|
FA #/FA Date
Case
ID/Applicant Name |
Description of
Transaction |
Substantially Similar
Transactions |
|
08-03E
03/10/08
E00580
SunTrust Robinson Humphrey, Inc.
|
Asset-Backed Securities/Underwriter Exemption
|
PTE 03-31 RBC Dain Rauscher
68 FR 59202 Oct 14, 2003
FAN 03-07E Raymond Jones
Jun 14, 2003
|
|
08-02E
03/03/08
E00576
Wachovia Corporation Pension Plan
|
In-Kind redemption of assets by in-house plans of the investment
advisers of mutual funds.
|
PTE 02-20 Union Bk of California
67 FR 14986 Mar 28, 2002
PTE 03-01 Northern Trust Co
68 FR 6194 Feb 6, 2003
|
|
08-01E
01/25/08
E00571
Royal Bank of Scotland Plc
|
Credit Facility Arrangement
|
PTE 04-02 Bank of America
69 FR 7506 Feb 17, 2004
FAN 06-04E Wachovia Bank N.A.
Jan 7, 2006
|
|
07-13E
12/22/07
E00568
James B. Jones IRA
|
Sale by IRA of Employer Securities
|
PTE 99-28 Gaetano Lombardo
64 FR 38481 Jul 16, 1999
PTE 02-10 Brenda A Moran
67 FR 5318 Feb 5, 2002
|
|
07-12E
12/22/07
E00567
Jean B. Chen IRA
|
Sale by IRA of Employer Securities
|
PTE 99-28 Gaetano Lombardo
64 FR 38481 Jul 16, 1999
PTE 02-10 Brenda A Moran
67 FR 5318 Feb 5, 2002
|
|
07-11E
12/22/07
E00566
George D. Jones III IRA
|
Sale by IRA of Employer Securities
|
PTE 99-28 Gaetano Lombardo
64 FR 38481 Jul 16, 1999
PTE 02-10 Brenda A Moran
67 FR 5318 Feb 5, 2002
|
|
07-10E
12/14/07
E00572
Kenneth W. Stumpf Profit Sharing Plan
|
Sale by Plan of Other Securities
|
PTE 99-10 GUS Plan
64 FR 11045 Mar 8, 1999
FAN 02-13E Paul W Bridgman
Oct 18, 2002
|
|
07-09E
10/01/07
E00557
Westmoreland Coal Company and Subsidiaries Employees Savings Plan
|
Stock Rights Offering
|
PTE 01-24 ATGI 401(k) Plan
66 FR 40734 Aug 03, 2001
FAN 04-18E Milacron Retirement
Sep 07, 2004
|
|
07-08E
08/17/07
E00551
Carcione痴 Fresh Produce Co. Inc. 401(k) Profit Sharing Plan
|
Sale by Plan of Real Property
|
PTE 06-02 Pa Instit Neurogolical
71 FR 14008 Mar 20, 2006
PTE 06-04 Donlar Corporation
71 FR 14011 Mar 20, 2006
|
|
07-07E
08/08/07
E00553
Morgan Stanley Bank & Morgan Stanley Asset Funding Inc.
|
Credit Facility Arrangement
|
PTE 04-02 Bank of America
69 FR 7506 Feb 17, 2004
FAN 05-19E Deutsche Bank AG
Jul 22, 2005
|
|
07-06E
07/20/07
E00549
BNP Paribus Securities Corporation
|
Asset-Backed Securities/Underwriter Exemption
|
PTE 06-07 Harris Nesbitt Corp
71 FR 32135 Jun 2, 2006
FAN 03-07 Raymond James
Jun 14, 2003
|
|
07-05E
04/06/07
E00542
Individual Retirement Account #1474 for Randy Aulick
|
Sale by Plan of Real Property; provided the transaction is
entered within 90 days of the Final Authorization date, 04/06/07.
