|
|
Grant; PTE-1996-01
|
D-09877
|
|
G: 61 FR 3479 (01/31/96)
|
P: 60 FR 47598 (09/13/95)
|
|
First Hawaiian Bank, et al.
|
|
Permits the in-kind transfer to any
open end investment company (the Fund or Funds)
registered under the Investment Company Act of 1940 to
which First Hawaiian Bank or any of its affiliates
(collectively, the Bank) serves as investment adviser
and may provide other services, of the assets of
various employee investment funds maintained by the
Bank or otherwise held by the Bank as trustee,
investment manager, or in any other capacity as
fiduciary on behalf of the Plans, in exchange for
shares of such Funds. Also permits, the receipt of
fees by the Bank from the Funds for acting as the
investment adviser, custodian, sub-administrator, and
other service provider for the Funds in connection
with the investment in the Funds by the Plans for
which the Bank acts as a fiduciary.
|
|
|
Grant; PTE-1996-02
|
D-09983
|
|
G: 61 FR 3482 (01/31/96)
|
P: 60 FR 53806 (10/17/95)
|
|
The Chase Manhattan Bank Pooled
Investment Trust for Employee Benefit Plans (the
Trust)
|
|
Permits the past cash sale of
certain commercial paper notes for $25,129,748 by two
collective investment funds in the Trust known as VAN
1 and VAN 18 (the VANs) to The Chase Manhattan Bank,
N.A., a party in interest with respect to the employee
benefit plans invested in the VANs.
|
|
|
Grant; PTE-1996-03
|
D-10027
|
|
G: 61 FR 3482 (01/31/96)
|
P: 60 FR 55857 (11/03/95)
|
|
Retirement Plan for Employees of
Concord Hospital Capital Region Healthcare Corp. (the
Plan)
|
|
Permits (1) the transfers to the
Plan (occurring on July 7, July 13, July 18, August 19
and August 22, 1994) of publicly-traded securities
from non-ERISA accounts (the Accounts) of Concord
Hospital, Inc. and its parent corporation, parties in
interest with respect to the Plan; (2) the transfer of
$3,761,319 of publicly traded securities from the Plan
to the Accounts; (3) the proposed transfer of
approximately $3.6 million from the Plan to the
Accounts.
|
|
|
Grant; PTE-1996-04
|
D-10083
|
|
G: 61 FR 3483 (01/31/96)
|
P: 60 FR 55861 (11/03/95)
|
|
Larson Distributing Co. Profit
Sharing Plan (the Plan)
|
|
Permits (1) the extension of credit
to the Plan (the Loan) by Larson Distributing Co.,
Inc., the sponsor of the Plan, with respect to the
Plan’s investment in annuity accounts maintained
with USG Annuity and Life Co. and All American Life
Insurance Company, and (2) the Plan’s potential
repayment of the Loan.
|
|
|
Grant; PTE-1996-05
|
D-10125
|
|
G: 61 FR 3483 (01/31/96)
|
P: 60 FR 55862 (11/03/95)
|
|
Retirement Savings Plan and Trust
for Employees of the J.H. Heafner Company, Inc. (the
Plan)
|
|
Permits the sale by the Plan of
certain limited partnership units in two limited
partnerships to the J.H. Heafner Company, Inc., a
party in interest with respect to the Plan.
|
|
|
Grant; PTE-1996-06
|
D-09987
|
|
G: 61 FR 3489 (01/31/96)
|
P: 60 FR 53808 (10/17/95)
|
|
WLI Industries, Inc. Employees’ Stock Ownership Plan (the Plan), et al.
|
|
Permits, as of December 29, 1995, the cash sale by the Plan of its interest
in a limited partnership (the Partnership) to James Van DeVelde and Robert Van
DeVelde, the general partners of the Partnership and parties in interest with
respect to the Plan.
|
|
|
Grant; PTE-1996-07
|
D-10024
|
|
G: 61 FR 3489 (01/31/96)
|
P: 60 FR 58664 (11/28/95)
|
|
Ventura County National Bancorp 401(k) and Employee Stock Ownership Plan (the
Plan)
|
|
Permits, for the period from May 12, 1995 until June 21, 1995, (1) the
receipt of certain stock rights (the Rights) by the Plan, which is sponsored by
Ventura County National Bancorp (Ventura) and its affiliates, pursuant to a
stock rights offering by Ventura to shareholders of record of Ventura’s common
stock; (2) the holding of the Rights by the Plan during the Offering Period; and
(3) the exercise of the Rights by the Plan.
