12 of the Exchange
Act must file with the FDIC a statement
of ownership regarding such securities.
Hours per
response
........................
.......................................
........................
11,546
The initial filing is on Form 3 and
changes are reported on Form 4. The
Annual Statement of beneficial
ownership of securities is on Form 5.
The forms contain information on the
reporting person’s relationship to the
company and on purchases and sales of
such equity securities. 12 CFR Sections
335.601 through 336.613 of the FDIC’s
regulations, which cross-reference 17
CFR 240.16a of the SEC’s regulations,
provide the FDIC form requirements for
FDIC Forms 3, 4, and 5 in lieu of SEC
Forms 3, 4, and 5, which are described
at 17 CFR 249.103 (Form 3), 249.104
(Form 4), and 249.105 (Form 5).
Forms 8–A and 8–C for Registration of
Certain Classes of Securities. Form 8–A
is used for registration of any class of
securities of any issuer which is
required to file reports pursuant to
Section 13 or 15(d) of the Exchange Act,
pursuant to Section 12(b) or (g) of the
Exchange Act, or pursuant to an order
exempting the exchange on which the
issuer has securities listed from
registration as a national securities
exchange. Form 8–C has been replaced
by Form 8–A. Form 8–A is described at
17 CFR 249.208a.
Form 8–K: Current Report. This is the
current report that is used to report the
occurrence of any material events or
corporate changes that are of importance
to investors or security holders and have
not been reported previously by the
registrant. It provides more current
information on certain specified events
than would Forms 10–Q and 10–K. The
form description is at 17 CFR 249.308.
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Forms 10 and 10–C: Forms for
Registration of Securities. Form 10 is the
general reporting form for registration of
securities pursuant to section 12(b) or
(g) of the Exchange Act, of classes of
securities of issuers for which no other
reporting form is prescribed. It requires
certain business and financial
information about the issuer. Form 10–
C has been replaced by Form 10. Form
10 is described at 17 CFR 249.210.
Form 10–K: Annual Report. This
annual report is used by issuers
registered under the Exchange Act to
provide information described in
Regulation S–K, 17 CFR 229. The form
is described at 17 CFR 249.310.
Form 10–Q: Quarterly Reports. The
Form 10–Q is a report filed quarterly by
most reporting companies. It includes
unaudited financial statements and
provides a continuing overview of major
changes in the company’s financial
position during the year, as compared to
the prior corresponding period. The
report must be filed for each of the first
three fiscal quarters of the company’s
fiscal year and is due within 40 or 45
days of the close of the quarter,
depending on the size of the reporting
company. The description of Form 10–
Q is at 17 CFR 249.308a.
Form 12b–25: Notification of Late
Filing. This notification extends the
reporting deadlines for filing quarterly
and annual reports for qualifying
companies. The form is described at 17
CFR 249.322.
Form 15: Certification and Notice of
Termination of Registration. This form
is filed by each issuer to certify that the
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Federal Register / Vol. 81, No. 125 / Wednesday, June 29, 2016 / Notices
number of holders of record of a class
of security registered under section
12(g) of the Exchange Act is reduced to
a specified level in order to terminate
the registration of the class of security.
For a bank, the number of holders of
record of a class of registered security
must be reduced to less than 1,200
persons. For a savings association, the
number of record holders of a class of
registered security must be reduced to
(1) less than 300 persons or (2) less than
500 persons and the total assets of the
issuer have not exceeded $10 million on
the last day of each of the issuer’s most
recent three fiscal years. In general,
registration terminates 90 days after the
filing of the certification. This form is
described at 17 CFR 249.323.
Schedule 13D: Certain Beneficial
Ownership Changes. This Schedule
discloses beneficial ownership of
certain registered equity securities. Any
person or group of persons who acquire
a beneficial ownership of more than 5
percent of a class of registered equity
securities of certain issuers must file a
Schedule 13D reporting such
acquisition together with certain other
information within ten days after such
acquisition. Moreover, any material
changes in the facts set forth in the
Schedule generally precipitates a duty
to promptly file an amendment on
Schedule 13D. The SEC’s rules define
the term beneficial owner to be any
person who directly or indirectly shares
voting power or investment power (the
power to sell the security). This
schedule is described at 17 CFR
240.13d–101.
