| Ministry of Commerce Announcement | | 商务部公告 |
| （No. 41[2015]） | | （2015年第41号） |
| Announcement on Changing the Concentration of Undertakings Restrictions over Western Digital's Acquisition of Hitachi | | 关于变更西部数据收购日立存储经营者集中限制性条件的公告 |
| The Ministry of Commerce of the People's Republic of China (hereinafter referred to as "MOFCOM") has received the application from Western Digital Corporation (hereinafter referred to as "Western Digital") for lifting the additional restrictive conditions by Announcement [2012] No. 9. Upon review of the application, the MOFCOM hereby announces as follows: | | 中华人民共和国商务部（以下简称商务部）收到西部数据公司（以下简称西部数据）关于解除2012年第9号公告附加的限制性条件的申请。商务部对该申请进行了审查，有关事项公告如下： |
| I. Background and review procedures | | 一、背景和审查程序 |
| On March 2, 2012, the MOFCOM issued the Announcement [2012] No. 9, approving Western Digital to acquire Hitachi subject to conditions. In March 2014, Western Digital proposed to lift the obligations under (1) and (2) of the Announcement [2012] No. 9. Due to the investigation existing then over two suspected breaches against the Announcement, the application was not accepted. On January 30, 2015, after the case about Western Digital's breaching the Announcement was completely handled, the MOFCOM accepted and started the assessment over the application. | | 2012年3月2日，商务部发布2012年第9号公告，附条件批准西部数据收购日立存储。2014年3月，西部数据提出解除2012年第9号公告第（一）、（二）项义务的申请。因其当时有两项行为涉嫌违反公告正在被立案调查，该申请未予受理。2015年1月30日，在对西部数据违反公告行为处理完毕后，商务部正式受理并启动了对其申请的评估工作。 |
| During the assessment, the MOFCOM met Western Digital for many times, requiring the latter to provide more materials, inviting suggestions from the competent government authorities, industrial associations, downstream enterprises, etc. in writing or by seminar, and commissioning the independent third party to conduct economic analysis and estimation over the application. In accordance with Anti-monopoly Law, the Provisions on Restrictions on the Concentration of Undertakings (Trial) and the Announcement [2012] No. 9, the MOFCOM examined the implementation thereof, change of market competition status, etc., and comprehensively evaluated the grounds and effect of lifting the restrictive conditions. | | 评估过程中，商务部先后多次与西部数据会谈，要求其补充证据材料，通过书面及座谈会形式征求了相关政府部门、行业协会和下游企业等方面的意见，委托独立第三方对其申请进行了经济分析评估。依据《反垄断法》、《关于经营者集中附加限制性条件的规定（试行）》以及2012年第9号公告的要求，商务部重点考察了2012年第9号公告的执行情况、市场竞争状况的变化等，综合评估了解除限制性条件的理由和影响。 |
| II. Implementation of Announcement | | 二、公告执行情况 |
| Announcement [2012] No. 9 imposes six more obligations on Western Digital, Hitachi and Viviti. According to the obligation fulfillment statement submitted by Western Digital and the supervision report on supervising the trustee, Western Digital fulfilled the obligations as follows during the implementation: | | 2012年第9号公告对西部数据、日立公司和Viviti公司附加了六项义务。根据西部数据提交的履行义务情况的报告以及监督受托人的监督报告，在执行期间，西部数据履行各项义务的情况如下： |
| (1) Obligations under (1) | | （一）第（一）项义务。 |
| Western Digital had two actions against the obligations under the Announcement: First, on March 8, 2012, Western Digital transferred HGST U.S. as the U.S. subsidiary of Viviti to Western Digital Technology and made HGST a wholly-owned subsidiary under Western Digital Technology; secondly, in January 2013, the development department of Viviti / HGST was cancelled, and relevant employees were transferred to Western Digital for offices. By investigation, the MOFCOM believed that the above two actions breached the Announcement, imposed RMB 300,000 of fine and required Western Digital to correct by proper measures. In December 2014, Western Digital paid the fine. According to the supervision report submitted by the trustee and the Administrative Penalty Decision, Western Digital adopted correcting measures and fulfilled the obligations under the Announcement. | | 西部数据有两项行为违反公告规定的义务：一是，2012年3月8日，西部数据将Viviti公司的美国子公司HGST美国公司，转移到西部数据科技公司旗下，成为西部数据科技公司的全资子公司；二是，2013年1月，Viviti/HGST公司发展部门被撤销，有关员工转移到西部数据任职。经立案调查，商务部认为上述两行为违反公告，分别处以30万元人民币罚款，并要求西部数据采取相关措施予以改正。2014年12月，西部数据缴纳了罚款。根据监督受托人提交的监督报告，西部数据按照行政处罚决定书要求采取了整改措施，履行了公告规定的义务。 |
