§ 244.19

Statement of insurance coverage (Schedule I).

(a) The statement of insurance coverage, which is designated as Schedule I of CAB Form 244, shall be prepared as of June 30 and December 31 of each year and as of all other times when a change occurs in the insurance, self-insurance or surety bond previously reported to the Board by a freight forwarder, and shall be filed with the Board as provided in § 244.10.

(b) Schedule I shall reflect the reporting forwarder's cargo and public liability insurance coverage under a policy, selfinsurance plan, and/or surety bond as required by Parts 296 and/or 297 of this chapter. The information to be reported is further described in Schedule I.

§ 244.19a Originating air station data (Schedule T-4).

(a) The schedule of originating air station data shall be filed by (1) longhaul motor carriers of general commodities which are authorized to operate as air freight forwarders or international air freight forwarders, and (2) air freight forwarders or international air freight forwarders which are affiliates of longhaul motor carriers. It is designated as Schedule T-4 of CAB Form 244, and shall be prepared for each calendar quarterly period and filed with the Board as provided in § 244.10.

(b) Schedule T-4 shall be filed separately with respect to domestic and overseas/foreign air operations. The schedule shall reflect the source and distribution of tons enplaned and deplaned (exclusive of reconsolidations) at the originating air station, and data on the miles of surface movement of the air freight before and after its air transportation. All the aforesaid categories shall be itemized and subdivided as shown by Schedule T-4 and the instructions thereon.

[ER-595, 34 F.R. 19341, Dec. 6, 1969]

§ 244.19b Supplemental operating statistics-long-haul motor carriers/air freight forwarders (Schedule T-5). (a) The schedule of supplemental operating statistics shall be filed by (1) long-haul motor carriers of general commodities which are authorized to operate as air freight forwarders or international air freight forwarders, and (2)

air freight forwarders or international air freight forwarders which are affiliates of long-haul motor carriers. It is designated as Schedule T-5 of CAB Form 244, and shall be prepared for each calendar quarterly period and filed with the Board as provided in § 244.10.

(b) Schedule T-5 shall cover where applicable both domestic and overseas/ foreign air operations. With respect to combination surface/air operations of the forwarder, the schedule shall reflect the number and weight of (1) shipments which the reporting forwarder received from or delivered to an affiliated longhaul motor carrier prior or subsequent to transporting them in its air freight forwarding operations, and (2) shipments which the reporting carrier accepted for air freight forwarding, but substituted other than air means for their transportation. With respect to other air operations by the forwarder, the schedule shall reflect the number and weight of all shipments tendered by the reporting carrier to direct air carriers in a capacity other than as a freight forwarder (shipper's agent or agent for direct air carrier). All the aforesaid categories shall be itemized and subdivided as shown by Schedule T-5 and the instructions thereon.

[ER-595, 34 F.R. 19341, Dec. 6, 1969]

§ 244.19c Analysis of traffic by weight breaks (Schedule T-6).

(a) The schedule of analysis of traffic by weight breaks shall be filed by (1) long-haul motor carriers of general commodities which are authorized to operate as air freight forwarders or international air freight forwarders, (2) air freight forwarders or international air freight forwarders which are affiliates of longhaul motor carriers, and (3) long-haul motor carriers affiliated with air freight forwarders or international air freight forwarders or operating as a separate division within the forwarder's corporate structure. It is designated as Schedule T-6 of CAB Form 244, and shall be prepared for each calendar quarterly period and filed with the Board as provided in § 244.10. In addition, each longhaul motor carrier shall report applicable data (insofar as they are available) relative to its long-haul motor carrier operations for the corresponding quarter of each of the preceding 5 years.

(b) Separate schedules shall be filed

50-031-71- -19

with respect to air operations and surface operations. The schedule shall apply only to domestic operations and shall reflect, in the specified weight breaks, the number and weight of shipments and the revenues received therefor, as well as the percentage of the total represented by each weight break in the three main categories-number of shipments, tonnage of shipments and revenue derived from shipments. All the aforesaid categories shall be itemized and subdivided as shown by Schedule T-6 and the instructions thereon.

