|
|
|
|
|
PTE 2002-41
|
D-11077
|
|
G: 67 FR 54487 (08/22/02)
|
P: 67 FR 36028 (05/22/02)
|
|
Bear Stearns & Co. Inc., Prudential
Securities Inc., et al.
Amends certain of the Underwriter
Exemptions, which are individual exemptions that
provide relief for the origination and operation of
certain asset pool investment trusts and the
acquisition, holding and disposition by employee benefit
plans (the Plans) of certain asset-backed pass-through
certificates representing undivided interests in those
investment trusts. The amendment permits the trustee of
the trust to be an affiliate of the underwriter of the
certificates and is effective as of August 23, 2000.
|
|
PTE 2002-19
|
D-11041
|
|
G: 67 FR 14979 (03/28/02)
|
P: 67 FR 2699 (01/18/02)
|
|
J.P. Morgan Chase & Co. and its
Affiliates (collectively, the Applicants)
Amends, effective March 13, 2002, PTE
90-23 (55 FR 20545, May 17, 1990), issued to J.P. Morgan
Securities, Inc.; PTE 90-31 (55 FR 23144, June 6, 1990),
issued to Chase Manhattan Bank; and PTE 90-33 (55 FR
23151, June 6, 1990), issued to Chemical Banking
Corporation. These exemptions all permitted transactions
involving the operation of certain asset pool investment
trusts and the acquisition, holding and disposition by
employee benefit plans of certificates or debt instruments
that are issued by such trusts with respect to which one
of the Applicants is the lead underwriter or a co-managing
underwriter. The amendment permits the trustee of such
investment trust to be an affiliate of the underwriter.
|
|
Credit Facility Arrangement |
|
PTE 2002-55 |
D-10958
|
|
G: 67 FR 79655 (12/30/02)
|
P: 67 FR 62818 (10/08/02)
|
|
Fidelity Management Trust Company and
Its Affiliates (collectively, Fidelity)
Permits certain lines of credit and
the loan and repayment of funds, including accrued
interest thereunder, involving certain employee benefit
plans with respect to which Fidelity acts as directed
trustee, investment manager or other administrative
service provider.
|
|
|
PTE 2002-52
|
D-10986
|
|
G: 67 FR 72234
(12/04/02
|
P: 67 FR 59558 (09/23/02)
|
|
Bank of America (BofA)
Permits, effective July 30, 1998,
(1) the granting to BofA by the Westbrook Real Estate
Fund III, L.P. (the LP), a Delaware Limited
Partnership, of a first, exclusive and prior security
interest in the capital commitments, reserve amounts
and capital contributions (Capital Contributions),
whether now owned or after-acquired, of certain
employee benefit plans (Plans) investing in the LP;
(2) the collateral assignment and pledge by the LP to
BofA of its security interest in each Plans limited
partnership interest, whether now owned or
after-acquired; (3) the granting by the LP of a first,
exclusive and prior security interest in a borrower
collateral account to which all Capital Contributions
will be deposited when paid; (4) the proposed granting
to BofA by the General Partner of the LP of its right
to make calls for cash contributions (Drawdowns) under
the LPs Partnership Agreement, where BofA is the
representative of certain lenders (the Lenders) which
will fund a so-called credit facility providing
credit to the LP, and the Lenders are parties in
interest with respect to the Plans; and (5) the
execution of a partner agreement and estoppel under
which the Plans agree to honor the Drawdowns.
|
|
|
PTE 2002-01
|
D-10762
|
|
G: 67 FR 1242 (01/09/02)
|
P: 66 FR 46830 (09/07/01)
|
|
Key Trust Company of Ohio (Key Trust)
Permits (1) the making of
interest-free loans to a defined contribution plan
(the Plan) by its respective sponsor (the Plan
Sponsor) pursuant to the terms of a credit facility
arrangement, established by Key Trust and its
affiliates (collectively, KeyBank), which enables
daily transactions, such as participant investment
transfers, distributions or participant loans, in
connection with the Plans unitized employer stock
fund (the Fund) maintained by KeyBank; and (2) the
repayment, by the Plan to the Plan Sponsor, of any
interest-free loan within 90 days with cash proceeds
received from the sale of employer stock held in the
Fund.
|
|
|
|
|
PTE 2002-42 |
D-11050
|
|
G: 67 FR 56594 (09/04/02)
|
P: 67 FR 41506 (06/18/02)
|
|
Provident Mutual Life Insurance Company
(Provident)
Permits (1) the initial issuance, by
Provident, of its common stock (Provident Shares) to the
conversion agent (the Conversion Agent), as stockholder
of record, on behalf of any eligible policyholder of
Provident (the Eligible Member), including any Eligible
Member which is an employee benefit plan (within the
meaning of section 3(3) of the Act), an individual
retirement annuity (within the meaning of section 408 or
408A of the Code) or a tax sheltered annuity (within the
meaning of section 403(b) of the Code) (each, a Plan),
including a Plan sponsored by Provident for Provident
employees (a Provident Plan); and (2) the exchange, by
the Conversion Agent, of Provident Shares for common
stock (Sponsor Class A Shares) issued by Nationwide
Financial Services, Inc., or, the receipt of cash or
policy credits by an Eligible Member, in exchange for
such Eligible Member's membership interest in Provident
or in connection with the merger between Provident and
the Eagle Acquisition Corporation, a wholly-owned
subsidiary of the Sponsor, in accordance with the terms
of a plan of conversion (the Plan of Conversion) and
merger agreement (the Merger Agreement), adopted by
Provident and implemented pursuant to the Pennsylvania
Insurance Company Mutual-to-Stock Conversion Act.