|
PTE 00-20 Taylor M. Cole IRA
65 FR 25953 May 4, 2000
PTE 01-29 Gooch Enterprises
66 FR 45341 Aug 28, 2001
|
|
07-04E
03/17/07
E00540
NiSource Inc. and NiSource Insurance Corporation Limited
|
Captive Reinsurance
|
PTE 00-48 Columbia Energy
65 FR 60452 Oct 11, 2000
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
FAN 03-32E International Paper
Nov 7, 2003
|
|
07-03E
03/05/07
E00541
Richard R. Kracum IRA
|
Sale by Plan of Real Property
|
PTE 00-20 Taylor M. Cole IRA
65 FR 25953 May 4, 2000
FAN 04-15E Jerry D. Clayton IRA
Aug 13, 2004
|
|
07-02E
01/31/07
E00533
Wells Fargo & Co. Basic Life Insurance Plan
|
Captive Reinsurance
|
PTE 04-12 Svenska Cellulosa
69 FR 40978 Jul 7, 2004
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
|
|
07-01E
01/31/07
E00532
Wells Fargo & Co. Long Term Disability Plan
|
Captive Reinsurance
|
PTE 04-12 Svenska Cellulosa
69 FR 40978 Jul 7, 2004
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
|
|
06-19E
12/29/06
E00538
F&M Bancshares Inc and Tejas PSF Inc Defined Benefit Plan
|
Sale by Plan of 3rd Party Stock to Disqualified Person
|
PTE 98-59 Albright, Hamre et al
63 FR 69326 Dec 16, 1998
FAN 04-23E James W. Collins IRA
Dec 10, 2004
FAN 04-24E Kathleen C. Collins IRA
Dec 10, 2004
|
|
06-18E
12/16/06
E00536
BlackRock Inc and Merrill Lynch & Co Inc
|
Securities Lending between Plans and Broker-dealers (affiliated with plan fiduciary)
|
PTE 02-45 Deutsche Bank AG
67 FR 59564 Sep 23, 2002
PTE 02-46 Barclays Global
67 FR 59569 Sep 23, 2002
FAN 03-08E Merrill Lynch & Co
Jun 15, 2003
|
|
06-17E
12/17/06
E00535
DuPont Capital Management Corporation
|
Similar to QPAM relief without diverse clientele test
|
PTE 01-05 DuPont Capital
66 FR 07789 Jan 25, 2001
PTE 01-06 GMIMCo
66 FR 07795 Jan 25, 2001
FAN 06-05E GMIMCo
|
|
06-16E
11/07/06
E00534
Carbondale Corporation Money Purchase Pension Plan
|
Sale by Plan of Partnership Interests
|
PTE 01-09 Trenam Kemker et al
66 FR 15907 Mar 31, 2001
FAN 05-04E Synergy Inc PSP
Mar 26, 2005
|
|
06-15E
09/28/06
E00510
Bristol Hospital & Health Care Group Retirement Plan
|
Loan by Plan Secured by Real Property
|
PTE 03-29 Valley OB-GYN Clinic
68 FR 52790 Sep 5, 2003
PTE 05-07 PAMCAH-UA LU 675
70 FR 37440 Jun 6, 2005
|
|
06-14E
09/17/06
E00522
H.J. Heinz Co. & Heinz Nebel, Inc.
|
Captive Reinsurance
|
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
FAN 03-32E International Paper
Nov 7, 2003
|
|
06-13E
08/27/06
E00528
Regal Marine Industries Inc. 401(k) Retirement Plan
|
Sale by Plan of Common Stock
|
PTE 03-14 (ACR Homes Inc)
68 FR 34650 Jun 10, 2003
PTE 02-32 Northwoods Bk of MN
67 FR 42077 Jun 20, 2002
|
|
06-12E
06/08/06
E00521
Pileco Inc. Employees Profit Sharing Plan
|
Sale by Plan of Real Property
|
PTE 03-13 Richard Gorman
68 FR 34650 Jun 10, 2003
PTE 02-26 Holt, Fleck Free
67 FR 36030 May 22, 2002
|
|
06-11E
05/01/06
E00518
AGL Resources Inc. and Global Energy Resource Insurance Corporation
|
Captive Reinsurance
|
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
PTE 04-12 Svenska Cellulosa
69 FR 40978 Jul 7, 2004
|
|
06-10E
04/19/06
E00520
The Bear Stearns Companies Inc.
|
Index-Linked Debt Securities
|
PTE 01-30 JP Morgan Chase
66 FR 45342 Aug 28, 2001
FAN 03-12E Goldman Sachs Grp
Aug 15, 2003
|
|
06-09E
04/19/06
E00517
Northern Trust Company
|
Purchase or Sale of Securities in the Context of a Portfolio Liquidation or Restructuring
|
PTE 03-20 Deutsche Bank
68 FR 40689 Jul 8, 2003
PTE 03-23 Goldman Sachs & Co
68 FR 40698 Jul 8, 2003
FAN 05-05E JP Morgan Chase
Mar 27, 2005
|
|
06-08E
03/15/06
E00512
Mercer Trust Company et al
|
Purchase by Plan of Other Securities
|
PTE 01-04 SEI Investments Co
66 FR 07786 Jan 25, 2001
PTE 02-21 Pacific Investment Co
67 FR 14988 Mar 28, 2002
|
|
06-07E
02/22/06
E00491
HEB Brand Savings & Retirement Plan and HE Butt Grocery Company
|
Sale by Plan of Real Property
|
PTE 02-26 Holt Fleck & Free PSP
67 FR 36030 May 22, 2002
PTE 01-27 Walston & High PA
66 FR 45340 Aug 28, 2001
|
|
06-06E
02/12/06
E00507
Raytheon Savings & Investment Plan Raysip
|
Rights Offering
|
PTE 02-29 Wyndham Int値. Inc.
67 FR 39068 Jun 6, 2002
PTE 02-02 Golden Ret Savings
67 FR 1243 Jan 9, 2002
|
|
06-05E
01/13/06
E00509
General Motors Investment Management Corp GMIMCO
|
Similar to QPAM relief without diverse
clientele test
|
PTE 01-05 DuPont Capital Mgmt
66 FR 7789 Jan 25, 2001
PTE 01-06 GMIMCO
66 FR 7795 Jan 25, 2001
FAN 03-03E US Steel & Carnegie Feb 15, 2003
|
|
06-04E
01/07/06
E00502
Wachovia Bank N.A.
|
Credit Facility Arrangement
|
PTE 04-02 Bank of America N.A.