[ER-595, 34 F.R. 19341, Dec. 6, 1969]

§ 244.19d Report of location of air freight forwarding stations and surface transport terminals.

Each long-haul motor carrier holding an authorization to operate as an air freight forwarder or international air freight forwarder and each air freight forwarder or international air freight forwarder which is an affiliate of a longhaul motor carrier shall file with the Board's Bureau of Accounts and Statistics, Washington, D.C. 20428, within 45 days after the close of each calendar year, a report showing as of December 31 of such year the location of each specialized air freight forwarding station and of each surface transport terminal at which air freight forwarding services are offered. The statement shall indicate, for each station or terminal, the number of drivers, salesmen and other personnel who are assigned to promote air freight exclusively. For identification purposes, this report should be referred to as "location report."

[ER-595, 34 F.R. 19341, Dec. 6, 1969]

Subpart C-Annual Reports by Cooperative Shippers Associations § 244.20 Annual report.

(a) Each cooperative shippers association shall file CAB Form 244A' entitled "Annual Report of Cooperative Shippers Associations" in accordance with the requirements of this part and the instructions set forth in said form which is made a part hereof and annexed hereto.

CAB Form 244A, filed as part of original document, may be obtained from the Publications Section, Civil Aeronautics Board, Washington 25, D.C.

(b) The aforesaid report shall be filed annually and in sufficient time so as to be received by the Board within forty-five (45) days after the termination of the prescribed period. All documents filed in connection with the report shall be considered a part thereof and included within the certification pertaining to the report. The report shall be addressed to the Board, attention of the Office of Carrier Accounts and Statistics.

(c) This report shall contain a description of the association, the identities, and interests in the association, of its officers and directors, the identities and holdings in the association of persons with more than a five percent interest therein, investments of the association, amount of revenue earned and/or received, and the total number of shipments received during the year for carriage by air. These items shall be shown as more fully set forth on the aforesaid report form.

Subpart D-Effective Date

§ 244.30 Filing of reports.

This part as here amended shall become effective July 1, 1960, and shall first apply to the report due within 45 days after December 31, 1960: Provided, however, That, (a) Any Statements of Insurance Coverage, which may be due to be filed after June 30, 1960, shall be prepared and filed pursuant to the instant revision of this part; and (b) the report due within 45 days after June 30, 1960 shall be prepared and filed with the Board pursuant to the provisions of this part which became effective March 27, 1959.

NOTE: The reporting requirements contained herein have been approved by the Bureau of the Budget in accordance with the Federal Reports Act of 1942.

§ 245.1 Reports required.

At the times and in the manner provided in this subpart, each officer and each director of each air carrier shall transmit to the Board a report describing the shares of stock or other interest held by him in any air carrier, any person engaged in any phase of aeronautics, or any common carrier, and in any person whose principal business, in purpose or in fact, is the holding of stock in, or control of, air carriers, other persons engaged in any phase of aeronautics, or common carriers. For the purposes of this subpart, "air carrier" means air carrier as defined in section 101 (3) of the Act, except air carriers relieved or exempted from section 407 (b) of the Act." "Person" means any individual, firm, partnership, corporation, company, association, or any two or more persons acting in concert or under common control or direction. [ER-630, 35 F.R. 11783, July 23, 1970] § 245.2 Time for reporting.

Not more than 30 days after such officer or director is first elected or appointed, a report shall be filed covering the period from January 1 of the preceding year to the date of election or appointment; subsequently, a report shall be filed, on or before March 1 of each year, covering such portion of the preceding calendar year as has not been previously reported, or the full year if he so desires.

SCHEDULE

I. Data as to individual reporting. The categories for which data shall be set forth are as follows:

(1) Name.

(2) Address.

(3) Principal occupation.