In addition, the restrictions of
section 406(a)(1)(E) and (a)(2) and section 407(a)(2) of
the Act do not apply to the receipt and holding, by a
Provident Plan, of Sponsor Class A Shares, whose fair
market value exceeds 10 percent of the value of the
total assets held by such Plan.
|
|
|
PTE 2002-09 |
D-10984
|
|
G: 67 FR 5316 (02/05/02)
|
P: 66 FR 49408 (09/27/01)
|
|
Prudential Insurance Company of America
(Prudential Insurance)
Permits, effective September 27,
2001, (1) the receipt of shares of common stock (the
Common Stock) issued by Prudential Financial, Inc. or
(2) the receipt of cash or policy credits by any
eligible policyholder of Prudential Insurance which is
an employee benefit plan (the Plan), including Plans
sponsored by Prudential Insurance and/or its affiliates
for the benefit of their own employees, in exchange for
such Eligible Policyholder's mutual membership interest
in Prudential Insurance, pursuant to a plan of
conversion adopted by Prudential Insurance and
implemented in accordance with section 17:17C-2 of the
New Jersey Insurance Law. Also permits, effective
September 27, 2001, the receipt and holding, by the
Prudential Welfare Plan, of Common Stock whose fair
market value exceeds 10 percent of the fair market value
of the total assets held by such Plan.
|
|
Employer Securities Involved |
|
PTE 2002-42 |
D-11050
|
|
G: 67 FR 56594 (09/04/02)
|
P: 67 FR 41506 (06/18/02)
|
|
See summary for Provident under Demutualization.
|
|
|
PTE 2002-09 |
D-10984
|
|
G: 67 FR 5316 (02/05/02)
|
P: 66 FR 49408 (09/27/01)
|
|
See summary for Prudential Insurance
under Demutualization.
|
|
|
|
|
PTE 2002-07 |
L-10937
|
|
G: 67 FR 2687 (01/18/02)
|
P: 66 FR 49415 (09/27/01)
|
|
See summary for Ford under In
Kind Redemptions.
|
|
Exercise Of Renewal Options |
|
PTE 2002-53 |
D-11085
|
|
G: 67 FR 72234 (12/04/02)
|
P: 67 FR 59562 (09/23/02)
|
|
See summary for the Raimondo Pension
Plan under Lease
by Plan of Real Property.
|
|
|
|
|
PTE 2002-18 |
D-11035
|
|
G: 67 FR 13371 (03/22/02)
|
P: 67 FR 2689 (01/18/02)
|
|
See summary for the Smart Chevrolet
Plan under Loans
by Plan.
|
|
|
|
Index And Model-Driven Funds |
|
PTE 2002-27 |
D-11051
|
|
G: 67 FR 36031 (05/22/02)
|
P: 67 FR 2692 (01/18/02)
|
|
Prudential Insurance Company of
America and Its Affiliates (collectively, Prudential)
Permits, effective December 13, 2001,
the acquisition, holding and disposition of common stock
issued by Prudential Financial, Inc. and/or common stock
issued by a Prudential affiliate by Index and
Model-Driven Funds that are managed by Prudential, in
which client-plans of Prudential invest.
|
|
|
PTE 2002-03 |
D-10954
|
|
G: 67 FR 1243 (01/09/02)
|
P: 66 FR 49400 (09/27/01)
|
|
Metropolitan Life Insurance Company
(MetLife Insurance) and its Affiliates (collectively,
MetLife)
Permits, for the period from December
7, 2000 until January 9, 2002, the acquisition, holding
and disposition of the common stock of MetLife, Inc.
(the parent of MetLife Insurance) by Index and
Model-Driven Funds that are managed by MetLife, in which
client-plans of MetLife invest.
|
|
In Kind Contribution To Plan |
|
PTE 2002-24 |
D-11043 |
|
G: 67 FR 20836 (04/26/02)
|
P: 67 FR 9092 (02/27/02)
|
|
Carl Mundy, Jr. Defined Benefit Plan
(the Plan)
Permits the proposed contribution(s)
to the Plan of shares (the Shares) of Schering-Plough
Corporation to be received annually by Carl Mundy, Jr.,
a disqualified person with respect to the Plan, as
compensation in the form of Shares in lieu of cash.
|
|
|
|
|
PTE 2002-28 |
D-10869 |
|
G: 67 FR 39063 (06/06/02)
|
P: 66 FR 64464 (12/13/01)
|
|
Massachusetts Mutual Insurance Company
(MassMutual)
Permits (1) for the period from April
1, 1995 until June 6, 2002 and for the period after June
6, 2002, the purchase, by an employee benefit plan (the
Client Plan) (directly or through a single customer or
pooled separate account or other pooled vehicle), of
shares of one or more diversified open-end management
investment companies (Fund or Funds) in exchange for
Client Plan assets transferred in-kind to a Fund from a
single customer or pooled separate account or other
pooled vehicle holding plan assets maintained by
MassMutual (a Separate Account), where MassMutual or its
affiliate is the Fund's investment adviser and a Client
Plan fiduciary; (2) permits, for the period from April
1, 1995 until June 6, 2002 and for the period after June
6, 2002, the receipt of fees by MassMutual from the
Funds for acting as an investment adviser for such
Funds, as well as for providing other services to the
Funds, which are "Secondary Services," in
connection with the investment by the Client Plans for
which MassMutual serves as a fiduciary in shares of the
Funds.
|
|
|
PTE 2002-21 |
D-11005 |
|
G: 67 FR 14988 (03/28/02)
|
P: 67 FR 5307 (02/05/02)
|
|
O: 67 FR 36037 (05/22/02) (Tech.
Corr.)
Pacific Investment Management Company
LLC (PIMCO)
Permits, effective February 5, 2002,
an employee benefit plan (the Plan), whose assets are
managed by PIMCO, as trustee, investment manager or
discretionary fiduciary, to purchase shares of one or
more open-end management investment companies registered
under the Investment Company Act of 1940, to which PIMCO
or any affiliate of PIMCO serves as an investment
adviser and may provide other services, in exchange for
securities held by the Plan in an account (the Account)
or sub-Account) with PIMCO.
|
|
|
|
|
PTE 2002-20 |
D-10976 |
|
G: 67 FR 14986 (03/28/02)
|
P: 67 FR 354 (01/03/02)
|
|
Union Bank of California (UBOC)
Permits, effective June 15, 2001,
certain in kind redemptions by the Union Bank of
California Retirement Plan or any other employee benefit
plan established by UBOC or an affiliate of UBOC of
shares of proprietary mutual funds offered by the
HighMark Fund or other investment companies for which
HighMark Capital Management, Inc. or an affiliate
thereof provides investment advisory or other services.
|
|
|
PTE 2002-07 |
L-10937 |
|
G: 67 FR 2687 (01/18/02)
|
P: 66 FR 49415 (09/27/01)
|
|
Ford Motor Company (Ford)
Permits, effective August 4, 2000,
(1) the receipt by the Ford-UAW Benefits Trust (the VEBA)
of approximately $2.9 billion of certain securities (the
Partnership Securities) pursuant to the redemption by
the VEBA of its interest in the Ford Enhanced Investment
Partnership and the Ford Super-Enhanced Investment
Partnership; and (2) the transfer of the Partnership
Securities by the VEBA to Ford in exchange for the
transfer of approximately $2.9 billion of certain
Ford-owned securities to the VEBA.
|
|
Lease By Plan Of Real Property |
|
PTE 2002-54 |
D-11099 |
|
G: 67 FR 72236
(12/04/02)
|
P: 67 FR 62824
(10/08/02)
|
|
J. Penner Corporation Profit Sharing
Plan (the Plan)
Permits (1) the sale of certain
improved real property (the Property) by Thomas G.