69 FR 7506 Feb 17, 2004
FAN 05-19E Deutsche Bank AG Jul 22, 2005
|
|
06-03E
01/05/06
E00501
Stratmark Group 401k Plan
|
Sale by Plan of Partnership Interests
|
PTE 99-48 Info. Systems Develop.
64 FR 70748 Dec 17, 1999
PTE 01-40 Sierra Health Services
66 FR 53449 Oct 22, 2001
FAN 05-04E Synergy Inc PSP Mar 26, 2005
|
|
06-02E
01/05/06
E00503
Astra Zeneca Pharmaceuticals and AZ-Mont Insurance Co. Life Insurance &
AD&D Plan
|
Captive Reinsurance
|
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
PTE 04-12 Svenska Cellulosa et al
69 FR 40978 Jul 7, 2004
|
|
06-01E
01/05/06
E00479
Astra Zeneca Pharmaceuticals and AZ-Mont Insurance Co. Long term Disability
Plan
|
Captive Reinsurance
|
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
PTE 04-12 Svenska Cellulosa et al
69 FR 40978 Jul 7, 2004
|
|
05-45E
12/23/05
E00482
W. Mitchell Barber SEP IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-44E
12/23/05
E00481
William Wesley Giles IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-43E
12/16/05
E00478
Gary L. Welch IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-42E
12/16/05
E00477
Henderson M. Traylor IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-41E
12/16/05
E00476
Virginia P. Snyder IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-40E
12/16/05
E00475
Lynne M. McCurdy IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-39E
12/16/05
E00474
Bipin Kumar IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-38E
12/16/05
E00473
Charles Ferguson IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-37E
12/16/05
E00472
Julius E. Dunn Jr. IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-36E
12/16/05
E00471
Arnold B. Dopson IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-35E
12/16/05
E00470
Johnie J. Cooper IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-34E
12/16/05
E00469
Mary Jo Collier IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-33E
12/16/05
E00467
Spencer J. Coleman IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-32E
12/16/05
E00467
Spencer J. Coleman IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-31E
12/16/05
E00466
Elizabeth Woodfin Coleman IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-30E
12/16/05
E00465
Judy C. Bell IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-29E
12/16/05
E00464
Isaac Cornelius Barrett Jr. SEP IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-28E
12/16/05
E00463
Curtis L. Barrett Jr. DMD IRA
|
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-27E
12/16/05
E00462
Tonia B. Ayers IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-26E
12/16/05
E00461
Robert Todd Ayers IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
FAN 04-57E Harold J Brewer et al
Dec 31, 2004
|
|
05-25E
10/12/05
E00457
Systems Technology Inc. 401k ESOP & Trust
|
Lease by Plan of Real Property
|
PTE 01-25 Joliet Medical Group
66 FR 40734 Aug 3, 2001
PTE 04-21 Camino Medical
69 FR 68401 Nov 24, 2004
|
|
05-24E
11/08/05
E00458
Credit Suisse First Boston Inc.
|
Purchase, Sale, or Holding of Publicly-traded Debt
Securities and Extension of Credit
|
PTE 01-30 J.P. Morgan
66 FR 45342 Aug 28, 2001
PTE 01-11 Salomon Smith Barney
66 FR 17738 Apr 3, 2001
PTE 00-63 Merrill Lynch & Co.
65 FR 76306 Dec 6, 2000
|
|
05-23E
08/15/05
E00454
New England Biolabs Inc. Employee Stock Ownership Plan and
Trust
|
Sale by Plan of Common Stock
|
PTE 03-14 ACR Homes Inc
68 FR 34650 Jun 10, 2003
PTE 02-32 Northwoods Bk of MN
67 FR 42077 Jun 20, 2002
|
|
05-22E
09/29/05
E00456
Sun Microsystems Inc.
|
Captive Reinsurance
|
PTE 04-12 Svenska Cellulosa
69 FR 40978 Jul 7, 2004
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
|
|
05-21E
07/24/05
E00451
Silver Lake Technology Associates II
|
Private Equity Fund Investments
|
PTE 00-32 Triumph Capital
65 FR 37170 Jun 13, 2000
FAN 02-06E Hellman & Friedman
Jul 28, 2002
|
|
05-20E
07/24/05
E00447
Blackstone Management Associates IV
|
Private Equity Fund Investments
|
PTE 00-32 Triumph Capital
65 FR 37170 Jun 13, 2000
FAN 02-06E Hellman & Friedman
Jul 28, 2002
|
|
05-19E
07/22/05
E00444
Deutsche Bank AG; Deutsche Bank
|
Credit Facility Arrangement
|
PTE 04-02 Bank of America
69 FR 7506 Feb 17, 2004
PTE 00-22 Bankers Trust Co
65 FR 33376 May 23, 2000
|
|
05-18E
07/21/05
E00452
Tarrant Partners LP
|
Private Equity Fund Investments
|
PTE 00-32 Triumph Capital
65 FR 37170 Jun 13, 2000
FAN 02-06E Hellman & Friedman
Jul 28, 2002
|
|
05-17E
07/21/05
E00450
Providence Equity Partners Inc.
