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Employee Benefits Security Administration

1997 Individual Exemptions (page 2)

Provision of Services

Grant; PTE 1997-35

D-10192, L-10193 through L-10196

G: 62 FR 41088 (07/31/97)

P: 62 FR 7268 (02/18/97)

ILGWU National Retirement Fund, et al. (collectively, the Plans)

Permits, effective July 1, 1995, (1) the provision of banking services by the Amalgamated Bank of New York (the Bank) to certain Plans, which are maintained on behalf of members of the International Ladies Garment Workers Union; (2) the purchase by the Plans of certificates of deposit issued by the Bank; and (3) the deposit of Plans' assets in money market or other deposit accounts established by the Bank.

Purchase by Plan of Employer Securities

Grant; PTE 1997-64

D-10454

G: 62 FR 66690 (12/19/97)

P: 62 FR 51693 (10/02/97)

Crown American Properties L.P. Retirement Savings Plan (the Plan)

Permits the purchase, holding or sale by participant-directed accounts in the Plan of shares of Crown American Realty Trust, an affiliate of Crown American Properties L.P., the Plan's sponsor.

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Purchase by Plan of Other Assets

Grant; PTE 1997-35

D-10192, L-10193 through L-10196

G: 62 FR 41088 (07/31/97)

P: 62 FR 7268 (02/18/97)

See summary for the ILGWU Plans under Provision of Services.

Grant; PTE 1997-20

D-10227 - D-10232

G: 62 FR 17207 (04/09/97)

P: 61 FR 66314 (12/17/96)

Real Estate Equity Trust No. 1 (the Trust)

Permits the purchase of units in the Trust by certain multiemployer pension plans (the Plans) that will enable State Street Global Advisors, Inc., the independent fiduciary for the Plans investing in the Trust, to make initial and subsequent equity investments on behalf of the Trust, in the Cincinnati Development Group Limited Partnership, which may result in a benefit inuring to Fifth Third Bank, the trustee of the Trust and a party in interest with respect to the Plans.

Grant; PTE 1997-14

D-10364

G: 62 FR 7279 (02/18/97)

P: 61 FR 66331 (12/17/96)

Givens 401(k) Savings and Retirement Plan (the Plan)

Permits the purchase from the Plan of its interest in a group annuity contract by Givens, Incorporated, the Plan sponsor.

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Purchase by Plan of Other Assets (with Leaseback)

Grant; PTE 1997-46

D-10416 – D-10420

G: 62 FR 47053 (09/05/97)

P: 62 FR 33915 (06/23/97)

John Hancock Mutual Life Insurance Company (JH)

Permits (1) the acquisition by a separate account maintained by JH (the FPGT Account) from Williamette Industries, Inc. of certain oil and gas rights, subject to existing leases (the Leases) of such rights to Enerfin Resources Northwest Limited Partnership, a party in interest with respect to the plans invested in the FPGT Account; and (2) the continuation of the Leases following the acquisition by the FPGT Account.

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Purchase by Plan of Other Securities

Grant; PTE 1997-15

D-10172

G: 62 FR 10078 (03/05/97)

P: 62 FR 1913 (01/14/97)

The Chicago Corporation (TCC)

Permits the proposed sale, for cash or other consideration, by the Midwest Banc Fund IV Group Trust (the FB IV Group Trust) in which employee benefit plans (the Plans) invest, of certain securities that are held in the BF IV Group Trust Portfolio, to a party in interest with respect to a participating Plan, where the party in interest proposes to acquire or merge with a bank company or a financial services company that issued such securities. Also permits TCC to receive a performance fee from Plans investing in the BF IV Group Trust.