Schedule 13E–3: Going Private
Transactions by Certain Issuers or Their
Affiliates. This schedule must be filed if
an issuer engages in a solicitation
subject to Regulation 14A or a
distribution subject to Regulation 14C,
in connection with a going private
merger with its affiliate. An affiliate and
an issuer may be required to complete,
file, and disseminate a Schedule 13E–3,
which directs that each person filing the
schedule state whether it reasonably
believes that the Rule 13e-3 transaction
is fair or unfair to unaffiliated security
holders. This schedule is described at
17 CFR 240.13e–100.
Schedule 13G: Certain Acquisitions of
Stock. Certain acquisitions of stock that
are more than 5 percent of an issuer’s
stock must be reported to the public.
Schedule 13G is a much abbreviated
version of Schedule 13D that is only
available for use by a limited category
of persons (such as banks, broker/
dealers, and insurance companies) and
even then only when the securities were
acquired in the ordinary course of
business and not with the purpose or
effect of changing or influencing the
control of the issuer. This schedule is
described at 17 CFR 240.13d–102.
Schedule 14A: Proxy Statements.
State law governs the circumstances
under which shareholders are entitled
to vote. When a shareholder vote is
required and any person solicits proxies
with respect to securities registered
under Section 12 of the Exchange Act,
that person generally is required to
furnish a proxy statement containing the
information specified by Schedule 14A.
The proxy statement is intended to
provide shareholders with the proxy
information necessary to enable them to
vote in an informed manner on matters
intended to be acted upon at
shareholders’ meetings, whether the
traditional annual meeting or a special
meeting. Typically, a shareholder is also
provided with a proxy card to authorize
designated persons to vote his or her
securities on the shareholder’s behalf in
the event the holder does not vote in
person at the meeting. Copies of
preliminary and definitive (final) proxy
statements and proxy cards are filed
with the FDIC. The description of this
schedule is at 17 CFR 240.14a–101.
Schedule 14C: Information Required
in Information Statements. An
information statement prepared in
accordance with the requirements of the
SEC’s Regulation 14C is required
whenever matters are submitted for
shareholder action at an annual or
special meeting when there is no proxy
solicitation under the SEC’s Regulation
14A. This schedule is described at 17
CFR 240.14c–101.
Schedule 14D–1: Tender Offer. This
schedule is also known as Schedule TO.
Any person, other than the issuer itself,
making a tender offer for equity
securities registered pursuant to Section
12 of the Exchange Act, is required to
file this schedule if acceptance of the
offer would cause that person to own
over 5 percent of that class of the
securities. This schedule must be filed
and sent to various parties, such as the
issuer and any competing bidders. In
addition, the SEC’s Regulation 14D sets
forth certain requirements that must be
complied with in connection with a
tender offer. This schedule is described
at 17 CFR 240.14d–100.
2. Title: Activities and Investments of
Savings Associations.
OMB Number: 3064–0104.
Affected Public: Insured financial
institutions.
Estimated Number of Respondents:
19.
Frequency of Response: On occasion.
Estimated Annual Burden Hours per
Response: 12 hours.
Total Estimated Annual Burden: 228
hours.
General Description of Collection:
Section 28 of the FDI Act (12 U.S.C.
1831e) imposes restrictions on the
powers of savings associations, which
reduce the risk of loss to the deposit
insurance funds and eliminate some
differences between the powers of state
associations and those of federal
associations. Some of the restrictions
apply to all insured savings associations
and some to state chartered associations
only. The statute exempts some federal
savings banks and associations from the
restrictions, and provides for the FDIC
to grant exemptions to other
associations under certain
circumstances. In addition, Section
18(m) of the FDI Act (12 U.S.C. 1828(m))
requires that notice be given to the FDIC
prior to an insured savings association
(state or federal) acquiring, establishing,
or conducting new activities through a
subsidiary.
3. Title: Forms Relating to FDIC
Outside Counsel Legal Support and
Expert Services Programs.
OMB Number: 3064–0122.
Affected Public: Entities providing
legal and expert services to the FDIC.
Frequency of Response: On occasion.
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ESTIMATED NUMBER OF RESPONDENTS AND BURDEN HOURS
Estimated
number of
respondents
FDIC Document No.
5000/26
5000/31
5000/33
5000/35
5200/01
5210/01
........................................................................................................................................
........................................................................................................................................
........................................................................................................................................
........................................................................................................................................
........................................................................................................................................
........................................................................................................................................