|
Private Equity Fund Investments
|
PTE 00-32 Triumph Capital
65 FR 37170 Jun 13, 2000
FAN 02-06E Hellman & Friedman
Jul 28, 2002
|
|
05-16E
07/21/05
E00449
Kohlberg, Kravis, Roberts & Company LP
|
Private Equity Fund Investments
|
PTE 00-32 Triumph Capital
65 FR 37170 Jun 13, 2000
FAN 02-06E Hellman & Friedman
Jul 28, 2002
|
|
05-15E
07/21/05
E00448
The Goldman Sachs Group Inc.
|
Private Equity Fund Investments
|
PTE 00-32 Triumph Capital
65 FR 37170 Jun 13, 2000
FAN 02-06E Hellman & Friedman
Jul 28, 2002
|
|
05-14E
07/21/05
E00446
Bain Capital LLC
|
Private Equity Fund Investments
|
PTE 00-32 Triumph Capital
65 FR 37170 Jun 13, 2000
FAN 02-06E Hellman & Friedman
Jul 28, 2002
|
|
05-13E
07/17/05
E00442
Masters Mates & Pilots Maritime Advancement Training
Education & Safety Program
|
Sale by Plan of Real Property
|
PTE 00-18 Rhode Island Carpenter
65 FR 25949 May 4, 2000
FAN 02-01E Operating Engineers
Jan 11, 2002
|
|
05-12E
07/13/05
E00445
Raytheon Savings and Investment Plan
|
Acquisition, Holding, Exercise &
Disposition of Certain Warrants
|
PTE 02-29 Wyndham Int値 Inc.
67 FR 39068 Jun 6, 2002
PTE 02-02 Golden Retirement
67 FR 1243 Jan 9, 2002
|
|
05-11E
07/11/05
E00439
Little Rock Diagnostic Clinic PA Profit Sharing Plan
|
Sale by Plan of Real Property
|
PTE 00-23 Bay Internists, Inc
65 FR 33377 May 23, 2000
FAN 01-03E Little Rock Clinic
Mar 3, 2001
|
|
05-10E
05/21/05
E00435
Chick-Fil-A Inc Amended & Restated Profit Sharing Plan
|
Sale by Plan of Real Property
|
PTE 00-31 H. Ray McPhail
65 FR 37170 Jun 13, 2000
FAN 04-10E Hunter Smith et al
May 27, 2004
|
|
05-09E
05/07/05
E00434
Rothschild Asset Management Inc.
|
Investment of Plan Assets in Securities
During the Existence of an Underwriting or Selling
Syndicate Advised by a Fiduciary and the Receipt of
Compensation
|
PTE 03-24 Deutsche Bank
68 FR 48637 Aug 14, 2003
PTE 00-27 Chase Manhattan Bank
65 FR 35129 Jun 1, 2000
PTE 00-25 Morgan Guaranty Trust
65 FR 35129 Jun 1, 2000
|
|
05-08E
04/08/05
E00438
Federal-Mogul Corp. Salaried Employee痴 Investment
Program
|
Acquisition, Holding, Exercise &
Disposition of Certain Warrants
|
PTE 02-29 Wyndham Int値 Inc.
67 FR 39068 Jun 6, 2002
FAN 02-07E Motient 401(k) Plan
Aug 1, 2002
|
|
05-07E
04/08/05
E00437
Federal-Mogul Corp. Employee Investment Program
|
Acquisition, Holding, Exercise &
Disposition of Certain Warrants
|
PTE 02-29 Wyndham Int値 Inc.
67 FR 39068 Jun 6, 2002
FAN 02-07E Motient 401(k) Plan
Aug 1, 2002
|
|
05-06E
04/08/05
E00432
Federal-Mogul Corp. 401(k) Investment Program
|
Acquisition, Holding, Exercise &
Disposition of Certain Warrants
|
PTE 02-29 Wyndham Int値 Inc.
67 FR 39068 Jun 6, 2002
FAN 02-07E Motient 401(k) Plan
Aug 1, 2002
|
|
05-05E
03/27/05
E00431
JP Morgan Chase & Co., and JP Morgan Securities Inc.
and Affiliates
|
Purchase or Sale of Securities in the
Context of a Portfolio Liquidation or Restructuring
|
PTE 03-20 Deutsche Bank
68 FR 40689 Jul 8, 2003
PTE 03-23 Goldman Sachs & Co
68 FR 40698 Jul 8, 2003
|
|
05-04E
03/26/05
E00430
Synergy Inc. Profit Sharing Plan
|
Sale by Plan of Partnership Interests
|
PTE 99-18 State Bankshares
64 FR 24423 May 6, 1999
PTE 99-48 Info. Systems
64 FR 70748 Dec 17, 1999
PTE 2000-04 TMI Systems
65 FR 4854 Feb 1, 2000
FAN 04-12E GA Crown
Jun 25, 2004
|
|
05-03E
03/12/05
E00429
Bank Fund VII LP
|
Purchase by Plan of Partnership Interests;
Mergers and Acquisitions; and Incentive Compensation
|
PTE 00-37 The Banc Funds Co.
