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Federal Register Notice

Consent Agreements Settlements; Corrections - 16 CFR Part 3

… Consent Agreements Settlements; Corrections - 16 CFR Part 3 Federal Register Notice Consent Agreements Settlements; Corrections - 16 CFR Part 3 051107consentagreesettlements.pdf … Consent Agreements Settlements; …
Date
HSR Informal Interpretations

0511031 Informal Interpretation

… your opinion as to who holds the shares of the Portfolio Companies in thefollowing situation: A group ofinstitutional … has formed a "Fund" to make investments inPortfolio Companies. The Fund is not a legal entity; rather the … Generally,a financial advisor makes recommendations about companies in which the investorgroup might consider making …
Date
Rule
801.1(c)
Individual investors hold the shares.
Early Termination Notices

20060012: Lafarge S.A.; H.T. Ritchie II

… Inc. Hesston Ready Mix, Inc. R-Con Corporation Ritchie Companies, Inc. Ritchie Concrete Paving, Inc. Ritchie …
Date
Acquiring Party
Lafarge S.A.
Acquired Party
H.T. Ritchie II
Acquired Entities
Application Systems Technology, Inc.
Ark River Sand of Oklahoma, Inc.
Ark River Sand, Inc.
Hesston Ready Mix, Inc.
R-Con Corporation
Ritchie Companies, Inc.
Ritchie Concrete Paving, Inc.
Ritchie Corporation
Ritchie Paving & Construction, Inc.
Ritchie Paving of Oklahoma, Inc.
Ritchie Paving, Inc.
Ritchie Sand, Inc.
Tarp Bow Solutions, Inc.
Early Termination Notices

20060011: Lafarge S.A.; Hale D. Ritchie

… Inc. Hesston Ready Mix, Inc. R-Con Corporaiton Ritchie Companies, Inc. Ritchie Concrete Paving, Inc. Ritchie …
Date
Acquiring Party
Lafarge S.A.
Acquired Party
Hale D. Ritchie
Acquired Entities
Application Systems Technology, Inc.
Ark River Sand of Oklahoma, Inc.
Ark River Sand, Inc.
Hesston Ready Mix, Inc.
R-Con Corporaiton
Ritchie Companies, Inc.
Ritchie Concrete Paving, Inc.
Ritchie Corporation
Ritchie Paving & Construction, Inc.
Ritchie Paving of Oklahoma, Inc.
Ritchie Paving, Inc.
Ritchie Sand, Inc.
Tarp Bow Solutions, Inc.
HSR Informal Interpretations

0510010 Informal Interpretation

… at the time of formation the 49% owner is contributing only cash andthe 51 % owner is contributing all of the noncash assets, the formation (anLLC) will not be reportable. …
Date
Rule
801.2, 801.50
additional contributions that cause a shift to 49/51 potentially reportable. 3) Agree if the parties agree to shift, potentially reportable even if no new contributions. 4) Automatic shift in future...
HSR Informal Interpretations

0510008 Informal Interpretation

… approximately $50M and 2004 sales ofapproximately $80M. 2. Companies B and C are privately heldC-corps with five or six … contribute their voting stock in A andapproximately $20M in cash to D, and will receive voting stock in D. 5. A's other … A and will receive up to 25 percent of the value thereofin cash and the balance of 75 percent in voting stock of D. No …
Date
Rule
801.2(d)
Agree
Early Termination Notices

20051655: J.C. Flowers I, L.P.; Marsh & McLennan Companies, Inc.

… 20051655: J.C. Flowers I, L.P.; Marsh & McLennan Companies, Inc. HSR Early Termination Notice 20051655: J.C. Flowers I, L.P.; Marsh & McLennan Companies, Inc. 20051655 Crump Group, Inc. Marsh & McLennan Companies, Inc. J.C. Flowers I, L.P. … 20051655: J.C. …
Date
Acquiring Party
J.C. Flowers I, L.P.
Acquired Party
Marsh & McLennan Companies, Inc.
Acquired Entities
Crump Group, Inc.
Cases and Proceedings

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

… period requirements before making acquisitions of two companies through an investment fund that he controlled. …

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

0509009 Informal Interpretation

… of a publicly-traded company, we asked whether funds usedto cash out options in a merger should be included in total … CFR 801.11(e). The items identified were (i) the payment to cash outoptions mentioned in the paragraph above; and (ii) a …
Date
Rule
801.11(e)
Agree.
HSR Informal Interpretations

0509021 Informal Interpretation

… not need to be made for the transaction described below. Companies A, B and C, all ofwhich have the same ultimate … each own membership interests in threedifferent LLCs. Companies A, B and C control the LLCs in that each has … 801.1(b)(1). AnHSR filing was not necessary at the timeCompanies A, B and C acquired these interests. Companies A, …
Date
Rule
802.30
Exempt under 802.30
Early Termination Notices

20051282: Walters Industries, Inc.; DLJ Merchant Banking Partners II, L.P.

… 20051282: Walters Industries, Inc.; DLJ Merchant Banking Partners II, L.P. HSR Early Termination Notice 20051282: Walters Industries, Inc.; DLJ Merchant Banking Partners II, L.P. 20051282 Mueller Water Products, Inc. DLJ Merchant Banking Partners II, L.P. Walters Industries, Inc. …
Date
Acquiring Party
Walters Industries, Inc.
Acquired Party
DLJ Merchant Banking Partners II, L.P.
Acquired Entities
Mueller Water Products, Inc.
Displaying 1621 - 1640 of 2933
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