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Purchase by Plan of Real Property (with Leaseback)

Grant; PTE 1997-38

D-10398

G: 62 FR 41092 (07/31/97)

P: 62 FR 30616 (06/04/97)

Robert A. Benz & Co., P. A., Certified Public Accountants Employees Profit Sharing Plan (the Plan)

Permits both (1) the cash sale of certain real property (the Property) to the Plan by Robert A. Benz & Co., P.A., Certified Public Accountants (the Employer), a party in interest with respect to the Plan, and (2) the leaseback of the Property by the Plan to the Employer.

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QPAM-Type

Grant; PTE 1997-50

D-10340

G: 62 FR 48672 (09/16/97)

P: 62 FR 27625 (05/20/97)

See summary for the McLane Company Plan under Sale by Plan of Real Property.

Grant; PTE 1997-25

D-10295 - D-10297

G: 62 FR 27623 (05/20/97)

P: 62 FR 1921 (01/14/97)

See summary for the Hughes Plans under Lease by Plan of Real Property.

Grant; PTE 1997-13

D-10318

G: 62 FR 7278 (02/18/97)

P: 61 FR 59912 (11/25/96)

GE Capital Investment Advisors, Inc. (GECIA)

Permits GECIA to function as a “qualified professional asset manager” pursuant to Prohibited Transaction Class Exemption 84-14 (PTE 84-14, 49 FR 9494, March 13, 1984) in spite of its failure to satisfy Section I(g) of PTE 84-14, as a result of General Electric Company’s ownership interest in them, including any of their subsidiaries or successors which provides investment advisory, management or related services and is registered under the Securities and Exchange Act of 1934, as amended, or the Investment Advisors Act of 1940, as amended. The exemption is effective as of January 29, 1996.

Grant; PTE 1997-10

D-10351

G: 62 FR 4813 (01/31/97)

P: 61 FR 64161 (12/03/96)

PanAgora Asset Management, Inc. (PanAgora)

Permits PanAgora to function as a “QPAM” under Prohibited Transaction Exemption 84-14 (PTE 84-14, 49 FR 9494, March 13, 1984) in spite of its failure to satisfy Section I(g) of that class exemption as a result of its affiliation with E.F. Hutton & Co., Inc. and Shearson Lehman Brothers, Inc. The exemption is effective as of September 22, 1989, the date on which PanAgora was formed.

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Recapture Payments

Grant; PTE 1997-32

D-10391

G: 62 FR 31631 (06/10/97)

P: 62 FR 17213 (04/09/97)

See summary for the Kenzer Plan under Restorative Payments.

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Receipt of Consideration by Party in Interest

Grant; PTE 1997-20

D-10227 - D-10232

G: 62 FR 17207 (04/09/97)

P: 61 FR 66314 (12/17/96)

See summary for the Real Estate Equity Trust under Purchase by Plan of Other Assets.

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Receipt of Fees

Grant; PTE 1997-63

D-10159

G: 62 FR 66689 (12/19/97)

P: 62 FR 51684 (10/02/97)

See summary for State Street under Securities Lending – “Plan A”-Type Arrangement.

Grant; PTE 1997-60

D-10319

G: 62 FR 59744 (11/04/97)

P: 62 FR 41433 (08/01/97)

See summary for TCW Group Inc., et al. under Asset Allocation Services.

Grant; PTE 1997-59

D-10393

G: 62 FR 58749 (10/30/97)

P: 62 FR 47060 (09/05/97)

AEW Capital Management, L.P. (AEW)

Supersedes Prohibited Transaction Exemption 93-40 (58 FR 34821, June 29, 1993). Permits the replacement of Old AEW with an entity known as "AEW Capital Management, L.P." Provides conditional relief that is identical to that provided by PTE 93-40, i.e.,

(1) the payment of certain initial investment fees and disposition fees to AEW by employee benefit plans for which AEW provides investment management services (the Client Plans), pursuant to an investment agreement between entered into between AEW and the Client Plans, either individually, through the establishment of a single client separate account, or collectively, as participants in a multiple client commingled account (the Multiple Client Account); and (2) any investment by a Client Plan in a Multiple Client Account managed by AEW.