(4) All air carrier positions held (indicate title of position and name of air carrier); (5) Positions held as officer, director, or member of:

(a) Common carriers (other than air); (b) Enterprises engaged in any other phases of aeronautics;

(c) Enterprises whose principal business is that of holding securities and/or control of air carriers, common carriers, and enterprises which are engaged in any other phases of aeronautics (giving title of position and name of company or enterprise);

(6) Append the following declaration to the report:

"I hereby declare that this report, including documents attached hereto, has been examined by me, and to the best of my knowledge and belief is a true, correct, and complete report, made in good faith, for the period stated." Execute the declaration, affixing date and signature.

II. Data as to stock or other interests. The categories for which data shall be set forth are as follows:

(1) Interests held in air carriers;

(2) Interests held in other common carriers;

(8) Interests held in any enterprise engaged in any phase of aeronautics other than air carriers;

(4) Interests held in enterprises whose principal business is that of holding securities and/or control of air carriers, other common carriers, or enterprises which are engaged in any phase of aeronautics other than air carrier. For each of the foregoing categories, the following data shall be set forth:

A. Name of enterprise (corporate or otherwise) in which interest is or was held at any time during the period covered by report.

B. Class of interest, such as common stock, preferred stock, rights, options, etc.; and description of bonds, notes, or other instruments evidencing interest or ownership. (Give names and addresses of all persons (1) by whom any part of the foregoing items were held for reporting individual, (2) for whom any part of the foregoing items were held by reporting individual, (3) who held Joint interest with reporting individual in any part of the foregoing items, and state nature of the relationship and the principal business of such persons.)

C. Number of shares or amount of each item reported under "B" held as of the last day of the period covered by report.

D. On all items reported under "C" which equal 5 percent or more of the total out

standing amount of the same class, show such percentages.

E. Indicate by (yes) or (no) whether reporting individual controlled and/or exercised all the voting rights of the items reported under (B) that were held by him, for him, or held jointly with other persons during the period covered by the report. If the answer is "No," state amount of voting rights not controlled or exercised by reporting individual and give the names, addresses, and principal business of persons controlling and/or exercising such voting rights.

F. Maximum amount held during period covered by report.

G. On all items reported under "F" which equal 5 percent or more of the then outstanding total amount of the same class show such percentages.

H. Minimum amount held during period covered by report.

[ER-146, 14 FR. 3540, June 29, 1949, as amended by ER-226, 22 FR. 10076, Dec. 17, 1957]

Subpart B-Reports of Owners of

More Than 5 Per Centum of Any Class of Capital Stock or Capital of an Air Carrier

SOURCE: The provisions of this Subpart B contained in ER-630, 35 F.R. 11783, July 23, 1970, unless otherwise noted.

§ 245.11 Reports required.

At the times and in the manner provided in this subpart every person owning, either beneficially or as trustee, more than 5 per centum of any class of the capital stock or capital, as the case may be, of an air carrier shall transmit to the Board a report describing the shares of stock or other interest owned by such person, and the amount thereof. For the purposes of this subpart, "air carrier" means "air carrier" as defined in section 101 (3) of the Act, except air carriers relieved or exempted from section 407(b) of the Act. "Person" means an individual, firm, partnership, corporation, company, association or any two or more persons acting in concert or under common control or direction.

§ 245.12 Time for reporting.

(a) Annual report. On or before April 1 of each year commencing with the year 1971, a report shall be filed covering shares of stock or other interest owned, either beneficially or as trustee,

"See footnote 6.

as of December 31 of the preceding year. An officer or director who has complied with Subpart A of this part need not file the report required by this paragraph (a).

(b) Report of acquisition. Within 10 days after acquiring ownership, either beneficially or as trustee, of more than 5 per centum, in the aggregate, of any class of capital stock or capital, a report shall be filed covering the shares of stock or other interest acquired. A person who owns, either beneficially or as trustee, more than 5 per centum of any class of capital stock or capital and has filed a report covering such acquisition or ownership, as provided in this section, need not file a report under this paragraph (b) with respect to an additional acquisition of stock.

