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HSR Informal Interpretations

9906014 Informal Interpretation

… in total assets, Seller must consider the value of its investment assets, voting securities and other …
Date
Rule
801.11
If the assets for the company are less than $10 million, then a pro-forma must be created. We don’t take personal financial statements prepared for loans. A pro-forma must be created for the FTC...
HSR Informal Interpretations

9906022 Informal Interpretation

… we had yesterday with respect to the application of the investment-purposes-only exemption under 15 U.S.C. § … under these facts, the individual should qualify for the investment-purposes-only exemption of 15 U.S.C. 18a(c)(9) … issuer or any of its subsidiaries does not qualify for the investment-purposes-only exemption. You also stated that an …
Date
Rule
7A(c)(9); 802.9
See below. UPDATE 4/27/15: This interpretation is out of date and no longer the position of the PNO.
Early Termination Notices

19992627: SDI Investments Liquidating Trust; Hologic, Inc.

… 19992627: SDI Investments Liquidating Trust; Hologic, Inc. HSR Early Termination Notice 19992627: SDI Investments Liquidating Trust; Hologic, Inc. 19992627 DRC Holding Corp. Hologic, Inc. SDI Investments Liquidating Trust … 19992627: SDI Investments …
Date
Acquiring Party
SDI Investments Liquidating Trust
Acquired Party
Hologic, Inc.
Acquired Entities
DRC Holding Corp.
Early Termination Notices

19992626: Hologic, Inc.; SDI Investments Liquidating Trust

… 19992626: Hologic, Inc.; SDI Investments Liquidating Trust HSR Early Termination Notice 19992626: Hologic, Inc.; SDI Investments Liquidating Trust 19992626 SDI Investments, L.L.C. SDI Investments Liquidating Trust …
Date
Acquiring Party
Hologic, Inc.
Acquired Party
SDI Investments Liquidating Trust
Acquired Entities
SDI Investments, L.L.C.
HSR Informal Interpretations

9905013 Informal Interpretation

… CTO has already closed, our client retains its financial investment in Target. The 9.5% CTO is not contingent upon …
Date
Rule
Item 4(c)
5/25/99-discussed letter with MV, TH and MB. We concluded that, in this particular fact situation, the CTO filing should include only those 4(c)s relating to the CTO transaction, at the $15 MM...
Early Termination Notices

19992638: Lehman Brothers Offshore Investment Partners II L.P.; Lehman Brothers Merchant Banking Partners II L.P.

… 19992638: Lehman Brothers Offshore Investment Partners II L.P.; Lehman Brothers Merchant … Early Termination Notice 19992638: Lehman Brothers Offshore Investment Partners II L.P.; Lehman Brothers Merchant … Merchant Banking Partners II L.P. Lehman Brothers Offshore Investment Partners II L.P. … 19992638: Lehman Brothers …
Date
Acquiring Party
Lehman Brothers Offshore Investment Partners II L.P.
Acquired Party
Lehman Brothers Merchant Banking Partners II L.P.
Acquired Entities
Blount International, Inc.
Early Termination Notices

19992565: Apollo Investment Fun IV, L.P.; Rare Medium Group, Inc.

… 19992565: Apollo Investment Fun IV, L.P.; Rare Medium Group, Inc. HSR Early Termination Notice 19992565: Apollo Investment Fun IV, L.P.; Rare Medium Group, Inc. 19992565 … Rare Medium Group, Inc. Rare Medium Group, Inc. Apollo Investment Fun IV, L.P. … 19992565: Apollo Investment Fun …
Date
Acquiring Party
Apollo Investment Fun IV, L.P.
Acquired Party
Rare Medium Group, Inc.
Acquired Entities
Rare Medium Group, Inc.
Early Termination Notices

19992481: General Electric Company; H.I.G. Investment Group, L.P.

… 19992481: General Electric Company; H.I.G. Investment Group, L.P. HSR Early Termination Notice 19992481: General Electric Company; H.I.G. Investment Group, L.P. 19992481 H.I.G. Vinyl, Inc. H.I.G. Investment Group, L.P. General Electric Company … 19992481: …
Date
Acquiring Party
General Electric Company
Acquired Party
H.I.G. Investment Group, L.P.
Acquired Entities
H.I.G. Vinyl, Inc.
HSR Informal Interpretations

9905002 Informal Interpretation

… NW, Room 303 Washington, D.C. 20580 Re:Application of Investment Purposes Only Exemption Dear Dick: This letter is … 15, 1999, during which we discussed the application of the investment only exemption to a hypothetical transaction. … the shares is to vote them, which is within the realm of a passive investor. In our view, the fact that A, through Sub …
Date
Rule
802.9; 7A(c)(9)
5/7/99-Advised writer that under present factual setting, A can purchase 1.7% of voting stock of B and claim the 802.9 exemption. However, the Premerger Office is of the view that the last two...
Early Termination Notices

19992429: NCO Group, Inc.; H.I.G. Investment Group, L.P.

