1810001 Informal Interpretation

Date:

Tags:

Rule:
801.30
Staff:
Kristin Shaffer
Response/Comments:

Yes, if the issuer is a party to the agreement, then the transaction can be filed as an 801.30 or non-801.30.

Question

From: Shaffer, Kristin


Sent: Friday, October 5, 2018 3:42:59 PM (UTC-05:00) Eastern Time (US & Canada)


To: [Redacted]


Cc: [Redacted]


Subject: RE: Canadian Arrangement Agreement

Yes, if the issuer is a party to the agreement, then the transaction can be filed as an 801.30 or non-801.30.


Best regards,

Kristin

From: [Redacted]


Sent: Friday, October 05, 2018 12:53 PM


To: [Redacted]


Subject: Canadian Arrangement Agreement

When a publicly-traded issuer is a party to an Arrangement Agreement under Canadian law, is it correct that the transaction need not be treated as falling under 801.30(a)(5) and, therefore, 803.5(a)(1) notice is not required to be delivered to the issuer?

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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