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HSR Informal Interpretations

0511031 Informal Interpretation

… group ofinstitutional investors has formed a "Fund" to make investments inPortfolio Companies. The Fund is not a legal … investors areparties to an agreement that outlines when/how investments are made. Generally,a financial advisor makes … companies in which the investorgroup might consider making investments. For each potential transaction, theinvestors …
Date
Rule
801.1(c)
Individual investors hold the shares.
Early Termination Notices

20060098: GGC Investment Fund II, L.P.; Appleseed's Holdings, Inc.

… 20060098: GGC Investment Fund II, L.P.; Appleseed's Holdings, Inc. HSR Early Termination Notice 20060098: GGC Investment Fund II, L.P.; Appleseed's Holdings, Inc. … Appleseed's Holdings, Inc. Appleseed's Holdings, Inc. GGC Investment Fund II, L.P. … 20060098: GGC Investment Fund II, …
Date
Acquiring Party
GGC Investment Fund II, L.P.
Acquired Party
Appleseed's Holdings, Inc.
Acquired Entities
Appleseed's Holdings, Inc.
Early Termination Notices

20060004: Odyssey Investment Partners Fund III, L.P.; Residuary Trust under the Will of Charles E. Bowers, Jr.

… 20060004: Odyssey Investment Partners Fund III, L.P.; Residuary Trust under … Bowers, Jr. HSR Early Termination Notice 20060004: Odyssey Investment Partners Fund III, L.P.; Residuary Trust under … Trust under the Will of Charles E. Bowers, Jr. Odyssey Investment Partners Fund III, L.P. … 20060004: Odyssey …
Date
Acquiring Party
Odyssey Investment Partners Fund III, L.P.
Acquired Party
Residuary Trust under the Will of Charles E. Bowers, Jr.
Acquired Entities
The Fibre-Metal Products Company
HSR Informal Interpretations

0510013 Informal Interpretation

… squarely within the exemptionapplicable to acquisitions of investment and rental property assets codified at16 C.F.R. … purchaser group is purchasing the real estate solely forinvestment purposes in order to rent the properties. The … squarely within the exemptionapplicable to acquisitions of investment or rental property assets codified at16 C.F.R. …
Date
Rule
802.5
Agree
Early Termination Notices

20051622: Almatis Investments 2 Limited; Rhone Offshore Partners II, L.P.

… 20051622: Almatis Investments 2 Limited; Rhone Offshore Partners II, L.P. HSR Early Termination Notice 20051622: Almatis Investments 2 Limited; Rhone Offshore Partners II, L.P. 20051622 Almatis Investment Holding S.a.r.l. Rhone Offshore Partners II, L.P. …
Date
Acquiring Party
Almatis Investments 2 Limited
Acquired Party
Rhone Offshore Partners II, L.P.
Acquired Entities
Almatis Investment Holding S.a.r.l.
Early Termination Notices

20051599: Manulife Financial Corporation; President and Fellows of Harvard College

… Company, LLC Rainier Timber Company, LLC Walden Forest Investments, L.P. President and Fellows of Harvard College …
Date
Acquiring Party
Manulife Financial Corporation
Acquired Party
President and Fellows of Harvard College
Acquired Entities
Cathlamet Timber Company, LLC
CNI Timber Hold Co.
ETT Company, LLC
ETT, L.P.
Rainier Mineral Company, LLC
Rainier Timber Company, LLC
Walden Forest Investments, L.P.
Cases and Proceedings

Sacane, Scott R., U.S. (for the FTC)

… before making acquisitions of two companies through an investment fund that he controlled. Sacane eventually held …

The complaint alleged that Scott R. Sacane, a Connecticut hedge fund manager, failed to comply with notification and waiting period requirements before making acquisitions of two companies through an investment fund that he controlled. Sacane eventually held more than 50 percent of the voting securities of Aksys Ltd. and more than $100 million of voting securities of Esperion Therapeutics, Inc., without complying with the HSR Act. Under the terms of a consent decree filed simultaneously with the suit, Sacane agreed to pay a civil penalty of $350,000 to settle the charges.

Type of Action
Federal
Last Updated
FTC Matter/File Number
0410068
HSR Informal Interpretations

0509006 Informal Interpretation

… Subject: Quick question Mike: A client of ours that is an investment/securities company proposesto acquire some assets from another investment/securities company. The assetsof the business …
Date
Rule
802.9, 802.64, 801.4
Each would be a separate secondary acquisition and could (assuming the percentages are low enough) qualify for either of these exemptions.
Early Termination Notices

20051494: PAR Investment Partners, L.P.; US Airways Group, Inc.

… 20051494: PAR Investment Partners, L.P.; US Airways Group, Inc. HSR Early Termination Notice 20051494: PAR Investment Partners, L.P.; US Airways Group, Inc. 20051494 US Airways Group, Inc. US Airways Group, Inc. PAR Investment Partners, L.P. … 20051494: PAR Investment …
Date
Acquiring Party
PAR Investment Partners, L.P.
Acquired Party
US Airways Group, Inc.
Acquired Entities
US Airways Group, Inc.
HSR Informal Interpretations

0508007 Informal Interpretation

… servicing, mortgage software services, assetmanagement and investment advisory services. The seller currently owns 100% … securities, which are exempt under Section 7A(c)(2); equityinvestments in various commercial real estate-related … goodwill associated with commercial mortgage and real estateinvestment acquisitions; and cash and other investment …
Date
Rule
802.4
Agree. N. Ovuka concurs.
HSR Informal Interpretations

0508006 Informal Interpretation

… are held by one person. This person has some other minority investments in Germany in unrelated areas and unrelated …
Date
Rule
Form Item 6
1) Treat s partnership. 2) List all of the holding of the individual holding 51%. He is UPE. UPDATE June 1, 2016: Response (1) no longer represents the position of the PNO. Please see https://www.ftc...
Displaying 1161 - 1180 of 1860
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