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Hart Scott Rodino HSR Filing

Generate HSR Filings in Minutes, Not Days

12 minutes with CaseMark

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Hart Scott Rodino HSR Filing

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Workflow

Hart Scott Rodino HSR Filing

Overview

Preparing Hart-Scott-Rodino filings is a time-intensive process requiring meticulous data collection across multiple NAICS codes, revenue categories, and competitive overlaps. M&A attorneys spend 6-8 hours manually compiling transaction details, analyzing horizontal overlaps, organizing attachments, and ensuring FTC/DOJ compliance—all while racing against tight deal timelines.

Preparing Hart-Scott-Rodino filings is a time-intensive process requiring meticulous data collection across multiple NAICS codes, revenue categories, and competitive overlaps. M&A attorneys spend 6-8 hours manually compiling transaction details, analyzing horizontal overlaps, organizing attachments, and ensuring FTC/DOJ compliance—all while racing against tight deal timelines.

CaseMark automates HSR filing preparation by intelligently extracting transaction details, revenue data, and competitive information from your documents. Our AI generates comprehensive, compliant notification forms with proper NAICS categorization, overlap analysis, and attachment indexing in under 15 minutes, allowing you to focus on strategic deal execution rather than administrative form completion.

How it works

  1. 1. Upload your documents

  2. 2. AI analyzes and extracts key information

  3. 3. Review and customize the generated content

  4. 4. Export in your preferred format (DOCX, PDF)

What you get

  • Introduction and Purpose Statement

  • Filing Parties Information (Acquiring and Acquired Persons)

  • Transaction Description and Type

  • Transaction Value and Agreements Index

  • Business and Revenue Information by NAICS Codes

  • Geographic Market Analysis

  • Horizontal Overlap Assessment

  • Prior Acquisitions Disclosure

  • Required Attachments Checklist

  • Certification Statement with Signature Block

What it handles

  • Introduction and Purpose Statement

  • Filing Parties Information (Acquiring and Acquired Persons)

  • Transaction Description and Type

  • Transaction Value and Agreements Index

  • Business and Revenue Information by NAICS Codes

  • Geographic Market Analysis

  • Horizontal Overlap Assessment

  • Prior Acquisitions Disclosure

  • Required Attachments Checklist

  • Certification Statement with Signature Block

Required documents

  • Transaction Agreement

    Final or most recent version of merger, stock purchase, or asset purchase agreement

    .pdf, .docx

  • Financial Statements

    Annual reports and audited financial statements for both acquiring and acquired parties

    .pdf, .xlsx

  • SEC Filings

    Recent SEC filings including 10-K, 10-Q, and proxy statements for public companies

    .pdf

  • Revenue Data by NAICS Code

    Most recent year dollar revenues categorized by North American Industry Classification System codes

    .xlsx, .csv, .pdf

Supporting documents

  • Confidential Information Memorandum

    Offering documents or CIM prepared for the transaction

    .pdf, .docx

  • Competitive Analysis Documents

    Item 4(c) and 4(d) documents: analyses or studies evaluating competitive aspects prepared for officers or directors

    .pdf, .docx, .pptx

  • Prior Acquisition Records

    Documentation of prior acquisitions in overlapping NAICS codes

    .pdf, .xlsx

  • Geographic Market Analysis

    Information on geographic markets where both parties have competing operations

    .pdf, .xlsx, .docx

Why teams use it

Reduce HSR filing preparation time from 6+ hours to under 15 minutes

Automatically categorize revenues by NAICS codes and identify horizontal overlaps

Generate compliant FTC/DOJ notification forms with proper attachment indexing

Ensure accuracy in transaction value calculations and party information

Streamline Item 4(c) and 4(d) document identification and organization

Questions

How does CaseMark handle NAICS code categorization for HSR filings?

CaseMark automatically analyzes your revenue data and business descriptions to suggest appropriate NAICS code classifications. The system cross-references both acquiring and acquired party operations to identify overlapping codes, which is critical for competitive analysis. You maintain full control to review and adjust categorizations before finalizing the filing.

Can CaseMark identify horizontal overlaps between merging parties?

Yes, CaseMark analyzes revenue data, business descriptions, and geographic market information to automatically flag potential horizontal overlaps where both parties operate in the same NAICS codes. The system generates a preliminary competitive overlap assessment that you can refine with additional market-specific details.

What documents does CaseMark need to generate an HSR filing?

CaseMark requires your transaction agreement, financial statements, and revenue data by NAICS code as core inputs. Optional documents like SEC filings, competitive analyses (Item 4(c)/4(d) documents), and prior acquisition records enhance the output. The system intelligently extracts relevant information from whatever documents you provide.

How does CaseMark ensure HSR filing compliance with FTC and DOJ requirements?

CaseMark's templates are built on current FTC/DOJ HSR notification form requirements, including all mandatory sections and certification language. The system prompts you for required information, validates data completeness, and generates properly formatted filings. However, you should always have counsel review the output before submission.

Can CaseMark help with Item 4(c) and 4(d) document identification?

CaseMark assists by analyzing uploaded documents to identify potential Item 4(c) and 4(d) materials—studies or analyses prepared for officers or directors evaluating competitive aspects of the transaction. The system flags relevant documents and helps organize them for attachment, though final determination of responsiveness requires attorney judgment.

How quickly can I generate an HSR filing with CaseMark?

Most users generate a complete draft HSR filing in 10-15 minutes after uploading their transaction documents and financial data. This represents a 95% time savings compared to the 6-8 hours typically required for manual preparation. Additional time may be needed for attorney review and refinement of competitive analysis sections.

Does CaseMark calculate transaction values for HSR threshold purposes?

Yes, CaseMark extracts transaction value information from your purchase agreement and financial documents, presenting it in the format required for HSR filings. The system helps ensure accurate valuation reporting, though you should verify calculations against current HSR threshold amounts, which are adjusted annually by the FTC.

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