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HSR Informal Interpretations

9404002 Informal Interpretation

… As we discussed. certain shareholders (the “Shareholders”) of our client propose to enter into a transaction (the … (the “Acquirer”) in exchange for registered voting shares of the Acquirer; irrespective of each Shareholder’s ability … the “market price” of the Acquirer securities that a particular Shareholder anticipates receiving at the Closing …
Date
Rule
801.10(c); 802.20(b); 802.9
No response provided.
HSR Informal Interpretations

9404004 Informal Interpretation

… Victor Cohen, Esq. Federal Trade Commission Bureau of Competition Premerger Notification Office Sixth Street and Pennsylvania Ave., N.W. Washington, … of Issuer Is only class of voting securities. The principal holders of Is stock (directly or through the …
Date
Rule
801.1(c); 802.30
An irrevocable proxy to vote shares does not, by itself constitute beneficial ownership of the shares & thus, the holder of the proxy does not hold these shares even though they must be aggregated...
HSR Informal Interpretations

9403009 Informal Interpretation

… March 24 1994 Mr. Dick Smith Premerger Notification Office Room 303 Federal Trade Commission Washington, D.C. 20580 RE: Necessity of Hart-Scott-Rodino Filing on Behalf of (redacted) Dear Mr. … 18a; Hart-Scott-Rodino), we submit, on behalf of the Company, thisletter describing the proposed transaction and our …
Date
Rule
801.1(c)(4); 7A(a)(2)(A) and (C)
See below 3/30/94 The Company has named itself and some of its subsidiaries as the beneficiaries of the Trustestablished by the Company, i.e., the settlor. The Commission, on pg. 33459 of the 7/31...
HSR Informal Interpretations

9403010 Informal Interpretation

… BY HAND Mr. Richard B. Smith The Premerger Notification Office Bureau of Competition Federal Trade Commission Room 303 Washington, … Under the Hart-Scott-Rodino Antitrust Improvements Act of 1976 Dear Mr. Smith: In accordance with our telephone …
Date
Rule
7A(c)(1); 802.1(b)
See below 3/29/84 - advised writer that under the PMN Offices treatment of accounts receivable, this transaction is non-reportable under 7A(c)(1) and 802.1(b) as a transfer in the ordinary course of...
Cases and Proceedings

Mr. Coffee, Inc.

… Mr. Coffee, Inc. Mr. Coffee, Inc. Federal Trade Commission Decisions, Volume 117, Page 156 … Mr. Coffee, Inc. …

Federal Trade Commission Decisions, Volume 117, Page 156

Type of Action
Federal
Last Updated
HSR Informal Interpretations

9403007 Informal Interpretation

… Interpretation March 15, 1994 Richard Smith, Esq. Premerger Office 6th and Pennsylvania Avenue, N.W. Room 301 … concerning the Federal Trade Commissions interpretation of 16 Code of Federal Regulations 801.11, with respect to … in connection with a statutory merger between two limited partnerships, the acquiring limited partnership (Partnership …
Date
Rule
801.11(c); 7A(a)(2)(A)
See below 3/21/94 Advised writer that my views reflected only those of the PMN Office and were not those of the FTC and did not bind it. Writer said that CA had recently passed a partnership merger...
HSR Informal Interpretations

9403006 Informal Interpretation

… Interpretation March 15, 1994 VIA FAX: 1-202-326-2050 Mr. Patrick Sharpe Compliance Officer Pre-Merger Notification Office Bureau of Competition 303 Federal Trade Commission …
Date
Rule
802.20(b)
See below I concur with this letter. We are not giving advice on the Robinson Patman Act or other antitrust laws. The PMN Office gives advice on the H-S-R Act. As long as the v/s of T are valued in...
HSR Informal Interpretations

9403002 Informal Interpretation

… HAND DELIVERY Richard Smith, Esquire Premerger Notification Office Federal Trade Commission 6th Street and Pennsylvania … Avenue, N.W. Washington, D.C. 20580 Re: Informal Policy of the Premerger Notification Office with Respect to the … this policy and would not be reportable under the Act. Company A is a REIT, organized as a corporation under the laws …
Date
Rule
7A(c)(1); 802.1
See below 3/11/94 Advised writer that a REITs purchase of the assets or voting stock of another REIT is exempt under 7A(c)(1). However, the acquisition of the voting stock of a REIT by someone other...
HSR Informal Interpretations