(c) Special report. On or before September 1, 1970, a report shall be filed covering shares of stock or other interest owned, either beneficially or as trustee, as of April 30, 1970. An officer or director who has complied with Subpart A of this part need not file the report required under this paragraph (c).

§ 245.13 Contents of reports.

The reports required by § 245.11 shall include the following:

(a) Name and address of person reporting.

(b) If the person reporting is not the beneficial owner, the name and address for whose account the shares or other interest is held.

(c) If the person reporting is the beneficial owner, but not the owner of record, the name and address of the record owner.

(d) Number and class of shares held and percentage of such shares to total outstanding capital, or a description of any other interest held as of April 30, 1970, December 31 of each succeeding year, or the date of acquisition, whichever is applicable.

(e) Maximum number and class of shares held and percentage of such shares to total outstanding capital during the year preceding April 30, 1970, or December 31 of each succeeding year, whichever is applicable.

[ER-630, 35 F.R. 11783, July 23, 1970, as amended by ER-632, 35 F.R. 12389, Aug. 4, 1970]

§ 245.14 Responsibility of carriers.

It shall be the responsibility of every air carrier, as defined in § 245.11

(a) To notify each stockholder of record owning more than 1 percent of any class of its capital stock or capital of the requirements of this part by mailing to such persons a copy of this subpart on or before August 10, 1970, and on or before March 1 of each subsequent year; and

(b) To include in its annual report to shareholders a notice that any person who owns as of December 31 of any year or acquires ownership, either beneficially or as trustee, of more than 5 per centum, in the aggregate, of any class of capital stock or capital of the air carrier shall file with the Board a report containing the information required by § 245.13 on or before April 1 as to capital stock or capital owned as of December 31 of the preceding year and within 10 days of the acquisition, unless such person has otherwise filed with the Board a report covering such acquisition or ownership. The notice shall also state that any shareholder who believes that he may be required to file such a report may obtain further information by writing to the Director, Bureau of Operating Rights, Civil Aeronautics Board, Washington, D.C. 20428.

NOTE: The reporting requirements contained herein have been approved by the Bureau of the Budget in accordance with the Federal Reports Act of 1942.

directly, 10 percent or more of the outstanding issued capital stock of an air carrier, in the absence of a proper showing to the Board that he does not control the air carrier despite his stock ownership, shall be deemed to control the carrier for purposes of this part. A brokerage firm which holds record ownership of securities merely for the convenience of the customer beneficially owning the stock shall not be deemed a person owning stock for purposes of this part.

[ER-469, 31 F.R. 10075, July 26, 1966]

Except as provided in § 246.3, every affiliate of an air carrier shall submit on or before March 1 of each year:

(a) A report showing, as of the preceding December 31:

(1) The names and addresses of each of its stockholders or members holding more than 5 percent of the entire capital stock or capital, as the case may be of such affiliate, together with the name and address of any person for whose account, if other than the holder, such stock is held;

(2) The number of shares, and percentage of the total shares issued, held by each such stockholder, and indicating whether such shares are voting, nonvoting, common, or preferred; and

(b) A report setting forth, as of the preceding December 31, a description of the shares of stock or other interests held by the affiliate, or for its account, in any common carrier, air carrier, foreign air carrier, or any person engaged in any phase of aeronautics, and a description of the shares of stock or other interests held by the affiliate or for its account in any person whose principal business, in purpose or in fact, is the holding of stock in, or control of, common carriers, air carriers, foreign air carriers, or persons engaged in any phase of aeronautics, indicating:

(1) The name of the issuing company; (2) Whether such stock or other interest is voting, nonvoting, common or preferred, convertible or nonconvertible. (If convertible an explanation of the option shall be set forth.)

(3) The par and book value of such stock or other interests held by the affiliate or for its account, and the amount pledged, unpledged, and held in fund and deposit accounts, and