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85
376
63
722
500
100
29JNN1
Estimated
hours per
response
0.5
0.5
0.5
0.5
0.75
0.5
Hours of
burden
42.5
188
31.5
361
375
50
42356
Federal Register / Vol. 81, No. 125 / Wednesday, June 29, 2016 / Notices
ESTIMATED NUMBER OF RESPONDENTS AND BURDEN HOURS—Continued
Estimated
number of
respondents
FDIC Document No.
Estimated
hours per
response
Hours of
burden
5210/02 ........................................................................................................................................
5210/03 ........................................................................................................................................
5210/03A ......................................................................................................................................
5210/04 ........................................................................................................................................
5210/04A ......................................................................................................................................
5210/06 ........................................................................................................................................
5210/06(A) ...................................................................................................................................
5210/08 ........................................................................................................................................
5210/09 ........................................................................................................................................
5210/10 ........................................................................................................................................
5210/10(A) ...................................................................................................................................
5210/11 ........................................................................................................................................
5210/12 ........................................................................................................................................
5210/12A ......................................................................................................................................
5210/14 ........................................................................................................................................
5210/15 ........................................................................................................................................
55
50
50
200
200
100
100
240
100
100
100
100
100
100
100
25
0.5
1
1
1
1
1
1
0.5
1
1
1
1
1
1
0.5
0.5
27.5
50
50
200
200
100
100
120
100
100
100
100
100
100
50
12.5
Total ......................................................................................................................................
3,556
........................
2,558
General Description: The information
collected enables the FDIC to ensure
that all individuals, businesses and
firms seeking to provide legal support
services to the FDIC meet the eligibility
requirements established by Congress.
The information is also used to manage
and monitor payments to contractors,
document contract amendments,
expiration dates, billable individuals,
minority law firms, and to ensure that
law firms, experts, and other legal
support services providers comply with
statutory and regulatory requirements.
Request for Comment
mstockstill on DSK3G9T082PROD with NOTICES
Comments are invited on: (a) Whether
the collections of information are
necessary for the proper performance of
the FDIC’s functions, including whether
the information has practical utility; (b)
the accuracy of the estimates of the
burden of the collections of information,
including the validity of the
methodology and assumptions used; (c)
ways to enhance the quality, utility, and
clarity of the information to be
collected; and (d) ways to minimize the
burden of the collections of information
on respondents, including through the
use of automated collection techniques
or other forms of information
technology. All comments will become
a matter of public record.
Dated at Washington, DC, this 23rd day of
June 2016.
Federal Deposit Insurance Corporation.
Robert E. Feldman,
Executive Secretary.
[FR Doc. 2016–15294 Filed 6–28–16; 8:45 am]
BILLING CODE 6714–01–P
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Jkt 238001
FEDERAL MARITIME COMMISSION
Notice of Agreements Filed
The Commission hereby gives notice
of the filing of the following agreements
under the Shipping Act of 1984.
Interested parties may submit comments
on the agreements to the Secretary,
Federal Maritime Commission,
Washington, DC 20573, within twelve
days of the date this notice appears in
the Federal Register. Copies of the
agreements are available through the
Commission’s Web site (www.fmc.gov)
or by contacting the Office of
Agreements at (202) 523–5793 or
tradeanalysis@fmc.gov.
Agreement No.: 008005–013.
Title: New York Terminal Conference
Agreement.
Parties: American Stevedoring Inc.;
APM Terminals Elizabeth, LLC; Port
Newark Container Terminal LLC; GCT
Bayonne LP; GCT New York LP; and
Red Hook Container Terminal, LLC.
Filing Party: Samuel Eric Lee; Holland
& Knight LLP; 800 17th Street, Suite
1100, Washington, DC 20006.
Synopsis: The amendment appoints a
new agent consistent with the terms of
the Agreement.
Agreement No.: 012224–001.
Title: Seaboard/King Ocean Space
Charter Agreement.
Parties: Seaboard Marine Ltd. and
King Ocean Services Limited, Inc.
Filing Party: Wayne R. Rohde, Esq.;
Cozen O’Connor; 1200 Nineteenth St.
NW., Washington, DC 20036.
Synopsis: The amendment would
reduce the amount of space to be
chartered and revise Article 7 to extend
the minimum duration of the
Agreement.
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Agreement No.: 012418.
Title: CMA CGM/ELJSA Slot
Exchange Agreement Asia—U.S. East
Coast.