|
|
|
Grant; PTE-1996-08
|
D-10065 and D-10066
|
|
G: 61 FR 3489 (01/31/96)
|
P: 60 FR 55859 (11/03/95)
|
|
Industrial Bank of Japan Limited (IBJ)
|
|
Permits (1) the granting to IBJ, as the representative of lenders (the
Lenders) participating in a credit facility, of security interests in the Tiger
Real Estate Fund, L.P. (the Partnership) owned by certain employee benefit plans
(the Plans) with respect to which some of the Lenders are parties in interest;
and (2) the agreements by the Plans to honor capital calls made by IBJ in lieu
of the Partnership’s general partner.
|
|
|
Grant; PTE-1996-09
|
D-10077
|
|
G: 61 FR 3490 (01/31/96)
|
P: 60 FR 58668 (11/28/95)
|
|
Fidelitone, Inc. Employees’ Profit Sharing and Savings Plan & Trust
(the Plan)
|
|
Permits the sale by the Plan of certain securities to Fidelitone, Inc., a
party in interest with respect to the Plan.
|
|
|
Grant; PTE-1996-10
|
D-10095
|
|
G: 61 FR 3490 (01/31/96)
|
P: 60 FR 58670 (11/28/95)
|
|
Intrenet Employee Retirement Savings Plan (the Plan)
|
|
Permits the sale by the Plan of certain units of limited partnership
interests to Intrenet Inc., a party in interest with respect to the Plan.
|
|
|
Grant; PTE-1996-11
|
D-10102
|
|
G: 61 FR 3490 (01/3196)
|
P: 60 FR 58671 (11/28/95)
|
|
ContiFinancial Services Corporation
|
|
Permits, effective November 28, 1995, (1) the direct or indirect sale,
exchange or transfer of certificates in the initial issuance of certificates
between the sponsor r underwriter and an employee benefit plan when the sponsor,
servicer, trustee or insurer of a trust, the underwriter of the certificates
representing an interest in the trust, or an obligor is a party in interest with
respect to such plan; (2) the direct or indirect acquisition or disposition of
certificates by a plan in the secondary market for such certificates; and (3)
the continued holding of certificates acquired by a plan. Also permits,
effective November 28, 1995, (1) the direct or indirect sale, exchange or transfer of certificates between
the sponsor and underwriter and a plan when the person who has discretionary
authority or renders investment advice with respect to the investment of plan
assets in the certificates is (a) an obligor with respect to 5 percent or less
of the fair market value of obligations or assets contained in the trust, or (b)
an affiliate of a person described in (a). Further, this exemption permits,
effective November 28, 1995, any transactions to which ERISA restrictions and
Code sanctions would otherwise apply merely because a person is deemed to be a
party in interest or a disqualified person (including a fiduciary) with respect
to a plan by virtue of providing services to the plan (or by virtue of having a
relationship to such service provider, as described in section 3(14)(F), (G) or
(I) or ERISA or section 4975(e)(2)(F), (G), (H) or (I) of the Code, solely
because of the plan’s ownership of certificates.
|
|
|
Grant; PTE-1996-12
|
D-09840
|
|
G: 61 FR 10025 (03/12/96)
|
P: 60 FR 5865 (11/28/95)
|
|
World Omni Financial Corporation and Its Affiliates, et al.
