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.