1610001 Informal Interpretation

Date:

Tags:

Rule:
Item 5, Item 7
Staff:
Ty Carson
Response/Comments:

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UPDATE: September 25, 2019: This no longer represents the view of the PNO.

Question

[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

202.326.2627

tcarson@ftc.gov

From: [REDACTED]
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,

[REDACTED]

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.

Learn more about Informal Interpretations.