|
|
|
|
Grant; PTE 2000-37 |
D-10624 |
|
G: 65 FR 49018 (08/10/00) |
|
P: 65 FR 33360 (05/23/00) |
|
The Banc Funds Company, LLC (TBFC) |
|
See summary for TBFC under Performance
Compensation.
|
|
|
|
|
|
Grant; PTE 2000-44 |
L-10872 |
|
G: 65 FR 51044 (08/22/00) |
|
P: 65 FR 39940 (06/26/00) |
|
United Food and Commercial Workers
Union Local 789 and St. Paul Food Employers Health Care
Plan |
|
Permits the purchase of prescription
drugs, at discount prices, by Plan participants and
beneficiaries from Rainbow Pharmacies and Rainbow Food
Group, Inc., parties in interest with respect to the
Plan.
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 |
On
This Page
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Grant; PTE 2000-21
|
D-10777
|
|
G: 65 FR 33376 (05/23/00)
|
P: 65 FR 15367 (03/22/00)
|
|
Texas Iron Workers and Employers
Apprenticeship Training and Journeyman Pension Fund
|
|
Permits the purchase of a
classroom/office building and a shop building and an
adjacent lot by the Plan from Local Union No. 66 of the
International Association of Bridge, Structural,
Ornamental and Reinforcing Iron Workers, the Plans
sponsoring union, for $63,000 in cash.
|
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|
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|
Grant; PTE 2000-42 |
D-10539 & D-10540
|
|
G: 65 FR 51043 (08/22/00) |
P: 65 FR 39432 (06/26/00) |
|
Pension Plan for Employees of
Southco, Inc. and Southco, Inc. Employee Stock
Ownership Plan
|
|
See summary for the Southco Pension Plan and
the Southco ESOP under Purchase by Plan of Employer
Securities.
|
|
|
|
|
|
|
Grant; PTE 2000-70 |
D-10910
|
|
G: 65 FR 80466 (12/21/00) |
P: 65 FR 60466 (10/11/00) |
|
HSBC Holdings plc (HSBC)
|
|
Permits HSBC and affiliates of HSBC
that now or in the future become eligible to serve as
a qualified professional asset manager to function as
a QPAM for a period of ten years, notwithstanding the
fact that one of HSBC's affiliates cannot satisfy
Section I(g) of PTE 84-14 because it plead guilty to
four criminal offenses.
|
|
|
Grant; PTE 2000-49 |
D-10879
|
|
G: 65 FR 60454 (10/11/00) |
P: 65 FR 39435 (06/26/00) |
|
O: 65 FR 62755 (10/19/00) (Tech.
Corr.)
|
|
Actuarial Scientists Associates, Inc.
(ASA) and ASA Fiduciary Counselors Inc. (ASA Counselors)
|
|
Temporarily permits certain
transactions between a party in interest with respect to
the Plumbers and Pipe Fitters National Pension Fund (the
Fund) and an account (the Account) that holds certain
assets of the Fund managed by ASA or ASA Counselors,
while serving as the independent named fiduciary (the
Named Fiduciary) in connection with PTE 99-46 (64 FR
61944, November 15, 1999). Also permits, effective
November 8, 1999, the furnishing of services,
facilities, and any goods incidental thereto by a place
of public accommodation owned by the Account managed by
the Named Fiduciary.
|
|
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|
Grant; PTE 2000-66 |
D-10706
|
|
G: 65 FR 80461 (12/21/00) |
P: 64 FR 57129 (10/22/99) |
|
O: 66 FR 15896 (03/21/01) (Tech.
Corr.)
|
|
Allfirst Bank (Allfirst)
|
|
Permits, effective November 13, 1998,
the receipt of fees by Allfirst from the ARK Funds,
open-end investment companies registered under the
Investment Company Act of 1940 (the 1940 Act), for
acting as an investment adviser for such Funds, as well
as for providing other services to the ARK Funds which
are Secondary Services,Eas defined in Section
III(i), in connection with the investment by plans for
which Allfirst serves as a fiduciary in shares of the
ARK Funds.
|
|
|
Grant; PTE 2000-46 |
D-10590
|
|
G: 65 FR 56337 (09/18/00) |
P: 65 FR 42248 (07/07/00) |
|
Bank of Oklahoma (the Bank)
|
|
See summary for the Bank under Asset
Allocation Services.
|
|
|
Grant; PTE 2000-39 |
D-10720
|
|
G: 65 FR 49024 (08/10/00) |
P: 65 FR 15360 (03/22/00) |
|
Standard & Poors (S&P) and
Standard and Poors Investment Advisory Services LLC (SPIAS)
|
|
See summary for S&P and SPIAS under
Asset
Allocation Services.
|
|
|
Grant; PTE 2000-12 |
D-10819
|
|
G: 65 FR 13331 (03/13/00) |
P: 64 FR 70742 (12/17/99) |
|
First American Capital Management,
Inc. (FACM)
|
|
See summary for FACM under Cross-Trading.
