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U.S. Department of Justice SealU.S. Department of Justice SealANTITRUST DIVISION

WORKLOAD STATISTICS
FY 2003 - 2012


INVESTIGATIONS

Total Investigations Initiated, by Primary Type of Conduct(1) 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Sherman §1 - Restraint of Trade(2) 112 61 100 87 69 66 70 46 47 31
Sherman §2 - Monopoly 4 4 3 3 1 0 4 2 2 2
Clayton §7 - Mergers 93 92 108 96 101 84 68 64 90 74
Others(3) 9 14 6 18 15 22 22 7 3 1

Business Reviews 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Requested 4 2 6 6 9 8 3 9 1 3
Closed 26 2 1 10 6 6 9 7 3 7

- Granted

 12 2 0 4 5 2 5 5 1 1

- Denied

 1 0 0 0 0 0 0 0 0 0

- Declined

 0 0 0 0 0 0 1 1 1 0

- Withdrawn

 13 0 1 6 1 4 3 1 1 6
Pending 6 6 11 7 10 12 6 8 6 2

Hart-Scott-Rodino (HSR) Premerger Notifications 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Received 1,014 1,428 1,675 1,768 2,201 1,726 716 1,166 1,450 1,429
HSR Investigations Initiated 70 76 90 77 82 70 49 55 72 61
Number of Cases Filed 7 5 2 10 2 14 6 8 11 7

Total Preliminary Inquiries:
Criminal, Civil Non-Merger, and Merger		 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Initiated(4) 182 156 184 172 157 147 138 109 128 97
Matters that exited the Preliminary Inquiry Phase 170 174 185 189 146 146 150 133 152 101
Pending 144 126 125 108 119 120 108 84 60 56

CIDs Issued 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Total number 631 562 727 376 527 355 510 480 476 474
Documentary 54 110 104 11 55 65 59 58 98 47
Written 52 14 6 1 0 1 7 2 3 16
Oral 239 186 161 131 150 125 132 89 99 130
Documentary/Written(5) 286 252 446 231 318 157 302 326 275 279
Oral/Documentary(6) 0 0 10 2 4 7 10 5 1 2


CIVIL INVESTIGATIONS

Merger Investigations 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Total Number (HSR and Non-HSR Investigations) 93 92 108 96 101 84 68 64 90 74
HSR Investigations 70 76 90 77 82 70 49 55 72 61

- HSR Investigations: Second Requests

 20 15 25 17 32 20 16 22 31 29
Non-HSR Investigations 23 16 18 19 19 14 19 9 18 13

- Non-HSR Investigations: CIDs Issued

 9 6 7 5 1 2 9 6 6 8
Merger CIDs Issued 443 207 510 276 395 205 263 344 328 350

Non-Merger Investigations 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Total Number 36 38 29 35 14 24 33 26 17 9

- Non-Merger Investigations: CIDs Issued

 22 17 19 16 12 11 20 12 9 7
Non-Merger CIDs Issued 188 355 217 100 132 150 247 136 148 124

Civil Investigation Results 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Merger Investigations:
Total Number of Public Challenges 		15 9 4 16 12 16 12 19(7) 20 19

- Actions Filed in District Court(8)

 9 6 3 10 4 15 7 10 13 8

- Transactions Restructured or Abandoned Prior to Filing a Complaint as Result of an Announced Challenge

 6 3 1 6 8 1 5 8 7 11
Non-Merger Investigations:
Actions Filed in District Court		 5 2 8 2 2 4 2 4 5 5


CRIMINAL INVESTIGATIONS AND CASES

Grand Jury Investigations 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Initiated 48 21 38 38 34 32 38 12 17 12
Terminated 19 29 27 42 22 30 31 32 66 24
Pending 126 118 128 123 135 137 144 124 75 63

Criminal Cases Filed 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Total Cases Filed 41 42 32 34 40 54 72 60 90 67
Individuals Charged 28 39 47 37 47 59 65 63 82 63
Corporations Charged 16 20 27 24 10 25 22 21 27 16


DISTRICT COURT ANTITRUST CASES

TOTAL CIVIL CASES 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Filed 14 8 11 12 6 19 9 14 18 13
Terminated(9) 11 12 6 20 9 11 16 11 11 20

- Won

 11 11 6 17 9 11 16 11 11 20

- Lost

 0 1 0 2 0 0 0 0 0 0

- Dismissed

 0 0 0 1 0 0 0 0 0 0
Pending 23 19 24 16 13 21 14 17 24 17

RESTRAINT OF TRADE - CIVIL (SHERMAN §1) 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Filed 3 0 7 1 1 2 0 3 4 3
Terminated 2 2 1 9 1 2 1 1 1 2