Grant; PTE 1997-47

D-10422

G: 62 FR 47053 (09/05/97)

P: 62 FR 33917 (06/23/97)

AmSouth Bank of Alabama (AmSouth)

Permits the receipt of fees by AmSouth from the AmSouth Mutual Funds, or any other diversified open-end investment companies registered under the Investment Company Act of 1940 (the Funds), for acting as an investment adviser for the Funds as well as for providing other services to the Funds which are “Secondary Services.”

Grant; PTE 1997-27

D-10369

G: 62 FR 27623 (05/20/97)

P: 62 FR 4803 (01/31/97)

See summary for TSW under In Kind Purchase.

Grant; PTE 1997-16

D-10234 and D-10235

G: 62 FR 10080 (03/05/97)

P: 61 FR 66320 (12/17/96)

O: 62 FR 18817 (04/17/97) (Tech. Corr.)

See summary for US Trust under In Kind Purchase.

Grant; PTE 1997-12

D-10014

G: 62 FR 7275 (02/18/97)

P: 61 FR 64150 (12/03/96)

See summary for Wells Fargo under Asset Allocation Services.

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Reinsurance

Grant; PTE 1997-61

D-09685

G: 62 FR 62620 (11/24/97)

P: 62 FR 37299 (07/11/97)

EBP Life Insurance Company, et al.

Permits the reinsurance of risks and the receipt of premiums therefrom by EBPLife Insurance Company in connection with certain stop-loss policies issued by unrelated third party insurance carriers to employers any of whose employees were covered by various employee welfare benefit plans, when at the time EBPLife reinsured risks and received premiums, Affiliates of EBPLife or the predecessors of such Affiliates also provided non-discretionary administrative services to such Plans for a fee.

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Restorative Payments

Grant; PTE 1997-37

D-10390

G: 62 FR 41092 (07/31/97)

P: 62 FR 18806 (04/17/97)

See summary for the Roquette Plan under Loan to Plan.

Grant; PTE 1997-32

D-10391

G: 62 FR 31631 (06/10/97)

P: 62 FR 17213 (04/09/97)

The Kenzer Corporation Thrift Savings Plan and Trust (the Plan)

Permits (1) the "restoration payment" to the Plan by The Kenzer Corporation (the Employer), in respect of certain defaulted notes, and (2) the potential future receipt by the Employer of "recapture payments" from the Plan.

Grant; PTE 1997-07

D-10079 - D-10082

G: 62 FR 4810 (01/31/97)

P: 61 FR 57461 (11/06/96)

See summary for the Pikeville National Bank, et al. under Sale by Plan of Other Securities.

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Retroactive

Grant; PTE 1997-61

D-09685

G: 62 FR 62620 (11/24/97)

P: 62 FR 37299 (07/11/97)

See summary for EBP Life Insurance Company, et al. under Reinsurance.

Grant; PTE 1997-57

D-10464 and D-10465

G: 62 FR 56203 (10/29/97)

P: 62 FR 47060 (09/05/97)

See summary for NatWest under Securities Lending – “Trio”-Type Arrangement.

Grant; PTE 1997-50

D-10340

G: 62 FR 48672 (09/16/97)

P: 62 FR 27625 (05/20/97)

See summary for the McLane Company Plan under Sale by Plan of Real Property.

Grant; PTE 1997-48

D-10451

G: 62 FR 47056 (09/05/97)

P: 62 FR 39030 (07/21/97)

See summary for the Martin D. Ross IRA under Sale by Plan of Other Assets.

Grant; PTE 1997-44

D-10346

G: 62 FR 47050 (09/05/97)

P: 62 FR 33911 (06/23/97)

See summary for 1st Source Bank, et al. under In Kind Purchase.

Grant; PTE 1997-43

D-10409

G: 62 FR 42841 (08/08/97)

P: 62 FR 30620 (06/04/97)

See summary for First Savings Bank Plan under Rights Offering.