|
|
Permits, effective June 27, 1994, (1) the direct or indirect sale, exchange,
or transfer of certificates in the initial issuance of certificates between the
sponsor or underwriter and an employee benefit plan when the sponsor, servicer,
trustee or insurer of a trust, the underwriter of the certificates representing
an interest in the trust, or an obligor is a party in interest with respect to
such plan; (2) the direct or indirect acquisition or disposition of certificates
by a plan in the secondary market for such certificates; and (3) the continued
holding of certificates acquired by a plan. Also permits, effective June 27,
1994, (1) the direct or indirect sale, exchange or transfer of certificates
between the sponsor and underwriter and a plan when the person who has
discretionary authority or renders investment advice with respect to the
investment of plan assets in the certificates is (a) an obligor with respect to
5 percent or less of the fair market value of obligations or assets contained in
the trust, or (b) an affiliate of a person described in (a). Further, this
exemption permits, effective June 27, 1994, any transactions to which ERISA
restrictions and Code sanctions would otherwise apply merely because a person is
deemed to be a party in interest or a disqualified person (including a
fiduciary) with respect to a plan by virtue of providing services to the plan
(or by virtue of having a relationship to such service provider, as described in
section 3(14)(F), (G) or (I) or ERISA or section 4975(e)(2)(F), (G), (H) or (I)
of the Code, solely because of the plan’s ownership of certificates.
|
|
|
Grant; PTE-1996-13
|
D-09903
|
|
G: 61 FR 10031 (03/12/96)
|
P: 60 FR 24901 (05/10/95)
|
|
Pediatric Dentistry Ltd. Profit Sharing Trust (the Plan)
|
|
Permits the cash sale by the Plan of a parcel of improved real property by
the Plan to William Hunter, M.D., a party in interest with respect to the Plan.
|
|
|
Grant; PTE-1996-14
|
D-09940
|
|
G: 61 FR 10032 (03/12/96)
|
P: 60 FR 5865 (11/28/95)
|
|
O: 61 FR 28243 (06/04/96) (Tech.
Corr.)
|
|
|
Morgan Stanley & Co. Incorporated (MS&C) and Morgan Stanley Trust
Company
|
|
Permits (1) the lending of securities to MS&Co and to any other U.S.
registered broker-dealers affiliated with MSTC (collectively, the MS
Broker-Dealers) by employee benefit plans with respect to which the MS
Broker-Dealer who is borrowing such securities is a party in interest or for
which MSTC acts as directed trustee or custodian and securities lending agent;
and (2) the receipt of compensation by MSTC in connection with these
transactions.
|
|
|
Grant; PTE-1996-15
|
D-10048
|
|
G: 61 FR 10034 (03/12/96)
|
P: 60 FR 58667 (11/28/95)
|
|
Life Insurance Corporation Retirement Savings Plan (the Plan)
|
|
Permits the cash sale of 16 residential mortgage loans by the Plan to the
Life Insurance Company of the Southwest, a party in interest with respect to the
Plan.
|
|
|
Grant; PTE-1996-16
|
D-10113
|
|
G: 61 FR 10034 (03/12/96)
|
P: 60 FR 58679 (11/28/95)
|
|
LEGENT Retirement Security Plan (the Plan)
|
|
Permits the cash sale by the Plan of a limited partnership interest in
Consolidated Capital Institutional Properties Two Limited Partnership to LEGENT
Corporation, a party in interest with respect to the Plan.
|
|
|
Grant; PTE-1996-17
|
D-09930
|
|
G: 61 FR 11876 (03/22/96)
|
P: 61 FR 58662 (11/28/95)
|
|
General Motors Hourly-Rate Employees Pension Plan, et al. (collectively, the
Plans)
|
|
Permits any transaction arising in connection with the acquisition,
ownership, management, development, leasing, financing, or sale of real property
(including the acquisition, ownership, or sale of any joint venture or
partnership interest in such property) or the borrowing or lending of money in
connection therewith, between a party in interest and the Plans.
|
|
|
Grant; PTE-1996-18
|
D-10035
|
|
G: 61 FR 11877 (03/22/96)
|
P: 61 FR 3474 (01/31/96)
|
|
H.E.B. Investment and Retirement Plan (the Plan)
|
|
Permits the cash sale by the Plan to H.E. Butt Grocery Company, the Plan
sponsor and a party in interest with respect to the Plan, of an interest in a
certain parcel of improved real property known as the South Congress Shopping
Center in Austin, Texas.
|
|
|
Grant; PTE-1996-19
|
D-10062
|
|
G: 61 FR 11877 (03/22/96)
|
P: 61 FR 3485 (01/31/96)
|
|
Rose’s Stores, Inc. Retirement Savings 401(k) Plan (the Retirement Savings
Plan)
|
|
Permits (1) the past acquisition and holding by the Rose’s Stores, Inc.
