Thank you for checking. You are correct that the Individual Person should be listed in Items 1(a) and 2(a) (as well as 3(a)). The Acquired Person should be listed in Items 1(f) and 3(a), as well as in Item 1(e), if it is making the filing on behalf of the Individual Person.
Question
From: Shaffer, Kristin <kshaffer@ftc.gov>
Sent: Tuesday, September 7, 2021 12:05:58 PM (UTC-05:00) Eastern Time (US & Canada)
To: [Redacted]
Cc: [Redacted]
Subject: RE: Question re UPE and 1(e) and 1(f)
[Redacted]
Thank you for checking. You are correct that the Individual Person should be listed in Items 1(a) and 2(a) (as well as 3(a)). The Acquired Person should be listed in Items 1(f) and 3(a), as well as in Item 1(e), if it is making the filing on behalf of the Individual Person.
Best regards,
Kristin
From: [Redacted]
Sent: Tuesday, September 7, 2021 9:53 AM
To: HSRHelp <HSRHelp@ftc.gov>
Cc: [Redacted]
Subject: Question re UPE and 1(e) and 1(f)
We are working on a pre notification filing with respect to an asset acquisition where the Acquired Person is an LLC including its subsidiaries. The LLC is controlled (70% membership interest) by an Individual Person. Accordingly, the Individual Person is the UPE and will be the person filing in 1(a) as well as 2(a). If such is the case, we assume the Acquired Person LLC will be listed in 1(e) and 1(f). Are our assumptions and interpretation correct? Your insight would be greatly appreciated