For motor equipment of cars: Kind of motor equipment used, and builder; if electric, give also horsepower of motor, type of current, and voltage used; if gasoline or oil driven, give number and size of cylinders (diameter and stroke). For floating equipment: Service type (tug, float, ferry, lighter, etc.), builder, displacement tonnage, length over all, and cargo capacity. For work equipment: Kind (derrick, cinder car, steam shovel, etc.); give builder, size, and capacity; where applicable, describe units in conformity with the requirements of the preceding paragraphs. If motor equipped, state kind of motor equipment used, and builder; if electric, give also horsepower of motor, type of current, and voltage used; if gasoline or oil driven, give number and size of cylinders (diameter and stroke). In addition to the foregoing, show— For equipment purchased secondhand: Name of builder, date built, and name of former owner. For equipment to be rebuilt: Date built, original cost, a bill of material showing reusable material, the price at which it is to be taken into the rebuilt unit, new material, and labor used in rebuilding. (1) If the application is with respect to the construction, completion, extension, or improvement of facilities, or additions and betterments thereto (accomplished expenditures or expenditures not yet made), a report in accordance with Form A of this paragraph, showing quantities and prices (actual or estimated) attested by a competent engineer, also distribution of total cost by the primary accounts of the commission's classification of investment in road and equipment, together with one copy of each A. F. E. (authority for expenditure) or of each completion report, as may be appropriate. REPORT TO INTERSTATE COMMERCE COMMISSION OF (A) PROPOSED EXPENDI- Line A. F. E. Location and description of project Chargeable to capital account INSTRUCTIONS 1. There shall be attached to the original of this report, arranged in numerical order, one copy of each A. F. E. (authority for expenditure) covering all expenditures proposed or in progress, except that for projects whose A. F. E. *For statutory and source citations, see note to § 56.1. Page 673 102579-39-TITLE 49———44 were made prior to January 1, 1923, no copies will be required. For finished projects, attach in numerical order one copy of each completion report under Valuation Order 3. 2. The total of each page of this report shall be carried forward to a grand total at the end of the report. 3. The original report shall be signed on behalf of the applicant by its president, a vice president, auditor, comptroller, or executive officer having knowledge of the matters therein set forth, and shall be made under oath. 4. The original report and six copies thereof for the use of the commission and one copy for the governor of each State in which the applicant operates shall be filed, together with the application, with the secretary of the Interstate Commerce Commission, Washington, D. C. Each copy shall bear the dates and signatures that appear in the original and shall be complete in itself, but the signatures in the copies may be stamped or typed and notarial seal may be omitted. 5. The report shall be on paper approximately 81⁄2 inches by 11 inches. A margin of 11⁄2 inches shall be left on the left side for binding. (m) If the application is with respect to the discharge or refunding of existing obligations (including notes maturing not more than 2 years after the date thereof, issued under paragraph (9) of section 20a of the Interstate Commerce Act), a statement containing a full description, together with terms and conditions (including discounts and commissions, counsel fees, and all other expenses) of sale or other disposition of such existing obligations. (n) If the application is with respect to the reimbursement of money expended from income or from other moneys in the treasury of the applicant (including proceeds of notes maturing not more than 2 years after the date thereof, issued under paragraph (9) of section 20a of the Act), not yet capitalized, a statement showing: (1) The period covered by the total disbursement. (2) The purposes of the disbursements. (3) The amount of disbursements (gross capital charge) and all credits to capital account within the period. (4) The primary accounts of the commission's accounting classification to which the disbursements or retirements were charged or credited. If the expenditures were for any of the purposes stated in paragraph (1) of this section, a report in accordance with Form A of paragraph (1) of this section, with quantities and prices attested by a competent engineer, together with one copy of each A. F. E. or of each completion report, as may be appropriate. (0) If the application is with respect to other purposes than those classified in paragraphs (j)-(n) of this section, a statement containing complete details of the purposes of the proposed issue or assumption.** 56.5 Form and style. The application shall be on paper approximately 812 inches by 11 inches. A margin of 12 inches shall be left on the left side for binding. The exhibits may be of any convenient size, but shall be folded to conform to the size of the application.** 56.6 Procedure of execution, filing, and disposition. The following procedure shall govern the execution, filing, and disposition of the application: Page 674 **For statutory and source citations, see note to § 56.1. (a) Subscription and verification. The original application and supporting statements or exhibits shall be signed on behalf of the applicant by its president, a vice president, auditor, comptroller, or other executive officer having knowledge of the matters therein set forth and duly designated for that purpose by the applicant carrier, shall be made under oath, and shall show, among other things, that the affiant is duly authorized by the applicant to verify and file the application. (b) Number of copies; completeness. The original application and supporting papers; six copies thereof for the use of the commission, and one copy for the governor of each State in which the applicant operates, shall be filed with the secretary of the Interstate Commerce Commission, Washington, D. C. Each copy shall bear the dates and signatures that appear in the original and shall be complete in itself, but the signatures in the copies may be stamped or typed and the notarial seal may be omitted: Provided, That if unusual difficulties arise in the furnishing of any of the exhibits specified in § 56.4(a)-(h) applicant may, with the consent of the commission, file not less than an original and two copies of such exhibits. (c) Notice to States. Upon receipt of the application the commission, as provided in paragraph (6) of said section 20a, will cause notice thereof to be given to and a copy of the application filed with the governor of each State in which the applicant operates, with inquiry as to whether such governor or other appropriate authority of the State desires to be heard in the matter. (d) Petitions to intervene. Petitions for leave to intervene may be filed by persons interested in the application within 15 days after the filing thereof, or prior to or at the time the application is called for hearing, if a hearing is ordered, but not after except for good cause shown, the practice in regard to such petitions and answers thereto to be governed as nearly as may be by the Commission's rules of practice. If deemed necessary a public hearing on the application will be ordered.