1610001 Informal Interpretation



Item 5, Item 7
Ty Carson

For Item 5, it is not necessary to provide aggregate revenue at the 6-digit code level for 10-digit manufacturing codes.

If there is a 10-digit code overlap, check the overlap box in Item 5. If there is only a 6-digit code overlap in a manufacturing code, do not check the overlap box for the 10-digit code in Item 5, but do report the overlap in Item 7.

UPDATE: September 25, 2019: This no longer represents the view of the PNO.


[REDACTED, see responses below in bracketed all caps.  Premerger Notification Practice Manual (5th ed) #190 also speaks to these issues.

Timothy (Ty) Carson

Bureau of Competition

Federal Trade Commission

400 7th Street, SW

Washington, DC 20024



Sent: Tuesday, October 04, 2016 4:32 PM
To: Carson, Timothy
Subject: HSR Form Item 5 & 7

Hi Timothy – I have a general question related to completing Items 5 and 7 of the HSR Form with regard to manufacturing codes. 

For Item 5, the instructions indicate to only submit data at the 10-digit product code level for manufacturing codes.  Can you please confirm that it is not necessary to provide aggregate revenue at the 6-digit code level for manufacturing codes?  [CONFIRMED]

Additionally, if there is an overlap for the 10-digit code, do we check the overlap box?  [YES, CHECK THE OVERLAP BOX IN ITEM 5]

I’m unclear on that issue based on this sentence of the instructions – “If there is only a 6-digit overlap in a manufacturing code in Item 7, do not check the Overlap box for a related 10-digit code in Item 5.”  Does this mean if there is overlap at the 6-digit manufacturing code level but not at the 10-digit code level, that you only report the overlap in Item 7, but you do not check the overlap box for Item 5?  [YES]

Thank you for your help!

Best regards,


About Informal Interpretations

Informal interpretations provide guidance from previous staff interpretations on the applicability of the HSR rules to specific fact situations. You should not rely on them as a substitute for reading the Act and the Rules themselves. These materials do not, and are not intended to, constitute legal advice.

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