Grant; PTE 1997-42

D-10314

G: 62 FR 42839 (08/08/97)

P: 62 FR 10075 (03/05/97)

See summary for TA Associates under Venture Capital Fund.

Grant; PTE 1997-34

D-10245 through D-10246

G: 62 FR 39021 (07/21/97)

P: 62 FR 28502 (05/23/97)

See summary for Prudential Securities Incorporated, et al. under Asset-Backed Securities.

Grant; PTE 1997-33

D-10011

G: 62 FR 33925 (06/23/97)

P: 61 FR 47205 (09/06/96)

See summary for Equitable and ERE under Multiple Services.

Grant; PTE 1997-28

D-10430

G: 62 FR 28515 (05/23/97)

P: 62 FR 18808 (04/17/97)

See summary for Norwest under Asset-Backed Securities.

Grant; PTE 1997-27

D-10369

G: 62 FR 27623 (05/20/97)

P: 62 FR 4803 (01/31/97)

See summary for TSW under In Kind Purchase.

Grant; PTE 1997-23

D-10380 - D10382

G: 62 FR 18802 (04/17/97)

P: 62 FR 7273 (02/18/97)

See summary for the Hawaiian Airlines Plans under Rights Offering.

Grant; PTE 1997-22

D-10285 - D-10287

G: 62 FR 18801 (04/17/97)

P: 61 FR 58241 (11/13/96)

See summary for the GE Trust under Sale by Plan of Other Securities.

Grant; PTE 1997-21

D-10341

G: 62 FR 17209 (04/09/97)

P: 62 FR 4802 (01/31/97)

See summary for the Orders Distributing Company Plans under Sale by Plan of Partnership Interests.

Grant; PTE 1997-17

D-10344

G: 62 FR 10084 (03/05/97)

P: 61 FR 68798 (12/30/96)

See summary for the Consolidated Lumber Corporation Plan under Sale by Plan of Other Assets.

Grant; PTE 1997-14

D-10364

G: 62 FR 7279 (02/18/97)

P: 61 FR 66331 (12/17/96)

See summary for the Givens Plan under Purchase by Plan of Other Assets.

Grant; PTE 1997-13

D-10318

G: 62 FR 7278 (02/18/97)

P: 61 FR 59912 (11/25/96)

See summary for GECIA under QPAM-Type.

Grant; PTE 1997-10

D-10351

G: 62 FR 4813 (01/31/97)

P: 61 FR 64161 (12/03/96)

See summary for PanAgora under QPAM-Type.

Grant; PTE 1997-08

D-10108

G: 62 FR 4811 (01/31/97)

P: 61 FR 58237 (11/13/96)

See summary for Morgan Stanley & Co. under Securities Lending – “Trio”-Type Arrangement.

Grant; PTE 1997-07

D-10079 - D-10082

G: 62 FR 4810 (01/31/97)

P: 61 FR 57461 (11/06/96)

See summary for the Pikeville National Bank, et al. under Sale by Plan of Other Securities.

Grant; PTE 1997-05

D-10376

G: 62 FR 1926 (01/14/97)

P: 61 FR 64164 (12/03/96)

See summary for ST under Asset-Backed Securities.

Grant; PTE 1997-02

D-10262 - D-10264

G: 62 FR 1925 (01/14/97)

P: 61 FR 55322 (10/25/96)

See summary for the Wayne Obstetrical Group Plans under Loan by Plan.

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Rights Offering

Grant; PTE 1997-43

D-10409

G: 62 FR 42841 (08/08/97)

P: 62 FR 30620 (06/04/97)

First Savings Bank, F.S.B. Profit Sharing and Employee Stock Ownership Plan (the Plan)

Permits, effective December 26, 1996, (1) the acquisition by the Plan of certain stock rights (the Rights) pursuant to a stock rights offering (the Offering) by Access Anytime Bancorp, Inc., which is the parent corporation of First Savings Bank, F.S.B., the sponsor of the Plan; (2) the holding of the Rights by the Plan during the subscription period of the Offering; and (3) the exercise of certain of the Rights by the Plan.

