Hart-Scott-Rodino (Premerger notification) Rules and Report Form

Forms and Documents

Document Name	Status
Form C4 Non-index Filings Form	Modified
HSR '10 Form Changes PRA SS FIN_mtd.pdf Supporting Statement A	2010-08-17

IC Document Collections

IC ID	Document Title	Status
42609	Non-index Filings Form	Modified
192859	Non-index filings incorporating Item 4(a) and Item 4(b) documents by reference to an Internet link	Removed
179430	Non-index Filings Requiring More Precise Valuation	Modified
179429	Index Filings	Unchanged

ICR Details

OMB Control No: 3084-0005	ICR Reference No: 201008-3084-001
Status: Historical Inactive	Previous ICR Reference No: 201006-3084-004
Agency/Subagency: FTC	Agency Tracking No:
Title: Hart-Scott-Rodino (Premerger notification) Rules and Report Form
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 11/08/2010
	Date Received in OIRA: 09/23/2010
Terms of Clearance: The FTC should consider comments received regarding the information collection instruments and provide a response and any necessary adjustments in its next submission to OMB.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2013	36 Months From Approved	06/30/2013
Responses	883	0	883
Time Burden (Hours)	33,298	0	33,298
Cost Burden (Dollars)	0	0	0

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Abstract: The Federal Trade Commission (“Commission” or “FTC”) is proposing amendments to the Hart-Scott-Rodino Premerger Notification Rules, the Premerger Notification and Report Form ("Form"), and associated Instructions in order to streamline the Form and capture new information that will help the FTC and the Antitrust Division of the Department of Justice conduct their initial review of a proposed transaction’s competitive impact.

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Authorizing Statute(s): US Code: 15 USC 18a Name of Law: Clayton Act
   PL: Pub.L. 94 - 435 90 Stat. 1390 Name of Law: Hart-Scott-Rodino Antitrust Improvements Act of 1976
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3084-AA91	Proposed rulemaking	75 FR 57110	09/17/2010

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 3

IC Title	Form No.	Form Name
Non-index Filings	C4	Notification and Report Form for Certain Mergers and Acquisitions (DRAFT)
Index Filings
Non-index Filings Requiring More Precise Valuation
Non-index filings incorporating Item 4(a) and Item 4(b) documents by reference to an Internet link

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Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Changing Forms

Short Statement: FTC staff canvassed eight practitioners from the private bar to estimate the projected change in burden due to the proposed amendments to the Form. All are considered HSR experts and have extensive experience with preparing HSR filings for the types of transactions that are most likely to be affected by the proposed changes. Many of the proposed changes would significantly reduce burden for all filers. Others would increase burden, particularly for acquiring persons that are private equity funds and master limited partnerships. The consensus of those canvassed was that, on average, burden for collecting and reporting would decrease approximately five percent.

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Annual Cost to Federal Government: $3,397,913

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 09/23/2010

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