PNO News Archive
- An HSR practitioner recently reported a non-critical, technical flaw in the HSR form that may prevent the deletion of items on the Attachment list. We have fixed this flaw. The updated form can be downloaded here. As always, please send any technical questions or problems to Bob Jones at firstname.lastname@example.org.
With the concurrence of the Department of Justice, the Commission has modified the HSR Form to reflect recent changes to the HSR Form Instructions and make other ministerial updates. The Commission Notice can be found here. The new HSR Form can be found here. If you have any issues with the Form, please e-mail Robert Jones at email@example.com.
For guidance on applying the new HSR thresholds, check out our new blog post, HSR threshold adjustments and reportability for 2017.
The new HSR thresholds for 2017 have been published in the Federal Register with an effective date of Feb. 27, 2017.
Our new blog post on Items 4(c) and 4(d) is up. Please take a look.
Please take a look at our new blog post on LBOs and the Size of Transaction Test.
The new HSR Form Instructions will be published in the Federal Register and become effective on Thursday, September 1, 2016. Read the new Instructions. We have also updated the HSR Form Style Sheet to cover DVD filings. Please note that the current HSR Form, version 1.0.1, is still valid. The Form has not been amended at this time.
Check out our new blog post on how to classify foreign entities under the HSR Rules.
FTC Announces New HSR Thresholds for 2016. (January 2016). The effective date will be February 25, 2016. For more information, see our Jan. 29, 2016, blog post, HSR threshold adjustments and reportability for 2016.
Please note that Medicare Act Filings should be sent to the Premerger Office at the Constitution Center. For complete filing instructions, please see the Medicare Act Filings page.
Upon further consideration of prior interpretations by the PNO, the warehouse exemption, 802.2(h), will not be available for oil/gas storage facilities. If you have any questions on the application of 802.2(h) to a type of facility, asset, and/or service, please contact the PNO.
The PNO recently posted an important clarification regarding Rule 802.5. Check out HSR Rule 802.5: the Investment Rental Property Exemption. All the Premerger and HSR blog posts are here.
The 2014 HSR Annual Report is now available.
The new HSR Thresholds for 2015 are now in effect. (Feb. 20, 2015). For more information, see our Jan. 23, 2015 blog post, HSR thresholds adjustments and reportability – 2015 edition.
The new HSR thresholds for 2015 have been published in the Federal Register with an effective date of Feb. 20, 2015.
The Premerger Office has updated the HSR Form Tip Sheet! Please review the document for helpful information in filling out the HSR Form. (January 2015)
FTC Announces New HSR Thresholds for 2015. (January 2015)
The PNO’s new blog post is up! Find out "How to avoid common HSR filing mistakes with Item 4(c) and 4(d) documents." We also invite you to peruse all the blog posts related to Premerger and HSR.
- See PNO’s blog post on “How to avoid common HSR filing mistakes with attachments.”
Attention Filers: The Premerger Notification Office has experienced a few changes since we’ve come to our new home in the Constitution Center. Some of those changes can affect the arrival of your filings by messenger. Due to the security procedures and physical size of the Constitution Center, once a messenger has arrived at the building it takes in excess of 10 minutes to reach the PNO office. While the PNO is open to accept HSR filings at its 5th floor intake window from 8:30 AM until 5:00PM, Monday through Friday, a messenger arriving after 4:50PM cannot make it from the loading dock entry, through security, to the 5th floor HSR window by 5:00PM, so building security is turning away newly arrived messengers at 4:50PM each day. If you want to guarantee that your filing arrives at the PNO window by 5:00PM, please send any messenger with ample time to arrive at the building well in advance of 4:50PM.
We’re sorry for any inconvenience this might cause. Thank you.
REMINDER: Sometimes filing parties reference an attachment in response to Items 4 through 8 of the HSR Form instead of providing the requested information in the Form itself - for instance, a separate log of 4(c) documents. If you do this, PLEASE place the attachment behind the page of the Form to which it relates or at the end of the Form itself. This information is a necessary part of the Form and needs to be provided in all originals and copies of the Form filed with the FTC and DOJ. DO NOT intersperse such referenced attachments for Items 4 through 8 among the documentary attachments (e.g., placing the separate 4(c) log at the beginning of the 4(c) documents), as those documents are not part of the Form itself.
An updated Index of HSR Enforcement Actions is available, listing actions through December 2014.
The MMA Filing Instructions (for brand name drug manufacturers and generic drug applicants who file certain agreements with the Antitrust Agencies under the Medicare Prescription Drug and Improvement Act) have been updated with the new address for the FTC's Premerger Office. (July 2014)
The 2013 HSR Annual Report is now available.
Attention: The Constitution Center does not allow messengers with cleats into the building. Please DO NOT send messengers with cleats to deliver HSR filings. Starting immediately, the PNO will not meet messengers with cleats at the loading docks. (June 2, 2014)
The HSR Form Instructions have been updated to include the new address of the FTC Premerger Office. The new instructions can be found here.
Important Announcement: Building management at the Constitution Center has changed the security procedures for the delivery of HSR filings. Messengers delivering HSR filings must now enter the building through the loading dock entrance on 6th Street SW near School St. SW. Complete directions can be found here. Note that messengers will not be allowed to wear cleats into the building.
