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#2151876 - 10/31/17 11:28 PM Publicly Traded Company?
Bec Offline
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Bec
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I understand that a Phase I exemption involves publicly traded companies and I have done research on these threads which pointed me to the SEC's EDGAR company search. So, for example, say Family Dollar Stores, Inc is listed on the EDGAR website. Also listed is our customer Family Dollar Stores of the Moon, Inc. This company is also listed on the EDGAR website. Am I able to confidently say that our customer, Family Dollar Stores of the Moon Inc is a publicly traded company as a subsidiary of Family Dollar Stores, Inc and therefore Phase I exempt? I notice that our customer has the same state of incorporation as the Family Dollar Stores Inc.
Just want to be sure. Thanks!
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#2151881 - 11/01/17 11:24 AM Re: Publicly Traded Company? Bec
rlcarey Offline
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Just because a company is listed on EDGAR does not necessarily mean it is publicly traded. If they issue securities, they can be listed. If you think your company is a subsidiary of a company, you need to look at the last 10-K of the parent company that is traded and refer to Exhibit 21, which will list all subs. Family Dollar was purchased a few years ago by Dollar Tree and these subs went in a variety of directions.
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#2151977 - 11/01/17 07:16 PM Re: Publicly Traded Company? Bec
Bec Offline
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Thank you rlcarey. I was definitely uncertain about the listing because it appears that it was only in regards to the acquisition. I will go look at the things you describe right now! Thank you, again smile

Ok...just looked on the EDGAR for the 10-K and the last one was filed in 2014. Is that weird?
Last edited by Bec; 11/01/17 07:23 PM.
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#2151989 - 11/01/17 08:06 PM Re: Publicly Traded Company? Bec
bcompliance Offline
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Family Dollar is no longer publically traded since they were bought out by Dollar Tree, as Randy noted.

Here is a link to Dollar Tree's 10k. Search on "Exhibit 21" as Randy noted and it lists all their subsidiaries. Hope that helps.

http://www.dollartreeinfo.com/investors/global/secfiling.cfm?filingID=935703-17-11
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#2212916 - 05/06/19 08:11 PM Re: Publicly Traded Company? Bec
jsim913 Offline
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Hate to bump an old thread but this one is particularly relevant. I'm trying to verify a Dollar Tree Inc subsidiary for exemption purposes but when I look at their 10-k, it only lists a few and has "Certain other subsidiaries are not included because, when considered in the aggregate as a single subsidiary, they do not constitute a significant subsidiary as of February 2, 2019." Their annual report is a copy of their 10-k.

How else can I verify the subsidiary is still owned by them if they're not listing all of them? When I look at the filings for the subsidiary, there aren't any updates since 2016 - can I assume that there would have been some kind of ownership change form listed if it was no longer owned by Dollar Tree, Inc?

It's one of Family Dollar Stores entity that was purchased by Dollar Tree in 2015.

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#2212930 - 05/06/19 10:00 PM Re: Publicly Traded Company? Bec
rlcarey Offline
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Well, if you give us their actual name, we might be able to help. Also, have you checked with them to make sure you have the most current corporate documentation?
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#2213197 - 05/09/19 02:32 PM Re: Publicly Traded Company? rlcarey
jsim913 Offline
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Family Dollar Stores of Texas, LLC is the entity. The S4/A I found from 2016 lists them as a subsidiary of Dollar Tree Inc.

The documentation is a bit over the place and outdated. It actually doesn't reference "Family Dollar Stores of Texas" aywhere, just Dollar Tree Inc. We also got a 2012 FDIC printout stating "a listed company is exempted from the definition of customer" under CIP.

I appreciate the help, rlcarey.

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#2213249 - 05/09/19 05:33 PM Re: Publicly Traded Company? Bec
rlcarey Offline
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Family Dollar Stores, Inc. is now a subsidiary of Dollar Tree. They do not breakdown subsidiaries of subsidiaries, so if you want to continue their exemption, you are going to have to get something from them that shows that they remain a sub of Family Dollar Stores, Inc.
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#2213989 - 05/20/19 01:39 PM Re: Publicly Traded Company? rlcarey
jsim913 Offline
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I was able to get this documentation from them. Thank you, rlcarey.

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