Grant; PTE 1997-23

D-10380 - D10382

G: 62 FR 18802 (04/17/97)

P: 62 FR 7273 (02/18/97)

Hawaiian Airlines, Inc. Pilot’s 401(k) Plan, et al. (collectively the Plans)

Permits (1) the past acquisition by the Plans of certain transferable stock rights (the Rights) pursuant to a stock rights offering (the Offering) to the Plans by Hawaiian Airlines, Inc., the sponsor of the Plans; (2) the past holding of the Rights by the Plans during the subscription period of the Offering; and (3) the disposition or exercise of the Rights by the Plans. This exemption is effective with respect to transactions (1) and (2) as of August 7, 1996.

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Sale by Plan of Employer Securities

Grant; PTE 1997-64

D-10454

G: 62 FR 66690 (12/19/97)

P: 62 FR 51693 (10/02/97)

See summary for the Crown American Properties L.P. Plan under Purchase by Plan of Employer Securities.

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Sale by Plan of Mortgages

Grant; PTE 1997-65

D-10466

G: 62 FR 66691 (12/19/97)

P: 62 FR 54478 (10/20/97)

Valley Forge Consulting Corporation Profit Sharing Trust (the Plan)

Permits the proposed sale of a first mortgage note by the individually-directed account in the Plan of Steven R. Eyer to Mr. Eyer.

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Sale by Plan of Other Assets

Grant; PTE 1997-48

D-10451

G: 62 FR 47056 (09/05/97)

P: 62 FR 39030 (07/21/97)

Martin D. Ross Individual Retirement Account (IRA)

Permits, effective March 4, 1996, the sale by the IRA of certain debentures to Mr. Martin D. Ross, a disqualified person with respect to the IRA.

Grant; PTE 1997-31

D-10385

G: 62 FR 31631 (06/10/97)

P: 62 FR 18805 (04/17/97)

Howes Leather Company, Inc. Employee Stock Ownership Plan (the Plan)

Permits the sale by the Plan of an individual life insurance policy to the Howes Leather Company, Inc., the sponsor of the Plan.

Grant; PTE 1997-17

D-10344

G: 62 FR 10084 (03/05/97)

P: 61 FR 68798 (12/30/96)

Consolidated Lumber Corporation Pension Plan (the Plan)

Permits the cash sale by the Plan to Consolidated Lumber Corp., the sponsor of the Plan, of certain whole life insurance policies issued by Confederation Life Insurance Company of Canada.

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Sale by Plan of Other Securities

Grant; PTE 1997-58

D-10469

G: 62 FR 56205 (10/29/97)

P: 62 FR 47064 (09/05/97)

Carl Callaway IRA (the IRA)

Permits the sale or exchange of certain securities by the IRA to Carl M. Callaway and his wife, Marianna F. Callaway, both disqualified persons with respect to the IRA.

Grant; PTE 1997-55

D-10440

G: 62 FR 51911 (10/03/97)

P: 62 FR 42838 (08/08/97)

Bloom Consulting Corporation Profit Sharing Plan (the Plan)

Permits the purchase by the Plan of shares of common stock of the Valley Forge Corporation from the Martin Bloom Family Trust, a disqualified person with respect to the Plan.

Grant; PTE 1997-45

D-10359 and D-10360

G: 62 FR 47053 (09/05/97)

P: 62 FR 37309 (07/11/97)

Ronald L. Chez IRA and Lawrence G. Kuntz IRA (collectively the IRAs)

Permits (1) the sale by the IRAs of certain closely held stock (the Stock) to Happy Valley Corporation (the Corporation), the issuer of the Stock and an unrelated third party with respect to the IRAs; and (2) the subsequent repurchase of the Stock from the Corporation by Messrs. Chez and Kuntz, fiduciaries and disqualified persons with respect to the IRAs.