- Won

 2 2 1 8 1 2 1 1 1 2

- Lost

 0 0 0 1 0 0 0 0 0 0

- Dismissed

 0 0 0 0 0 0 0 0 0 0

MONOPOLY - CIVIL (SHERMAN §2) 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Filed 0 0 0 0 0 0 0 0 1 0
Terminated 0 1 0 0 1 0 0 0 0 2

- Won

 0 0 0 0 1 0 0 0 0 2

- Lost

 0 1 0 0 0 0 0 0 0 0

- Dismissed

 0 0 0 0 0 0 0 0 0 0

MERGER CASES (CLAYTON §7) 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Filed 9 6 3 10 4 15 7 10 13 8
Terminated 8 7 4 6 6 8 15 9 10 12

- Won

 8 7 4 5 6 8 15 9 10 12

- Lost

 0 0 0 1 0 0 0 0 0 0

- Dismissed

 0 0 0 0 0 0 0 0 0 0

DAMAGE ACTIONS - CIVIL 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Filed 0 0 0 0 0 0 0 0 0 0
Terminated 0 0 0 0 0 0 0 0 0 0

- Won

 0 0 0 0 0 0 0 0 0 0

- Lost

 0 0 0 0 0 0 0 0 0 0

- Dismissed

 0 0 0 0 0 0 0 0 0 0

OTHER CIVIL 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Filed 2 2 1 1 1 2 2 1 0 2
Terminated 1 2 1 5 1 1 0 1 0 4
- Won 1 2 1 4 1 1 0 1 0 4
- Lost 0 0 0 0 0 0 0 0 0 0
- Dismissed 0 0 0 1 0 0 0 0 0 0

TOTAL CRIMINAL CASES 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Filed 41 42 32 34 40 54 72 60 90 67
Won 32 35 36 31 31 47 67 41 62 95
Lost 1 1 1 0 1 4 2 1 2 3
Pending 42 48 43 44 54 57 60 55 77 45
Appeal Decisions 2 7 4 5 1 4 2 7 6 5

RESTRAINT OF TRADE - CRIMINAL (SHERMAN §1) 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Filed 23 28 23 21 25 26 37 41 63 58
Won 19 17 31 20 19 25 29 28 37 82
Lost 1 1 1 0 1 3 2 0 0 0
Pending(10) 34 44 35 36 41 39 45 42 69 43

OTHER CRIMINAL CASES
Charging Primarily Other Federal Crimes such as Perjury, Mail Fraud, Contempt, Obstruction of Justice, or False Statements		 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Filed 18 14 9 13 15 28 35 19 27 9
Won 13 18 5 11 12 22 38 13 25 13
Lost 0 0 0 0 0 1 0 1 2 3
Pending(11) 8 4 8 10 13 18 15 13 8 2


APPELLATE CASES

ANTITRUST DIVISION CASES
COURT OF APPEALS		 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Filed 7 5 3 0 2 6 1 4 9 5
Terminated 5 11 5 7 1 6 3 8 3 6

- Won

 3 8 4 7 1 6 3 8 3 5

- Lost

 1 3 0 0 0 0 0 0 0 1

- Dismissed

 1 0 1 0 0 0 0 0 0 0

ANTITRUST DIVISION CASES
SUPREME COURT		 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Filed 0 1 1 2 0 0 0 2 3 1
Terminated 0 0 0 0 2 0 3 2 3 0

- Won

 0 0 0 0 1 0 3 2 3 0

- Lost

 0 0 0 0 0 0 0 0 0 0

- Dismissed

 0 0 0 0 1 0 0 0 0 0

AMICUS CASES
COURT OF APPEALS		 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Filed 6 5 2 1 1 0 2 2 4 0
Terminated 4 4 4 1 0 0 2 2 0 0

- Won

 1 3 3 1 0 0 2 1 0 0

- Lost

 3 2 1 0 0 0 0 1 1 0

- Dismissed

 0 0 0 0 0 0 0 0 0 0

AMICUS CASES
SUPREME COURT		 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Filed 0 3 4 4 4 2 2 0 0 0
Terminated 0 4 1 5 5 0 1 1 0 0