Withdraw/Refile procedure tip sheet now available. (Mar. 21, 2014)
The FTC has a new blog reporting on competition matters at the FTC. The PNO has contributed two posts: HSR threshold adjustments and reportability and Location and Value of Patents. To follow all the posts from the PNO, bookmark this link.
When the Premerger Office moves to its new home on April 28, 2014, messengers delivering HSR filings will have to comply with new security procedures. These procedures, as well as maps to the new office, are available here.
The Premerger Office is moving! As part of the consolidation of FTC staff, the Premerger Notification Office will be moving to new offices on the 5th floor of the Constitution Center on April 28. For more details, see our new blog post here. We will be providing additional information, including new security procedures for filing delivery, on this page and on the blog in the coming weeks.
- When submitting an explanation letter for a corrective filing, please submit the letter at the same time as the filing.
- Comments on the Proposed Rules related to patent rights in the Pharmaceutical industry are available.
- Proposed Amendments to the Premerger Rules Related to the Transfer of Patent Rights in the Pharmaceutical Industry
- Revised thresholds are now in effect. (Feb. 24, 2014)
- The new HSR thresholds for 2014 have been published in the Federal Register with an effective date of Feb. 24, 2014.
- Effective immediately, all filing fee questions should be directed to Theresa Kingsberry at firstname.lastname@example.org or at 202-326-3100. (January 2014)
- Effective Jan. 2, 2014, brand name drug manufacturers and generic drug applicants who file certain agreements with the Antitrust Agencies under the Medicare Prescription Drug and Improvement Act should complete the MMA Cover Sheet and attach it to the agreement prior to filing. See full instructions here. (PDF)
- Updated HSR Enforcement Action index. (July 2013)
- Barry Diller to Pay $480,000 to Settle FTC Allegations Related to Premerger Filing Requirements (July 7, 2013)
- FTC Finalizes Amendments to the Premerger Notification Rules Related to the Withdrawal of HSR Filings (June 28, 2013)
- Revised thresholds are now in effect. (Feb. 11, 2013)
- The new HSR thresholds for 2013 have been published in the Federal Register with an effective date of Feb. 11, 2013.
- 2013 Revised HSR Thresholds Announced
- Commission issues proposed amendments to the Premerger Rules related to the withdrawal of HSR filings. (Feb. 2013)
- New guidelines posted on the Style Sheet and the Item 5 Tip Sheet.
- New chronological index of informal interpretation letters is now available.
- Item 4(c) Tip Sheet is now available.
- Updated Post-Consummation Filings (HSR Violations) page. (Jan. 30, 2012)
- The 2011 HSR Annual Report is now available.
- Updated HSR form, version 1.0.1, now available. Changes include expanded text fields to allow more flexible data entry, restored Item 5 functionality, clarification of unclear text labels, and improved formatting. Download the new form version here.
- Updated Section 802.4 Tip Sheet
- New guidance on listing Attachments on the HSR Form (09-12-11). See updated HSR Form Tip Sheet ver. 1.0.3. Added examples of completed Attachments and Item 4 pages.
- 2012 Revised HSR Thresholds now in effect.
- 2012 Revised HSR Thresholds Announced (Effective Monday, Feb. 27, 2012)
- Item 5 Tip Sheet updated
- Interactive Associate Decision Tree to assist in identifying Associates
- Item 4(d) Tip Sheet now available
- Updated Item 6 and Item 7 Tip Sheets
- The first informal interpretations related to the HSR form changes are now available.
- Updated NAICS Tip Sheet
- NOTICE: We understand that some users are having technical issues with the new HSR form. The form is a dynamic Adobe PDF, able to be read and edited by any Adobe Reader. If you are having trouble with the form, please: (1) make sure you have the latest version of Adobe reader installed, and (2) when you open the form on-line, save it to your hard drive or network, then close your browser and open the form on your local drive. If you have any further technical questions, please send them to HSRhelp@hsr.gov and we will work with you to resolve any issues.
- Updated Style Sheet and Checklist for HSR filings.
- Updated Item 5 Tip Sheet for new HSR form (effective Aug. 18, 2011)
- New HSR Form and Instructions now available
- Reminder: Parties submitting an explanatory letter in a post-consummation filing should include the letter with the filings submitted to both agencies.
- PNO Statement on Escrows
- Final Rule Published – Effective Date of Aug. 18, 2011
- Final Rule - HSR Form Changes
- Proposed Changes to the HSR Form
- Premerger Notification Office updates (including early office closings) now available on Twitter. Click the Twitter icon to follow the FTC.
- 2010 Annual Report Now Available
- Statement of Basis and Purpose Updated and Expanded
- Filing Fee page updated
- Additional Advice on the Ordinary Course Exemption
- 2010 Thresholds Now in Effect
- New Post-Consummation Page Now Posted
- HSR Workshop Presentations and Corrected Transcript now available
- New HSR Tipsheets posted under HSR Resources
- Civil Penalties Increased to $16,000 Per Day
- Letter regarding put/call arrangements
- "Reflections on HSR's 25th Birthday" - Statement of Peter Rodino