Page 39 - The CFIUS Book

If your deal involves a foreign-government-owned bank, but cannot result in that bank taking the subject assets, you will certainly want to make that a headline of this section. The involvement of the government bank, by itself, is not a hurdle to your CFIUS clearance, but you will need to make sure that you spell out for the Committee how your transaction is arranged to keep the critical U.S. assets out of the hands of a foreign- government-owned bank.
3. Codes and Numbers: CAGE, NAICS, and DUNS
We have seen a number of non-U.S. companies trip up on this question. So we present a quick note on each of the identifying numbers listed in these questions
CAGE Code The Commercial And Government Entity (CAGE) Code is a five-character ID number assigned by the Department of Defense’s Defense Logistics Agency (DLA). The CAGE code is used in systems throughout the U.S. Government and provides a standardized method of identifying a given legal entity at a specific location. If you do not have a CAGE code, you may omit this number.
NAICS Code The North American Industrial Classification System code classifies businesses based on the particular product or service they supply. A business will generally have a primary NAICS code, but it can also have multiple NAICS codes if it sells multiple different products and services. The NAICS is the standard used by U.S. statistical agencies to classify business establishments. Various U.S. agencies may assign your business an NAICS code for their statistical use, but there is no central government agency with the role of assigning, monitoring, or approving NAICS codes for establishments.
NAICS Codes may be self-assigned based on the company’s primary activity (the activity that generates the most revenue for the company). If you have not received an NAICS code from a U.S. agency, you and your counsel can identify your NAICS code by using the U.S. Census Bureau’s website.25
DUNS Number Dun & Bradstreet, a private company tasked with maintaining a database of businesses worldwide, provides a DUNS Number, a unique nine-digit identification number, for each physical location of your business. DUNS Number assignment is free for all businesses required to register with the U.S. Government for contracts or grants. You can request a DUNS Number through the U.S. federal government website.26
THE CFIUS BOOK
§800.402(c)(6)(i): The business or businesses of the foreign person and its ultimate parent, as such businesses are described, for example, in annual reports, and the CagE codes, naICS codes, and dUnS numbers, if any, for such businesses;
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