|
|
|
|
|
|
|
Grant; PTE 2000-48 |
D-10802
|
|
G: 65 FR 60452 (10/11/00) |
P: 65 FR 50237 (08/17/00) |
|
Columbia Energy Group (Columbia)
|
|
Permits the reinsurance of risks and
the receipt of premiums therefrom by Columbia Insurance
Corporation, Ltd., a subsidiary of Columbia, in
connection with an insurance contract sold by Employers
Insurance of Wassau, or any successor insurance company
to Wassau which is unrelated to Columbia, to provide
long-term disability benefits to participants in
Columbia's Long Term Disability Plan. This case is
distinguishable from the many cases OED has granted over
the years involving reinsurance because the applicants
could not satisfy the 50% of premiums test that had been
included in all of the prior exemptions. In this case,
the applicants have substituted an independent fiduciary
as a safeguard and have also demonstrated an immediate
benefit to participants and beneficiaries as a result of
the transaction.
|
|
|
|
|
|
|
Grant; PTE 2000-67 |
D-10780
|
|
G: 65 FR 80464 (12/21/00) |
P: 65 FR 62763 (10/19/00) |
|
Butler-Johnson Corporation Profit
Sharing Plan
|
|
See summary for the Butler-Johnson
Plan under Sale by Plan of
Mortgages.
|
|
|
Grant; PTE 2000-56 |
D-10781
|
|
G: 65 FR 67778 (11/13/00) |
P: 65 FR 54303 (09/07/00) |
|
Journal Company, Inc. 401(k)
Savings Plan
|
|
See summary for the Journal Plan
under Settlement.
|
|
|
Grant; PTE 2000-35 |
D-10789
|
|
G: 65 FR 41735 (07/06/00) |
P: 65 FR 25954
(05/04/00) |
|
Fortis, Inc. EmployeesEUniform
Profit Sharing Plan
|
|
Permits (1) the restoration payment
by Fortis, Inc. to the Plan with respect to a certain
counterfeit certificate of deposit (the CD); and (2)
the potential future payment to Fortis, Inc. of
recapture payments made to the Plan pursuant to
proceedings involving the issuer of the CD.
|
|
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Grant; PTE 2000-70 |
D-10910
|
|
G: 65 FR 80466 (12/21/00) |
P: 65 FR 60466 (10/11/00) |
|
HSBC Holdings plc (HSBC)
|
|
See summary for HSBC under QPAM.
|
|
|
Grant; PTE 2000-68 |
D-10800 & D-10801
|
|
G: 65 FR 80465 (12/21/00) |
P: 65 FR 57389 (09/22/00) |
|
The Masters, Mates and Pilots
Pension Plan and Individual Retirement Account Plan
|
|
See summary for the Masters, Mates
and Pilots Pension Plan and Individual Retirement
Account Plan under Sale by Plan of Employer
Securities.
|
|
|
Grant; PTE 2000-67 |
D-10780
|
|
G: 65 FR 80464 (12/21/00) |
P: 65 FR 62763 (10/19/00) |
|
Butler-Johnson Corporation Profit
Sharing Plan
|
|
See summary for the Butler-Johnson
Plan under Sale by Plan of
Mortgages.
|
|
|
Grant; PTE 2000-66 |
D-10706
|
|
G: 65 FR 80461 (12/21/00) |
P: 64 FR 57129 (10/22/99) |
|
O: 66 FR 15896 (03/21/01) (Tech.
Corr.)
|
|
Allfirst Bank (Allfirst)
|
|
See summary for Allfirst under
Receipt of Fees.
|
|
|
Grant; PTE 2000-65 |
L-10906 & L-10907
|
|
G: 65 FR 76306 (12/06/00) |
P: 65 FR 57397 (09/22/00) |
|
O: 65 FR 80497 (12/21/00) (Tech. Corr.)
|
|
I.B.E.W. LU 567 Electrical Joint
Apprenticeship and Training Trust Fund (the Training
Plan) and Money Purchase Retirement Plan of Local 567,
I.B.E.W. (the M/P Plan)
|
|
See summary for the I.B.E.W. LU 567
Training Plan and M/P Plan under Lease by Plan of Real
Property.
|
|
|
Grant; PTE 2000-61 |
D-10905
|
|
G: 65 FR 70622 (11/24/00) |
P: 65 FR 56732 (09/19/00) |
|
Maple Partners Financial Group
(Maple)
|
|
See summary for Maple under
Securities Lending - TrioE- Type.
|
|
|
Grant; PTE 2000-60 |
D-10877
|
|
G: 65 FR 70621 (11/24/00) |
P: 65 FR 57394 (09/22/00) |
|
John L. Rust Co. Profit Sharing
Plan
|
|
See summary for the Rust Plan under
Purchase by Plan of Other Assets.
|
|
|
Grant; PTE 2000-59 |
D-10770
|
|
G: 65 FR 70618 (11/24/00) |
P: 65 FR 56708 (09/19/00) |
|
Deutsche Bank AG and its Affiliates
(collectively, DB)
|
|
See summary for DB under Index or
Model-Driven Fund Transactions.
|
|
|
Grant; PTE 2000-57 |
D-10814
|
|
G: 65 FR 67779 (11/13/00) |
P: 65 FR 54307 (09/07/00) |
|
Sun Life Insurance Company (Sun
Life)
|
|
See summary for Sun Life under Demutualization.
