Rule(s):

 Item 6(b)

Staff:

Kathryn Walsh

Response / Comments:

09/14/2011

Yes that is correct. 

For the UPE partnership you only supply the name of the general partner. No info is required on the limited partners.

If one of the entities it controls is the acquiring entity (and it is not wholly-owned by the UPE), you would need to supply info on its holders. If it is a partnership, again you would only supply the name of the GP.

If it is a corporation or LLC (not wholly-owned), you would provide the holders of 5% or more of its voting securities or membership interests.

 

Original Image File

 

From:        (Redacted)
Sent:         Wednesday, September 14, 2011 9:38 AM
To:             Walsh, Kathryn
Subject:   New 6b

Hi Kate.

Quick question about new Item 6b. When you have a fund (partnership) that is filing as the acquiring person, new Item 6b asks only for the name of its GP, and not for any information on the partners who hold at least 5% of its NCIs, nor any information on the third parties who hold at 5% of the voting securities/NCIs of any entities under its control. Is that correct?