Frazier and Carol G. Frazier to their respective
participant directed individual investment accounts (the
Accounts) in the Plan; and (2) the simultaneous lease of
the Property by the Accounts to J. Penner Corporation,
the Plans sponsor and a party in interest with
respect to the Plan.
|
|
|
PTE 2002-53 |
D-11085 |
|
G: 67 FR 72234
(12/04/02)
|
P: 67 FR 59562 (09/23/02)
|
|
A. Raimondo Inc. Pension Plan (the
Plan)
|
|
Permits, effective May 1, 2002, (1)
the past and continued leasing (the Lease) of certain
improved real property by the Plan to A. Raimondo Inc.
(the Employer), a party in interest with respect to the
Plan; and (2) the exercise, by the Employer, of options
to renew the Lease, for two additional terms.
|
|
|
|
|
PTE 2002-18 |
D-11035
|
|
G: 67 FR 13371 (03/22/02)
|
P: 67 FR 2689 (01/18/02)
|
|
Smart Chevrolet Co. Employees
Profit Sharing Retirement Plan
Temporarily permits, until
September 16, 2007, (1) the secured loans by the Plan
to Motors Finance Company (Motors), a party in
interest with respect to the Plan; and (2) the
guaranty of such loans by the individual partners of
Motors.
|
|
|
|
|
|
|
PTE 2002-37 |
D-10959
|
|
G: 67 FR 54482 (08/22/02)
|
P: 67 FR 39051 (06/06/02)
|
|
Adams Wood Products, Inc. Profit
Sharing Plan (the Plan)
Permits (1) a non-interest bearing
loan by Adams Wood Products, Inc. (AWP), the Plan
sponsor, to the Plan to reimburse the Plan for losses
incurred concerning past investments by the Plan in
certain promissory notes (the Notes); and (2) the
potential repayment by the Plan to AWP of certain moneys
if the Plan recovers any of the investments in the
Notes.
|
|
|
|
|
|
|
|
|
|
|
PTE 2002-28 |
D-10869
|
|
G: 67 FR 39063 (06/06/02)
|
P: 66 FR 64464 (12/13/01)
|
|
See summary for Massachusetts Mutual
under In
Kind Purchases.
|
|
|
PTE 2002-20 |
D-10976
|
|
G: 67 FR 14986 (03/28/02)
|
P: 67 FR 354 (01/03/02)
|
|
See summary for the UBOC under In
Kind Redemptions.
|
|
|
PTE 2002-21 |
D-11005
|
|
G: 67 FR 14988 (03/28/02)
|
P: 67 FR 5307 (02/05/02)
|
|
See summary for PIMCO under In
Kind Purchases.
|
|
|
PTE 2002-17 |
D-10961
|
|
G: 67 FR 13366 (03/22/02)
|
P: 66 FR 64472 (12/13/01)
|
|
O: 67 FR 14986 (03/28/02) (Tech. Corr.)
|
|
See summary for State Farm under
Purchase by Plan of Other Assets.
|
|
Purchase By Plan Of Employer Securities |
|
PTE 2002-23 |
D-11017 through D-11023
|
|
G: 67 FR 20835 (04/26/02)
|
P: 67 FR 359 (01/03/02)
|
|
Cargill, Incorporated and Associated Companies Salaried Employees
Pension Plan, et al.
Permits, effective October 18, 1996, (1) the acquisition and holding of
certain shares of Cargill, Incorporated common stock (the Common Stock) by the
Cargill, Incorporated and Associated Companies Master Trust (the Master Trust);
and (2) the acquisition, holding and, where relevant, exercise by the Master
Trust of a certain irrevocable put option associated with the Common Stock.
|
|
|
PTE 2002-06 |
D-10894
|
|
G: 67 FR 2686 (01/18/02)
|
P: 66 FR 46837
(09/07/01)
|
|
Brookshire Brothers, Ltd. (Brookshire)
Permits, effective November 19, 1999, the establishment by Brookshire of a
minimum price guarantee for the valuation and purchase by Brookshire of Profit
Sharing Stock owned by the Brookshire Brothers Employee Stock Ownership Plan
(the ESOP). (Profit Sharing Stock is defined as the 600,182 shares of the
common stock of Brookshires parent company, which were transferred from
Brookshires Profit Sharing Plan to the ESOP on November 19, 1999.)
|
|
Purchase By Plan Of Other Assets |
|
PTE 2002-50 |
L-10939
|
|
G: 67 FR 69571 (11/18/02)
|
P: 67 FR 51880 (08/09/02)
|
|
Child Health Corporation of America
(CHCA)
Permits (1) the purchase, by a welfare plan (the Plan), whose hospital
sponsor is a member of CHCA, of third party insurance, through
CHCA, the broker
of record and a party in interest with respect to such Plan; and (2) the receipt
of an insurance sales commission by CHCA from the third party insurance company,
in connection with the purchase of an insurance policy with the assets of the Plan.
|
|
|
PTE 2002-17 |
D-10961
|
|
G: 67 FR 13366 (03/22/02)
|
P: 66 FR 64472 (12/13/01)
|
|
O: 67 FR 14986 (03/28/02) (Tech.
Corr.)
|
|
State Farm Mutual Automobile Insurance Co. and State Farm VP Management Corp.
(the Applicants)
Permits, as of May 1, 2001, the purchase or redemption of an institutional
class of shares of State Farm mutual funds (the Funds) by pension plans, which
are established by: (1) independent contractor agents (the Agents) of State Farm
Mutual Automobile Insurance Company or its affiliates, who are also registered
representatives of State Farm VP Management Corp, for themselves and their
employees; and (2) the family members (the Family Members) of such Agents.
