2411008 Informal Interpretation

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Sheinberg, Samuel I.
Sheinberg, Samuel I.
Wednesday, November 27, 2024 10:04 AM
From:
Sent:
To:
Cc: 	HSRHelp
Subject: 	RE: HSR Form
Here are the answers to your quesƟons:
Is	it permissible for	the	Notification and Report	Form and	AƯidavit to be	signed	by	Docusign? Yes.
Our ultimate parent	entity is a husband	and a wife.	Is	it	permissible	to	have	only	the husband execute	the
Form and	state	in an end	note that	the husband has	the	authority to execute the	Form on behalf of	his
spouse	(provided,	of	course,	that the spouse	actually	provided him such authority in a	power of attorney	or
other	instrument)? Or do	both	spouses need	to sign the	Form	and	AƯidavit.	The husband may aƩest to both
his and his wife’s intent to complete the transacƟon on the affidavit.
In the case	where	the	ultimate	parent	entity	is	an	individual	that has	minor	children,	do the	names	of	the
minor	children	need	to be	listed	in	the	Notification and Report Form with the	names of all persons
comprising the	ultimate parent entity?	No.
For purposes	of Item 6(a),	in the	case where (i)	the	Notification	and Report Form is	being filed by	an
acquiring person,	(ii)	the	ultimate parent entity	is	an individual and	(iii) the	individual controls	a trust that
has assets	greater than $10 million,	which was	created	for	the	benefit of	his children	or other family
members,	should the trust	be reported in	Item 6(a),	or should	only	entities	that have sales	be reported in
Item 6(a)? If	trust has	assets	of $10	million	you need	to list it	in	item 6(a).
From:
Sent: Tuesday, November 26, 2024 9:31 AM
To: HSRHelp <HSRHelp@ftc.gov>
Subject: HSR Form
Hi,
We	have	a	few questions	regarding the	preparation	and execution of	the	Notification and	Report	Form.
1.Is	it permissible for	the	Notification and Report	Form and	AƯidavit to be	signed	by	Docusign?
2.Our ultimate parent	entity is a husband	and a wife.	Is	it	permissible	to	have	only	the husband execute	the
Form and	state	in an end	note that	the husband has	the	authority to execute the	Form on behalf of	his
spouse	(provided,	of	course,	that the spouse	actually	provided him such authority in a	power of attorney	or
other	instrument)? Or do	both	spouses need	to sign the	Form	and	AƯidavit.
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3. 	In the case where the ultimate parent entity is an indiv idual that h as minor children , do the names of the
mi n or ch ildren need to be listed in the Notification and Report Form with the names of all persons
comp risi ng t he u ltimate parent entity?
4. 	Fo r purposes of Item 6(a}, in the case where (i} the Notification and Report Fo rm is being filed by an
acqu iring person, (ii} the u ltimate parent entity is an individual and (i ii} the individual cont rols a tr u st that
has assets greater t han $10 mi ll ion, which was created tor the benefit of h is children or other family
members, should the t r ust be reported in Item 6(a}, or should only entities that have sales be reported in
Item 6(a}?
Thank you t or your consideration.
-Ill
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