You can indicate in Item 1(a) or in an endnote that the UPE is a husband and wife. Yes, one can certify on behalf of both.
Question
From: Sheinberg, Samuel I.
Sent: Monday, September 16, 2024 10:52 AM
To: [Redacted]
Cc: HSRHelp <HSRHelp@ftc.gov>
Subject: RE: HSR Form / Question about Listing Spouses as UPE
You can indicate in item 1(a) or in an endnote that the UPE is a husband and wife. Yes, one can certify on behalf of both.
From: [Redacted]
Sent: Monday, September 16, 2024 9:45:21 AM (UTC-05:00) Eastern Time (US & Canada)
To: HSRHelp <HSRHelp@ftc.gov>
Subject: HSR Form / Question about Listing Spouses as UPE
Hi:
In a sale of voting securities, the UPE for an Acquired Person is a husband and wife, who each own 50% of the voting securities. Thus, each is individually a UPE and, through aggregation are each the owner of 100% of the voting securities. How should the spouses be listed in item 1(a)? Can one of them certify the filing on behalf of himself or herself and the spouse?