Parties: CMA CGM S.A. and ELJSA
Line Joint Service Agreement.
Filing Party: Paul M. Keane, Esq.;
Cichanowicz, Callan, Keane & DeMay,
LLP; 50 Main Street, Suite 1045, White
Plains, NY 10606.
Synopsis: The Agreement authorizes
the parties to exchange slots in the trade
between the U.S. East and Gulf Coasts
on the one hand, and Singapore, China,
Korea, and Panama on the other hand.
Agreement No.: 012419.
Title: Sealand/ELJSA Vessel Sharing
Agreement.
Parties: Maersk Line A/S, d/b/a
Sealand and Evergreen Line Joint
Service Agreement.
Filing Party: Wayne R. Rohde, Esq.;
Cozen O’Conner; 1200 Nineteenth Street
NW., Washington, DC 20036.
Synopsis: The agreement authorizes
the parties to share vessels in the trade
between Puerto Rico on the one hand
and ports in Panama and the Dominican
Republic on the other hand.
Agreement No.: 012420.
Title: Port of New York/New Jersey
Equipment Optimization Discussion
Agreement.
Parties: Ocean Carrier Equipment
Management Association Agreement
(OCEMA) and the Port Authority of New
York and New Jersey (Port Authority).
Filing Party: Jeffrey F. Lawrence and
Donald J. Kassilke; Cozen O’Connor;
1200 Nineteenth Street NW.,
Washington, DC 20036.
Synopsis: The Agreement would
authorize the Parties to collect and
exchange information, discuss, and
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]]>Agencies
[Federal Register Volume 81, Number 125 (Wednesday, June 29, 2016)]
[Notices]
[Pages 42353-42356]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-15294]
=======================================================================
-----------------------------------------------------------------------
FEDERAL DEPOSIT INSURANCE CORPORATION
Agency Information Collection Activities: Proposed Collection
Renewals; Comment Request (3064-0030, -0104 & -0122)
AGENCY: Federal Deposit Insurance Corporation (FDIC).
ACTION: Notice and request for comment.
-----------------------------------------------------------------------
SUMMARY: The FDIC, as part of its continuing effort to reduce paperwork
and respondent burden, invites the general public and other Federal
agencies to take this opportunity to comment on the renewal of existing
information collections, as required by the Paperwork Reduction Act of
1995. Currently, the FDIC is soliciting comment on the renewal of the
information collections described below.
DATES: Comments must be submitted on or before August 29, 2016.
ADDRESSES: Interested parties are invited to submit written comments to
the FDIC by any of the following methods:
https://www.FDIC.gov/regulations/laws/federal/.
Email: comments@fdic.gov. Include the name and number of
the collection in the subject line of the message.
Mail: Manny Cabeza (202.898.3767), Counsel MB-3105,
Federal Deposit Insurance Corporation, 550 17th Street NW., Washington,
DC 20429.
Hand Delivery: Comments may be hand-delivered to the guard
station at the rear of the 17th Street Building (located on F Street),
on business days between 7:00 a.m. and 5:00 p.m.
All comments should refer to the relevant OMB control number. A
copy of the comments may also be submitted to the OMB desk officer for
the FDIC: Office of Information and Regulatory Affairs, Office of
Management and Budget, New Executive Office Building, Washington, DC
20503.
FOR FURTHER INFORMATION CONTACT: Manny Cabeza, at the FDIC address
above.
SUPPLEMENTARY INFORMATION: Proposal to renew the following currently-
approved collections of information:
1. Title: Securities of Insured Nonmember Banks and State Savings
Associations.
OMB Number: 3064-0030.
Affected Public: Generally, any issuer of securities, reporting
company, or shareholder of an issuer registered under the Securities
Exchange Act of 1934 with respect to securities registered under 12 CFR
part 335.
Annual Number of Respondents: 396 separate respondents, some filing
multiple forms, resulting in 535 estimated total annual responses.
Burden Estimate:
[[Page 42354]]
----------------------------------------------------------------------------------------------------------------
Estimated Number of
number of Hours per Frequency of responses per Estimated
responses response response year burden
----------------------------------------------------------------------------------------------------------------
Form 3--Initial Statement of 58 1 On Occasion..... 1 58
Beneficial Ownership.
Form 4--Statement of Changes 297 0.5 On Occasion..... 4 594
in Beneficial Ownership.
