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HSR Informal Interpretations

8710004 Informal Interpretation

… of the Premerger Rules. Nor may (redacted) invoke the investment only exemption (see 15 U.S.C. 18a(c)(9); 16 … C.F.R. 802.9) since (redacted) has never had the requisite passive investment intent. Indeed, (redacted) evinced an … the Board of Directors clearly cannot be reconciled with a passive investment intent. These expressions (redacted) …
Date
Rule
802.9; 7A(c)(9)
None noted
HSR Informal Interpretations

8705002 Informal Interpretation

… to the individual. I also asked you if revenues from passive investments in stocks, certificates of deposits, money …
Date
Rule
801.90; 801.11
5/10/87-I advised (redacted) that relative to the partnership and the irrevocable this letter is accurate finding that it is not for the purpose of evading HSR -as in 801.90 but that the last two...
HSR Informal Interpretations

8704001 Informal Interpretation

… chief executive officer of the (redacted) individual with investment assets of less than $1,000,000 and with no … or are engaged in the business of money brokerage, investment banking, securities trading or discount brokerage … broker-dealer engaged in the business of providing investment banking services and trading in securities is a …
Date
Rule
801.11(e)
Based on the telephone call which established that this is one total interrelated transaction (despite all the separate steps) I concur that 801.11(e) will apply
HSR Informal Interpretations

8702011 Informal Interpretation

… are silent on the definition of solely for the purpose of investment. (redacted) is purchasing the (redacted) for investment purposes in the ordinary course of business. It …
Date
Rule
802.1 (b)
Must file. Selling all of the business in a state selling of operating division
HSR Informal Interpretations

8612008 Informal Interpretation

… will continue to hold the Y Co. shares indefinitely as an investment. The trustees of the Trusts and the board of …
Date
Rule
802.30
Trusts already own shares through X; no filing for acquisition of Y shares by trusts. However, Y acquisition of X in a merger is reportable and so notified. 12/12/86
HSR Informal Interpretations

8606014 Informal Interpretation

… treated in a manner similar to that accorded to collective investment funds administered by a bank or trust company. … company separate accounts investing in securities were investment companies subject to the provisions of the Investment Company Act of 1940 (the 1940 Act), including the …
Date
Rule
801.1(c)(7)
OK Wayne Kaplan 6/30/86
HSR Informal Interpretations

8606006 Informal Interpretation

… of (redacted) an open-end, diversified, series, management investment company registered under the Investment Company Act of 1940 as amended (the 1940 Act). … (redacted) an open-end, diversified, series, management investment company registered under the 1940 Act. Shares of …
Date
Rule
802.30
No Comments
HSR Informal Interpretations

8705004 Informal Interpretation

… prior response tome was in error because natural persons investment revenues must be reported under an appropriate … in excess of $1 million. You stated that the sources of the investment revenues do not have to be disclosed. Your authority for requiring a natural person to report investment revenues is the ABA Manual entitled Premerger …
Date
Rule
801.1(b); Item 5
5/22/86- advised (redacted) that I agree with the content of this letter.
Displaying 1801 - 1820 of 1860
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