9403001 Informal Interpretation

… Smith, Esquire Senior Attorney Premerger Notification Office Federal Trade Commission 6th and Pennsylvania … D.C. 20580 Dear Dick: As we discussed, we represent a company that proposes to complete the following restructuring: … diversified company with assets and revenues in excess of $100 million. Company A is its own ultimate parent …
Date
Rule
7A(c)(10); 802.10
See below 3/3/94 Advised writer that transactions described in this letter would result in no reportable events. R.B. Smith
HSR Informal Interpretations

9402010 Informal Interpretation

… 1994 VIA FACSIMILE Mr. Dick Smith Premerger Notification Office Bureau of Competition, Room 303 Federal Trade Commission … or to 50% or more of the assets upon dissolution, of Partnership B. 2. No person holds 50% or more of the voting …
Date
Rule
801.11(c)
See below 3/1/94 Called writer and advised that no filing need be made for the acquisition of Company C since it is not engaged in manufacturing, has sales less than $100 MM and its last regularly...
HSR Informal Interpretations

9402011 Informal Interpretation

… Smith, Esq. Staff Attorney Pre-Merger Notification Filing Office Federal Trade Commission Bureau of Competition Room 303 Washington, D.C. 20580 Re: … owns approximately 25% of the  common stock of a holding company. These shares are non-voting. The Trust does not …
Date
Rule
801.1(c)(4)
See below 3/1/94 Advised writer that if grantor names itself as beneficiary of trust (and paragraph 3(b) seems to clearly establish such), then SBP of 7/31/78 at 33459 states that the settlor is...
HSR Informal Interpretations

9403004 Informal Interpretation

… U.S. Mail Mr. Hy David Rubenstein Premerger Notification Office Bureau of Competition Federal Trade Commission Room 303 6th Street … Avenue, N.W. Washington, D.C. 20580 Re: Application of Hart-Scott-Rodino Antitrust Improvements Act of 1976 to …
Date
Rule
801.40; 802.40
See below
HSR Informal Interpretations

9403008 Informal Interpretation

… VIA TELECOPY Hy Rubenstein, Esq. Federal Trade Commission Office of Pre-Merger Notification Washington, D.C. Dear Mr. … ensure that beneficial ownership will not be deemed to have passed prior to expiration of the waiting period. The …
Date
Rule
801.1
See below This escrow arrangement is OK. RS concurs.
Advocacy Filings

FTC Staff Comment to the Hon. David Wright Concerning Pennsylvania H.B. 2347 to Regulate Sellers of Pre-Need Cemetery or Funeral Goods or Services

… Concerning Pennsylvania H.B. 2347 to Regulate Sellers of Pre-Need Cemetery or Funeral Goods or Services Enviado … Concerning Pennsylvania H.B. 2347 to Regulate Sellers of Pre-Need Cemetery or Funeral Goods or Services … Concerning Pennsylvania H.B. 2347 to Regulate Sellers of Pre-Need Cemetery or Funeral Goods or Services …
Date
Matter Number
V940010
Advocacy Filings

FTC Staff Comment to the Hon. David Wright Concerning Pennsylvania H.B. 2347 to Regulate Sellers of Pre-Need Funeral Goods or Services

… Concerning Pennsylvania H.B. 2347 to Regulate Sellers of Pre-Need Funeral Goods or Services Enviado por wfg-adm109 … Concerning Pennsylvania H.B. 2347 to Regulate Sellers of Pre-Need Funeral Goods or Services v940010-pa-funeral-goods.pdf Advocacy Filing … FTC Staff Comment to …
Date
Matter Number
V940010
HSR Informal Interpretations

9402009 Informal Interpretation

… VIA FACSIMILE Richard B. Smith, Esq. Premerger Notification Office Federal Trade Commission 6th Street & Pennsylvania … Avenue, N.W. Washington, D.C. 20580 Re: Application of HSR Act to (redacted) Dear Dick: I am writing to review … their shares of C to D, resulting in D being the new parent corporation of C. D will be a (redacted) issuer. A …
Date
Rule
802.10; 802.51(b)
See below 2/28/94 Advised writer that no filing is required. Exempt under interpretations the PNM Office has given regarding re-incorporations under 802.10 or the fact that the acquiring persons...
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