|
|
|
Grant; PTE 2000-55 |
D-10863
|
|
G: 65 FR 67774 (11/13/00) |
P: 65 FR 56720 (09/19/00) |
|
Countrywide Securities Corporation
(Countrywide)
|
|
See summary for Countrywide under
Asset-Backed Securities.
|
|
|
Grant; PTE 2000-53 |
D-10874
|
|
G: 65 FR 65332 (11/01/00) |
P: 65 FR 50240 (08/17/00) |
|
American Mutual Holding Company (AMHC)
|
|
See summary for AMHC under Demutualization.
|
|
|
Grant; PTE 2000-49 |
D-10879
|
|
G: 65 FR 60454 (10/11/00) |
P: 65 FR 39435 (06/26/00) |
|
O: 65 FR 62755 (10/19/00) (Tech. Corr.)
|
|
Actuarial Scientists Associates,
Inc. (ASA) and ASA Fiduciary Counselors Inc. (ASA
Counselors)
|
|
See summary for ASA and ASA
Counselors under QPAM.
|
|
|
Grant; PTE 2000-47 |
D-10758
|
|
G: 65 FR 56341 (09/18/00) |
P: 65 FR 37175 (06/13/00) |
|
Goldman Sachs & Co. (Goldman)
|
|
See summary for Goldman under
Securities Lending - TrioE- Type.
|
|
|
Grant; PTE 2000-45 |
D-10809 & D-10865
|
|
G: 65 FR 54315 (09/07/00) |
P: 65 FR 35138 (06/01/00) |
|
O: 65 FR 57401 (09/22/00) (Tech. Corr.)
|
|
Salomon Smith Barney, Inc. (Salomon
Smith Barney)
|
|
See summary for Salomon Smith Barney
under Asset
Allocation Services.
|
|
|
Grant; PTE 2000-40 |
D-10839
|
|
G: 65 FR 49028 (08/10/00) |
P: 65 FR 37182 (06/13/00) |
|
Washington County Hospital
Association EmployeesECash Balance Plan
|
|
See summary for the Washington Plan
under In-Kind Contribution of Other
Securities.
|
|
|
Grant; PTE 2000-38 |
D-10705
|
|
G: 65 FR 49022 (08/10/00) |
P: 65 FR 33370 (05/23/00) |
|
Standard Insurance Company
(Standard)
|
|
See summary for Standard under Demutualization.
|
|
|
Grant; PTE 2000-37 |
D-10624
|
|
G: 65 FR 49018 (08/10/00) |
P: 65 FR 33360 (05/23/00) |
|
The Banc Funds Company, LLC (TBFC)
|
|
See summary for TBFC under Performance
Compensation.
|
|
|
Grant; PTE 2000-36 |
D-10790
|
|
G: 65 FR 41735 (07/06/00) |
P: 65 FR 25956 (05/04/00) |
|
Canada Life Assurance Company
(Canada Life)
|
|
See summary for Canada Life under Demutualization.
|
|
|
Grant; PTE 2000-33 |
D-10857
|
|
G: 65 FR 37171 (06/13/00) |
P: 65 FR 18365 (04/07/00) |
|
McDonald Investments, Inc.
(McDonald)
|
|
See summary for McDonald under
Asset-Backed Securities.
|
|
|
Grant; PTE 2000-32 |
D-10708
|
|
G: 65 FR 37170 (06/13/00) |
P: 65 FR 18356 (04/07/00) |
|
Triumph Capital Group, Inc. (TCG)
|
|
See summary for TCG under Venture
Capital Funds.
|
|
|
|
|
Grant; PTE 2000-29 |
D-10832
|
|
G: 65 FR 35129 (06/01/00) |
P: 65 FR 6229 (01/08/00) |
|
O: 65 FR 39431 (06/26/00) (Tech. Corr.)
|
|
Morgan Stanley Dean Witter |
|
See summary for Morgan Stanley Dean Witter under Underwriting
Syndicates.
|
|
|
Grant; PTE 2000-28 |
D-10820
|
|
G: 65 FR 35129 (06/01/00) |
P: 65 FR 6229 (01/08/00) |
|
O: 65 FR 39431 (06/26/00) (Tech. Corr.)
|
|
Citigroup Inc. (Citigroup)
|
|
See summary for Citigroup under Underwriting
Syndicates.
|
|
|
Grant; PTE 2000-27 |
D-10779
|
|
G: 65 FR 35129 (06/01/00) |
P: 65 FR 6229 (01/08/00) |
|
O: 65 FR 39431 (06/26/00) (Tech. Corr.)
|
|
The Chase Manhattan Bank (Chase)
|
|
See summary for Chase under Underwriting
Syndicates.
|
|
|
Grant; PTE 2000-26 |
D-10587
|
|
G: 65 FR 35129 (06/01/00) |
P: 65 FR 6229 (01/08/00) |
|
O: 65 FR 39431 (06/26/00) (Tech. Corr.)
|
|
Goldman Sachs & Co. (Goldman)
|
|
See summary for Goldman under Underwriting
Syndicates.
|
|
|
Grant; PTE 2000-25 |
D-10119 & D-10120
|
|
G: 65 FR 35129 (06/01/00) |
P: 65 FR 6229 (01/08/00) |
|
O: 65 FR 39431 (06/26/00) (Tech. Corr.)
|
|
Morgan Guaranty Trust Company of
New York (Morgan) and J.P. Morgan Investment
Management Inc. (J.P. Morgan)
|
|
See summary for Morgan and J.P.