Form 5--Annual Statement of 69 1 Annual.......... 1 69
Beneficial Ownership.
Form 8-A...................... 2 3 On Occasion..... 2 12
Form 8-C...................... 2 2 On Occasion..... 1 4
Form 8-K...................... 21 2 On Occasion..... 4 168
Form 10....................... 2 215 On Occasion..... 1 430
Form 10-C..................... 1 1 On Occasion..... 1 1
Form10-K...................... 21 140 Annual.......... 1 2,940
Form 10-Q..................... 21 100 Quarterly....... 3 6,300
Form 12b-25................... 6 3 On Occasion..... 1 18
Form 15....................... 2 1 On Occasion..... 1 2
Form 25....................... 2 1 On Occasion..... 1 2
Schedule 13D.................. 2 3 On Occasion..... 1 6
Schedule 13E-3................ 2 3 On Occasion..... 1 6
Schedule 13G.................. 2 3 On Occasion..... 1 6
Schedule 14A.................. 21 40 Annual.......... 1 840
Schedule 14C.................. 2 40 On Occasion..... 1 80
Schedule 14D-1 (Schedule TO).. 2 5 On Occasion..... 1 10
---------------------------------------------------------------------------------
Totals.................... 535 .............. ................ .............. 11,546
----------------------------------------------------------------------------------------------------------------
General Description: Section 12(i) of the Securities Exchange Act
of 1934, as amended, (the ``Exchange Act'') grants authority to the
Federal banking agencies to administer and enforce Sections 10A(m), 12,
13, 14(a), 14(c), 14(d), 14(f), and 16 of the Exchange Act and Sections
302, 303, 304, 306, 401(b), 404, 406, and 407 of the Sarbanes-Oxley Act
of 2002. Pursuant to Section 12(i), the FDIC has the authority,
including rulemaking authority, to administer and enforce these
enumerated provisions as may be necessary with respect to state
nonmember banks and state savings associations over which it has been
designated the appropriate Federal banking agency. Section 12(i)
generally requires the FDIC to issue regulations substantially similar
to those issued by the Securities and Exchange Commission (``SEC'') to
carry out these responsibilities. Thus, Part 335 of the FDIC
regulations incorporates by cross-reference the SEC rules and
regulations regarding the disclosure and filing requirements of
registered securities of state nonmember banks and state savings
associations.
This information collection includes the following:
Beneficial Ownership Forms: FDIC Forms 3, 4, and 5 (FDIC Form
Numbers 6800/03, 6800/04, and 6800/05.) Pursuant to Section 16 of the
Exchange Act, every director, officer, and owner of more than ten
percent of a class of equity securities registered with the FDIC under
Section 12 of the Exchange Act must file with the FDIC a statement of
ownership regarding such securities. The initial filing is on Form 3
and changes are reported on Form 4. The Annual Statement of beneficial
ownership of securities is on Form 5. The forms contain information on
the reporting person's relationship to the company and on purchases and
sales of such equity securities. 12 CFR Sections 335.601 through
336.613 of the FDIC's regulations, which cross-reference 17 CFR 240.16a
of the SEC's regulations, provide the FDIC form requirements for FDIC
Forms 3, 4, and 5 in lieu of SEC Forms 3, 4, and 5, which are described
at 17 CFR 249.103 (Form 3), 249.104 (Form 4), and 249.105 (Form 5).
Forms 8-A and 8-C for Registration of Certain Classes of
Securities. Form 8-A is used for registration of any class of
securities of any issuer which is required to file reports pursuant to
Section 13 or 15(d) of the Exchange Act, pursuant to Section 12(b) or
(g) of the Exchange Act, or pursuant to an order exempting the exchange
on which the issuer has securities listed from registration as a
national securities exchange. Form 8-C has been replaced by Form 8-A.
Form 8-A is described at 17 CFR 249.208a.
Form 8-K: Current Report. This is the current report that is used
to report the occurrence of any material events or corporate changes
that are of importance to investors or security holders and have not
been reported previously by the registrant. It provides more current
information on certain specified events than would Forms 10-Q and 10-K.
The form description is at 17 CFR 249.308.
Forms 10 and 10-C: Forms for Registration of Securities. Form 10 is
the general reporting form for registration of securities pursuant to
section 12(b) or (g) of the Exchange Act, of classes of securities of
issuers for which no other reporting form is prescribed. It requires
certain business and financial information about the issuer. Form 10-C
has been replaced by Form 10. Form 10 is described at 17 CFR 249.210.
