Skip to main content
Date
Rule
803.9
Staff
Michael Verne
Response/Comments
AV P.S. agrees

Question

From: (redacted)

To: MVerne @ftc.gov <mverne@ftc.gov

Date: 2/1/02 9:02AM

Subject: double filing

What is the filing fee situation in the following scenarios:

Acquiror files under 801.30 for open market purchases of the stock of an issuer. Early during the running of the waiting period, acquiror files for a cash tender offer for the same stock (i.e., doesn't cross a higher threshold). Is a second filing fee payable?

Same scenario except that the 801.30 filing is for the $50 million threshold, but the cash tender is for the $100 million threshold. Is the filing fee on the second transaction $125,000? Can the filor get "credit" for the earlier fee and pay just $80,000 for the second filing?

Same answer to the latter scenario if the first waiting period has expired at the time of the second filing?

About Informal Interpretations

Informal interpretations provide guidance from previous staff interpretations on the applicability of the HSR rules to specific fact situations. You should not rely on them as a substitute for reading the Act and the Rules themselves. These materials do not, and are not intended to, constitute legal advice.

Learn more about Informal Interpretations.