1811006 Informal Interpretation

Date:

Tags:

Rule:
Item 6(b)
Staff:
Timothy Carson
Response/Comments:

The limited partnership fund is the minority shareholder for purposes of this hypo, so only that should be listed along with the minority percentage held in response to Item 6(b).

 

Question

From: Carson, Timothy


Sent: Tuesday, November 13, 2018 4:37:12 PM (UTC-05:00) Eastern Time (US & Canada)

To: [Redacted]


Cc: [Redacted]


Subject: RE: Item 6(b)

The limited partnership fund is the minority shareholder for purposes of this hypo, so only that should be listed along with the minority percentage held in response to Item 6(b).

From: [Redacted]


Sent: Friday, November 9, 2018 10:37:01 AM (UTC-05:00) Eastern Time (US & Canada)


To: [Redacted]


Subject: Item 6(b)

Good morning,

I am working on an HSR form for a fund and want to make sure that I am reporting correctly under Item 6(b).

The UPE controls the Acquiring Entity because it holds >50% of the voting shares. The remainder of the shares in the Acquiring Entity are held by another fund that is a limited partnership. Based on Informal Interpretation 1607001, I plan to list the following in Item 6(b):

 

ISSUER/
UNINCORPORATED ENTITY

SHAREHOLDER/
INTEREST HOLDER

HQ ADDRESS

% HELD

 

Name of Acquiring Entity

Name of General Partner

(General Partner of >5% shareholder)

 

 

 

 

Is this correct? Or do I need to list the name of the limited partnership and the percentage it holds in the Acquiring Entity?

 

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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