Morgan under Underwriting
Syndicates.
|
|
|
Grant; PTE 2000-16 |
D-10823 & D-10824
|
|
G: 65 FR 18133 (04/06/00) |
P: 65 FR 4851 (02/01/00) |
|
Cullen Incorporated Profit Sharing
Plan and Trust and Employees Defined Contribution Plan
and Trust
|
|
See summary for the Cullen Plans
under Sale by Plan of Real
Property.
|
|
|
Grant; PTE 2000-15 |
D-10679 & D-10682
|
|
G: 65 FR 18132 (04/06/00) |
P: 64 FR 46728 (08/26/99) |
|
General Electric Pension Trust
|
|
See summary for the G.E. Trust under
Lease by Plan of Real
Property.
|
|
|
Grant; PTE 2000-09 |
D-10763
|
|
G: 65 FR 10825 (02/29/00) |
P: 65 FR 526 (01/05/00) |
|
The FINA, Inc. Capital Accumulation
Plan
|
|
See summary for the FINA Plan under
Rights Offering.
|
|
|
|
|
|
|
Grant; PTE 2000-09 |
D-10763 |
|
G: 65 FR 10825 (02/29/00) |
P: 65 FR 526 (01/05/00) |
|
The FINA, Inc. Capital Accumulation
Fund
|
|
Permits, as of June 4, 1999, the
acquisition, holding and exercise of certain warrants
that were issued by Total, S.A., pursuant to a tender
offer made on May 6, 1999 to all shareholders of
Petrofina S.A., including the Plan.
|
|
|
|
|
|
|
Grant; PTE 2000-68 |
D-10800 & D-10801 |
|
G: 65 FR 80465 (12/21/00) |
P: 65 FR 57389 (09/22/00) |
|
The Masters, Mates and Pilots
Pension Plan and Individual Retirement Plan
|
|
Permits (1) the transfer and sale by
the Plans of their shares of stock (the AHL Stock or the
Stock) in American Heavy Lift Shipping Company (AHL) to
AHL Holdings, Inc. (AHL Holdings), in exchange for a
note (the Note) from AHL Holdings to the Plans; (2) the
holding of the Note by the Plans; (3) the guarantee (the
Guarantee) of the Note to the Plans by AHL; (4) the
continued holding of the AHL Stock by the Plans for the
period from January 1, 1999 until the date of the sale
of the Stock by the Plans to AHL Holdings; and (5) the
holding by the Plans for a period of two years of any
collateral, including the Stock, received by the Plans
as a result of the exercise of their rights in the event
of a default under the Note or under the Guarantee.
|
|
|
Grant; PTE 2000-17 |
D-10730 |
|
G: 65 FR 25949 (05/04/00) |
P: 65 FR 10828 (02/29/00) |
|
Earl R. Waddell & Sons Profit
Sharing Plan and Trust
|
|
Permits the arrangement between the
Plan and Earl R. Waddell & Sons, Inc. (Waddell)
involving the sale by the Plan of 5,183,840 shares of
Waddell Holdings Stock to Waddell.
|
|
|
|
|
|
|
|
Grant; PTE 2000-67 |
D-10780 |
|
G: 65 FR 80464 (12/21/00) |
|
P: 65 FR 62763 (10/19/00) |
|
Butler-Johnson Corporation Profit
Sharing Plan
|
|
Permits (1) the past sale on October
25, 1996, by the Plan of four residential mortgage notes
(the Purchased Notes) to the Greater Bay Trust Company
(the Trustee), the trustee of the Plan and, as such, a
party in interest with respect to the Plan; (2) the past
sale on October 25, 1996, by the Plan of a seventy-one
percent (71%) interest in a certain parcel of real
property located in Oakland, California to the Trustee;
(3) the "makewhole" payment made by the
Trustee to the Plan on October 25, 1996 in connection
with the Plan's investment losses with respect to
certain other real property previously owned by the Plan
which was sold to an unrelated party on June 28, 1996;
and
|
|
|
(4) the proposed payment to the Plan of the accrued
but unpaid interest (the Accrued Interest Payment) that
was due on the Purchased Notes at the time of the past
sale to the Trustee, as well as two other mortgage notes
that were in default while held by the Plan which
resulted in foreclosures on the underlying properties,
and the proposed payment to the Plan of an additional
interest payment for the period from October 25, 1996,
until the date that the Accrued Interest Payment is made
to the Plan, based on the total amount of the Accrued
Interest Payment.
|
|
|
|
|
|
Grant; PTE 2000-60 |
D-10877 |
|
G: 65 FR 70621 (11/24/00) |
P: 65 FR 57394 (09/22/00) |
|
John L. Rust Co. Profit Sharing
Plan
|
|
See summary for the Rust Plan under
Purchase by Plan of Other Assets.
|
|
|
Grant; PTE 2000-52 |
D-10667 |
|
G: 65 FR 65331 (11/01/00) |
P: 65 FR 50223 (08/17/00) |
|
Kwik-Kopy Corporation Employees
Welfare Plan
|
|
Permits the cash sale by the Plan of
certain recreational facilities to the International
Center for Entrepreneurial Development, Inc., the parent
of Kwik-Kopy Corporation, the Plan's sponsor and a party
in interest with respect to the Plan.
|
|
|
|
|
|
|
Grant; PTE 2000-63 |
D-10651 |
|
G: 65 FR 76306 (12/06/00) |
P: 64 FR 62756 (10/19/00) |
|
Merrill Lynch & Co., Inc.