- Won

 0 4 1 5 4 0 1 1 0 0

- Lost

 0 0 0 0 1 0 0 0 0 0

- Dismissed

 0 0 0 0 0 0 0 0 0 0

OTHER AGENCIES' CASES
(ADMINISTRATIVE LAW CASES)
COURT OF APPEALS		 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Filed 76 93 101 59 65 128 58 29 21 28
Terminated 36 43 79 34 27 59 44 19 0 0

- Won

 17 21 10 17 14 16 24 8 11 5

- Lost

 2 2 9 3 3 2 8 4 1 0

- Dismissed

 17 20 60 14 10 11 12 7 4 2

OTHER AGENCIES' CASES
SUPREME COURT		 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Filed 1 4 6 0 0 1 0 0 0 0
Terminated 0 1 2 1 0 0 0 0 0 0

- Won

 0 1 2 1 0 0 0 0 0 0

- Lost

 0 0 0 0 0 0 0 0 0 0

- Dismissed

 0 0 0 0 0 0 0 0 0 0


JUDGMENT ENFORCEMENT

JUDGMENT ENFORCEMENT 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Divestitures 4 5 3 8 3 15 6 9 8 7
Decrees Modified/Terminated 7 3 1 1 2 4 3 2 1 0
Contempt Cases 0 2 1 2 1 2 1 0 0 0

JUDGMENT ENFORCEMENT:
Modification/Termination Investigations(12)		 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Initiated 3 2 1 4 0 3 2 4 0 0
Terminated 2 4 2 14 1 5 3 2 0 1
Pending 18 16 15 5 4 2 1 3 3 2


CASE RESULTS(13)

FINES IMPOSED(14) 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Individual: Total Individual Fines ($000) 470 644 4,483 3,650 15,109 1,485 605 4,373 1,522 2,141
Number of Individuals Fined 16 15 22 17 25 23 27 19 25 31
Corporate: Total Corporate Fines ($000) 63,752 140,586 595,966 469,805 615,671 695,042 973,740 338,645 380,032 1,472,968
Number of Corporations Fined 17 13 18 18 12 12 16 11 11 33
Total Fines Imposed ($000) 64,222 141,230 600,449 473,455 630,780 696,527 974,345 343,017 381,554 1,475,109

OTHER CASE RESULTS 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Restitution Imposed in Connection with Criminal Cases(15) ($000) 15,545 18,776 10,371 2,165 4,790 5,226 17,060 24,271 6,377 3,297
Number of Defendants 21 16 15 7 23 8 22 18 25 28
HSR Penalties ($000) 6,314 1,800 2,000 2,150 250 1,650 2,200 900 0 500
Number of Corporations 2 1 1 1 0 2 2 1 0 0
Number of Individuals 0 1 0 1 1 0 1 0 0 1


CONFINEMENT

INCARCERATION 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Number of Individuals Sentenced 30 28 27 28 39 31 44 37 39 55
Number of Individuals Sentenced to Incarceration Time 15 20 18 19 34 19 35 29 21 45
Total Number of Actual Days of Incarceration Imposed by the Court 9,341 7,334 13,157 5,383 31,391 14,331 25,396 26,046 10,544 33,603

OTHER CONFINEMENT(16) 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Individuals Sentenced to Other Confinement 6 4 6 13 5 11 9 6 12 4
Number of Other Confinement Days 1,025 1,575 1,270 2,760 1,085 2,045 2,195 1,295 2,075 540


GENERAL ANTITRUST ACTIVITIES

PARTICIPATION IN BANK MERGER PROCEEDINGS 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Total Screenings 994 1,127 943 1,048 1,030 656 463 379 428 519
Screenings Requiring Competitive Analysis(17) 587 732 532 592 737 511 342 294 341 0

INTERNATIONAL ANTITRUST ACTIVITY 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Notifications to Foreign Governments and International Organizations 89 89 115 108 126 118 77 35 38 41
Representation at and Negotiations with Foreign Governments and International Organizations 27 55 31 70 44 41 50 30 41 37
Applications for Export Trade Certificates 5 4 11 6 10 14 6 11 6 7
Certificates Issued 3 6 8 6 8 15 5 10 5 7

FILINGS IN REGULATORY AGENCY PROCEEDINGS 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Department of Transportation 2 0 1 1 0 0 1 1 0 0
Federal Energy Regulatory Commission 0 0 1 0 1 0 0 0 0 0
Securities and Exchange Commission 0 0 0 0 0 0 0 1 1 0
Federal Communications Commission 10 2 0 3 1 0 0 1 1 0
Federal Maritime Commission 0 1 3 1 0 0 0 2 0 1
Interstate Commerce Commission 0 1 0 0 0 0 0 0 0 0
Other 0 2 1 1 1 1 4 3 1 0
Total 12 6 6 6 3 1 5 8 3 1

