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HSR Informal Interpretations

1403001 Informal Interpretation

… made by the GRAT to the settlor of the GRAT constitute a reportable acquisition under HSR if the jurisdictional …
Date
Rule
801.1, 802.71
UPDATE August 3, 2016: Clarification – the distribution of voting securities in this example does not constitute a reversionary interest in the trust, but the distribution could be a potentially...
HSR Informal Interpretations

1402002 Informal Interpretation

… by the donor and, therefore, not implicate a potentially reportable acquisition on the part of the donor? The …
Date
Rule
801.1
Issue 1: - If not same day, he can use T+3 to sell the shares - Gift to the trust would not be held by the trust if husband can on his own remove and replace the trustee (wife is deceased) - If both...
Federal Register Notice

Agency Information Collection Activities: Proposed Collection; Comment Request; Extension (Fair Credit Reporting Risk-Based Pricing Regulations); Notice

… Collection; Comment Request; Extension (Fair Credit Reporting Risk-Based Pricing Regulations); Notice Federal … Collection; Comment Request; Extension (Fair Credit Reporting Risk-Based Pricing Regulations); Notice … Collection; Comment Request; Extension (Fair Credit Reporting Risk-Based Pricing Regulations); Notice …
Date
HSR Informal Interpretations

1401007 Informal Interpretation

… view on whether the below-mentioned transaction would be reportable under the Hart-Scott-Rodino Antitrust … the product along with the licensee" which would be reportable under the "all commercially significant rights" … would you agree with our view that this transac tion is not reportable under the HSR Act? …
Date
Rule
801.2
Agree – this is not reportable.
HSR Informal Interpretations

1402001 Informal Interpretation

… issuer in exchange for consideration in excess of the reporting thresholds. Corporation A is an entity engaged in … JSCB's management employees are subject to certain reporting requirements designated for government officials … 801.1(a)(2). Nonetheless, an acquisition in excess of the reporting thresholds by Corporation A, a foreign issuer …
Date
Rule
801.1(a)(2)
Agree.
HSR Informal Interpretations

1401004 Informal Interpretation

… that the sale of the distribution assets could be reportable if the value of the assets sold to a particular … amount paid for the transfer, that transfer would not be reportable under the HSR Act . … 1401004 Informal …
Date
Rule
801.2
We agree that neither the distribution agreement (with exclusive trademark license within the territory) for the (REDACTED) products or the third party products are reportable. The warehouses and...
HSR Informal Interpretations

1401005 Informal Interpretation

… . Happy Monday! I have a question about the possible HSR reportability of "performance stock units" ("PSUs") awarded … beneficial ownership of the shares (and has an advance HSR reporting obligation) for HSR purposes? … 1401005 Informal …
Date
Rule
801.2
1. Mr. X will know months in advance of the vesting date whether the performance goals have been met. Further, presumably he knows whether he intends to remain an officer of the company through the...
HSR Informal Interpretations

1401006 Informal Interpretation

… and that, as a result, the option agreement i s not reportable. Of course , the exercise of the option may b e reportab l e . These conclusions would hold even if the …
Date
Rule
801.1(c)
Here is our current position on swaps: Various scenarios involving swaps: .Cash settled swaps are never a problem because the investor never receives any stock. He is essentially making a cash bet on...
Federal Register Notice

16 CFR Part 305: Energy and Water Use Labeling for Consumer Products Under the Energy Labeling Rule; Proposed Conforming Amendments to Require a New DOE Test Procedure for Televisions and Establish Data Reporting Requirements

… a New DOE Test Procedure for Televisions and Establish Data Reporting Requirements Federal Register Notice 16 CFR Part … a New DOE Test Procedure for Televisions and Establish Data Reporting Requirements 131226energylabelingtelevisionfrn.pdf … a New DOE Test Procedure for Televisions and Establish Data Reporting Requirements …
Date
HSR Informal Interpretations

1312005 Informal Interpretation

… board of directors in a transaction that otherwise would be reportable under the HSR Act's size-of-persons and … entity for purposes of analyzing whether the transaction is reportable. Informal Opinion No. 0412011 (where parent is … the size-of-persons test, and the acquisition will not be reportable. See 16 C.F.R. §801.11(e). Based on these facts, …
Date
Rule
801.1
1) If B is acquired directly by A, there is no acquiring person, so not reportable. 2) If B is acquired by a sub of A that is not itself an agency of the state, the sub would be its own UPE and the...
Federal Register Notice

16 C.F.R. Part 801: Premerger Notification: Reporting and Waiting Period Requirements

… 16 C.F.R. Part 801: Premerger Notification: Reporting and Waiting Period Requirements Federal Register Notice 16 C.F.R. Part 801: Premerger Notification: Reporting and Waiting Period Requirements 16 C.F.R. Part 801: Premerger Notification:  Reporting and Waiting Period Requirements:  Amendments to …
Date
16 C.F.R. Part 801: Premerger Notification: Reporting and Waiting Period Requirements: Amendments to the Premerger Notification Rules For Determining the Reportability of A Transaction Involving the...
HSR Informal Interpretations

1311002 Informal Interpretation

… manufacturing rights" and thus render the transaction non-reportable (as it was prior to these new rules)? … 1311002 …
Date
Rule
801.1(f). 801.2
Our current position is that X is still getting an exclusive license for a specific indication in the U.S. geographic market. Y is retaining the right to manufacture the product for the non-US...
HSR Informal Interpretations

1311003 Informal Interpretation

… 12:12 PM To: Verne, B. Michael Cc: (Redacted) Subject HSR reportability question Dear Mike, We would be grateful for your thoughts on the HSR reportability of the following: Licensor will grant Licensee …
Date
Rule
801.1(q)
No - it is still exclusive. It has long been and continues to be our position that the retention of co-development and co-promotion rights does not defeat the exclusivity of the license. Your cite to...
HSR Informal Interpretations

1310007 Informal Interpretation

… October 30, 2013 3:21PM To: Verne, B. Michael Subject: reportability question Dear Mike: I am writing to hopefully confirm our analysis regarding the non-reportability of a proposed transaction. The proposed … by Company A. As such, the value is below the current reportability threshold, and the transaction is thus not …
Date
Rule
801.10
Agree. K Walsh concurs.
HSR Informal Interpretations

1310003 Informal Interpretation

… We have a transaction structured as a merger that is reportable based on valuation but want to confirm that the valuation of less than $141 . 8 million we are reporting is consistent with the PNO's view . The relevant … of cash and SubCo equity that is greater than the HSR reporting threshold, but less than $141.8 million (the …
Date
Rule
801.10
I agree with your conclusions (refer to email) We are not sure what the thinking was on the attached interp. It's possible that it hinged on being structured as a redemption or cancellation of shares...
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