(ML&Co.)
|
|
See summary for ML&Co. under
Index-Linked Securities.
|
|
|
Grant; PTE 2000-50 |
D-10871 |
|
G: 65 FR 62755 (10/19/00) |
P: 65 FR 54313 (09/07/00) |
|
IRA FBO Floyd A. Ross
|
|
Permits the proposed purchase by the
IRA of certain closely-held common stock from the Ross
Family Trust, a disqualified person with respect to the
IRA.
|
|
|
|
|
|
|
Grant; PTE 2000-04 |
D-10821 |
|
G: 65 FR 4854 (02/01/00) |
P: 64 FR 66210 (11/24/99) |
|
TMI Systems Design Corporation
Profit Sharing Plan
|
|
Permits the sale by the Plan of
certain limited partnership interests to Northern
Capital Trust Company, the Plan's trustee and a party in
interest with respect to the Plan.
|
|
|
|
|
|
|
Grant; PTE 2000-69 |
D-10880 |
|
G: 65 FR 80466 (12/21/00) |
P: 65 FR 65015 (10/31/00) |
|
Gillespie Real Estate Professional
Corporation Defined Benefit Plan
|
|
Permits the sale of a certain
residential lot by the Plan to Bruce and Ann Gillespie,
disqualified persons with respect to the Plan.
|
|
|
Grant; PTE 2000-67 |
D-10780 |
|
G: 65 FR 80464 (12/21/00) |
P: 65 FR 62763 (10/19/00) |
|
Butler-Johnson Corporation Profit
Sharing Plan
|
|
See summary for the Butler-Johnson Plan
under Sale by Plan of Mortgages.
|
|
|
Grant; PTE 2000-62 |
D-10915 |
|
G: 65 FR 70624 (11/24/00) |
P: 65 FR 60469 (10/11/00) |
|
Pembroke Construction Company, Inc.
Employees 401(k) Profit Sharing Plan
|
|
Permits the sale of a condominium by
Thomas N. Hunnicutt and his wife, Ann N. Hunnicutt, who
are parties in interest, to Mr. Hunnicutt's
self-directed individual account in the Plan.
|
|
|
Grant; PTE 2000-54 |
D-10895 |
|
G: 65 FR 65334 (11/01/00) |
P: 65 FR 57396 (09/22/00) |
|
Richard E. Lobenherz Profit Sharing
Plan
|
|
Permits the cash sale of certain
unimproved real property by the Plan to Mr. Richard E.
Lobenherz, a disqualified person with respect to the
Plan.
|
|
|
Grant; PTE 2000-51 |
D-10875 |
|
G: 65 FR 62755 (10/19/00) |
P: 65 FR 54314 (09/07/00) |
|
Platt Orthopedics Retirement Plan
|
|
Permits the sale by the Plan of
certain improved real property to Morris and Arthur
Platt, disqualified persons with respect to the Plan.
|
|
|
Grant; PTE 2000-43 |
D-10842 |
|
G: 65 FR 51044 (08/22/00) |
P: 65 FR 39434 (06/26/00) |
|
Robert P. Yoo, MD, P.C. Profit
Sharing Plan
|
|
Permits the sale by the Plan of a
parcel of unimproved real property to Robert P. Yoo,
M.D., a party in interest with respect to the Plan.
|
|
|
Grant; PTE 2000-31 |
D-10678 |
|
G: 65 FR 37170 (06/13/00) |
P: 65 FR 18354 (04/07/00) |
|
H. Ray McPhail and H. Ray McPhail
Profit Sharing Plan
|
|
Permits the sale of four parcels of
unimproved real property and a loan by the Plan to Mr.
McPhail, the sole owner of the Plan sponsor and a
disqualified person with respect to the Plan.
|
|
|
|
|
Grant; PTE 2000-23 |
D-10847 |
|
G: 65 FR 33377 (05/23/00) |
P: 65 FR 13858 (03/14/00) |
|
Bay Internists, Inc. Profit Sharing
Plan
|
|
Permits the sale by the Plan of
certain unimproved real property to Bay-Med, a general
partnership which is a party in interest with respect to
the Plan.
|
|
|
Grant; PTE 2000-20 |
D-10859 |
|
G: 65 FR 25953 (05/04/00) |
P: 65 FR 15368 (03/22/00) |
|
Taylor M. Cole IRA Rollover
|
|
Permits the sale of certain
unimproved real property by the IRA to Taylor M. Cole,
the IRA participant and a disqualified person with
respect to the IRA.
|
|
|
Grant; PTE 2000-18 |
D-10739 & L-10740 |
|
G: 65 FR 25949 (05/04/00) |
P: 65 FR 10829 (02/29/00) |
|
Rhode Island Carpenters Local No.