… 19992429: NCO Group, Inc.; H.I.G. Investment Group, L.P. HSR Early Termination Notice 19992429: NCO Group, Inc.; H.I.G. Investment Group, L.P. 19992429 DCI Holding, Inc. H.I.G. Investment Group, L.P. NCO Group, Inc. … 19992429: NCO …
Date
Acquiring Party
NCO Group, Inc.
Acquired Party
H.I.G. Investment Group, L.P.
Acquired Entities
DCI Holding, Inc.
HSR Informal Interpretations

9904011 Informal Interpretation

… are in the business of purchasing timberlands for investment purposes only. The Purchasers hold the … of the Purchasers' business (purchasing timberlands for investment) does not affect the applicability of the Act. We …
Date
Rule
802.2(c)(1)
5/3/99-Writer advises that seller is a timber holder for a paper company which is also a sub of the acquired person. Timber is held in checker-board parcels across VA. No separate parcel has had sales...
HSR Informal Interpretations

9904009 Informal Interpretation

… with you on the phone last Wednesday. A limited partnership investment fund ("the "Acquiring Person") os proposing to …
Date
Rule
801.1(f); 802.23; 802.31;801.30
4/26/99 - Called writer and agreed with his conclusions. Confirmed that Acquiring Person would need to file as an 801.30. RBSmith
Early Termination Notices

19992212: Apollo Investment Fund IV, L.P.; Neptune Orient Lines Limited

… 19992212: Apollo Investment Fund IV, L.P.; Neptune Orient Lines Limited HSR Early Termination Notice 19992212: Apollo Investment Fund IV, L.P.; Neptune Orient Lines Limited … Services, Inc. Neptune Orient Lines Limited Apollo Investment Fund IV, L.P. … 19992212: Apollo Investment Fund …
Date
Acquiring Party
Apollo Investment Fund IV, L.P.
Acquired Party
Neptune Orient Lines Limited
Acquired Entities
APL Land Transport Services, Inc.
Early Termination Notices

19992190: Apollo Investment Fund IV, L.P.; Eos Partners, L.P.

… 19992190: Apollo Investment Fund IV, L.P.; Eos Partners, L.P. HSR Early Termination Notice 19992190: Apollo Investment Fund IV, L.P.; Eos Partners, L.P. 19992190 Pacer International, Inc. Eos Partners, L.P. Apollo Investment Fund IV, L.P. … 19992190: Apollo Investment Fund …
Date
Acquiring Party
Apollo Investment Fund IV, L.P.
Acquired Party
Eos Partners, L.P.
Acquired Entities
Pacer International, Inc.
Early Termination Notices

19992183: Apollo Investment Fund IV, L.P.; Building One Services Corporation

… 19992183: Apollo Investment Fund IV, L.P.; Building One Services Corporation HSR Early Termination Notice 19992183: Apollo Investment Fund IV, L.P.; Building One Services Corporation … Corporation Building One Services Corporation Apollo Investment Fund IV, L.P. … 19992183: Apollo Investment Fund …
Date
Acquiring Party
Apollo Investment Fund IV, L.P.
Acquired Party
Building One Services Corporation
Acquired Entities
Building One Services Corporation
Early Termination Notices

19992092: EMCOR Group, Inc.; Monumental Investment Corporation

… 19992092: EMCOR Group, Inc.; Monumental Investment Corporation HSR Early Termination Notice 19992092: EMCOR Group, Inc.; Monumental Investment Corporation 19992092 Monumental Investment Corporation Monumental Investment Corporation …
Date
Acquiring Party
EMCOR Group, Inc.
Acquired Party
Monumental Investment Corporation
Acquired Entities
Monumental Investment Corporation
Early Termination Notices

19991894: Galaxy Telecom Investments, L.L.C.; Tele-Coomunications Inc. or AT&T Corporation

… 19991894: Galaxy Telecom Investments, L.L.C.; Tele-Coomunications Inc. or AT&T … HSR Early Termination Notice 19991894: Galaxy Telecom Investments, L.L.C.; Tele-Coomunications Inc. or AT&T … Tele-Coomunications Inc. or AT&T Corporation Galaxy Telecom Investments, L.L.C. … 19991894: Galaxy Telecom Investments, …
Date
Acquiring Party
Galaxy Telecom Investments, L.L.C.
Acquired Party
Tele-Coomunications Inc. or AT&T Corporation
Acquired Entities
Mississippi Cablevision, Inc.
Early Termination Notices

19991896: Cendant Corporation; Apollo Investment Fund III, L.P.

… 19991896: Cendant Corporation; Apollo Investment Fund III, L.P. HSR Early Termination Notice 19991896: Cendant Corporation; Apollo Investment Fund III, L.P. 19991896 WMC Finance Co., NRT Incorporated Apollo Investment Fund III, L.P. Cendant Corporation … 19991896: …
Date
Acquiring Party
Cendant Corporation
Acquired Party
Apollo Investment Fund III, L.P.
Acquired Entities
WMC Finance Co., NRT Incorporated
Early Termination Notices

19991998: Electra Investment Trust PLC; Allflex USA, Inc.

… 19991998: Electra Investment Trust PLC; Allflex USA, Inc. HSR Early Termination Notice 19991998: Electra Investment Trust PLC; Allflex USA, Inc. 19991998 Allflex USA, Inc. Allflex USA, Inc. Electra Investment Trust PLC … 19991998: Electra Investment Trust …
Date
Acquiring Party
Electra Investment Trust PLC
Acquired Party
Allflex USA, Inc.
Acquired Entities
Allflex USA, Inc.
HSR Informal Interpretations

9903010 Informal Interpretation

… the lease term. The client is qualified as a Real Estate Investment Trust ("REIT") under Sections 856-860 of the … course of their business, the fiduciary nature of their investment activities and the restrictions imposed upon … to REITs. Currently Rule 802.5 exempts (1) acquisitions of investment rental property assets which "will not be rented …
Date
Rule
REIT realty purchase; 802.5
UPDATE: July 14, 2015 -- The below interpretation, as it relates to 802.5, is no longer the position of the PNO. The PNO’s clarified position, found at " HSR Rule 802.5: the Investment Rental Property...
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