The Applicants determined that the transactions were not covered by PTCE 77-3
(42 FR 18734, April 8, 1974) because the Agents and their Family Members were
not affiliated persons of any of the Funds, investment advisers to any of the
Funds or principal underwriters of such Funds within the meaning of section
2(a)(3) of the Investment Company Act of 1940. The Applicants also determined
that the subject transactions were not covered by PTCE 77-4 (42 FR 18732, April
8, 1974) because the investment adviser of the Funds was not a fiduciary of the
Plans. However, because the transactions appeared to parallel the transactions
contemplated by PTCEs 77-3 and 77-4, comparable exemptive relief was requested.
|
|
Purchase By Plan Of Other Securities |
|
PTE 2002-22 |
D-10891 through L-10893
|
|
G: 67 FR 20834 (04/26/02)
|
P: 67 FR 5305 (02/05/02)
|
|
Connecticut Plumbers and Pipefitters Pension Fund (the Pension Fund);
Connecticut Pipe Trades Local No. 777Annuity Fund (the Annuity Fund); and
Connecticut Pipe Trades Health Fund (the Health Fund; collectively, the Funds)
Permits, effective September 1, 1999, the purchase (the Purchase) by the
Health Fund of the common stock of Employee Benefit Administrators, Inc. From
Michael W. Daly and Virginia S. Daly, parties in interest with respect to the
Health Fund, and the subsequent reallocation of the Purchase price among the
Funds, including makewhole payments representing lost earnings in
connection with the Purchase.
|
|
|
PTE 2002-16 |
D-10886
|
|
G: 67 FR 13366 (03/22/02)
|
P: 67 FR 351 (01/03/02)
|
|
Morgan Stanley & Co. Incorporated (MS&Co)
Permits, effective September 16, 1998, the acquisition, on behalf of the
Central States, Southeast and Southwest Areas Pension Fund (the Fund), of
certain Argentine bonds from MS&Co, a party in interest with respect to the
Fund, by the Capital Asset Trust, at the direction of Alliance Capital
Management L.P., an investment manager for the Fund.
|
|
Purchase By Plan Of Partnership Interest |
|
PTE 2002-36 |
D-11083 |
|
G: 67 FR 51886 (08/09/02)
|
P: 67 FR 39053 (06/06/02)
|
|
The Banc Funds Company, LLC (TBFC)
Permits, effective June 19, 2002, (1) the purchase or redemption of interests
in the Banc Fund VI L.P. (the Partnership) by employee benefit plans (the Plans)
investing in the Partnership, where TBFC, a party in interest with respect to
the Plans, is the general partner of MidBanc VI, L.P., which is, in turn, the
general partner (the General Partner) of the Partnership; (2) the sale, for cash
or other consideration, by the Partnership of certain securities that are held
as Partnership assets to a party in interest with respect to a Plan
participating in the Partnership, where the party in interest proposes to
acquire or merge with the portfolio company that issued such securities; and (3)
the payment to the General Partner, by Plans participating in the Partnership,
of an incentive fee which is intended to reward the General Partner for the
superior performance of investments in the Partnership.
|
|
Purchase By Plan Of Personal Property |
|
PTE 2002-05 |
L-10896
|
|
G: 67 FR 1247 (01/09/02)
|
P: 66 FR 53637 (10/23/01)
|
|
Alaska United Food and Commercial Workers Health and Security Trust Fund (the
Plan)
Permits, effective August 1, 2000, the purchase by Plan participants and
beneficiaries of prescription drugs from Safeway, Inc., a party in interest with
respect to the Plan.
|
|
Purchase By Plan Of Real Property |
|
PTE 2002-54 |
D-11099
|
|
G: 67 FR 72236 (12/04/02)
|
P: 67 FR 62824 (10/08/02)
|
|
J. Penner Corporation Profit Sharing Plan (the Plan)
Permits (1) the sale of certain improved real property (the Property) by
Thomas G. Frazier and Carol G. Frazier to their respective participant directed
individual investment accounts (the Accounts) in the Plan; and (2) the
simultaneous lease of the Property by the Accounts to J. Penner Corporation, the
Plans sponsor and a party in interest with respect to the Plan.
|
|
|
PTE 2002-49 |
L-10929
|
|
G: 67 FR 69570 (11/18/02)
|
P: 67 FR 51878 (08/09/02)
|
|
Twin City Iron Workers Apprenticeship and Training Fund (the Trust Fund)
Permits, effective May 22, 2000, the past purchase of a certain parcel of
unimproved real property by the Trust Fund from the Twin City Union No. 512 of
Bridge, Structural and Ornamental Workers, Inc., a party in interest with
respect to the Trust Fund.
|
|
Purchase By Plan Of Real Property Interest |
|
PTE 2002-34 |
L-10981
|
|
G: 67 FR 42080 (06/20/02)
|
P: 67 FR 20839 (04/26/02)
|
|
Louisville Electrical Joint Apprentice and Training Committee Trust Fund (the
Fund)
Permits the purchase by the Fund of an interest in a condominium regime from
the International Brotherhood of Electrical Workers, Local 369 Building
Corporation, a party in interest with respect to the Fund.
|
|
|
|
|
PTE 2002-23 |
D-11017 through D-11023
|
|
G: 67 FR 20835 (04/26/02)
|
P: 67 FR 359 (01/03/02)
|
|
See summary for Cargill, Incorporated and Associated Companies Salaried Employees' Pension Plan, et al under Purchase by Plan of Employer
Securities. |
|
|
|
|
PTE 2002-31 |
D-11002
|
|
G: 67 FR 42072 (06/20/02)
|
P: 67 FR 15230 (03/29/02)
|
|
Deutsche Bank A.G. (Deutsche Bank)
Deutsche Bank was granted relief similar to that provided to a qualified
professional asset manager (QPAM) under Prohibited Transaction Class Exemption
84-14 (PTCE 84-14). Deutsche Bank could not rely on the relief provided by PTCE
84-14, because the class exemption does not permit a foreign bank to act as a
QPAM. The administrative exemption for Deutsche Bank contains conditions similar
to those in PTCE 84-14 and also contains conditions designed to minimize the
risks associated with Deutsche Bank's foreign nationality.