94 Pension Fund (the Pension Plan), the Rhode Island
Carpenters Local No. 94 Apprenticeship Fund (the
Apprenticeship Plan), and the Rhode Island Carpenters
Local No. 94 Union (the Union)
|
|
Permits (1) the cash sale of a
parking lot by the Apprenticeship Plan to the Union; and
(2) the cash sale of a building by the Pension Plan to
the Union.
|
|
|
Grant; PTE 2000-16 |
D-10823 & D-10824 |
|
G: 65 FR 18133 (04/06/00) |
P: 65 FR 4851 (02/01/00) |
|
Cullen Incorporated Profit Sharing
Plan and Trust and Employees Defined Contribution Plan
and Trust
|
|
Permits, as of November 6, 1998, the
cash sale of real property by the plans to Robert C.
O'Neill, the Plans' trustee and a party interest with
respect to the Plans.
|
|
|
Grant; PTE 2000-08 |
D-10676 & D-10677 |
|
G: 65 FR 10825 (02/29/00) |
P: 64 FR 61132 (11/09/99) |
|
Anvil Construction Company, Inc.
Employees' Money Purchase Pension Plan and Employee
Profit Sharing Plan, et al.
|
|
Permits the sale of a certain parcel
of unimproved real property from certain accounts in the
Plans to the Anvil Construction Company, Inc., a party
in interest with respect to the Plans.
|
|
|
|
|
Grant; PTE 2000-01 |
D-10755 |
|
G: 65 FR 4852 (02/01/00) |
P: 64 FR 70740 (12/17/99) |
|
South Central New York District
Council of Carpenters Pension Fund
|
|
Permits the sale of improved real
property to the Fund by the Local 281 Carpenters
Property Corporation, a party in interest with respect
to the Fund.
|
|
|
|
|
|
|
Grant; PTE 2000-64 |
D-10765
|
|
G: 65 FR 76308 (12/06/00) |
P: 65 FR 60464 (10/11/00) |
|
The David Mandelbaum IRA Rollover
Account
|
|
Permits the cash sale, by the David
Mandelbaum IRA Rollover Account to the David
Mandelbaum Family Trust, which is established to
benefit David Mandelbaum's grandchildren, of a 50
percent undivided interest in two parcels of improved
real property subject to a long term lease.
|
|
|
|
|
|
|
Grant; PTE 2000-61 |
D-10905
|
|
G: 65 FR 70622 (11/24/00) |
P: 65 FR 56732 (09/19/00) |
|
Maple Partners Financial Group
(Maple)
|
|
Permits, effective May 31, 2000,
(1) the purchase or sale of securities between certain
non-U.S. affiliates of Maple, which are foreign
broker-dealers or banks (the Foreign Affiliates) and
employee benefit plans (the Plans) with respect to
which the Foreign Affiliates are parties in interest,
including options written by a Plan, Maple, or a
Foreign Affiliate; (2) the extension of credit to the
Plan by a Foreign Affiliate, to permit the settlement
of securities transactions, regardless of whether they
are effected on an agency or principal basis, or in
connection with the writing of options contracts; and
(3) the lending of securities to the Foreign
Affiliates by the Plans.
|
|
|
Grant; PTE 2000-47 |
D-10758
|
|
G: 65 FR 56341 (09/18/00) |
P: 65 FR 37175 (06/13/00) |
|
Goldman Sachs & Co. (Goldman)
|
|
Permits, effective April 15, 1999,
(1) any purchase or sale of securities between certain
affiliates of Goldman which are foreign broker-dealers
or banks (the Foreign Affiliates) (based in Canada, the
United Kingdom, Germany, Japan, Australia, and
Switzerland) and employee benefit plans (the Plans) with
respect to which the Foreign Affiliates are parties in
interest, including options written by a Plan, Goldman
or a Foreign Affiliate; (2) the settlement of securities
transactions, regardless of whether they are effected on
an agency or a principal basis, or in connection with
the writing of options contracts; and (3) the lending of
securities to the Foreign Affiliates by the Plans.
|
|
|
|
|
|
|
Grant; PTE 2000-56 |
D-10781
|
|
G: 65 FR 67778 (11/13/00) |
P: 65 FR 54303 (09/07/00) |
|
Journal Company, Inc. 401(k)
Savings Plan
|
|
Permits (1) the receipt by certain
affiliates and predecessors of Journal Register, Inc.,
by Bank of America N.A. (the successor in interest to
Boatmen's Trust Company), and by certain individuals
alleged in a complaint to have been or to be fiduciaries
of the Plan (collectively, the Defendants) of releases
signed by participants in the Plan, in which such
participants waive their rights to sue in connection
with the acquisition and retention in such participants'
accounts in the Plan of interests in certain guaranteed
investment contracts issued by Confederation Life
Insurance Company; and (2) the payment by the corporate
Defendants of a settlement amount to be allocated to the
accounts of participants in the Plan in exchange for the
release from liability obtained from such participants.