Grant; PTE 1997-22

D-10285 - D-10287

G: 62 FR 18801 (04/17/97)

P: 61 FR 58241 (11/13/96)

General Electric Pension Trust (the GE Trust)

Permits the sale, occurring on July 12, 1996, by the GE Trust of its stock in AmeriData Technologies, Inc. (AmeriData) to General Electric Capital Corporation (GECC) and GAC Acquisition I Corporation (GAC), wholly owned subsidiary of GECC, and both are parties in interest with respect to the GE Trust and affiliates of General Electric Company, the sponsor of the Trust, in connection with the merger of GAC and AmeriData.

Grant; PTE 1997-09

D-10350

G: 62 FR 4813 (01/31/97)

P: 61 FR 64160 (12/03/96)

Cassemco, Inc. Retirement Plan and Trust Agreement (the Plan)

Permits the cash sale by the Plan of certain securities to Cassemco, Inc., the sponsoring employer and party in interest with respect to the Plan.

Grant; PTE 1997-07

D-10079 - D-10082

G: 62 FR 4810 (01/31/97)

P: 61 FR 57461 (11/06/96)

Pikeville National Bank & Trust Company; Trust Company of Kentucky; and First American Bank (collectively, the Banks)

Permits (1) the cash sales on December 28, 1994 and January 13, 1995, of certain collateralized mortgage obligations and other mortgage-backed securities (collectively, the Securities) held by 86 employee benefit plans, Keogh plans and individual retirement accounts (the Plans) for which the Banks act as trustee to Pikesville National Corporation (PKVL), a party in interest with respect to the Plans; (2) the “makewhole” payments made by PKVL to the Plan on January 20, 1995, in connection with the sale of certain Securities by the Plans on the open market on November 2, 1994; and (3) the proposed additional “makewhole” and interest payments to be made by PKVL to the Plans when the exemption is granted, as a result of (i) the additional amounts owed to such Plans based on the amortized cost of the Securities at the time of the transactions in situations where the amortized cost exceeded the outstanding principal balance of the Securities (plus a reasonable rate of interest on such amounts) and (ii) the additional accrued but unpaid interest on the Securities which was owed to the Plans at the time of the sale to PKVL on December 28, 1994 (plus a reasonable rate of interest on such amounts).

Grant; PTE 1997-03

D-10283

G: 62 FR 1926 (01/14/97)

P: 61 FR 55324 (10/25/96)

National Baptist Publishing Board Pension Plan (the Plan)

Permits the cash sale of common stock of Citizens Savings Bank and Trust Company, by the Plan to AmeriStar Investments and Trust, a division of First American National Bank, the Plan’s trustee, and a party in interest with respect to the Plan.

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Sale by Plan of Partnership Interests

Grant; PTE 1997-54

D-10439

G: 62 FR 51911 (10/03/97)

P: 62 FR 42837 (08/08/97)
62 FR 33924 (06/23/97)

Alloy Die Casting Co. Employees’ Profit Sharing Plan (the Plan)

Permits the cash sale by the Plan to Alloy Die Casting Co./W.E. Holmes, Inc., the Plan sponsor and a party in interest with respect to the Plan, of units in the Krupp Insured Plus-II Limited Partnership.

Grant; PTE 1997-39

D-10403

G: 62 FR 41093 (07/31/97)

P: 62 FR 30618 (06/04/97)

Gart Brothers Sporting Goods Company 401(k) Plan (the Plan)

Permits the cash sale by the Plan of a 5 percent interest in the Hampden Enterprises Limited Partnership to the Gart Bros. Sporting Goods Company, the sponsor of the Plan and a party in interest with respect to the Plan.