Specifically, the exemption permits (1) transactions between parties in
interest with respect to a plan and an investment fund in which such plan has an
interest, if the assets in which such fund are managed by Deutsche Bank; (2) the
sale, leasing, servicing of goods, or the furnishing of services to an
investment fund managed by Deutsche Bank by an employer or an affiliate, and the
leasing of office or commercial space by such investment fund to an employer or
an affiliate where plans sponsored by such employer or an affiliate have an
interest in such fund; (3) the leasing of office or commercial space by an
investment fund managed by Deutsche Bank to Deutsche Bank or a person who is a
party in interest of a plan by virtue of a relationship to Deutsche Bank, as
described in section 3(14)(G), (H) or (I) of the Act, or a person not eligible
for the general exemption set forth in Part I of the final exemption by reason
of the authority to appoint or terminate Deutsche Bank as a manager of any of
the plan's assets, or to negotiate the terms of the management agreement with
Deutsche Bank (including renewals or modifications thereof) on behalf of such
plan, during the one year period preceding the transaction; and (4) the
furnishing of services and facilities (and goods incidental thereto) by a place
of public accommodation owned by an investment fund which is managed by Deutsche
Bank to a party in interest with respect to a plan having an interest in such
fund. The exemption is effective from June 12, 2001 through July 27, 2009.
|
|
|
PTE 2002-25 |
D-11057
|
|
G: 67 FR 20836 (04/26/02)
|
P: 67 FR 9093 (02/27/02)
|
|
HSBC Holdings PLC (HSBC)
Permits HSBC Asset Management Americas, Inc., HSBC Asset Management Hong
Kong, Ltd., HSBC Bank USA, and any current affiliate of HSBC that is eligible to
serve or becomes eligible to serve as a qualified professional asset manager (a
QPAM) under PTE 84-14, HSBC itself, if in the future it becomes a
QPAM, and any
newly-acquired or newly established affiliate of HSBC that is a QPAM or in the
future becomes a QPAM, other than Republic New York Securities Corporation (RNYSC),
to function as a QPAM, pursuant to the terms and conditions of PTE 84-14, for
the period beginning on December 17, 2001, and ending April 26, 2012, solely
because of a failure to satisfy Section I(g) of PTE 84-14, as a result of an
affiliation with RNYSC.
|
|
|
|
|
PTE 2002-50 |
L-10939
|
|
G: 67 FR 69571 (11/18/02)
|
P: 67 FR 51880 (08/09/02)
|
|
See summary for CHCA under Receipt of
Fees.
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
PTE 2002-28 |
D-10869
|
|
G: 67 FR 39063 (06/06/02)
|
P: 66 FR 64464 (12/13/01)
|
|
See summary for MassMutual under In
Kind Purchases.
|
|
Repayment Of Loan By Plan |
|
PTE 2002-55 |
D-10958
|
|
G: 67 FR 79655 (12/30/02)
|
P: 67 62818 (10/08/02)
|
|
See summary for Fidelity under Credit
Facility Arrangement.
|
|
|
PTE 2002-37 |
D-10959
|
|
G: 67 FR 54482 (08/22/02)
|
P: 67 FR 39051 (06/06/02)
|
|
See summary for the Adams Wood Products Plan under
Loan
to Plan.
|
|
|
PTE 2002-01 |
D-10762
|
|
G: 67 FR 1242 (01/09/02)
|
P: 66 FR 46830 (09/07/01)
|
|
See summary for Key Trust under Credit
Credit
Facility Arrangement.
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
PTE 2002-43 |
D-11063 & D-11064
|
|
G: 67 FR 56596 (09/04/02)
|
P: 67 FR 41513 (06/18/02)
|
|
See summary for the Chiquita Plans under
Rights Offering.
|
|
|
PTE 2002-41 |
D-11077
|
|
G: 67 FR 54487 (08/22/02)
|
P: 67 FR 36028 (05/22/02)
|
|
See summary for Bear Stearns & Co. Inc. et al. under
Asset-Backed
Securities.
|
|
|
|
|
|
|
|
|
PTE 2002-35 |
D-10987
|
|
G: 67 FR 51885 (08/09/02)
|
P: 67 FR 36034 (05/22/02)
|
|
See summary for MetLife under Rights Offering.
|
|
|
|
|
PTE 2002-31 |
D-11002
|
|
G: 67 FR 42072 (06/20/02)
|
P: 67 FR 15230 (03/29/02)
|
|
See summary for Deutsche Bank under
QPAM-Type.
|
|
|
|
|
PTE 2002-29 |
D-10912
|
|
G: 67 FR 39068 (06/06/02)
|
P: 67 FR 12062 (03/18/02)
|
|
See summary for the Wyndham International Plan under
Rights Offering.
|
|
|
PTE 2002-28 |
D-10869
|
|
G: 67 FR 39063 (06/06/02)
|
P: 66 FR 64464 (12/13/01)
|
|
See summary for MassMutual under In
Kind Purchases.
|
|
|
|
|
PTE 2002-25 |
D-11057
|
|
G: 67 FR 20836 (04/26/02)
|
P: 67 FR 9093 (02/27/02)
|
|
See summary for HSBC under QPAM-Type.
|
|
|
|
|
PTE 2002-22 |
D-10891 through L-10893
|
|
G: 67 FR 20834 (04/26/02)
|
P: 67 FR 5305 (02/05/02)
|
|
See summary for the Connecticut Plumbers and Pipefitters Plans under
Purchase
by Plan of Other Securities.
|
|
|
PTE 2002-21 |
D-11005
|
|
G: 67 FR 14988 (03/28/02)
|
P: 67 FR 5307 (02/05/02)
|
|
O: 67 FR 36037 (05/22/02) (Tech.
Corr.)
See summary for PIMCO under In
Kind Purchases.
|
|
|
PTE 2002-20 |
D-10976
|
|
G: 67 FR 14986 (03/28/02)
|
P: 67 FR 354 (01/03/02)
|
|
See summary for UBOC under In
Kind Redemptions.
|
|
|
PTE 2002-19 |
D-11041
|
|
G: 67 FR 14979 (03/28/02)
|
P: 67 FR 2699 (01/18/02)
|
|
See summary for J.P. Morgan under Asset-Backed
Securities.
|
|
|
PTE 2002-17 |
D-10961
|
|
G: 67 FR 13366 (03/22/02)
|
P: 66 FR 64472 (12/13/01)
|
|
O: 67 FR 14986 (03/28/02) (Tech.
Corr.)
