DEFINITIONS FOR COMPLETION OF THE CERTIFICATE PERTAINING TO FOREIGN INTERESTS
Affiliate. Any entity effective owned or controlled by another entity.
Beneficial Owner. The true owner of a security who may, for convenience, be recorded under the name of a nominee. Such ownership entitles the owner to the power to vote or direct the voting of a security or to impose or direct the disposition of a security.
Bond. A certificate which is evidence of a debt in which the issuer promises to repay a specific amount of money to the bondholder, plus a certain amount of interest, within a fixed period of time.
Convertible Debentures. Bonds which the holder can exchange for shares of voting stock. Covenant. A detailed clause in a lending agreement designed to protect the lender.
Debenture. A general debt unsecured by a pledge of any specific piece of property. Like any other general creditor claims, a debenture is secured by any property not otherwise pledged.
Debt-to-Equity Ratio. Total liabilities divided by total shareholders' equity (total assets minus total liabilities of a corporation; also called stockholders' equity, equity, and net worth). This shows to what extent owners' equity can cushion creditors' claims in the event of liquidation.
Equity Security. An ownership interest in a company, most often taking the form of corporate stock.
Foreign Interest. Any foreign government, agency of a foreign government, or representative of a foreign government any form of business enterprise or legal entity organized, chartered or incorporated under the laws of any country other than the U.S. or its possessions and trust territories, and any person who is not a citizen or national of the United States.
Foreign Person. Any foreign interest and any US person effectively owned or controlled by a foreign interest. Guarantor. One who makes the guaranty (an agreement or promise to answer for the debt, default or miscarriage of another).
Immigration Status. Legal basis for a non-US citizen's residence in the United States (e.g., work visa, admission for permanent residence). Note: Immigration and Naturalization Service Form 1-9 is an excellent source for this information.
Joint Venture. A partnership or cooperative agreement between two or more persons or firms, usually restricted to a single specific undertaking. Normally the undertaking is of short duration, such as for the design and construction of a dam.
Liability. Claim on the assets of a company or individual.
Licensing Agreement. A permit granted by one business to another which permits duplication of processes and production of similar items.
Management Positions. For the purposes of the questions on this form, management positions shall include owners, officers, directors, partners, regents, trustees, senior management officials, other executive personnel and the facility security officer.
Nominee Share. A share of stock or registered bond certificate which has been registered in a name other than the actual owner. Proxy. One who acts for another. Also, the document by which such a representative is authorized to act.
Representative of a Foreign Interest (RFI). A citizen or national of the U.S., who is acting as a representative of a foreign interest (see Foreign Interest).
S.E.C. Schedule 13D. 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 with certain other information.
S.E.C. Schedule 13G. This schedule 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.
Sales Agreement. An agreement between two parties for the sale of goods or services on a continuing basis. Stock Option. An option is the right to buy or sell at some point in the future. Street Name. The common practice of registering publicly traded securities in the name of one or more brokerage firms.