Grant; PTE 1997-29

D-10345

G: 62 FR 31630 (06/10/97)

P: 62 FR 17209 (04/09/97)

O: 62 FR 35839 (07/02/97) (Tech. Corr.)

Washington National Retirement Plan (the Plan)

Permits the cash sale by the Plan of five venture capital limited partnership interests and a private placement bond issue to Washington National Insurance Company, a party in interest with respect to the Plan.

Grant; PTE 1997-26

D-10307

G: 62 FR 27623 (05/20/97)

P: 62 FR 10074 (03/05/97)

ADP Fluor Daniel, Incorporated Retirement Savings Plan (the Plan)

Permits the sale by the Plan of two limited partnership interests to ADP Fluor Daniel, Incorporated, a party in interest with respect to the Plan.

Grant; PTE 1997-21

D-10341

G: 62 FR 17209 (04/09/97)

P: 62 FR 4802 (01/31/97)

Orders Distributing Company, Inc. Profit Sharing Plan and 401(k) Retirement Savings Plan (the Plan)

Permits the past sale by the Plan of certain units of limited partnership interests to Orders Distributing Co., Inc., a party in interest with respect to the Plan.

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Sale by Plan of Real Property

Grant; PTE 1997-53

D-10261

G: 62 FR 51911 (10/03/97)

P: 62 FR 41431 (08/01/97)

McCrosky, Feldman, Cochrane & Brock, P.C. (the Plan)

Permits the cash sale by the Plan of certain improved real property to McCroskey Development Partnership, a party in interest to the Plan.

Grant; PTE 1997-51

D-10402

G: 62 FR 48673 (09/16/97)

P: 62 FR 39028 (07/21/97)

H. Weiss & Company, Incorporated Defined Benefit Pension Plan (the Plan)

Permits the sale by the Plan of a certain condominium unit to Hanna Weiss, a party in interest with respect to the Plan.

Grant; PTE 1997-50

D-10340

G: 62 FR 48672 (09/16/97)

P: 62 FR 27625 (05/20/97)

McLane Company, Inc. Profit Sharing Plan and Trust (the Plan)

Permits, effective September 16, 1997, the past sale (the Sale) by the Plan of two parcels of improved real property to McLane Company, Inc., the Plan sponsor and a party in interest with respect to the Plan.

Grant; PTE 1997-49

D-10310

G: 62 FR 48672 (09/16/97)

P: 62 FR 39027 (07/21/97)

Pension Fund of the Bricklayers and Allied Crafts, Local No. 74 of DuPage County, et al.

Permits the sale of certain real property by the Bricklayers and Allied Craftsman Local No. 74 Apprenticeship, Education and Training Trust Fund to the Pension Plan.

Grant; PTE 1997-36

L-10280

G: 62 FR 41092 (07/31/97)

P: 62 FR 18803 (04/17/97)

Operating Engineers Local 150, Apprenticeship Fund (the Plan)

Permits the sale of a certain parcel of improved real property from the Plan to International Union of Operating Engineers, Local 150, a party in interest with respect to the Plan.

Grant; PTE 1997-30

L-10366

G: 62 FR 31631 (06/10/97)

P: 62 FR 18804 (04/17/97)

Joint Apprenticeship Committee of Plumbers Local No. 27 (the Plan)

Permits the sale by the Plan of certain improved real property located in Allegheny County, Pennsylvania to the Local Union No. 27 of the United Association of Journeymen and Apprentices of the Plumbing and Pipe Fitting Industry of the United States and Canada, a party in interest with respect to the Plan.

Grant; PTE 1997-04

D-10330

G: 62 FR 1926 (01/14/97)

P: 61 FR 59914 (11/25/96)

Summit Sheet Metal, Inc. Defined Benefit Pension Plan (the Plan)

Permits the cash sale by the Plan of certain real property to Messrs. Milton J. Chasin, Donald E. Hanson, and Gale N. Searing, parties in interest with respect to the Plan.