See summary for State Farm, et al. under
Purchase by Plan of Other Assets.
|
|
|
|
|
PTE 2002-15 |
D-10852
|
|
G: 67 FR 13365 (03/22/02)
|
P: 66 FR 64459 (12/13/01)
|
|
See summary for the Rockford Plan under
Reversal Transactions.
|
|
|
PTE 2002-09 |
D-10984
|
|
G: 67 FR 5316 (02/05/02)
|
P: 66 FR 49408 (09/27/01)
|
|
See summary for Prudential Insurance under
Demutualization.
|
|
|
|
|
PTE 2002-07 |
L-10937
|
|
G: 67 FR 2687 (01/18/02)
|
P: 66 FR 49415 (09/27/01)
|
|
See summary for Ford under In
Kind Redemptions.
|
|
|
|
|
PTE 2002-05 |
L-10896
|
|
G: 67 FR 1247 (01/09/02)
|
P: 66 FR 53637 (10/23/01)
|
|
See summary for the Alaska United Food and Commercial Workers Health and
Security Plan under Purchase by Plan of Personal
Property.
|
|
|
|
|
PTE 2002-02 |
D-10913 and D-10914
|
|
G: 67 FR 1243 (01/09/02)
|
P: 66 FR 46839 (09/07/01)
|
|
See summary for the Golden Retirement Plans under
Rights Offering.
|
|
|
|
|
PTE 2002-15 |
D-10852
|
|
G: 67 FR 13365 (03/22/02)
|
P: 66 FR 64459 (12/13/01)
|
|
Rockford Corporation 401(k) Retirement Savings Plan (the Plan)
Permits, effective December 30, 1999 until March 15, 2000, an arrangement by
Rockford Corporation (Rockford), the Plan sponsor, for the reversal of the
original purchase of debt securities (the Debentures) previously issued by
Rockford, involving the following transactions affecting the
individually-directed accounts in the Plan (the Accounts) of certain Plan
participants (the Participants): (1) the purchase, by the Participants, from
their Accounts, of the Debentures; (2) the distribution in-kind of the
Debentures by the Accounts to the Participants; (3) the rollover of the
Debentures, if distributed in-kind to the Participants, into self-directed
individual retirement accounts established by the Participants; and (4) any
benefit that may have inured to Rockford by not having to repurchase the
Debentures held by the Accounts.
|
|
|
|
|
PTE 2002-43 |
D-11063 & D-11064
|
|
G: 67 FR 56596 (09/04/02)
|
P: 67 FR 41513 (06/18/02)
|
|
Chiquita Processed Foods 401(k) Retirement Savings Plan and the Chiquita
Savings and Investment Plan (collectively, the Plans)
Permits, effective March 19, 2002, (1) the acquisition and holding by the
Plans of certain warrants (the Warrants) to purchase new common stock (the New
Common Stock) issued by Chiquita Brands International, Inc., a party in interest
with respect to the Plans; and (2) the subsequent exercise of the Warrants, as
directed by participants in the Plans.
|
|
|
PTE 2002-35 |
D-10987
|
|
G: 67 FR 51885 (08/09/02)
|
P: 67 FR 36034 (05/22/02)
|
|
Metropolitan Life Insurance Company (MetLife)
Permits, effective January 20, 2000 until May 18, 2000, (1) the holding, by
MetLife Separate Account R.I. (the Separate Account), an index fund managed by
MetLife which holds plan assets, of 523 shares of common stock (the Common
Shares), issued by the Conning Corporation, an affiliate of MetLife; (2) the
acquisition, by MetLife, of certain certificates, representing 523 shares of cancelled Conning Common
Shares (the Cancelled Conning Shares), from the Separate Account, pursuant to the
terms of a tender offer and merger agreement; and (3) the delivery of the
certificates representing the 523 Cancelled Conning Shares to ChaseMellon
Shareholder Services, LLC, in exchange for certain cash consideration.
|
|
|
PTE 2002-29 |
D-10912
|
|
G: 67 FR 39068 (06/06/02)
|
P: 67 FR 12062 (03/18/02)
|
|
Wyndham International, Inc. Employee Savings & Retirement Plan (the Plan)
Permits the past acquisition, holding and exercise by the Plan of certain
stock purchase rights, which were issued by Wyndham International, Inc.
(Wyndham) to all shareholders of record, as of September 30, 1999, of certain
Wyndham common stock, pursuant to a rights offering.
|
|
|
PTE 2002-02 |
D-10913 and D-10914
|
|
G: 67 FR 1243 (01/09/02)
|
P: 66 FR 46839 (09/07/01)
|
|
The Golden Retirement Savings Program (the Savings Program) and The Golden
Retirement Security Program (the Security Program; together, the Plans)
Permits, effective January 27, 2000, the past acquisition and holding by the
Savings Program of 1,896.294 publicly traded warrants (the Warrants) and by the
Security Program of 2,073.554 Warrants of Golden Books Family Entertainment,
Inc., the Plans sponsor and a party in interest with respect to the Plan.
|
|
Sale By Plan Of Employer Securities |
|
PTE 2002-32 |
D-11031
|
|
G: 67 FR 42077 (06/20/02)
|
P: 67 FR 20837 (04/26/02)
|
|
Northwoods Bank of Minnesota Employee Stock Ownership Plan (the Plan)
Permits the proposed sale by individual accounts within the Plan of certain
shares of common stock of Dorset Bancshares, Incorporated (the Holding Company)
to the Holding Company, a party in interest with respect to the Plan.
|
|
Sale By Plan Of Leasehold Interests |
|
PTE 2002-40 |
D-11038
|
|
G: 67 FR 54486 (08/22/02)
|
P: 67 FR 41521 (06/18/02)
|
|
Watkins Master Trust (the Trust)
Permits, effective May 8, 2002, the sale by the Trust of its leasehold
interests in certain improved real property, consisting of a building, the
improvements constructed thereon, and a ground lease, to Wilwat Properties, Inc.
(Wilwat), a party in interest with respect to the Trust, in connection with an
amendment to an option to purchase provision contained in a written lease
between the Trust and Wilwat, as described in PTE 90-15 (55 FR 12967, April 6,
1990). This exemption also replaces PTE 90-15, which expired by operation of law
upon the consummation of the sale transaction.
|
|
|
PTE 2002-39 |
D-11036
|
|
G: 67 FR 54484 (08/22/02)
|
P: 67 FR 41517 (06/18/02)
|
|
Watkins Master Trust (the Trust)
Permits, effective May 8, 2002, the sale by the Trust of its leasehold
interests in certain real improved real property, consisting of a building, the
improvements constructed thereon, and a ground lease, to Watkins Associated
Industries, Inc., a party in interest with respect to the Trust, in connection
with an amendment to an option to purchase provision contained in a written
lease between the Trust and Watkins, as described in Prohibited Transaction
Exemption (PTE) 85-131 (50 FR 32333, August 9, 1985). This exemption also
replaces PTE 85-131, which expired by operation of law upon the consummation of
the sale transaction.
|
|
Sale By Plan Of Other Assets |
|
PTE 2002-17 |
D-10961
|
|
G: 67 FR 13366 (03/22/02)
|
P: 66 FR 64472 (12/13/01)
|
|
O: 67 FR 14986 (03/28/02) (Tech.