Form 10-K: Annual Report. This annual report is used by issuers
registered under the Exchange Act to provide information described in
Regulation S-K, 17 CFR 229. The form is described at 17 CFR 249.310.
Form 10-Q: Quarterly Reports. The Form 10-Q is a report filed
quarterly by most reporting companies. It includes unaudited financial
statements and provides a continuing overview of major changes in the
company's financial position during the year, as compared to the prior
corresponding period. The report must be filed for each of the first
three fiscal quarters of the company's fiscal year and is due within 40
or 45 days of the close of the quarter, depending on the size of the
reporting company. The description of Form 10-Q is at 17 CFR 249.308a.
Form 12b-25: Notification of Late Filing. This notification extends
the reporting deadlines for filing quarterly and annual reports for
qualifying companies. The form is described at 17 CFR 249.322.
Form 15: Certification and Notice of Termination of Registration.
This form is filed by each issuer to certify that the
[[Page 42355]]
number of holders of record of a class of security registered under
section 12(g) of the Exchange Act is reduced to a specified level in
order to terminate the registration of the class of security. For a
bank, the number of holders of record of a class of registered security
must be reduced to less than 1,200 persons. For a savings association,
the number of record holders of a class of registered security must be
reduced to (1) less than 300 persons or (2) less than 500 persons and
the total assets of the issuer have not exceeded $10 million on the
last day of each of the issuer's most recent three fiscal years. In
general, registration terminates 90 days after the filing of the
certification. This form is described at 17 CFR 249.323.
Schedule 13D: Certain Beneficial Ownership Changes. This Schedule
discloses beneficial ownership of certain registered equity securities.
Any person or group of persons who acquire a beneficial ownership of
more than 5 percent of a class of registered equity securities of
certain issuers must file a Schedule 13D reporting such acquisition
together with certain other information within ten days after such
acquisition. Moreover, any material changes in the facts set forth in
the Schedule generally precipitates a duty to promptly file an
amendment on Schedule 13D. The SEC's rules define the term beneficial
owner to be any person who directly or indirectly shares voting power
or investment power (the power to sell the security). This schedule is
described at 17 CFR 240.13d-101.
Schedule 13E-3: Going Private Transactions by Certain Issuers or
Their Affiliates. This schedule must be filed if an issuer engages in a
solicitation subject to Regulation 14A or a distribution subject to
Regulation 14C, in connection with a going private merger with its
affiliate. An affiliate and an issuer may be required to complete,
file, and disseminate a Schedule 13E-3, which directs that each person
filing the schedule state whether it reasonably believes that the Rule
13e-3 transaction is fair or unfair to unaffiliated security holders.
This schedule is described at 17 CFR 240.13e-100.
Schedule 13G: Certain Acquisitions of Stock. Certain acquisitions
of stock that are more than 5 percent of an issuer's stock must be
reported to the public. Schedule 13G is a much abbreviated version of
Schedule 13D that is only available for use by a limited category of
persons (such as banks, broker/dealers, and insurance companies) and
even then only when the securities were acquired in the ordinary course
of business and not with the purpose or effect of changing or
influencing the control of the issuer. This schedule is described at 17
CFR 240.13d-102.
Schedule 14A: Proxy Statements. State law governs the circumstances
under which shareholders are entitled to vote. When a shareholder vote
is required and any person solicits proxies with respect to securities
registered under Section 12 of the Exchange Act, that person generally
is required to furnish a proxy statement containing the information
specified by Schedule 14A. The proxy statement is intended to provide
shareholders with the proxy information necessary to enable them to
vote in an informed manner on matters intended to be acted upon at
shareholders' meetings, whether the traditional annual meeting or a
special meeting. Typically, a shareholder is also provided with a proxy
card to authorize designated persons to vote his or her securities on
the shareholder's behalf in the event the holder does not vote in
person at the meeting. Copies of preliminary and definitive (final)
proxy statements and proxy cards are filed with the FDIC. The
description of this schedule is at 17 CFR 240.14a-101.
Schedule 14C: Information Required in Information Statements. An
information statement prepared in accordance with the requirements of
the SEC's Regulation 14C is required whenever matters are submitted for
shareholder action at an annual or special meeting when there is no
proxy solicitation under the SEC's Regulation 14A. This schedule is
described at 17 CFR 240.14c-101.
