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Date
Rule
Item 6(a)
Staff
Nora Whitehead
Response/Comments

Report all controlled US entities, regardless of whether they have sales in or into the US (subject to the $10MM threshold you reference below). For more guidance, see https://www.ftc.gov/enforcement/premerger-notification-program/hsr-resources/tips-completing-item-6-hsr-form.

Question

From: Whitehead, Nora <nwhitehead@ftc.gov>
Sent: Monday, March 27, 2023 2:16:42 PM (UTC-05:00) Eastern Time (US & Canada)
To: [Redacted]
Cc: HSRHelp <HSRHelp@ftc.gov>
Subject: RE: Question concerning Item 6(a)

Report all controlled US entities, regardless of whether they have sales in or into the US (subject to the $10MM threshold you reference below).

For more guidance, see https://www.ftc.gov/enforcement/premerger-notification-program/hsr-resources/tips-completing-item-6-hsr-form.

From: [Redacted]
Sent: Friday, March 24, 2023 7:37:18 PM (UTC-05:00) Eastern Time (US & Canada)
To: HSRHelp <HSRHelp@ftc.gov>
Subject: Question concerning Item 6(a)

I hope you are well.

I have a question concerning how I should complete Item 6(a) of the HSR Form. Our client does not control any foreign companies. Do I only list US companies that have derived US revenue from sales in the US ? This would mean companies that do not produce revenue from sales such as holding companies or other companies with no sales would not be listed in Item 6(a) ?

I am aware of the $10 million in total assets threshold.

Am I reading the instructions correctly ?

About Informal Interpretations

Informal interpretations provide guidance from PNO staff on the applicability of the HSR rules to specific fact situations. They do not necessarily reflect the position of the Commission. You should not rely on them as a substitute for reading the Act and the Rules themselves. These materials do not, and are not intended to, constitute legal advice. 

Learn more about Informal Interpretations.