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HSR Informal Interpretations

1109010 Informal Interpretation

… 1109010 Informal Interpretation 1109010 Informal Interpretation … 201112:28 PM To: Walsh, Kathryn Subject: RE: Item 4(d) synergies question Thankyou. I think the position on point 2 is a … more than we expect synergies of $5 million, forexample, and that does not seem to be the type of document sought in …
Date
Rule
Item 4(d)(iii)
On point 2, I would think that 9 times out of 10 the $5 million will be taken from another substantive synergies document, so there will very likely be no need to worry about documents that reference...
HSR Informal Interpretations

1109010 Informal Interpretation

… 1109010 Informal Interpretation 1109010 Informal Interpretation … 201112:28 PM To: Walsh, Kathryn Subject: RE: Item 4(d) synergies question Thankyou. I think the position on point 2 is a … more than we expect synergies of $5 million, forexample, and that does not seem to be the type of document sought in …
Date
Rule
Item 4(d)(iii)
On point 2, I would think that 9 times out of 10 the $5 million will be taken from another substantive synergies document, so there will very likely be no need to worry about documents that reference...
HSR Informal Interpretations

1109008 Informal Interpretation

… 1109008 Informal Interpretation 1109008 Informal Interpretation … Michael Cc: (Redacted) Subject: 4(d) Documents For Filing HelloMike- Wehave a question about the scope of item … that do notrise to the level of a "financial model" and do not state theirassumptions (e.g., a slide that simply …
Date
Rule
Item 4(d)(iii)
Here is our position: 1. If a document makes a passing reference to synergies with no quantified dollar amount attached (e.g., the deal will result in synergies) this is not enough to make a document...
HSR Informal Interpretations

1109009 Informal Interpretation

… 1109009 Informal Interpretation 1109009 Informal Interpretation … PM To: Walsh, Kathryn Subject: 801.13(b) Kate, EntitiesX and Y, both within the same UPE (Company A) propose to sell … will be executed simultaneously by X and Y and thetwo transactions will not be conditioned on one another. The …
Date
Rule
801.13(b) and 801.14(b)
Note that all of these views are based on the fact that both agreements have been executed, despite the fact that they are not conditioned on one another. If only one agreement had been executed and...
HSR Informal Interpretations

1109009 Informal Interpretation

… 1109009 Informal Interpretation 1109009 Informal Interpretation … PM To: Walsh, Kathryn Subject: 801.13(b) Kate, EntitiesX and Y, both within the same UPE (Company A) propose to sell … will be executed simultaneously by X and Y and thetwo transactions will not be conditioned on one another. The …
Date
Rule
801.13(b) and 801.14(b)
Note that all of these views are based on the fact that both agreements have been executed, despite the fact that they are not conditioned on one another. If only one agreement had been executed and...
HSR Informal Interpretations

1109008 Informal Interpretation

… 1109008 Informal Interpretation 1109008 Informal Interpretation … Michael Cc: (Redacted) Subject: 4(d) Documents For Filing HelloMike- Wehave a question about the scope of item … that do notrise to the level of a "financial model" and do not state theirassumptions (e.g., a slide that simply …
Date
Rule
Item 4(d)(iii)
Here is our position: 1. If a document makes a passing reference to synergies with no quantified dollar amount attached (e.g., the deal will result in synergies) this is not enough to make a document...
HSR Informal Interpretations

1109006 Informal Interpretation

… 1109006 Informal Interpretation 1109006 Informal Interpretation … Item 6b. When you have a fund (partnership) that is filingas the acquiring person, new Item 6b asks only for the name of its GP, and notfor any information on the partners who hold at least …
Date
Rule
Item 6(b)
owned by the UPE), you would need to supply info on its holders. If it is a partnership, again you would only supply the name of the GP. If it is a corporation or LLC (not wholly-owned), you would...
HSR Informal Interpretations

1109006 Informal Interpretation

… 1109006 Informal Interpretation 1109006 Informal Interpretation … Item 6b. When you have a fund (partnership) that is filingas the acquiring person, new Item 6b asks only for the name of its GP, and notfor any information on the partners who hold at least …
Date
Rule
Item 6(b)
owned by the UPE), you would need to supply info on its holders. If it is a partnership, again you would only supply the name of the GP. If it is a corporation or LLC (not wholly-owned), you would...
Early Termination Notices

20111362: Ladenburg Thalmann Financial Services Inc.; Ameriprise Financial, Inc.

… 20111362: Ladenburg Thalmann Financial Services Inc.; Ameriprise Financial, Inc. HSR Early Termination …
Date
Acquiring Party
Ladenburg Thalmann Financial Services Inc.
Acquired Party
Ameriprise Financial, Inc.
Acquired Entities
Brecek & Young Advisors, Inc.
Brecek & Young Financial Group Insurance Agency of Texas Inc
Securities America Advisors, Inc.
Securities America Financial Corporation
Securities America, Inc.
Displaying 17841 - 17860 of 45539
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