Variable Investment Plan (Variable Investment Plan) of subscription rights (the
Subscription Rights) offered by Rose’s Stores, Inc. (the Employer) to purchase
shares of new common stock (the New Stock) upon the emergence of the Employer
from bankruptcy; (2) the past acquisition and continued holding by the Variable
Investment Plan and subsequently, the Retirement Savings Plan, of warrants (the
Warrants) to purchase shares of the Employer’s New Stock; and (3) the proposed
acquisition of shares of the New Stock by the Retirement Savings Plan upon the
exercise of the Warrants.
|
|
|
Grant; PTE-1996-20
|
D-09848
|
|
G: 61 FR 14827 (04/03/96)
|
P: 61 FR 3467 (01/31/96)
|
|
Associated Hospital Service of Maine (d/b/a
BCBSME) and Blue Alliance Mutual
Insurance Company (Blue Alliance)
|
|
Permits, as of August 18, 1993, the sales of certain securities by the
Associated Hospital Service of Maine Retirement Plan (the Plan) to the
Associated Hospital Service of Maine (d/b/a BCBSME) and Blue Alliance, parties
in interest with respect to the Plan.
|
|
|
Grant; PTE-1996-21
|
D-10118
|
|
G: 61 FR 14827 (04/03/96)
|
P: 61 FR 3487 (01/31/96)
|
|
W.W. Taylor, Jr., M.D., P.C. Money Purchase Pension Plan (the Plan)
|
|
Permits, as of October 7, 1994, the contribution by W.W. Taylor, M.D., P.C.
to the Plan of certain publicly traded securities.
|
|
|
Grant; PTE-1996-22
|
D-10165
|
|
G: 61 FR 14828 (04/03/96)
|
P: 61 FR 5577 (02/13/96)
|
|
First Union Corporation (First Union)
|
|
Permits (1) the direct or indirect sale, exchange or transfer of certificates
in the initial issuance of certificates between the sponsor or underwriter and
an employee benefit plan when the sponsor, servicer, trustee or insurer of a
trust, the underwriter of the certificates representing an interest in the
trust, or an obligor is a party in interest with respect to such plan; (2) the
direct or indirect acquisition or disposition of certificates by a plan in the
secondary market for such certificates; and (3) the continued holding of
certificates acquired by a plan pursuant to the transactions described above in
items (1) or (2). Also permits (1) the direct or indirect sale, exchange or
transfer of certificates in the initial issuance of certificates between the
sponsor or underwriter and a plan when the person who has discretionary
authority or renders investment advice with respect to the investment of plan
assets in the certificates is (a) an obligor with respect to 5 percent or less
of the fair market value of obligations or receivables contained in the trust,
or (b) an affiliate of a person described in item (a) above. Further, this
exemption applies to transactions in connection with the servicing, management
and operation of a trust, provided: (1) such transactions are carried out in
accordance with the terms of a binding pooling and servicing arrangement; and
(2) the pooling and servicing agreement is provided to, or described in all
material respects in the prospectus or private placement memorandum provided to,
investing plans before they purchase certificates issued by the trust. Finally,
permits any transactions to which the restrictions under ERISA or the taxes
under the Code would otherwise apply merely because a person is deemed to be a
party in interest or disqualified person (including a fiduciary) with respect to
a plan by virtue of providing services to the plan (or by virtue of having a
relationship to such service provider described in section 3(14) (F), (G), (H)
or (I) of ERISA or section 4975(e)(2) (F), (G), (H) or (I) of the Code), solely
because of the plan's ownership of certificates.
|
|
|
Grant; PTE-1996-24
|
D-10036 and D-10037
|
|
G: 61 FR 18159 (04/24/96)
|
P: 61 FR 8673 (03/05/96)
|
|
Biscayne Bay Pilots, Inc. Money Purchase Pension Plan (M/P Plan) and Biscayne
Bay Pilots, Inc.401(k) Profit Sharing Plan (P/S Plan; collectively the Plans)
|
|
Permits the sale of certain improved real property by a trust established on
behalf of Helge Krarup within the Plans to Mr. Krarup, a party in interest with
respect to the Plans.