Corr.)
See summary for State Farm, et al. under
Purchase by Plan of Other Assets.
|
|
Sale By Plan Of Other Securities |
|
PTE 2002-47 |
D-10989
|
|
G: 67 FR 62827 (10/08/02)
|
P: 67 FR 51877 (08/09/02)
|
|
Investor Savings Bank Pension Plan (the Plan)
Permits, effective January 4, 1999, the past sale of certain securities by
the Plan to Investors Savings Bank, a party in interest with respect to the
Plan.
|
|
|
|
|
PTE 2002-10 |
D-11015
|
|
G: 67 FR 5318 (02/05/02)
|
P: 66 FR 64478 (12/13/01)
|
|
Rollover Individual Retirement Account for Brenda A. Moran (the IRA)
Permits the cash sale of common stock of Bravo Energy, Inc. (Bravo) by the
IRA to Bravo, a disqualified person with respect to the IRA.
|
|
|
|
Sale By Plan Of Real Property |
|
PTE 2002-56 |
D-11108
|
|
G: 67 FR 79657 (12/30/02)
|
P: 67 FR 69569 (11/18/02)
|
|
The Profit Sharing Trust of Dr. Ferdinand G. Mainolfi (the Plan)
Permits the sale of parcels of improved real property by the Plan to
Ferdinand G. Mainolfi, a disqualified person with respect to the Plan.
|
|
|
PTE 2002-38 |
D-11094
|
|
G: 67 FR 54483 (08/22/02)
|
P: 67 FR 39062 (06/06/02)
|
|
Unifi, Inc. Retirement Savings Plan (the Plan)
Permits the prospective cash sale of a certain parcel of improved real
property by the Plan to Unifi, Inc., the Plans sponsor and a party in
interest with respect to the Plan.
|
|
|
|
Sale By Plan Of Real Property Interest |
|
PTE 2002-11 |
D-11025
|
|
G: 67 FR 5318 (02/05/02)
|
P: 66 FR 64478 (12/13/01)
|
|
Individual Retirement Account of Howard E. Adkins (the IRA)
Permits the proposed cash sale of an interest in certain real property by the
IRA to Moccasin, LLC, a disqualified person with respect to the IRA.
|
Securities Lending - Electronic Transactions |
|
PTE 2002-30
|
D-11026
|
|
G: 67 FR 39069 (06/06/02)
|
P: 67 FR 15237 (03/29/02)
|
|
EquiLend Holdings LLC (EquiLend)
Permits, effective March 29, 2002, the sale or licensing of certain data
and/or analytical tools to an employee benefit plan by EquiLend, a party in
interest with respect to such plan. Also permits, effective March 29, 2002, (1)
the participation in an EquiLend electronic securities lending platform by an
equity owner of EquiLend (an Equity Owner), in its capacity as a securities
lending agent for a plan; and (2) the sale or licensing of certain data and/or
analytical tools by EquiLend to a plan for which an Equity Owner acts as a
securities lending agent.
|
|
Securities Lending Plan A Type Transactions |
|
PTE 2002-46 |
D-10925
|
|
G: 67 FR 59569 (09/23/02)
|
P: 67 FR 9082 (02/27/02)
|
|
O: 67 FR 69046 (11/14/02) (Tech.
Corr.)
Barclays Global Investors, N.A. (BGI)
Permits (a) the lending of securities to (1) Barclays Capital, Inc., its
successors or affiliates; (2) Barclays Capital Securities, Limited, its
successors or affiliates; (3) Barclays Global Investor Services, its successors
or affiliates; and (4) any future affiliate of BGI, subject to the regulatory
requirements applicable to Barclays Capital, Inc., Barclays Capital Securities,
Limited and/or Barclays Global Investor Services (the Borrowers), which are
domestic or foreign broker-dealers, by employee benefit plans, including
commingled investment funds holding plan assets (the Client Plans or Plans), for
which BGI, an affiliate of the proposed Borrowers, acts as securities lending
agent or subagent and also may serve as trustee, custodian or investment manager
of securities being lent; and (b) the receipt of compensation by BGI in
connection with these transactions.
|
|
|
PTE 2002-45 |
D-10924
|
|
G: 67 FR 59564 (09/23/02)
|
P: 67 FR 9070 (02/27/02)
|
|
O: 67 FR 69046 (11/14/02) (Tech.
Corr.)
Deutsche Bank AG (DB)
Permits (a) the lending of securities to (1) Deutsche Banc Securities, Inc.
(formerly, Deutsche Banc Alex. Brown, Inc.), its successors or affiliates; (2)
any current or future affiliate of DB, that is a bank, as defined in section
202(a)(2) of the Investment Advisers Act of 1940, that is supervised by the U.S.
or a state, any broker-dealer registered under the Securities Exchange Act of
1934, or any foreign affiliate that is a bank or broker-dealer that is
supervised by (1) the Securities and Futures Authority in the United Kingdom;
(2) the Bundesanstalt fur Finanzdienstleistungsaufsicht in Germany; (3) the
Ministry of Finance and/or the Tokyo Stock Exchange in Japan; (4) the Ontario
Securities Commission, the Investment Dealers Association and/or the Office of
Superintendent of Financial Institutions in Canada; (5) the Swiss Federal
Banking Commission in Switzerland; and (6) the Reserve Bank of Australia or the
Australian Securities and Investments Commission and/or Australian Stock
Exchange Limited in Australia by employee benefit plans, including commingled
investment funds holding plan assets (the Client Plans or Plans), for which DB
or an affiliate acts as securities lending agent or subagent (the DB Lending
Agent) and also may serve as trustee, custodian or investment manager of
securities being lent; and (b) the receipt of compensation by the DB Lending
Agent in connection with these transactions.