OTHER ANTITRUST ACTIONS 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
4F (HSR) Information(18) 0 0 0 0 2 1 0 1 0 0
Advice on Surplus Property 1 0 7 3 5 4 0 4 0 3
Meetings of Interagency Task Forces/Committees(19) 51 28 50 22 34 51 53 55 26 33
Congressional Appearances 1 3 0 2 3 2 5 5 1 2
Congressional/OMB Requests for Comments 401 297 338 512 395 571 311 332 59 232
White House Referrals 226 2 1 3 0 1 0 2 2 1
Congressional Correspondence 186 109 85 92 82 90 117 71 78 130
Statutory Reports 17 19 39 56 77 63 40 74 95 73
Joint Research & Development Filings 17 252(20) 45 19 19 28 22 20 12 21
FOIA Requests 159 162 136 103 85 101 98 86 80 137
Privacy Act Requests 10 4 15 9 10 8 11 12 11 9

FOOTNOTES

1. Statistics reflect only the primary type of conduct under investigation at the outset of the investigation; this report does not reflect whether a matter investigated a potential violation of an additional statute(s), or whether the primary violation changed during the pendency of the investigation.  See “District Court Antitrust Cases” for numbers of cases by offense.  Does not include business reviews, judgment modification or termination investigations, or premerger notifications, but includes investigations initiated as a result of premerger notifications.

2. This category reflects both civil and criminal investigations.

3. This category includes investigations of potential violations of Clayton §§ 3, 7A, and 8, the Robinson-Patman Act, and Title 18, among other statutes.

4. Every investigation, with the exception of certain criminal matters that open as grand jury investigations, opens as a preliminary inquiry. Matters exit the preliminary inquiry phase by closing; in the case of criminal preliminary inquiries, becoming grand jury investigations; or in the case of civil preliminary inquiries, through the issuance of Civil Investigative Demands. This category only addresses investigations in the civil or criminal preliminary inquiry stage. Investigations opened with the purpose of exploring judgment modification or termination are not included here in the total number of preliminary inquiries initiated. Such judgment modification/termination investigations are addressed separately under the Judgment Enforcement sections.

5. Combined documentary and written CIDs served to one person, corporation, partnership or legal entity.

6. Combined oral and documentary CIDs served to one person, corporation, partnership or legal entity.  Statistic is only available from FY 2005.

7. One action filed in District Court challenged two separate mergers, resulting in 19 merger challenges.

8. These statistics are the same as those reported under “District Court Antitrust Cases - Merger Cases Filed” on page 6.

9. Figures are computed using the closing date of the case.

10. This represents the number of Cases pending identifiable as a case with a Sherman Act – Restraint of Trade violation. This updated information is as of FY 2010, and replaces the method previously used. A pending case is defined as a case whereby no defendant in a case has entered a plea of guilty or has been found guilty at trial.

11. This represents the number of Cases pending identifiable as charging primarily other federal crimes such as perjury, mail fraud, contempt, obstruction of justice, false statements or other charges that are not Sherman Act – Restraint of Trade violations.  This updated information is as of FY 2010, and replaces the method previously used.   A pending case is defined as a case whereby no defendant in a case has entered a plea of guilty or has been found guilty at trial. 

12. These are investigations to determine whether a judgment should be modified or terminated.

13. Dollar figures are amounts imposed during the fiscal year.

14. Does not include fines “agreed to” by defendants in plea agreements during the fiscal year but not yet imposed by the court.

15. Frequently restitution is not sought in criminal antitrust cases, as damages are obtained through treble damage actions filed by the victims.

16. Includes house arrest or confinement to a halfway house or community treatment center.

17. As of FY 2012, the Division's practice is to conduct a competitive analysis of all bank merger applications forwarded to the Division for review, and not to draw a distinction between transactions that require competitive screening and transactions that may be competitively neutral. Previously, applications involving formations of bank holding companies did not receive the same competitive analysis and were treated separately in the workload statistics.

18. The number of requests to the Director of Operations from state attorneys general for access to investigative files or other Division material pursuant to Section 4F(b) of the Clayton Act, 15 U.S.C. § 15f(b).

19. These figures reflect the number of formal interagency task forces, committees, or working groups that held meetings at which Division staff attended.  The figures do not reflect the actual number of meetings held. 

20. The National Cooperative Research and Production (NCRPA) Act was amended in 2004 to include standard development organizations.