|
|
|
Grant; PTE-1996-25
|
D-10064
|
|
G: 61 FR 18159 (04/24/96)
|
P: 61 FR 8683 (03/05/96)
|
|
Zausner Foods Corp. Savings Plus Plan (the Plan)
|
|
Permits, as of December 29, 1995, the sale by the Plan of certain units of
limited partnership interests to Zausner Foods Corp., a party in interest with
respect to the Plan.
|
|
|
Grant; PTE-1996-26
|
D-10071
|
|
G: 61 FR 18160 (04/24/96)
|
P: 61 FR 5574 (02/13/96)
|
|
Jack, Lyon, & Jones, P.A. Profit Sharing Plan (the Plan)
|
|
Permits the (1) purchase by the Plan of certain improved real property (the
Property) from Jack, Lyon & Jones, P.A., (the Employer), a party in interest
with respect to the Plan; (2) the subsequent leasing of the Property by the Plan
to the Employer; and (3) the potential future repurchase of the Property by the
Employer from the Plan pursuant to the terms of an option agreement.
|
|
|
|
|
Grant; PTE-1996-28
|
D-10121
|
|
G: 61 FR 18161 (04/24/96)
|
P: 61 FR 5576 (02/13/96)
|
|
Associated Claims Management 401(k) Plan (the Plan)
|
|
Permits the sale of a group annuity contract issued by Mutual Benefit Life
Insurance Company by the Plan to Foundation Health Corporation, a party in
interest with respect to the Plan.
|
|
|
Grant; PTE-1996-29
|
D-10144
|
|
G: 61 FR
18161 (04/24/96)
|
P: 61 FR 8685 (03/05/96)
|
|
Floral Glass and Mirror, Inc. Profit Sharing Plan and Trust (the Plan)
|
|
Permits the sale of 20 shares of stock of Floral Glass Industries, Inc. by
the Plan to Mr. Charles Kaplanek, Jr., a party in interest with respect to the
Plan.
|
|
|
Grant; PTE-1996-30
|
D-09904
|
|
G: 61 FR 20277 (05/06/96)
|
P: 61 FR 5572 (02/13/96)
|
|
Aultman Retirement Savings Plan (the Plan)
|
|
Permits the guarantee (the Guarantee) by Aultman Health Services Association
(the Employer), the sponsor of the Plan, of amounts due the Plan with respect to
four guaranteed investment contracts issued by Confederation Life, including the
Employer's potential cash advances to the Plan pursuant to the Guarantee and the
potential repayment of the Advances.
|
|
|
Grant; PTE-1996-31
|
D-10168
|
|
G: 61 FR 20277 (05/06/96)
|
P: 61 FR 10016 (03/12/96)
|
|
C.C.L. Label, Inc. 401(k) Profit Sharing Plan (the Plan)
|
|
Permits the sale by the Plan of certain publicly traded limited partnership
interests (the Interests) to CCL Label, Inc. (CCL), a party in interest with
respect to the Plan.
|
|
|
Grant; PTE-1996-32
|
D-10183
|
|
G: 61 FR 20277 (05/06/96)
|
P: 61 FR 8686 (03/05/96)
|
|
Coin Acceptors, Inc. Savings and Protection Plan (the Plan)
|
|
Permits, effective September 29, 1995, the sale by the Plan of certain
publicly traded securities to Coin Acceptors, Inc., a party in interest with
respect to the Plan.
|
|
|
Grant; PTE-1996-33
|
D-10219
|
|
G: 61 FR 20277 (05/06/96)
|
P: 61 FR 11895 (03/22/96)
|
|
Gail L. Belt Self Employed Retirement Plan (the Plan)
|
|
Permits the sale of a parcel of real property by the Plan to Ms. Gail L.
Belt, a disqualified person with respect to the Plan for $115,000.
|
|
|
Grant; PTE-1996-34
|
D-09880
|
|
G: 61 FR 21501 (05/10/96)
|
P: 60 FR 31512 (06/15/95)
|
|
General Electric Pension Trust (the Trust)
|
|
Permits, effective August 3, 1994, the past and continued lease by the Trust
of office space in a commercial office building located at 201 Mission Street in
San Francisco, California, to GE Capital Aviation Services, Inc., a party in
interest with respect to employee benefit plans participating in the Trust.
|
|
|
|
|
Grant; PTE-1996-36
|
D-09999 - D-10001
|
|
G: 61 FR 21502 (05/10/96)
|
P: 61 FR 3470 (01/31/96)
|
|
Spreckles Industries, Inc. Employee Stock Ownership Plan, et al.
