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1610001 Informal Interpretation
us-ftc-hsr-informal-interpretations-f8aeb0b2eac8ae44619e33abec32888d1610001 Informal InterpretationGuidance
Date
Rule
Item 5, Item 7
Response/Comments
For Item 5, it is not necessary to provide aggregate revenue at the 6-digit code level for 10-digit manufacturing codes.
If there is a 10-digit code overlap, check the overlap box in Item 5. If there is only a 6-digit code overlap in a manufacturing code, do not check the overlap box for the 10-digit code in Item 5, but do report the overlap in Item 7.
UPDATE: September 25, 2019: This no longer represents the view of the PNO.
Question
[REDACTED, see responses below in bracketed all caps. Premerger Notification Practice Manual (5th ed) #190 also speaks to these issues.
Timothy (Ty) Carson
Bureau of Competition
Federal Trade Commission
400 7th Street, SW
Washington, DC 20024
202.326.2627
From: [REDACTED]
Sent: Tuesday, October 04, 2016 4:32 PM
To: Carson, Timothy
Subject: HSR Form Item 5 & 7
Hi Timothy – I have a general question related to completing Items 5 and 7 of the HSR Form with regard to manufacturing codes.
For Item 5, the instructions indicate to only submit data at the 10-digit product code level for manufacturing codes. Can you please confirm that it is not necessary to provide aggregate revenue at the 6-digit code level for manufacturing codes? [CONFIRMED]
Additionally, if there is an overlap for the 10-digit code, do we check the overlap box? [YES, CHECK THE OVERLAP BOX IN ITEM 5]
I’m unclear on that issue based on this sentence of the instructions – “If there is only a 6-digit overlap in a manufacturing code in Item 7, do not check the Overlap box for a related 10-digit code in Item 5.” Does this mean if there is overlap at the 6-digit manufacturing code level but not at the 10-digit code level, that you only report the overlap in Item 7, but you do not check the overlap box for Item 5? [YES]
Thank you for your help!
Best regards,
[REDACTED]
From: Carson, Timothy To: Cc: Walsh, Kathryn E.; Shaffer, Kristin; Gillis, Diana L.; Berg, Karen E. Subject: RE: HSR Form Item 5 & 7 Date: Wednesday, October 05, 2016 9:17:47 AM see responses below in bracketed all caps. PNPM #190 also speaks to these issues. Timothy (Ty) Carson Bureau of Competition Federal Trade Commission 400 7th Street, SW Washington, DC 20024 202.326.2627 tcarson@ftc.gov From: Sent: Tuesday, October 04, 2016 4:32 PM To: Carson, Timothy Subject: HSR Form Item 5 & 7 Hi Timothy – I have a general question related to completing Items 5 and 7 of the HSR Form with regard to manufacturing codes. For Item 5, the instructions indicate to only submit data at the 10-digit product code level for manufacturing codes. Can you please confirm that it is not necessary to provide aggregate revenue at the 6-digit code level for manufacturing codes? [CONFIRMED] Additionally, if there is an overlap for the 10-digit code, do we check the overlap box? [YES, CHECK THE OVERLAP BOX IN ITEM 5] I’m unclear on that issue based on this sentence of the instructions – “If there is only a 6-digit overlap in a manufacturing code in Item 7, do not check the Overlap box for a related 10-digit code in Item 5.” Does this mean if there is overlap at the 6-digit manufacturing code level but not at the 10-digit code level, that you only report the overlap in Item 7, but you do not check the overlap box for Item 5? [YES] Thank you for your help! Best regards,
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