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Securities Lending – “Plan A”- Type Arrangement

Grant; PTE 1997-63

D-10159

G: 62 FR 66689 (12/19/97)

P: 62 FR 51684 (10/02/97)

State Street Bank and Trust Company (State Street)

Permits (1) the lending of securities to State Street, acting through its Financial Markets Group (FMG) or acting through any other division or U.S. affiliate of State Street that is a successor to the activities of FMG; (2) the lending of securities to any U.S. registered broker-dealers affiliated with State Street by employee benefit plans, including commingled investment funds holding plan assets for which State Street, through its Master Trust Services Division, acts as directed trustee or custodian, and for which State Street, through its Global Securities Lending Division (GSL) or any other similar division of State Street or U.S. affiliate of State Street or its parent acts as securities lending agent; and (3) the receipt of compensation by GSL in connection with the transactions.

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Securities Lending – “Trio”-Type Arrangement

Grant; PTE 1997-57

D-10464 and D-10465

G: 62 FR 56203 (10/29/97)

P: 62 FR 47060 (09/05/97)

NatWest Securities Corporation (NatWest), et al.

Permits, effective May 22, 1997, (1) the purchase or sale of a security between an employee benefit plan and a broker-dealer affiliated with NatWest and subject to British law (the NatWest/UK Affiliate); (2) the lending of securities that are assets of an employee benefit plan to a NatWest/UK Affiliate; and (3) any extension of credit to an employee benefit plan by a NatWest/UK Affiliate to permit the settlement of securities transactions or in connection with the writing of options contracts.

Grant; PTE 1997-08

D-10108

G: 62 FR 4811 (01/31/97)

P: 61 FR 58237 (11/13/96)

Morgan Stanley & Co. Incorporated (Morgan Stanley & Co.)

Permits, effective August 25, 1995, (1) the purchase or sale of a security between an employee benefit plan and a broker-dealer affiliated with Morgan Stanley & Co. and subject to British law (MSC/UK Affiliate); (2) the lending of securities that are assets of an employee benefit plan to an MSC/UK Affiliate; and (3) any extension of credit to an employee benefit plan by an MSC/UK Affiliate to permit the settlement of securities transactions or in connection with the writing of options contracts.

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Title II Only

Grant; PTE 1997-66

D-10505

G: 62 FR 66691 (12/19/97)

P: 62 FR 59742 (11/04/97)

See summary for the Richard D. Wickersham Plan under Loan by Plan.

Grant; PTE 1997-62

D-10450

G: 62 FR 62622 (11/24/97)

P: 62 FR 51692 (10/02/97)

See summary for the Franklin & Davis, Plan under Loan by Plan.

Grant; PTE 1997-58

D-10469

G: 62 FR 56205 (10/29/97)

P: 62 FR 47064 (09/05/97)
62FR 47064 (09/05/97)

See summary for the Carl Callaway IRA under Sale by Plan of Other Assets.

Grant; PTE 1997-48

D-10451

G: 62 FR 47056 (09/05/97)

P: 62 FR 39030 (07/21/97)

See summary for the Martin D. Ross IRA under Sale by Plan of Other Assets.

Grant; PTE 1997-06

D-10342

G: 62 FR 1929 (01/14/97)

P: 61 FR 59915 (11/25/96)

See summary for the Skana Enterprises Plan under Loan by Plan.

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Venture Capital Fund

Grant; PTE 1997-42

D-10314

G: 62 FR 42839 (08/08/97)

P: 62 FR 10075 (03/05/97)

TA Associates, Inc. (TA Associates)

Permits, effective December 29, 1993, the making, by an employee benefit plan (the Plan), of capital contributions to any venture capital fund (the TA Fund) that is organized, sponsored and/or managed by TA Associates and/or any of its affiliates pursuant to a contractual obligation by a Plan having an interest in the TA Fund.