65 FR 49018 Aug 10, 2000
PTE 02-36 The Banc Funds Co.
67 FR 51886 Aug 9, 2002
|
|
05-02E
01/08/05
E00416
Alcoa Inc. Howmet Corporation Fujikura Three River
|
Captive Reinsurance
|
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
PTE 00-48 Columbia Energy
65 FR 60452 Oct 11, 2000
FAN 03-32E International Paper
Nov 7, 2003
|
|
05-01E
01/06/05
E00378
US Trust Corporation and US Trust Corporation Employees
Retirement Plan
|
In-kind Redemption by In-house Plans of
shares in certain proprietary mutual funds
|
PTE 02-20 Union Bk of California
67 FR 14986 Mar 28, 2002
PTE 03-01 Northern Trust Co
68 FR 6194 Feb 6, 2003
|
|
04-64E
12/31/04
E00428
Mary Margaret Wolf IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
PTE 99-06 IRAs for Hummel, et al
64 FR 4127 Jan 27, 1999
FAN 02-22E Louis Ahlemeyer
Dec 25, 2002
FAN 03-17E Gayle Line Zuk IRA
Sep 26, 2003
|
|
04-63E
12/31/04
E00427
Comtrust as Trustee for Dennis E. Wolf
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
PTE 99-06 IRAs for Hummel, et al
64 FR 4127 Jan 27, 1999
FAN 02-22E Louis Ahlemeyer
Dec 25, 2002
FAN 03-17E Gayle Line Zuk IRA
Sep 26, 2003
|
|
04-62E
12/31/04
E00426
Dr. Dennis E. Wolf IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
PTE 99-06 IRAs for Hummel, et al
64 FR 4127 Jan 27, 1999
FAN 02-22E Louis Ahlemeyer
Dec 25, 2002
FAN 03-17E Gayle Line Zuk IRA
Sep 26, 2003
|
|
04-61E
12/31/04
E00425
Wolfram Wald IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
PTE 99-06 IRAs for Hummel, et al
64 FR 4127 Jan 27, 1999
FAN 02-22E Louis Ahlemeyer
Dec 25, 2002
FAN 03-17E Gayle Line Zuk IRA
Sep 26, 2003
|
|
04-60E
12/31/04
E00424
Irene R. Wald Rollover IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
PTE 99-06 IRAs for Hummel, et al
64 FR 4127 Jan 27, 1999
FAN 02-22E Louis Ahlemeyer
Dec 25, 2002
FAN 03-17E Gayle Line Zuk IRA
Sep 26, 2003
|
|
04-59E
12/31/04
E00423
George A. Wald Rollover IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
PTE 99-06 IRAs for Hummel, et al
64 FR 4127 Jan 27, 1999
FAN 02-22E Louis Ahlemeyer
Dec 25, 2002
FAN 03-17E Gayle Line Zuk IRA
Sep 26, 2003
|
|
04-58E
12/31/04
E00422
Larry E. Robinson IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
PTE 99-06 IRAs for Hummel, et al
64 FR 4127 Jan 27, 1999
FAN 02-22E Louis Ahlemeyer
Dec 25, 2002
FAN 03-17E Gayle Line Zuk IRA
Sep 26, 2003
|
|
04-57E
12/31/04
E00420
Alan D. Douglas IRA
|
IRAs Selling Shares of Company Stock so
the Company can become Subchapter S Corporation
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 01-14E Harry J Bell IRA
Apr 4, 2001
|
|
04-56E
12/31/04
E00419
Harold J. Brewer IRA
|
IRAs Selling Shares of Company Stock so
the Company can become Subchapter S Corporation
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 01-14E Harry J Bell IRA
Apr 4, 2001
|
|
04-55E
12/31/04
E00417
Clifford M. Bowen Jr. and Cindy M. Robbins
|
IRAs Selling Shares of Company Stock so
the Company can become Subchapter S Corporation
|
PTE 02-10 Brenda Moran IRA
67 FR 5318 Feb 5, 2002
FAN 03-28E Dennis Hudson
Sep 26, 2003
|
|
04-54E
12/26/04
E00418
Donna Redwine IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-53E
12/26/04
E00415
W.T. Simpson IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-52E
12/26/04
E00414
Sammie J. Simpson IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-51E
12/26/04
E00413
Lula Maye Shanks IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-50E
12/26/04
E00412
Gerald Shanks IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-49E
12/26/04
E00411
Jerry Redwine O.D. IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-48E
12/26/04
E00410
Donna Redwine IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-47E
12/26/04
E00409
Mike Ratke IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-46E
12/26/04
E00408
Donna Ratke IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-45E
12/26/04
E00407
Pat Prater IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-44E
12/26/04
E00406
Arnold Prater IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-43E
12/26/04
E00405
Mary Moore IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-42E
12/26/04