** CROSS REFERENCE: For the Commission's rules of practice, see Part 1. 56.7 Certificate of notification of securities sold or pledged. The certificate of notification of securities sold, pledged, repledged, or otherwise disposed of, required by paragraph (5) of said section 20a shall be made in accordance with Form B. FORM B OF CERTIFICATE OF NOTIFICATION ΤΟ THE INTERSTATE COMMERCE COMMISSION SECURITIES SOLD, PLEDGED, REPLEDGED, OR OTHERWISE DISPOSED OF, REQUIRED BY PARAGRAPH (5) OF SECTION 20 OF THE INTERSTATE COMMERCE ACT, INCLUDING OBLIGATIONS OF THE CARRIER AUTHENTICATED OR ISSUED BY TRUSTEES OR OTHERS Date 19__ The undersigned hereby certifies that within the 10 days next preceding the above date the (Name of carrier) has disposed of the securities set forth and described below: 1. Description of securities. 2. Date of application for authority with respect to the securities. **For statutory and source citations, see note to § 56.1. Page 675 3. Interstate Commerce Commission's finance docket number assigned to application for authority. 4. Date of the commission's order authorizing the disposition of the securities. 5. Date of prior certificate of notification (if any) in which the securities are set forth and described. 6. Disposition of the securities. (a) Authenticated by trustee : (1) Date of authentication. (2) Date of delivery to carrier. (3) Par value or principal amount. (b) Sold: (1) Date sold. (2) Par value or principal amount. (4) Purpose for which sold. (5) Conditions and terms of sale. (2) Par value or principal amount. (4) Purpose of pledge. (5) Conditions and terms of pledge. (d) Otherwise disposed of: (1) Date disposed of. (2) Par value or principal amount. INSTRUCTIONS 1. The original certificate shall be signed by an executive officer of the carrier having knowledge of the matters therein set forth and shall be made under oath. 2. The original certificate and two copies thereof shall be filed with the secretary of the Interstate Commerce Commission, Washington, D. C., within 10 days after the issuance of the securities with respect to which the certificate is filed. Each copy of the certificate shall bear the dates and signatures that appear in the original and shall be complete in itself; the signatures in the copies may be stamped or typed and the notarial seal may be omitted. 3. The certificate shall be on paper approximately 81⁄2 inches by 11 inches. A margin of 11⁄2 inches shall be left on the left side for binding. 56.8 Certificate of notification of issue of notes. The certificate of notification of the issue of notes maturing not more than 2 years after the dates thereof, required by paragraph (9) of section 20a of the Interstate Commerce Act, shall be made in accordance with Form C. FORM C CERTIFICATE OF NOTIFICATION TO THE INTERSTATE COMMERCE COMMISSION OF THE ISSUE OF NOTES MATURING NOT MORE THAN TWO YEARS AFTER THE DATE THEREOF, REQUIRED BY PARAGRAPH (9) OF SECTION 20а OF THE INTERSTATE COMMERCE ACT Date 19__ The undersigned hereby certifies that within the 10 days next preceding the above date the__. (Name of carrier) has issued notes set forth and described below: (a) Principal amount of each note; date; date of delivery; date of maturity; rate of interest; and name of payee. (b) Description and amount of securities pledged as collateral for each note. (If carrier pledged its own stocks, bonds, or other securities as such collateral, reference shall be made to the order of the commission authorizing such pledge.) Page 676 **For statutory and source citations, see note to § 56.1. (c) The price at which, and the terms under which, each note was sold or otherwise disposed of. (d) How and by whom, or through whom, issued. (e) The purposes in detail of each note and proposed disposition of proceeds. The total amount of the carrier's securities actually outstanding on the date of the note or notes covered by the certificate was as follows: 1. Capital stock (par value). 2. Long-term debt (par value). 3. Securities not included above, including value of securities issued without par value, but excluding notes of maturity of two years or less___ Total of securities outstanding 4. Notes of maturity of two years or less, including notes covered by this certificate (face amount)_ INSTRUCTIONS 1. The original certificate shall be signed by an executive officer of the carrier having knowledge of the matters therein set forth and shall be made under oath. 2. The original certificate and two copies thereof shall be filed with the secretary of the Interstate Commerce Commission, Washington, D. C., within 10 days after the issuance of the securities with respect to which the certificate is filed. Each copy of the certificate shall bear the dates and signatures that appear in the original and shall be complete in itself; the signatures in the copies may be stamped or typed and the notarial seal may be omitted. 3. The certificate shall be on paper approximately 821⁄2 inches by 11 inches. A margin of 11⁄2 inches shall be left on the left side for binding. 56.9 Periodical reports. Periodical reports (required by paragraph (10) of section 20a of the Interstate Commerce Act) of the disposition made of securities issued under authority of the commission and notes maturing not more than 2 years after the date thereof (for which under paragraph (9) of said section 20a authorization is not required) and the application of the proceeds of such securities and notes shall be made for the 6 months' periods ending June 30 and December 31, respectively, in accordance with Forms D-1 and D-2. FORM D-1 Report to the Interstate Commerce Commission of the disposition made of securities authorized under section 20a of the interstate commerce act, or of notes maturing not more than two years after the date thereof, issued under paragraph (9) of said section, and of the application of the proceeds of such securities or notes, required by paragraph (10) of said section. (This space for use of commission) 19. Name of reporting carrier- Report for period ended_. 19__. Description (or name) of security covered by this report_. Date of commission's order authorizing the issue of securities covered by this report--. 192__. Finance Docket No. *For statutory and source citations, see note to § 56.1. Page 677 |