(collectively, the Plans)
|
|
Permits the acquisition, holding or exercise by the Plans of certain warrants
for the purchase of Class A new common stock of Spreckels Industries, Inc., a
party in interest with respect to the Plans.
|
|
|
Grant; PTE-1996-37
|
D-10142
|
|
G: 61 FR 21504 (05/10/96)
|
P: 61 FR 10015 (03/12/96)
|
|
Budge Clinic Profit Sharing Plan and Trust (the Plan)
|
|
Permits the sale of certain improved real property, located in Logan, Utah,
by the Plan to IHC Health Services, Inc., a party in interest with respect to
the Plan.
|
|
|
Grant; PTE-1996-38
|
D-09410
|
|
G: 61 FR 25909 (05/23/96)
|
P: 61 FR 11878 (03/22/96)
|
|
RREEF USA Fund – I (the Trust)
|
|
Permits, effective January 1, 1993, the receipt by RREEF America L.L.C., the
investment manager of the Trust, of a certain performance compensation fee in
connection with the liquidation of the Trust.
|
|
|
Grant; PTE-1996-39
|
D-09969 and D-09970
|
|
G: 61 FR 25910 (05/23/96)
|
P: 60 FR 63064 (12/08/95)
|
|
Timberland Investment Group, Inc. and Wachovia Bank of Georgia,
N.A. (the
Investment Manager)
|
|
Permits the payment of an incentive fee by Timberland, a special purpose
corporation which holds plan assets from the American Telephone and Telegraph
Master Trust and the BellSouth Master Pension Trust, to the Investment Manager
of Timberland, a party in interest with respect to the Trusts.
|
|
|
Grant; PTE-1996-40
|
D-10018
|
|
G: 61 FR 25911 (05/23/96)
|
P: 61 FR 11892 (03/22/96)
|
|
Herzog, Heine, Geduld, Inc. (HHG)
|
|
Permits the extension of credit between Herzog, Heine, Geduld, Inc. (HHG) and
various individual retirement accounts for which HHG serves as passive trustee
or custodian (HHG IRAs) resulting from the in-kind transfer to HHG IRAs at the
direction of the owners of such HHG IRAs of certain senior subordinated notes
(the Notes) issued by HHG, and thereafter the holding of such Notes by the HHG
IRAs.
|
|
|
Grant; PTE-1996-41
|
D-10133 and D-10134
|
|
G: 61 FR 25911 (05/23/96)
|
P: 61 FR 15142 (04/04/96)
|
|
The Buchanan Broadcasting Co., Inc. Profit Sharing Plan and Trust (the Plan)
|
|
Permits the leasing of certain office space in a building by the individual
account of Robert M. Buchanan, Jr. in the Plan to Buchanan Broadcasting Co.,
Inc. and to Westwood Square, Ltd., both parties in interest with respect to the
Plan.
|
|
|
Grant; PTE-1996-42
|
D-10164
|
|
G: 61 FR 25912 (05/23/96)
|
P: 61 FR 15144 (04/04/96)
|
|
James Flynn & Associates, Ltd. Pension Plan (the Plan)
|
|
Permits (1) the transfer of a parcel of real property to the Plan by James T.
and Britt Marie Flynn (the Flynns), disqualified persons with respect to the
Plan, together with a cash payment by the Flynns to the Plan of $29,000, and (2)
the transfer of another parcel of real property by the Plan to the Flynns.
|
|
|
Grant; PTE-1996-43
|
D-10170
|
|
G: 61 FR 25912 (05/23/96)
|
P: 61 FR 11894 (03/22/96)
|
|
Pierre W. Mornell, M.D., A Sole Proprietorship, Defined Benefit Plan (the
Plan)
|
|
Permits the sale of certain unimproved real property located in Mill Valley,
California by the Plan to Pierre W. Mornell and Linda C. Mornell, parties in
interest with respect to the Plan.