E00404
Judy Moore IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-41E
12/26/04
E00403
Dewey Moore IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-40E
12/26/04
E00402
Sally Messenger IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-39E
12/26/04
E00401
Jay Messenger IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-38E
12/26/04
E00400
Don McElroy IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-37E
12/26/04
E00399
Kay Mardis IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-36E
12/26/04
E00398
W. T. Hutton IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-35E
12/26/04
E00397
Kenneth R. Henry IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-34E
12/26/04
E00396
Darlene Henry IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-33E
12/26/04
E00395
Lynnette Greak IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-32E
12/26/04
E00394
Bill Dolle IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-31E
12/26/04
E00393
Edwin R. Cox IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-30E
12/26/04
E00392
Carol Cox IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-29E
12/26/04
E00391
James Brown IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-28E
12/26/04
E00390
Van Brimhall DVM IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-27E
12/26/04
E00389
Tommie Bratcher IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-26E
12/26/04
E00388
Charles Bratcher IRA
|
Sale by Plan of Other Securities
|
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug 6, 1998
FAN 02-23E Jamie Ward IRA
Dec 25, 2002
|
|
04-25E
12/10/04
E00384
J.W. Collins Money Purchase Pension Plan
|
Sale by Plan of Other Securities
|
PTE 98-59 Albright et al IRAs
63 FR 69326 Dec 16, 1998
PTE 99-27 Western Petroleum Co
64 FR 38481 Jul 16, 1999
FAN 03-34-36E Leak et al IRAs
Dec 27, 2003
|
|
04-24E
12/10/04
E00383
Kathleen C. Collins IRA
|
Sale by Plan of Other Securities
|
PTE 98-59 Albright et al IRAs
63 FR 69326 Dec 16, 1998
PTE 99-27 Western Petroleum Co
64 FR 38481 Jul 16, 1999
FAN 03-34-36E Leak et al IRAs
Dec 27, 2003
|
|
04-23E
12/10/04
E00382
James W. Collins IRA
|
Sale by Plan of Other Securities
|
PTE 98-59 Albright et al IRAs
63 FR 69326 Dec 16, 1998
PTE 99-27 Western Petroleum Co
64 FR 38481 Jul 16, 1999
FAN 03-34-36E Leak et al IRAs
Dec 27, 2003
|
|
04-22E
12/10/04
E00380
Lehman Brothers Holding Inc.
|
Purchase, sale or holding by Plan of Other
Securities
|
PTE 01-30 J.P. Morgan Chase
66 FR 45342 Aug 28 2001
PTE 01-11 Salomon Smith Barney
66 FR 17738 Apr 3, 2001
PTE 00-63 Merrill Lynch & Co
65 FR 76306 Dec 6, 2000
|
|
04-21E
12/02/04
E00379
Citigroup Global Markets Inc.
|
Sale by Plan of Other Securities
|
PTE 03-20 Deutsche Bank
68 FR 40689 Jul 8, 2003
PTE 03-23 Goldman Sachs
68 FR 40698 Jul 8, 2003
|
|
04-20E
11/29/04
E00386
Peter F. Stoloff Money Purchase Pension Plan and Profit
Sharing Plan
|
Sale by Plan of Partnership Interests
|
PTE 99-48 Information Systems
64 FR 70748 Dec 17, 1999
PTE 00-04 TMI Systems
65 FR 4854 Feb 1, 2000
|
|
04-19E
10/13/04
E00364
Parsons Behle & Latimer Money Purchase Pension Plan
and the Parsons Behle & Latimer Profit Sharing Plan
|
Sale by Plan of Real Property
|
PTE 01-29 Gooch Enterprises, Inc
66 FR 45341 Aug 28 2001
PTE 02-26 Holt, Fleck & Free
67 FR 36030 May 22, 2002
|
|
04-18E
09/07/04
E00362
Milacron Retirement Savings Plan and Milacron Retirement
Plan
|
Stock Rights Offering
|
PTE 01-24 Alpha Technologies
66 FR 40734 Aug 3, 2001
PTE 98-47 Bernard Chaus
63 FR 53729 Oct 6, 1998
FAN 03-05E Revlon Savings Plan
May 1, 2003
FAN 02-07E Motient 401(k)
Aug 1, 2002
|
|
04-17E
08/19/04
E00360
ALCON Laboratories Inc.
|
Captive Reinsurance
|
PTE 00-48 Columbia Energy
65 FR 60452 Oct 11, 2000
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
|
|
04-16E
08/18/04
E00358
Terwin Capital LLC
|
Securities/Underwriter Exemption
|
PTE 00-19 BOSC, Inc.
65 FR 25950 May 4, 2000
PTE 00-55 Countrywide
65 FR 37171 Jun 13, 2000; and
PTE 2000-41 First Tennessee
65 FR 51039 Aug 22, 2000
each as amended by
PTE 2000-58 Bear Stearns, et al.
65 FR 67765 Nov 13, 2000
PTE 2002-41 Bear Stearns, et al.
