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Updated: 12/10/24

HSR notifications must be submitted electronically to the Agencies via the Kiteworks secure file transfer portal. Filings sent through Kiteworks will be delivered to both the FTC and DOJ premerger offices. Filings may be sent at any time, but those received by the Agencies after 5PM EST will be considered submitted on the next business day. 

Setting up a Kiteworks Account 

First-time users and users whose accounts have been locked for inactivity must follow the steps below to set up or reactivate their account before they can submit filings via Kiteworks:

  • Email premerger@ftc.gov with the email subject line "Request for HSR Filing Link”. 
    • Links expire, so do not request a link until you are ready to upload your filing. 
    • The person requesting the link does not have to be the contact attorney identified in the HSR Form. 
  • You will receive an email from the FTC with a link to the Kiteworks online form.  
  • Click on the link and you will be prompted to select a password and set up or reactivate your Kiteworks account. Once you have an active account, you will be able to log in to the Kiteworks portal and submit filings without requesting a link.   

Submitting an HSR Filing via Kiteworks

To submit an HSR filing, fill out the Kiteworks online form. 

  • Add identifying information about the filing to the Message field, using the following format: “ATTORNEY – Acquiring Person-Acquired Person – A/B – Date” with A or B indicating that the filing is for the Acquiring or the Acquired Person, respectively. 

    Example: “JONES – SmithCo-Jefferson Inc. – A – 04-19-25” would identify a filing on behalf of SmithCo, submitted by attorney Jones on 4/19/2025, in connection with a transaction in which SmithCo is the Acquiring Person and Jefferson Inc. is the Acquired Person. 
  • Click on the paperclip icon to add the files. DO NOT click on the paperclip/folder icon, as that will zip the files. 
  • Click the Send button to submit the filing. 
  • Kiteworks will send an automatic confirmation when the filing upload is complete. To confirm whether or not the files have been downloaded by the Agencies, go into the SENT folder in Kiteworks after the filing is sent, open the submission email, and click the Track button on the top menu bar to view additional tracking information. 

Additional Submission Requirements and Tips 

  • If the filing has more than 100 total documents, break each submission into 100 documents or fewer. When filing, identify the related submissions in the Message field by following the naming convention below, but adding “1 of 2”, “2 of 2”, etc.

  • All submitted documents must be named according to the conventions below. Failure to do so may result in a delay in processing the filing.

    0_Affidavit.pdf
    0_Certification.pdf
    0_Cover Letter.pdf
    0_Form.pdf
    Attachments, based on Item number:
    3b-1…3b-2, etc. - for example, 3b-1 Agreement
    4b-1…4b-2, etc. - for example, 4b-1 XYZ Co. 2014 Annual Report
    4c-1…4c-2, etc. - for example, 4c-1 Board Presentation
    4d-1…4d-2, etc. - for example, 4d-1 CIM; 4d-2 Financial Analysis

  • Each documentary attachment submitted with the Form should be marked on the first page with the following information: (i) the name of the filing person; (ii) the Item to which the document responds and the order of this document (e.g., 4(d)-1, 4(d)-2, 4(d)-3)) and (iii) the date of the Form.  Filers must also indicate the Form Item to which each attachment applies (Item 3(b),4(c), etc.) in the description of the document within the Form.
  • All submitted documents must be separate, searchable PDF or MS Excel files. No other formats are acceptable. The files may not contain password protection or other permission requirements and must be virus and malware free.
  • Submitted PDFs must have searchable, grab-able text, i.e., the reviewer must be able to search the document, and to select and copy text from the document. Text in a PDF file obtained from a scanned image of a hardcopy document may need to be further processed with Optical Character Recognition (OCR) tools to allow for selection and copying of content.
  • When naming the PDF documents for submission, please keep the file names descriptive, but short. For example, instead of naming a document “4c-1 September 2019 Confidential Information Presentation Project Persephone”, a shorter name like “4c-1 September 2019 CIM” helps to avoid file storage issues for the PNO.
  • DO NOT submit zip files.
  • Wet-ink signatures or e-signatures are acceptable for certifications and affidavits.  If wet-ink signatures are obtained, scanned copies in PDF format are sufficient for submission.  S-signatures, digitally captured handwritten signatures, and electronically generated signature images are all acceptable e-signature formats
  • Filing parties WILL NOT be asked to submit hard copies or DVDs of filings. 
  • Parties are responsible for keeping their own copies for their records. The PNO is not able to provide copies.
  • Be patient while uploading files and wait to receive the confirmation from Kiteworks that the upload has completed. Do not email the PNO before receiving confirmation.

Withdraw and Refile Procedures

Withdraw/refile letters should be sent via email to the PNO attorney who sent the waiting period letter for the filing with copies to premerger@ftc.gov and premerger@usdoj.gov. The refile filing should be submitted via the Kiteworks portal, following the procedures described above. To identify the submission as a refile in the Message field in the Kiteworks online form, follow the standard naming format, but add “REFILE” and the HSR Transaction Number at the end.        

If you have questions or to report an issue with the electronic submission process, email premerger@ftc.gov.

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