|
|
|
Grant; PTE-1996-44
|
D-10049
|
|
G: 61 FR 28244 (06/04/96)
|
P: 61 FR 15140 (04/04/96)
|
|
Sprague Electric Company Retirement and Savings Plan (the Plan)
|
|
Permits the cash sale by the Plan of its 34.2 interest in both the Group
Annuity Contract No. CG 0128203A, issued by Executive Life Insurance Company and
the Group Annuity Contract No. GA-4724, issued by Mutual Benefit Life Insurance
Company, to American Annuity Group, Inc., a party in interest with respect to
the Plan.
|
|
|
Grant; PTE-1996-45
|
D-10167
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G: 61 FR 28244 (06/04/96)
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P: 61 FR 10017 (03/12/96)
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Dauphin Deposit Bank and Trust Company (Dauphin)
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Permits, as of May 31, 1996, the in-kind transfer of assets of plans (the
Client Plans) for which Dauphin acts as a fiduciary, other than plans
established and maintained by Dauphin, that are held in certain collective
investment funds maintained by Dauphin (CIFs) in exchange for shares of the
Marketvest Funds (the Funds), open-end investment companies registered under the
Investment Company Act of 1940, in situations where Dauphin acts as investment
advisor for the Fund and may provide some other “Secondary Service” to the
Fund, in connection with the termination of such CIFs. Also permits, as of April
1, 1996, the receipt of fees by Dauphin from the Funds for acting as an
investment adviser to the Funds as well as for providing other services to the
Funds which are “Secondary Services,” in connection with the investment by
the Client Plans in shares of the Funds.
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Grant; PTE-1996-46
|
D-09844
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|
G: 61 FR 31959 (06/21/96)
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P: 61 FR 18421 (04/25/96)
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Jacor Communications Inc. Retirement Plan (the Plan)
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|
Permits, as of January 11, 1993, (1) the receipt by the Plan of certain
stock-purchase warrants (the Warrants) pursuant to the restructuring of Jacor
Communications, Inc., excluding that portion of Warrants which was acquired by
the Plan’s Qualified Matching Contribution Account; (2) the past and future
holding of the Warrants by the Plan; and (3) the disposition or exercise of the Warrants by the Plan.
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Grant; PTE-1996-47
|
D-10147
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|
G: 61 FR 31959 (06/21/96)
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P: 61 FR 18424 (04/25/96)
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EAI Partners, L.P. (EAI)
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|
Permits, as of December 29, 1995, the in-kind transfer of assets of employee
benefit plans that are participant-directed account plans intended to satisfy
section 404(c) of ERISA as to which EAI serves as a fiduciary, including a plan
established by EAI, as well as two plans that are sponsored by affiliates of EAI,
that are held in the Small Managers Equity Fund Trust (SMEF), which is
maintained by EAI, in exchange for shares of the EAI Select Managers Equity
Fund, an open-end investment company registered under the Investment Company Act
of 1940 for which Evaluation Associates Capital Markets, Inc., a wholly owned
subsidiary of EAI, acts as investment adviser, in connection with the partial
termination of SMEF.
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Grant; PTE-1996-48
|
D-10163
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|
G: 61 FR 31961 (06/21/96)
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P: 61 FR 18428 (04/25/96)
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Pension Plan of Roper Hospital, Inc. (the Plan)
|
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Permits the cash sale by the Plan of Separate Investment Account Group
Annuity Policy No. GA-4619 maintained by New England Mutual Life Insurance
Company to Roper Health System, Inc., the Plan sponsor and a party in interest
with respect to the Plan.
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Grant; PTE-1996-49
|
D-10178
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|
G: 61 FR 31961 (06/21/96)
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P: 61 FR 18433 (04/25/96)
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First Security Group Life Insurance Plan (the Plan)
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|
Permits, as of August 1, 1993, the reinsurance of risks and the receipt of
premiums therefrom by First Security Life Insurance Company of Arizona from the
insurance contracts sold by Minnesota Mutual Life Insurance Company (MM) or any
successor insurance company to MM which is unrelated to First Security
Corporation, to provide life insurance benefits to participants in the Plan.
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