67 FR 54487 Aug 22, 2002
FAN 03-07E Raymond James
Jun 14, 2003
|
|
04-15E
08/13/04
E00359
Jerry D. Clayton Self-Directed IRA Rollover
|
Sale by Plan of Real Property
|
PTE 00-20 Taylor M. Cole IRA
65 FR 25953 May 4, 2000
PTE 01-29 Gooch Enterprises
66 FR 45341 Aug 28, 2001
|
|
04-14E
07/30/04
E00357
Greenview Management Corporation Pension Plan and Trust
|
Sale by Plan of Other Assets
|
PTE 99-18 State Bankshares
64 FR 24423 May 6, 1999
PTE 04-04 TMI Systems
65 FR 4854 Feb 1, 2000
|
|
04-13E
07/02/04
E00349
White & Company Insurance Inc. Profit Sharing Plan
|
Sale by Plan of Real Property
|
PTE 99-35 H.H. Borland Inc PSP
64 FR 46422 Aug 25, 1999
PTE 99-43 Jonas Builders
64 FR 56813 Oct 21, 1999
PTE 02-26 Holt, Fleck & Free
67 FR 36030 May 22, 2002
|
|
04-12E
06/25/04
E00356
Georgia Crown Distributing Company Profit Sharing Plan and
Trust
|
Sale Out by Plan of Fund Units to Party in
Interest, Plan Sponsor
|
PTE 00-04 TMI Systems
65 FR 4854 Feb 1, 2000
PTE 99-18 State Bankshares
64 FR 24423 May 6, 1999
|
|
04-11E
06/18/04
E00353
Deutsche Bank AG
|
Purchase, Sale, or Holding of
Publicly-traded Debt Securities and Extension of Credit
|
PTE 01-30 J.P. Morgan
66 FR 45342 Aug 28, 2001
PTE 01-11 Citigroup & Salomon
66 FR 17738 Apr 3, 2001
PTE 00-63 Merrill Lynch
65 FR 76306 Dec 6, 2000
|
|
04-10E
05/27/04
E00352
Hunter, Smith & Davis LLP 401(k) Retirement Plan
|
Sale by Plan of Real Property
|
PTE 00-31 H. Ray McPhail
65 FR 37170 Jun 13, 2000
PTE 99-38 MICO
64 FR 53736 Oct 4, 1999
PTE 00-20 Taylor M. Cole IRA
65 FR 25953 May 4, 2000
PTE 01-29 Gooch Enterprises
66 FR 45341 Aug 28, 2001
PTE 01-37 Miller International
66 FR 49423 Sep 27, 2001
|
|
04-09E
05/20/04
E00350
James T. Barry Co. Inc., Retirement Plan
|
Sale by Plan of Interest in Real Property
|
PTE 03-03 Reagent Chemical
68 FR 10047 Mar 3, 2003
PTE 01-29 Gooch Enterprises
66 FR 45341 Aug 28, 2001
PTE 01-37 Miller International
66 FR 49423 Sep 27, 2001
|
|
04-08E
04/07/04
E00345
Kentucky State District Council of Carpenters Joint
Apprenticeship and Journeyman Training Trust Fund
|
Purchase by Plan of Real Property
|
PTE 98-12 Hawaii Laborers'
63 FR 12843 Mar 16, 1998
PTE 00-21 Texas Iron Workers
65 FR 33376 May 23, 2000
FAN 03-01E Alaska Laborers Jan 9, 2003
|
|
04-07E
04/01/04
E00347
James A. Lo Sapio Jr. IRA
|
Loan by Plan Secured by Real Estate
|
PTE 00-02 S&S Partnership
65 FR 04853 Feb 1, 2000
PTE 00-31 H. Ray McPhail
65 FR 37170 Jun 13, 2000
|
|
04-06E
02/25/04
E00344
Pacific Construction Supply and Service Corporation Profit
Sharing Plan
|
Sale by Plan of Real
Property
|
PTE 03-13 Richard Gorman
68 FR 34650 Jun 10, 2003
PTE 01-29 Gooch Enterprises Inc
66 FR 45341 Aug 28, 2001
|
|
04-05E
02/21/04
E00346
John M. Chezik IRA
|
Sale Out of Farm Land by
IRA to a Company Which is a Disqualified Person
|
PTE 01-29 Gooch
Enterprises Inc
66 FR 45341 Aug 28, 2001
PTE 00-20 Taylor M Cole IRA
65 FR 25953 May 4, 2000
|
|
04-04E
02/06/04
E00343
Briner Electric Company Profit Sharing Plan and Trust
|
Loan by Plan Secured by
Real Property
|
PTE 00-02 S & S
Partnership
65 FR 04853 Feb 1, 2000
PTE 00-31 H. Ray McPhail
65 FR 37170 Jun 13, 2000
PTE 03-29 Valley OB-GYN Clinic
68FR 52790 Sep 5, 2003
|
|
04-03E
02/04/04
E00342
Barclays Bank PLC & Barclays Capital One
|
Asset-Backed Securities/Underwriter
Exemption
|
PTE 02-41 Amend PTE 00-58
67 FR 54487 Aug 22, 2002
PTE 00-58 Amend PTE 97-34
65 FR 67765 Nov 13, 2000
|
|
04-02E
01/29/04
E00332
Morgan Stanley & Co. Inc. (MS&Co)
|
Principal transaction w/employee benefit
plans, securities borrowing; extensions of credit, and
guarantee
|
PTE 02-08 Modify PTE 97-08
67 FR 2688 Jan 18, 2002
PTE 99-04 Salomon Smith Barney
64 FR 04127 Jan 27, 1999
|
|
04-01E
01/21/04
E00331
