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Date
Rule
Item 5(a)
Staff
Nora Whitehead
Response/Comments

Yes.

Question

From: Whitehead, Nora <nwhitehead@ftc.gov>
Sent: Thursday, July 14, 2022 3:59:48 PM (UTC-05:00) Eastern Time (US & Canada)
To: [Redacted]
Cc: HSRHelp <HSRHelp@ftc.gov>
Subject: RE: Item 5(a) and natural person

Yes.

From: [Redacted]
Sent: Thursday, July 14, 2022 1:48:39 PM (UTC-05:00) Eastern Time (US & Canada)
To: HSRHelp <HSRHelp@ftc.gov>
Subject: Item 5(a) and natural person

I had received guidance a few years ago that a natural person UPE who is also a foreign person would only need to report investment income under Item 5(a) for investments made through a US broker. Is that still the case if the natural person UPE resides outside the US, but still happens to be a US citizen?

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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.

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