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

Forms and Documents

Document Name	Status
Form C4 Non-index Filings Form	Modified
HSR '16 Suppt'g Stmt fin.pdf Supporting Statement A	2016-11-14

IC Document Collections

IC ID	Document Title	Status
42609	Non-index Filings Form	Modified
207722	Non-index filing for a withdrawn transaction not employing the two-day resubmission process	Modified
179430	Non-index Filings Requiring More Precise Valuation	Removed
179429	Index Filings	Modified

ICR Details

OMB Control No: 3084-0005	ICR Reference No: 201611-3084-001
Status: Historical Active	Previous ICR Reference No: 201311-3084-002
Agency/Subagency: FTC	Agency Tracking No:
Title: Hart-Scott-Rodino (Premerger notification) Rules and Report Form
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 12/16/2016
	Date Received in OIRA: 11/14/2016
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2019	36 Months From Approved	12/31/2016
Responses	4,564	0	1,543
Time Burden (Hours)	168,486	0	56,423
Cost Burden (Dollars)	0	0	0

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Abstract: The Federal Trade Commission seeks OMB clearance for the reporting requirements under its Hart-Scott-Rodino Antitrust Improvements Act Rules and corresponding Premerger Notification and Report Form for Certain Mergers and Acquisitions.

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

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 53484	08/12/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 79487	11/14/2016
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 Requiring More Precise Valuation
Non-index Filings	C4	Notification and Report Form for Certain Mergers and Acquisitions (DRAFT)
Index Filings
Non-index filing for a withdrawn transaction not employing the two-day resubmission process

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	4,564	1,543	0	0	3,021	0
Annual Time Burden (Hours)	168,486	56,423	0	0	112,063	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The large increase in estimated burden (an increase from 56,423 hours to 168,486 hours) is attributable to two factors: (1) a projected estimate of non-index filings tied to average annual increases of 27% in recent fiscal years; and (2) filing estimates based on the number of filings received, not the number of transactions reported. The second factor results in roughly a doubling of the estimated number of filings. Per transaction, usually two filings are received, one from the acquiring person and one from the acquired person when a transaction is reported.

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Annual Cost to Federal Government: $3,834,700

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]? No

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: 11/14/2016

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