Credit Suisse First Boston LLC
|
Transitional brokerage services; principal
transaction w/securities
|
PTE 03-23 Goldman Sachs & Co
68 FR 40698 Jul 8, 2003
PTE 03-20 Deutsche Bank
68 FR 40689 (Jul 8, 2003
|
|
03-37E
12/29/03
E00340
Robert Larner Pension Trust Money Purchase Pension Plan
|
Sale by Plan of Real Property to Parties
in Interest
|
PTE 02-26 Holt Fleck & Free
67 FR 36030 May 22, 2002
PTE 99-35 H.H. Borland
64 FR 46422 Aug 25, 1999
|
|
03-36E
12/27/03
E00335
Polly Richards Lemoine IRA
|
Sale of Stock by IRA to Disqualified
Person
|
PTE 98-59 Albright et al IRAs
63 FR 69326 May 5, 2003
FAN 01-26E Kevin Kavanaugh
Oct 19, 2001
|
|
03-35E
12/27/03
E00334
William Conville Lemoine IRA
|
Sale of Stock by IRA to Disqualified
Person
|
PTE 98-59 Albright et al IRAs
63 FR 69326 May 5, 2003
FAN 01-26E Kevin Kavanaugh
Oct 19, 2001
|
|
03-34E
12/27/03
E00333
Harrison Carter Leak III IRA
|
Sale of Stock by IRA to Disqualified
Person
|
PTE 98-59 Albright et al IRAs
63 FR 69326 May 5, 2003
FAN 01-26E Kevin Kavanaugh
Oct 19, 2001
|
|
03-33E
12/10/03
E00330
SACO Management Inc. Profit Sharing Plan
|
Sale of Real Property by Plan to Party in
Interest
|
PTE 01-29 Gooch Enterprises
66 FR 45341 Aug 28, 2001
PTE 03-13 Richard Gorman
68 FR 34650 Jun 10, 2003
|
|
03-32E
11/07/03
E00328
International Paper Company
|
Captive Reinsurance
|
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
PTE 00-48 Columbia Energy
65 FR 60452 Oct 11, 2000
|
|
03-31E
10/25/03
E00327
JP Morgan Chase Bank, JP Morgan Investment Management
Inc., JP Morgan Fleming Assets Management Inc.
|
Investment of plan assets in mutual funds
advised by a fiduciary and the receipt of fees by
affiliates of plan fiduciary
|
PTE 02-28 Mass Mutual Ins.
67 FR 39063 Jun 6, 2002
PTE 00-66 Allfirst Bank
65 FR 80461 Dec 21, 2000
|
|
03-30E
10/17/03
E00326
Lehman Brothers Holdings Inc.
|
Securities Lending between Plans and
Broker-dealers (affiliated with plan fiduciary)
|
PTE 02-48 Deutsche Bank AG
67 FR 62827 Oct 4, 1999
PTE 02-45 Deutsche Bank AG
67 FR 59564 Sep 23, 2002
PTE 01-08 ING Barings LLC
66 FR 10326 Feb 14, 2001
|
|
03-29E
09/27/03
E00324
South West Plumbing Co. Profit Sharing Plan
|
Sale out of land parcels
|
PTE 99-38 MICO Inc. PSP
64 FR 53736 Oct 4, 1999
PTE 03-03 Reagent Chemical
68 FR 10047 Mar 3, 2003
|
|
03-28E
09/26/03
E00323
Dennis Hudson IRA
|
IRAs selling shares of Company stock so
the Company can become Subchapter S Corporation
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan 27, 1999
|
|
03-27E
09/26/03
E00322
Michael L. Weaver IRA
|
IRAs selling shares of Company stock so
the Company can become Subchapter S Corporation
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan 27, 1999
|
|
03-26E
09/26/03
E00321
Francis Duff IRA
|
IRAs selling shares of Company stock so
the Company can become Subchapter S Corporation
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan 27, 1999
|
|
03-25E
09/26/03
E00320
Donna L. McCoy IRA
|
IRAs selling shares of Company stock so
the Company can become Subchapter S Corporation
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan 27, 1999
|
|
03-24E
09/26/03
E00319
Bruce B. Morgan IRA
|
IRAs selling shares of Company stock so
the Company can become Subchapter S Corporation
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan 27, 1999
|
|
03-23E
09/26/03
E00318
Joyce M. Coons Stern IRA
|
IRAs selling shares of Company stock so
the Company can become Subchapter S Corporation
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan 27, 1999
|
|
03-22E
09/26/03
E00317
John A. Maichel IRA
|
IRAs selling shares of Company stock so
the Company can become Subchapter S Corporation
|
PTE 98-38 Roark Young et al
63 FR 42079 Aug 6, 1998
PTE 99-05 Brune, Glowacki et al
|