| (2) Obligations under (2) | | （二）第（二）项义务。 |
| Following the obligations under the Announcement, Western Digital and Viviti reasonably determined capacity and production according to market demand and regularly reported to the supervising trustee on monthly basis. . | | 西部数据和Viviti公司根据市场需求状况合理确定了产能产量，并按月定期向监督受托人进行了报告，履行了公告规定的义务。 |
| (3) Obligations under (3) | | （三）第（三）项义务。 |
| Following the obligations under the Announcement, Western Digital and Viviti have not substantially changed the previous business mode nor directly or indirectly forced the customers to exclusively purchase hard drive products. | | 西部数据和Viviti公司没有实质性改变此前的商业模式，没有强制或变相强制客户从两公司排他性地采购其硬盘产品，履行了公告规定的义务。 |
| (4) Obligations under (4) | | （四）第（四）项义务。 |
| Following the obligations under the Announcement, Western Digital and Viviti have kept putting funds in innovation, developing new products and reducing costs and created more innovative products and solutions for the customers. | | 西部数据和Viviti公司在创新领域持续投入资金，研发新产品，降低成本，给客户带来了更多创新性产品和解决方案，履行了公告规定的义务。 |
| (5) Obligations under (5) | | （五）第（五）项义务。 |
| Within 6 months after the examination decision was issued, following the obligations under the Announcement, Western Digital separated 3.5 inch hard drive business from Viviti in favor of Toshiba. | | 审查决定公布后6个月内，西部数据向东芝公司剥离了Viviti公司主要3.5英寸硬盘业务，履行了公告规定的义务。 |
| (6) Obligations under (6) | | （六）第（六）项义务。 |
| After the examination decision was issued and on approval of the MOFCOM, Western Digital commissioned the independent supervising trustee to supervise the fulfillment of obligations. The Trustee regularly reported to the MOFCOM about the fulfillment of obligations. According to supervising report, except two breaches against the Announcement during the obligation under (1), Western Digital fulfilled all the obligations required by Announcement [2012] No. 9. | | 审查决定公布后，经商务部批准，西部数据委托了独立的监督受托人对其履行义务情况进行监督。监督受托人定期向商务部报告义务履行情况。根据监督报告，除了在履行第（一）项义务过程中出现两项违反公告行为外，西部数据按照2012年第9号公告要求履行了各项义务。 |
| The MOFCOM has assessed the fulfillment of obligations by Western Digital. According to the assessment, Western Digital has developed detailed operation proposal for the fulfillment of obligations according to Announcement [2012] No. 9, commissioned the supervising trustee to supervise according to the requirements of the MOFCOM, fully assisted the supervising trustee, and regularly reported to the trustee. During the implementation, the MOFCOM imposed administrative penalty on Western Digital for the two breaches against the Announcement, and Western Digital paid the fine and timely adopted correcting measures according to the Administrative Penalty Decision. In addition, Western Digital fulfilled all the obligations under the Announcement, and the MOFCOM has not received any report about its breach against the Announcement. | | 商务部对西部数据履行义务的情况进行了评估。评估认为，西部数据按照2012年第9号公告要求，为履行义务制定了详细的操作方案，根据商务部要求委任监督受托人进行了监督，并充分配合监督受托人工作，定期向监督受托人报告。执行期间，商务部对西部数据两项违反公告行为进行了行政处罚，西部数据按照《行政处罚决定书》的要求缴纳了罚款，并按时采取了整改措施。除此之外，西部数据履行了公告要求的各项义务，商务部未收到关于其违反公告行为的举报。 |
| III. Analysis on Competition | | 三、竞争分析 |
In accordance with Anti-monopoly Law, the Provisions on Restrictions on the Concentration of Undertakings (Trial) and the Announcement [2012] No. 9, the MOFCOM evaluated the effect of lifting the restrictive conditions on market competition.
．．．．．． | | 依据《反垄断法》、《关于经营者集中附加限制性条件的规定（试行）》以及2012年第9号公告的要求，商务部重点评估了解除限制性条件对市场竞争状况的影响。
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