Due to the developing COVID-19 coronavirus pandemic, and with guidance from the Office of Personnel Management, the Premerger Notification Office (PNO) is implementing a temporary e-filing system for submission of HSR filings.
Starting at 5PM on Friday, March 13, 2020, all hard copy and DVD submissions are suspended. The PNO and DOJ will not accept any filings on Monday, March 16, 2020.
Starting on Tuesday, March 17 at 8:30AM, all HSR filings must be submitted via Accellion to the Agencies. The procedure will operate as follows:
- To submit an HSR filing, filers must email Premerger@ftc.gov and request a link. Please use “Request for HSR Filing Link” in the subject line of the email. The person requesting the link does not have to be the Item 1(g) contact attorney.
- Requested links will expire. Please DO NOT request a link to submit a filing until you are ready to file.
- You may only submit one filing per link. You will need to request a new link for every new filing you wish to submit.
- If your filing has more than fifty total documents, please request two (or more) links from the PNO and break each submission into fifty documents or less. When filing, identify the related submissions in the Messaging field by following the naming conventions below, but adding “1 of 2”, “2 of 2”, etc.
- Filers will receive an email from the FTC requesting a file. The email will contain a link that will load a form. (For first time users, you will be prompted to select a password.)
- Please identify the transaction in the Messaging field of the Form as follows: “Attorney ### - Parties – A or B – Date” where A is for the Acquiring person, B is for the Acquired person.. So, for example: “JONES 001 – A Company-B Company – A – 03-22-20”. The ### should be sequential starting at 001 and increasing for each filing submitted by that attorney.
- All documents submitted must be named and in such formats as required by the DVD filing requirements on the Style Sheet.
- When naming the PDF documents for submission, please keep the file names descriptive, but short. For example, instead of naming a document “4c-1 September 2019 Confidential Information Presentation Project Persephone”, a shorter name like “4c-1 September 2019 CIM” works better.
- DO NOT submit zip files.
- During the duration of this emergency, wet-ink signatures or e-signatures are acceptable for certifications and affidavits. If wet-ink signatures are obtained, scanned copies in PDF format are sufficient for submission and originals should be held pending further guidance from the PNO. S-signatures, digitally captured handwritten signatures, and electronically generated signature images are all acceptable e-signature formats.
- Filers will add all the HSR filing docs to the Form and when ready, hit Submit.
- Be patient while uploading files and wait to receive confirmation from Accellion that it’s been completed. Do not email the PNO before receiving confirmation.
- The documents will be uploaded to the cloud and sent simultaneously to the FTC and DOJ premerger offices.
- Once you have your link, you may submit a filing at any time, day or night. Filings received by the PNO after 5PM will be designated as received on the next business day.
- Withdraw/refile letters should be submitted as normal via email.
- We will send a new link for submitting the contents of a refile, upon request.
PNO and DOJ review of filings will continue as normal. You should receive notification of your waiting period within a day or two.
If your filing is deficient, PNO staff will contact you to coordinate the submission of additional or amended materials. In general, the submission of a page or two will generally be permitted by email. If you need to submit more than a page or two, you will need to use Accellion and PNO staff will be in touch as necessary.
After the resumption of normal agency operations, all filing parties may have to submit hard copies or DVDs of filings made using the temporary e-filing system to both PNO and DOJ.
PNO will not be able to provide transaction numbers during the use of the temporary e-filing system, please be patient for the receipt of your notification letter.
The PNO will continue to answer questions via email. If you have questions about the rules or structuring a potential filing, contact HSRHelp@ftc.gov. If you have a question about your submitted filing or to request a link, contact Premerger@ftc.gov.