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NASPP Essentials

The HSR Act and Stock Compensation
Feb 24,2020

Individuals whose stock ownership exceeds certain thresholds can be required to file reports with the FTC and the DOJ. Learn more about how these rules apply to stock compensation.

Latest Developments

New HSR Filing Thresholds for 2020
Jan 29,2020

The memo by Morrison & Foerster summarizes the new HSR Act filing thresholds for 2020.

New HSR Filing Thresholds for 2019
Feb 19,2019

The memo by Morrison & Foerster summarizes the new HSR Act filing thresholds for 2019.

New HSR Filing Thresholds for 2018
Jan 29,2018

On January 26, 2018, the FTC announced the adjusted HSR Act notification thresholds for 2018. The new thresholds will become effective on February 28, 2018.

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Articles

Equity Compensation May Require HSR Filings For Executives
Oct 05,2017

Common equity-based compensation-related transactions, such as restricted stock grants, settlement of restricted stock units (RSUs), exchange of operating partnership units (OP units) and option exercises, may trigger filing obligations under the Hart-Scott-Rodino Antitrust Improvements Act (HSR Act) for executives of REITs or other companies who own significant amounts of their company’s stock. Executives should be aware of how these filing requirements may apply to them, as filing fees are not insignificant ($45,000 or more) and failing to make a required filing can bring about stiff consequences, including fines of up to $40,000 per day, a governmental inquiry, and potential embarrassment.

Beware of HSR Filing Requirements For Option Exercises or Vesting of Restricted Stock
May 27,2007

The Federal Trade Commission obtained a $250,000 civil penalty against James Dondero, the operator of the Highland Capital hedge fund and a director of Motient Corporation, for making a late Hart-Scott-Rodino Act filing in connection with his 2005 exercise of options to acquire 10,000 Motient shares.

New HSR Thresholds Announced for 2020
Feb 25,2020
Barbara Baksa

Failure to comply with the Hart-Scott-Rodino Act can be a $40,000 per day mistake. Read this blog entry to learn more about the HSR Act and find out what the filing thresholds are for 2020.

New HSR Thresholds Announced for 2019
Feb 20,2019
Barbara Baksa

Failure to comply with the Hart-Scott-Rodino Act can be a $40,000 per day mistake. Read this blog entry to learn more about the HSR Act and find out what the filing thresholds are for 2019.

New HSR Thresholds Announced
Feb 01,2018
Barbara Baksa

The FTC has announced the new Hart-Scott-Rodino Act thresholds, which will go into effect on February 28, 2018.

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The National Association of Stock Plan Professionals is the largest and oldest professional association for the stock and executive compensation community, with over two decades of leadership providing expert resources, education and other benefits for our more than 6,000 members across 32 affiliated chapters.

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