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HSR Informal Interpretations

2506012 Informal Interpretation

… at closing using the proceeds of the transaction (primarily investment banker fees) may be deducted from the acquisition …
Date
Rule
801.10
If the proceeds in question comprise consideration for the acquisition, they must be included in the acquisition price calculation. The fact that the proceeds will be used to pay the seller’s...
HSR Informal Interpretations

2506006 Informal Interpretation

… family of funds. All funds involved are managed by the same investment adviser (“Fund Manager”). Seller Fund A and …
Date
Rule
802.30
You are correct that the intraperson exemption does not apply to this scenario.
HSR Informal Interpretations

2505007 Informal Interpretation

… (“Manager”) manages multiple funds, and some of the funds’ investment strategy is issuing loans to third-parties. Fund A’s investment strategy is issuing loans to third-parties, and … formed Fund A and is in charge of all of the operations and investment decisions of Fund A. In order to provide a …
Date
Rule
7A(c)(1)
7Ac1 does not apply to the facts as described.
Early Termination Notices

20251144: ASP VIII Alternative Investments, L.P.; MidOcean Partners V, L.P.

… 20251144: ASP VIII Alternative Investments, L.P.; MidOcean Partners V, L.P. HSR Early Termination Notice 20251144: ASP VIII Alternative Investments, L.P.; MidOcean Partners V, L.P. 20251144 … Group, Inc. MidOcean Partners V, L.P. ASP VIII Alternative Investments, L.P. … 20251144: ASP VIII Alternative …
Date
Acquiring Party
ASP VIII Alternative Investments, L.P.
Acquired Party
MidOcean Partners V, L.P.
Acquired Entities
InterVision Group, Inc.
Early Termination Notices

20251106: Greenbriar Equity Fund VI, L.P.; West Star Aviation Investments, LLC

… Greenbriar Equity Fund VI, L.P.; West Star Aviation Investments, LLC HSR Early Termination Notice 20251106: … Greenbriar Equity Fund VI, L.P.; West Star Aviation Investments, LLC 20251106 West Star Aviation Holdings, LLC West Star Aviation Investments, LLC Greenbriar Equity Fund VI, L.P. … 20251106: …
Date
Acquiring Party
Greenbriar Equity Fund VI, L.P.
Acquired Party
West Star Aviation Investments, LLC
Acquired Entities
West Star Aviation Holdings, LLC
HSR Informal Interpretations

2505004 Informal Interpretation

Date
Rule
802.30
We disagree with your conclusion. For HSR purposes, an undivided interest in an asset pool is an asset itself, and even if the acquiring person already holds a 50% or greater undivided interest in the...
Early Termination Notices

20251068: Apollo Global Management, Inc.; Bridge Investment Group Holdings Inc.

… 20251068: Apollo Global Management, Inc.; Bridge Investment Group Holdings Inc. HSR Early Termination Notice 20251068: Apollo Global Management, Inc.; Bridge Investment Group Holdings Inc. 20251068 Bridge Investment Group Holdings Inc. Bridge Investment Group …
Date
Acquiring Party
Apollo Global Management, Inc.
Acquired Party
Bridge Investment Group Holdings Inc.
Acquired Entities
Bridge Investment Group Holdings Inc.
HSR Informal Interpretations

2503002 Informal Interpretation

… members have the contractual authority to direct the investment decisions of both GP and LP1. These two natural … and whose LLC has natural person managing members making investment decisions for the underlying funds). I am … in another LLC (LLC3), and a majority vote is required for investment decisions, would funds controlled by LLC3 be …
Date
Rule
801.1
From: Whitehead, Nora Sent: Monday, March 10, 2025 11:01:54 AM (UTC-05:00) Eastern Time (US & Canada) To: [Redacted] Cc: HSRHelp Subject: RE: Associates Analysis Please see answers below in bold.
HSR Informal Interpretations

2502002 Informal Interpretation

… vote the stock or to determine who may vote the stock, the investment discretion (including the power to dispose of the … holding period expires. Since the executive does not have investment discretion or the ability to dispose of the stock …
Date
Rule
801.1(c)(1)
The RSUs you describe are reportable at the time of receipt. The factors you mention are those to be considered in analyzing the transfer of beneficial ownership and are not a list of necessary...
Cases and Proceedings
Commissioner Statements

Concurring and Dissenting Statement of Commissioner Andrew N. Ferguson Joined by Commissioner Melissa Holyoak Regarding the FTC Staff Report on AI Partnerships & Investments 6(b) Study

Date
By
Andrew N. Ferguson, Chairman;
Melissa Holyoak, Former Commissioner
Matter Number
P246201
Cases and Proceedings
Commissioner Statements

Concurring and Dissenting Statement of Commissioner Melissa Holyoak Joined by Commissioner Andrew N. Ferguson In Matter of AI Partnerships and Investments 6(b) Study

Date
By
Melissa Holyoak, Former Commissioner;
Andrew N. Ferguson, Chairman
Matter Number
P246201
Federal Register Notice

16 CFR 437; Business Opportunity Rule; Notice of Proposed Rulemaking

… it a training or mentoring program, a new business, or an investment, they should be able to rely on the claims that …
Date
Overview When consumers consider a money-making opportunity, be it a training or mentoring program, a new business, or an investment, they should be able to rely on the claims that are made about how...
HSR Informal Interpretations

2411007 Informal Interpretation

… 1(a) / Code 703A Cash on Deposit – Line 2(d) / Code 730B Investments Total Investment Securities – Line 12 / Code AS0013 Other Investments – Line 14 / Code AS0017 Mortgages and Leases …
Date
Rule
801.10, 801.11
Confirming that you may exclude Loans/Lines of Credit (1 st) and Loans/Lines of Credit (Junior). To the extent the lease receivables are the monthly payments by the lessee, they would represent income...
Cases and Proceedings
Adjudicative Proceedings

Zurixx, LLC

The operators of a massive real estate investment coaching scheme face permanent bans and will pay approximately $12 million for consumer redress as part of a settlement in a lawsuit filed by the Federal Trade Commission and the Utah Department of Commerce Division of Consumer Protection (UDCP).

The FTC and UDCP alleged that Zurixx, LLC, its owners Cristopher Cannon, James Carlson, and Jeffrey Spangler, and a number of associated companies operated a real estate investment coaching scheme that sold live seminars and telephone coaching using false earnings claims that convinced tens of thousands of consumers to pay them thousands or tens of thousands of dollars.

The Federal Trade Commission is sending more than $12 million in refunds to consumers who paid Zurixx, LLC for a real estate investment training program that allegedly made empty promises about earning big profits by “flipping” houses.

Type of Action
Federal
Last Updated
FTC Matter/File Number
182 3063
X190047
Case Status
Pending
HSR Informal Interpretations

2406004 Informal Interpretation

… a newly-organized, non-diversified, closed-end management investment company registered under the Investment Company Act of 1940, as amended. The Fund … contractual obligations to third parties to limit its investment in the IPO to 4.9% of the Fund. Therefore, …
Date
Rule
801.2, Item 6(b)
Based on what you describe, a filer could not properly certify the contents of Item 6(b). Based on the facts described, it is too early to properly certify an HSR filing for any anticipated...
Displaying 41 - 60 of 1860
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