|
|
|
|
|
|
|
Grant; PTE 2000-13 |
D-10384
|
|
G: 65 FR 13333 (03/13/00) |
P: 65 FR 4843 (02/01/00) |
|
Deutsche Bank AG, et al. (Deutsche
Bank)
|
|
Permits (1) the sale to Plans of a
synthetic guaranteed investment contract offered by
Deutsche Bank which is or may become a party in interest
with respect to the Plans; and (2) extensions of credit
by Deutsche Bank to the Plans for the purpose of funding
benefit withdrawals.
|
|
|
Grant; PTE 2000-05 |
D-10542
|
|
G: 65 FR 6223 (02/08/00) |
P: 64 FR 70732 (12/17/99) |
|
Business Men's Assurance Company of
America (BMA)
|
|
Permits (1) the sales and transfers
of assets of a Plan to BMA pursuant to the terms of a
benefit- responsive or a non-benefit responsive
synthetic guaranteed investment contract (the
Benefit-Responsive BMA Synthetic GIC or the
Non-Benefit Responsive BMA Synthetic GIC) entered into
by the Plan sponsor with BMA; (2) advances made by BMA
to a Plan in order to make unanticipated benefit
payments, if applicable, under a Benefit-Responsive
BMA Synthetic GIC; and (3) the sweeping of interest
and other proceeds to BMA from a Plans
Contractholder Custodial Account established under
either type of Synthetic GIC.
|
|
|
|
|
|
|
Grant; PTE 2000-60 |
D-10877
|
|
G: 65 FR 70621 (11/24/00) |
P: 64 FR 57394 (09/22/00) |
|
John L. Rust Co. Profit Sharing
Plan
|
|
See summary for the Rust Plan under
Purchase by Plan of Other Assets.
|
|
|
Grant; PTE 2000-49 |
L-10879
|
|
G: 65 FR 60454 (10/11/00) |
P: 65 FR 39435 (06/26/00) |
|
O: 65 FR 62755 (10/19/00) (Tech. Corr.)
|
|
Actuarial Sciences Associates, Inc.
(ASA) and ASA Fiduciary Counselors Inc. (ASA
Counselors)
|
|
See summary for ASA and ASA Counselors
under QPAM.
|
|
|
Grant; PTE 2000-03 |
L-10810 & D-10811
|
|
G: 65 FR 4854 (02/01/00) |
P: 64 FR 66208 (11/24/99) |
|
Les Olson Company, Inc. Money
Purchase Pension Plan and Les Olson Company, Inc.
Profit Sharing Plan
|
|
See summary for the Les Olson Plans
under Loan by
Plan.
|
|
|
|
|
|
|
Grant; PTE 2000-65 |
L-10906 & D-10907
|
|
G: 65 FR 76308 (12/06/00) |
P: 65 FR 57397 (09/22/00) |
|
O: 65 FR 80497 (12/21/00) (Tech. Corr.)
|
|
I.B.E.W. LU 567 Electrical Joint
Apprenticeship and Training Trust Fund (the Training
Plan) and Money Purchase Retirement Plan of Local 567,
I.B.E.W. (the M/P Plan)
|
|
See summary for the I.B.E.W. LU 567
Training Plan and the M/P Plan under Lease by Plan of
Real Property.
|
|
|
Grant; PTE 2000-52 |
L-10667
|
|
G: 65 FR 65331 (11/01/00) |
P: 65 FR 50223 (08/17/00) |
|
Kwik-Kopy Corporation Employees
Welfare Plan
|
|
See summary for the Kwik-Kopy Plan
under Sale by Plan of Other Assets.
|
|
|
Grant; PTE 2000-21 |
L-10777
|
|
G: 65 FR 33376 (05/23/00) |
P: 65 FR 15367 (03/22/00) |
|
Texas Iron Workers and Employers
Apprenticeship Training and Journeyman Pension Plan
|
|
See summary for the Texas Iron Workers
and Employers Plan under Purchase by Plan of Real
Property.
|
|
|
|
|
|
|
Grant; PTE 2000-69 |
D-10880
|
|
G: 65 FR 80466 (12/21/00) |
P: 65 FR 65015 (10/31/00) |
|
Gillespie Real Estate Professional
Corporation Defined Benefit Plan
|
|
See summary for the Gillespie Plan
under Sale by Plan of Real
Property.
|
|
|
Grant; PTE 2000-64 |
D-10765
|
|
G: 65 FR 76308 (12/06/00) |
P: 65 FR 60464 (10/11/00) |
|
The David Mandelbaum IRA Rollover
Account
|
|
See summary for the Mandelbaum IRA
under Sale by Plan of Real Property
Interests.
|
|
|
Grant; PTE 2000-54 |
D-10895
|
|
G: 65 FR 65334 (11/01/00) |
P: 65 FR 57396 (09/22/00) |
|
Richard E. Lobenherz Profit Sharing
Plan
|
|
See summary for the Lobenherz Plan
under Sale by Plan of Real
Property.
