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[Not including notes maturing not more than two years after the date thereof, for which
authorization is not required)
NOTES MATURING NOT MORE THAN TWO YEARS AFTER THE DATE THEREOF
FOR WHICH AUTHORITY IS NOT REQUIRED Covered by report on Form C, dated
SCHEDULE 1.-SECURITIES ISSUED AND/OR SECURITIES AS TO WHICH OBLIGATION
(if bonds (if bonds
consideror notes) or notes)
Par value Number of shares
or prin(if stock)
1 2 3 Etc. Total
SCHEDULE 2.-APPLICATION OF NET PROCEEDS AND/OR FACE VALUE OF
SECURITIES ISSUED OR ASSUMED 1. Unexpended balance from Schedule 2, previous report of- $2. Net proceeds of issues during period covered by this report
(column (m), Schedule 1) -
5. Unexpended net proceeds (carried to line 1, Schedule 2, next
report)6. Expenditures for above purpose made from funds other than
those obtained from this issue of securities...
Total expenditures, accounting for $-
SCHEDULE 3.-SECURITIES PLEDGED OR REPLEDGED
Obligation for which pledged
Date Number pledged or of shares repledged 8 (if stock)
Par value or principal amount
Description of obligation
Date of maturity INSTRUCTIONS (FORM D-1)
and name of holder
* Show premium in red.
1. Original report covering each 6 months' period ended June 30 and December 31, and two copies thereof, shall be filed with the secretary of the Interstate Commerce Commission within 30 days after the end of each period.
These reports shall be continued until
(a) In case of securities authorized under section 20a of the interstate commerce act, the disposition of all the securities and the application of all the proceeds thereof have been reported; and
(b) In the case of notes issued under the provisions of paragraph (9) of section 20a of the act, the application of all the proceeds of such notes has been reported; but if there were no transactions to report during any 6 months' period a statemeut to that effect may be made under oath and filed in lieu of a formal report.
2. Separate report shall be made for each order of authorization, and if the issue of more than one kind of security is authorized by the same order, separate report shall be made for each kind of security. Separate report shall be made for each note (or series of notes) maturing not more than two years after the date thereof, for which authorization is not required.
3. Schedule 2 of this report shall show under the following general headings the purposes to which proceeds were applied :
(a) The acquisition of property other than equipment. (b) The acquisition of equipment. (c) The construction, completion, extension, or improvement of facilities (d) The discharge or refunding of existing obligations.
(e) The reimbursement of moneys expended from income or from other moneys in the treasury of the applicant.
(f) Other purposes (specifically stated).
4. The original report shall be signed by an executive officer of the issuing carrier having knowledge of the matters therein set forth and shall be made under oath.
5. Each copy of the report 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 notarial seal be omitted.
6. The report shall be on paper approximately 842 by 11 inches. A margin of 112 inches shall be left on the left side for binding.
Amount actually expended
amounts of ad-
For use of I. C.C. only
A. F. E.
Report to Interstate Commerce Commission of expenditures
Officer reporting expenditures.
P. O. address.
**For statutory and source citations, see note to 8 56.1.
Location and description of
1. If the order authorized issuance of securities to capitalize proposed expenditures the A. F. E. numbers to be entered in column (c) of this report should correspond with those shown in the application and included by the terms of the order.
2. The totals of columns (e), (f), (g), and (h), shall be shown for each page of this report and 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, vice president, auditor, comptroller, or other executive officer having knowledge of the matters therein set forth, and shall be made under oath.
4. The original report and two copies thereof shall be made and filed with the secretary of the Interstate Commerce Commission, Washington, D. C., within 30 days after each 6 months' period ended June 30 and December 31, and shall accompany report Form D-1.
5. The report shall be on paper approximately 17 inches by 22 inches. A margin of 172 inches shall be left on the left side for binding.
56.10 Supersedure. This part shall, and it does hereby, supersede the order of July 22, 1927, and orders supplemental thereto, in the aforesaid matters. **
PART 57-LOANS TO RAILROADS
Sec. 57.1 Applications for loans, mainte- 57.2 Applications for loans, maintenance
nance and equipment; railroad and equipment; receivers or truscompanies.
Loans to railroads and railroad receivers by Reconstruction Finance Corporation: See Business Credit, 13 CFR Part 2.
Section 57.1 Applications for loans, maintenance and equipment; railroad companies. (a) Any railway company seeking a loan under section 203 (a), of the National Industrial Recovery Act, (48 Stat. 202; 40 U.S.C. 403 (a)) shall file application with this Commission for approval of the expenditure proposed to be met with the proceeds of said loan, describing in detail the nature and purpose of the proposed expenditure and stating fully the facts upon which the applicant relies as evidence that such expenditure is desirable for the improvement of transportation facilities.
(b). The following regulations shall govern the filing of said application and procedure thereon:
(1) The application shall be signed by an executive officer of the applicant having knowledge of the matters therein set forth, shall be verified under oath, and shall give the name, title and post office address of the officer to whom correspondence in regard to the application should be addressed.
(2) The application shall be accompanied by a copy of resolutions of stockholders or directors of the applicant, attested by its secretary or assistant secretary, authorizing an executive officer, designated by name and title, to verify and file the application.
(3) The original application and 15 copies thereof shall be filed with the Secretary of the Commission, Washington, D. C. Each copy shall bear the dates and signatures that appear in the original and shall be complete in itself; the signature in the copies may be stamped or typed and the notarial seal may be omitted.
(4) Procedure upon said application shall conform generally to that provided by the Interstate Commerce Act and the rules of practice for investigations under that Act, and, if deemed necessary, may include inspection of the applicants' property, a hearing or hearings for the taking of evidence, after due notice to the applicant and the public, brief and argument. If not withdrawn or dismissed for cause, the application will be disposed of by report and order, which will be served upon the President and all parties of record
(c) The application and any exhibits submitted therewith shall conform with § 1.21 (a)-(c). (Sec. 203 (a), 48 Stat. 202; 40 U.S.C. 403 (a)) [In the matter of applications by railway companies under the provisions of section 203 (a), of the National Industrial Recovery Act, ICC, Oct. 25, 1933]
**For statutory and source citations, see note to 8 56.1.