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HSR Informal Interpretations

9612004 Informal Interpretation

… As we discussed, the subject transaction involves an equity investment in the form of non-voting convertible securities. …
Date
Rule
802.31
See Letter #62 for the formula used in #94. Does the underlying v/s (of the preferred stock)enable the holder of securities to vote for exactly two directors (the same number it can currently appoint)...
HSR Informal Interpretations

9605005 Informal Interpretation

… substantial industrial development bonds and real estate investment that it desires to use to (i) generate cash … placed in service 12 to 24 months after Company B’s initial investment. Real Estate Holding Co. will pay for the … agreements other than those necessary for the financing, investment and possible sale/leaseback of its assets. Real …
Date
Rule
802.20; 801.10(a)(2)
Based on all of the facts, you have made the determination that it is not reportable. (Assuming the size-of-person test is met). I concur that this transaction is exempt by (redacted) under Section...
HSR Informal Interpretations

9604002 Informal Interpretation

… Interpretation of the Acquisition Solely for the Purpose of Investment Exemption, 16 C.F.R. 802.9, of the … interpretation of the Acquisition Solely for the Purpose of Investment Exemption, 16 C.F.R. 802.9, of the … with Company Cs combined product. 3. Simultaneous to its investment in Company B, Company A and Company B intend to …
Date
Rule
7A(c)(9); 802.9
4/9/96 Advised writer that the PMN office evaluates the extent of the competitiverelationship existing between the acquiring and acquired person. While A & B bothproduce (redacted) for the same...
HSR Informal Interpretations

9603004 Informal Interpretation

… would be exempt from a reporting obligation under the passive investor exception (16 C.F.R. 802.9) so long as that acquisition was solely for the purpose of investment and that shareholder is not involved in the … directors is not, I understand, inconsistent with playing a passive role in the management of AB. If this letter does …
Date
Rule
801.40; 801.2; 802.9; 802.30
3/7/96 - Advised writer that only possible reportable event is taking of AB shares by former public shareholders, which hold 20% of B. If each such shareholder will take 10% or less of AB's voting...
HSR Informal Interpretations

9603010 Informal Interpretation

… (a) the mortgage loans owned by Seller, which are held for investment or held for sale, or the servicing rights to such …
Date
Rule
7A(c)(7); (c)(1)
This transaction relates to the beneficial transfer of mortgage servicing rights prior to a merger between bank holding companies that requires Federal Reserve Board (FRB) approval. The transfer of...
HSR Informal Interpretations

9603020 Informal Interpretation

… that was formed in October 1995 in order to make investments in attractive businesses from time to time (the LP). The LP is now ready to make its first investment. It will be acquiring the assets of an operating … its partners as money is needed from time to time to make investments. The LP also has unaudited regularly prepared …
Date
Rule
801.11(b)(1)
None, but see 9603018.
HSR Informal Interpretations

9512014 Informal Interpretation

… to repay the debt and return part of the equity investor's investment. Even if the resource disappears, Company A still … is designed to protect Company B's return on its equity investment and assures the lenders that they will receive …
Date
Rule
802.63; 801.1(c)
12/20/95-Advised writer that lessee's taking of title (or security interest) in facility would not constitute the transfer of beneficial ownership of the faculty and thus, no HSR report would be...
HSR Informal Interpretations

9512011 Informal Interpretation

… below. Each of is a non-diversified, closed-end management investment company registered under the Investment Company Act of 1940, as amended (the "Investment Company Act"), and incorporated under the laws of …
Date
Rule
802.21;801.2(d) and (e)
12/19/95 - Advised writer's i.e.-counsel [redacted] that such transaction is taking the form of a voting stock acquisition, 807.21 does not come into play. Though two filings must be made for the two...
Displaying 1641 - 1660 of 1860
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