|
|
Securities Lending Plan B Type Transactions |
|
PTE 2002-48 |
D-10991
|
|
G: 67 FR 62827 (10/08/02)
|
P: 67 FR 44625 (07/03/02)
|
|
Deutsche Bank AG and Its Affiliates (collectively, Deutsche Bank)
Permits, effective April 24, 2001, (1) the lending of securities, under exclusive
borrowingEarrangements, to Deutsche Bank, by employee benefit plans with
respect to which Deutsche Bank is a party in interest; and (2) the receipt of
compensation by Deutsche Bank in connection with these transactions.
|
|
|
PTE 2002-44 |
D-11084
|
|
G: 67 FR 56597 (09/04/02)
|
P: 67 FR 44633 (07/03/02)
|
|
Goldman Sachs & Co. (Goldman)
Permits, effective March 22, 2002, (a) the lending of securities, under
certain exclusive borrowing arrangements, to (1) Goldman and any affiliate of
Goldman that, now or in the future, is a U.S. registered broker-dealer, a
government securities broker or dealer or U.S. bank; (2) Goldman Sachs Canada
Inc., which is subject to regulation in Canada by the Ontario Securities
Commission and the Investment Dealers Association; (3) Goldman Sachs
International and Goldman Sachs Equity Securities (U.K.), which are subject to
regulation in the United Kingdom by the Financial Services Authority (the UK FSA)
(formerly, the Securities and Futures Authority (the UK SFA)); (4) Goldman,
Sachs & Co. oHG, which is subject to regulation in Germany by the Deutsche
Bundesbank and the Federal Banking Supervisory Authority, e.g., der
Bundesaufsichtsamt fE das Kreditwesen (the BAK); (5) Goldman Sachs (Japan)
Ltd., which is subject to regulation in Japan by the Financial Services Agency
and the Tokyo Stock Exchange; (6) Goldman Sachs Australia Pty Limited, which is
subject to regulation in Australia by the Australian Securities &
Investments Commission (the ASIC); (7) Goldman, Sachs & Co. Bank, which is
subject to regulation in Switzerland by the Swiss Federal Banking Commission;
and (8) Any broker-dealer or bank that, now or in the future, is an affiliate of
Goldman which is subject to regulation by the Ontario Securities Commission and
the Investment Dealers Association in Canada, the UK FSA in the United Kingdom,
the Deutsche Bundesbank and/or the BAK in Germany, the Financial Services Agency
and the Tokyo Stock Exchange in Japan, the ASIC in Australia or the Swiss
Federal Banking Commission in Switzerland, by employee benefit plans, including
commingled investment funds holding assets of such plans with respect to which
Goldman or any of its affiliates is a party in interest; and (b) the receipt of
compensation by Goldman or any of its affiliates in connection with securities
lending transactions.
|
|
|
PTE 2002-33 |
D-11048
|
|
G: 67 FR 42077 (06/20/02)
|
P: 67 FR 15241 (03/29/02)
|
|
Morgan Stanley Dean Witter & Co. (Morgan Stanley)
Permits, effective November 11, 2001, (1) the lending of securities by an
employee benefit plan, including a commingled investment fund holding assets of
such plan (the Plan(s)) with respect to which Morgan Stanley or any of its
affiliates is a party in interest, under certain exclusive borrowing
arrangements with (a) Morgan Stanley; (b) Morgan Stanley & Co. Incorporated,
MS Securities Services Inc., and any other affiliate of Morgan Stanley that, now
or in the future, is a U.S. registered broker-dealer or a government securities
broker or dealer; (c) Morgan Stanley & Co. International Limited, which is
subject to regulation by the Financial Services Authority in the United Kingdom;
(d) Morgan Stanley Japan Limited, which is subject to regulation by the Ministry
of Finance, the Financial Services Agency, and the Osaka Stock Exchange; and (e)
any broker-dealer that, now or in the future, is an affiliated of Morgan
Stanley, which is subject to regulation by the FSA in the United Kingdom or
which is subject to regulation by the Ministry of Finance, the Financial
Services Agency, the Tokyo Stock Exchange, and the Osaka Stock Exchange; and (2)
the receipt of compensation by Morgan Stanley or any of its affiliates in
connection with securities lending transactions.
|
|
Securities Lending Trio-Type Transactions |
|
PTE 2002-08 |
D-10997
|
|
G: 67 FR 2688 (01/18/02)
|
P: 66 FR 46843 (09/07/01)
|
|
Morgan Stanley Dean Witter & Co. Incorporated
(MSDW&Co.)
Modifies PTE 97-08 (62 FR 4811, January 31, 1997), a "trio-type"
securities lending exemption issued to Morgan Stanley & Co., Incorporated, a
subsidiary of MSDW&Co., to permit a U.S. affiliate of a foreign
broker-dealer to guaranty the obligations of such broker-dealer that arise in
connection with transactions described in PTE 97-08 (i.e., principal
transactions, extensions of credit and securities lending). The amendment is
effective as of August 25, 1995.
|
|
|
|
|
PTE 2002-31 |
D-11002
|
|
G: 67 FR 42072 (06/20/02)
|
P: 67 FR 15230 (03/29/02)
|
|
See summary for Deutsche Bank under
QPAM-Type.
|
|
|
|
|
PTE 2002-05 |
L-10896
|
|
G: 67 FR 1247 (01/09/02)
|
P: 66 FR 53637 (10/23/01)
|
|
See summary for the Alaska United Food and Commercial Workers Health and
Security Plan under Purchase by Plan of Personal
Property.
|
|
|
|
|
PTE 2002-56 |
D-11108
|
|
G: 67 FR 79657 (12/30/02)
|
P: 67 FR 69569 (11/18/02)
|
|
See summary for the Dr. Ferdinand G. Mainolfi Plan under
Sale by Plan of Real Property.
|
|
|
PTE 2002-24 |
D-11043
|
|
G: 67 FR 20836 (04/26/02)
|
P: 67 FR 9092 (02/27/02)
|
|
See summary for the Carl Mundy, Jr. Plan under
In Kind Contribution to
Plan.
|
|
|
PTE 2002-11 |
D-11025
|
|
G: 67 FR 5318 (02/05/02)
|
P: 66 FR 64478 (12/13/01)
|
|
See summary for the Howard E. Adkins IRA under
Sale by Plan of Real Property.
|
|
|
|
Unitized Employer Stock Fund |
|
|
|
|
|
PTE 2002-07 |
L-10937
|
|
G: 67 FR 2687 (01/18/02)
|
P: 66 FR 49415 (09/27/01)
|
|
See summary for Ford under In
Kind Redemptions.
|
|