|
|
|
Grant; PTE 2000-51 |
D-10875
|
|
G: 65 FR 62755 (10/19/00) |
P: 65 FR 54314 (09/07/00) |
|
Platt Orthopedics Retirement Plan
|
|
See summary for the Platt Plan under Sale by Plan of Real
Property.
|
|
|
Grant; PTE 2000-50 |
D-10871
|
|
G: 65 FR 62755 (10/19/00) |
P: 65 FR 54313 (09/07/00) |
|
IRA FBO Floyd A. Ross
|
|
See summary for the Ross IRA under Sale
by Plan of Other Securities.
|
|
|
Grant; PTE 2000-31 |
D-10678
|
|
G: 65 FR 37170 (06/13/00) |
P: 65 FR 18354 (04/07/00) |
|
H. Ray McPhail and H. Ray McPhail
Profit Sharing Plan
|
|
See summary for the McPhail Plan under
Sale by Plan of Real Property.
|
|
|
Grant; PTE 2000-20 |
D-10859
|
|
G: 65 FR 25953 (05/04/00) |
P: 65 FR 15368 (03/22/00) |
|
Taylor M. Cole IRA Rollover
|
|
See summary for the Cole IRA under Sale by Plan of Real
Property.
|
|
|
Grant; PTE 2000-02 |
D-10807
|
|
G: 65 FR 4853 (02/01/00) |
P: 64 FR 70742 (12/17/99) |
|
S&S Partnership, Inc. Profit
Sharing Plan
|
|
See summary for the S&S Plan under
Loan by Plan.
|
|
|
|
|
|
|
Grant; PTE 2000-29 |
D-10832
|
|
G: 65 FR 35129 (06/01/00) |
P: 65 FR 6229
(02/08/00) |
|
O: 65 FR 39431 (06/26/00) (Tech. Corr.)
|
|
Morgan Stanley Dean Witter |
|
Permits purchases of securities in an
underwriting where the plans fiduciary is affiliated
with a manager of the underwriting syndicate. (This
relief was excluded from PTCE 75-1, Part III.) The
exemption expands PTCE 75-1 to cover certain
transactions where the fiduciary is affiliated with the
managing underwriter. In addition, the exemption permits
the purchase of certain securities (including foreign
securities) that do not have to be registered under
federal securities laws. Further, to address the concern
that plans could provide a ready market for the less
attractive securities offerings of an affiliated
underwriter, the exemption contains more extensive
conditions than PTCE 75-1. To facilitate monitoring, the
exemption requires that quarterly reports be provided to
the independent fiduciary. Finally, in an effort to
provide a better understanding of the market, the
discussion of the proposed exemption explains the
underwriting business in detail and cautions fiduciaries
about the investment risks involved in IPOs, especially
in situations where there is also a potential for a
conflict of interest.
|
|
|
Grant; PTE 2000-28 |
D-10820
|
|
G: 65 FR 35129 (06/01/00) |
P: 65 FR 6229 (01/08/00) |
|
O: 65 FR 39431 (06/26/00) (Tech. Corr.)
|
|
Citigroup, Inc.
|
|
See summary for Morgan Stanley Dean Witter in this section.
|
|
|
Grant; PTE 2000-27 |
D-10779
|
|
G: 65 FR 35129 (06/01/00) |
P: 65 FR 6229 (01/08/00) |
|
O: 65 FR 39431 (06/26/00) (Tech. Corr.)
|
|
The Chase Manhattan Bank
|
|
See summary for Morgan Stanley Dean Witter in this section.
|
|
|
Grant; PTE 2000-26 |
D-10587
|
|
G: 65 FR 35129 (06/01/00) |
P: 65 FR 6229 (01/08/00) |
|
O: 65 FR 39431 (06/26/00) (Tech. Corr.)
|
|
Goldman, Sachs & Co.
|
|
See summary for Morgan Stanley Dean Witter in this section.
|
|
|
Grant; PTE 2000-25 |
D-10119 & D-10120
|
|
G: 65 FR 35129 (06/01/00) |
P: 65 FR 6229 (01/08/00) |
|
O: 65 FR 39431 (06/26/00) (Tech. Corr.)
|
|
Morgan Guaranty Trust Company of
New York and J.P. Morgan Investment Management Inc.
|
|
See summary for Morgan Stanley Dean Witter in this section.
|
|
|
|
|
|
|
Grant; PTE 2000-52 |
L-10667
|
|
G: 65 FR 65331 (11/01/00) |
P: 65 FR 50223 (08/17/00) |
|
Kwik-Kopy Corporation Employees
Welfare Plan
|
|
See summary for the Kwik-Kopy Plan
under Sale by Plan of Other Assets.
|
|
|
|
|
|
|
Grant; PTE 2000-32 |
D-10708
|
|
G: 65 FR 37170 (06/13/00) |
P: 65 FR 18356 (04/07/00) |
|
Triumph Capital Group, Inc. (TCG)
|
|
Permits, effective July 22, 1997, the
making, by an employee benefit plan subject to ERISA, of
capital contributions to any private equity fund (the
Triumph Fund) that is organized, sponsored and/or
managed by TCG and/or any of its affiliates pursuant to
a contractual obligation by a Plan having an interest in
the Triumph Fund.
|
|