Schedule 14D-1: Tender Offer. This schedule is also known as
Schedule TO. Any person, other than the issuer itself, making a tender
offer for equity securities registered pursuant to Section 12 of the
Exchange Act, is required to file this schedule if acceptance of the
offer would cause that person to own over 5 percent of that class of
the securities. This schedule must be filed and sent to various
parties, such as the issuer and any competing bidders. In addition, the
SEC's Regulation 14D sets forth certain requirements that must be
complied with in connection with a tender offer. This schedule is
described at 17 CFR 240.14d-100.
2. Title: Activities and Investments of Savings Associations.
OMB Number: 3064-0104.
Affected Public: Insured financial institutions.
Estimated Number of Respondents: 19.
Frequency of Response: On occasion.
Estimated Annual Burden Hours per Response: 12 hours.
Total Estimated Annual Burden: 228 hours.
General Description of Collection: Section 28 of the FDI Act (12
U.S.C. 1831e) imposes restrictions on the powers of savings
associations, which reduce the risk of loss to the deposit insurance
funds and eliminate some differences between the powers of state
associations and those of federal associations. Some of the
restrictions apply to all insured savings associations and some to
state chartered associations only. The statute exempts some federal
savings banks and associations from the restrictions, and provides for
the FDIC to grant exemptions to other associations under certain
circumstances. In addition, Section 18(m) of the FDI Act (12 U.S.C.
1828(m)) requires that notice be given to the FDIC prior to an insured
savings association (state or federal) acquiring, establishing, or
conducting new activities through a subsidiary.
3. Title: Forms Relating to FDIC Outside Counsel Legal Support and
Expert Services Programs.
OMB Number: 3064-0122.
Affected Public: Entities providing legal and expert services to
the FDIC.
Frequency of Response: On occasion.
Estimated Number of Respondents and Burden Hours
----------------------------------------------------------------------------------------------------------------
Estimated Estimated
FDIC Document No. number of hours per Hours of
respondents response burden
----------------------------------------------------------------------------------------------------------------
5000/26......................................................... 85 0.5 42.5
5000/31......................................................... 376 0.5 188
5000/33......................................................... 63 0.5 31.5
5000/35......................................................... 722 0.5 361
5200/01......................................................... 500 0.75 375
5210/01......................................................... 100 0.5 50
[[Page 42356]]
5210/02......................................................... 55 0.5 27.5
5210/03......................................................... 50 1 50
5210/03A........................................................ 50 1 50
5210/04......................................................... 200 1 200
5210/04A........................................................ 200 1 200
5210/06......................................................... 100 1 100
5210/06(A)...................................................... 100 1 100
5210/08......................................................... 240 0.5 120
5210/09......................................................... 100 1 100
5210/10......................................................... 100 1 100
5210/10(A)...................................................... 100 1 100
5210/11......................................................... 100 1 100
5210/12......................................................... 100 1 100
5210/12A........................................................ 100 1 100
5210/14......................................................... 100 0.5 50
5210/15......................................................... 25 0.5 12.5
-----------------------------------------------
Total....................................................... 3,556 .............. 2,558
----------------------------------------------------------------------------------------------------------------
General Description: The information collected enables the FDIC to
ensure that all individuals, businesses and firms seeking to provide
legal support services to the FDIC meet the eligibility requirements
established by Congress. The information is also used to manage and
monitor payments to contractors, document contract amendments,
expiration dates, billable individuals, minority law firms, and to
ensure that law firms, experts, and other legal support services
providers comply with statutory and regulatory requirements.
Request for Comment
Comments are invited on: (a) Whether the collections of information
are necessary for the proper performance of the FDIC's functions,
including whether the information has practical utility; (b) the
accuracy of the estimates of the burden of the collections of
information, including the validity of the methodology and assumptions
used; (c) ways to enhance the quality, utility, and clarity of the
information to be collected; and (d) ways to minimize the burden of the
collections of information on respondents, including through the use of
automated collection techniques or other forms of information
technology. All comments will become a matter of public record.
Dated at Washington, DC, this 23rd day of June 2016.
Federal Deposit Insurance Corporation.
Robert E. Feldman,
Executive Secretary.
[FR Doc. 2016-15294 Filed 6-28-16; 8:45 am]
BILLING CODE 6714-01-P
