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Quick Links
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Grant; PTE 2002-55 |
D-10958
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G: 67 FR 79655 (12/30/02)
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P: 67 62818 (10/08/02)
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See summary for Fidelity under Credit Facility
Arrangement.
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Grant; PTE 2002-37 |
D-10959
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G: 67 FR 54482 (08/22/02)
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P: 67 FR 39051 (06/06/02)
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See summary for the Adams Wood Products Plan under
Loan
to Plan.
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Grant; PTE 2002-01 |
D-10762
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G: 67 FR 1242 (01/09/02)
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P: 66 FR 46830 (09/07/01)
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See summary for Key Trust under Credit
Credit Facility
Arrangement.
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Grant; PTE 2002-53 |
D-11085
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G: 67 FR 72234 (12/04/02)
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P: 67 FR 59562 (09/23/02)
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See summary for the A. Raimondo Plan under
Lease by Plan of Real
Property.
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Grant; PTE 2002-49 |
L-10929
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G: 67 FR 69570 (11/18/02)
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P: 67 FR 51878 (08/09/02)
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See summary for the Twin City Iron Workers Plan under
Purchase by Plan of
Real Property.
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Grant; PTE 2002-47 |
D-10989
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G: 67 FR 62827 (10/08/02)
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P: 67 FR 51877 (08/09/02)
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See summary for the Investor Savings Bank Plan under
Sale by Plan of Other Securities.
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Grant; PTE 2002-43 |
D-11063 & D-11064
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G: 67 FR 56596 (09/04/02)
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P: 67 FR 41513 (06/18/02)
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See summary for the Chiquita Plans under
Rights Offering.
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Grant; PTE 2002-41 |
D-11077
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G: 67 FR 54487 (08/22/02)
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P: 67 FR 36028 (05/22/02)
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See summary for Bear Stearns & Co. Inc. et al. under
Asset-Backed
Securities.
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Grant; PTE 2002-35 |
D-10987
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G: 67 FR 51885 (08/09/02)
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P: 67 FR 36034 (05/22/02)
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See summary for MetLife under Rights
Offering.
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Grant; PTE 2002-31 |
D-11002
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G: 67 FR 42072 (06/20/02)
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P: 67 FR 15230 (03/29/02)
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See summary for Deutsche Bank under QPAM-Type.
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Grant; PTE 2002-29 |
D-10912
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G: 67 FR 39068 (06/06/02)
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P: 67 FR 12062 (03/18/02)
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See summary for the Wyndham International Plan under
Rights Offering.
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Grant; PTE 2002-28 |
D-10869
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G: 67 FR 39063 (06/06/02)
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P: 66 FR 64464 (12/13/01)
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See summary for MassMutual under In Kind
Purchases.
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Grant; PTE 2002-27 |
D-11051
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G: 67 FR 36031 (05/22/02)
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P: 67 FR 2692 (01/18/02)
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See summary for Prudential under Index and Model-Driven
Funds.
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Grant; PTE 2002-25 |
D-11057
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G: 67 FR 20836 (04/26/02)
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P: 67 FR 9093 (02/27/02)
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See summary for HSBC under QPAM-Type.
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Grant; PTE 2002-22 |
D-10891 through L-10893
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G: 67 FR 20834 (04/26/02)
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P: 67 FR 5305 (02/05/02)
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See summary for the Connecticut Plumbers and Pipefitters Plans under
Purchase
by Plan of Other Securities.
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Grant; PTE 2002-21 |
D-11005
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G: 67 FR 14988 (03/28/02)
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P: 67 FR 5307 (02/05/02)
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O: 67 FR 36037 (05/22/02) (Tech.
Corr.)
See summary for PIMCO under In Kind
Purchases.
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Grant; PTE 2002-20 |
D-10976
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G: 67 FR 14986 (03/28/02)
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P: 67 FR 354 (01/03/02)
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See summary for UBOC under In Kind
Redemptions.
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Grant; PTE 2002-19 |
D-11041
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G: 67 FR 14979 (03/28/02)
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P: 67 FR 2699 (01/18/02)
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See summary for J.P. Morgan under Asset-Backed
Securities.
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Grant; PTE 2002-17 |
D-10961
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G: 67 FR 13366 (03/22/02)
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P: 66 FR 64472 (12/13/01)
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O: 67 FR 14986 (03/28/02) (Tech.
Corr.)
See summary for State Farm, et al. under Purchase by Plan of Other
Assets.
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Grant; PTE 2002-15 |
D-10852
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G: 67 FR 13365 (03/22/02)
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P: 66 FR 64459 (12/13/01)
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See summary for the Rockford Plan under
Reversal Transactions.
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Grant; PTE 2002-09 |
D-10984
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G: 67 FR 5316 (02/05/02)
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P: 66 FR 49408 (09/27/01)
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See summary for Prudential Insurance under
Demutualization.
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Grant; PTE 2002-07 |
L-10937
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G: 67 FR 2687 (01/18/02)
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P: 66 FR 49415 (09/27/01)
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See summary for Ford under In Kind
Redemptions.
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Grant; PTE 2002-05 |
L-10896
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G: 67 FR 1247 (01/09/02)
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P: 66 FR 53637 (10/23/01)
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See summary for the Alaska United Food and Commercial Workers Health and
Security Plan under Purchase by Plan of Personal
Property.
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Grant; PTE 2002-02 |
D-10913 and D-10914
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G: 67 FR 1243 (01/09/02)
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P: 66 FR 46839 (09/07/01)
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See summary for the Golden Retirement Plans under
Rights Offering.
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Grant; PTE 2002-15 |
D-10852
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G: 67 FR 13365 (03/22/02)
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P: 66 FR 64459 (12/13/01)
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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.
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Grant; PTE 2002-43 |
D-11063 & D-11064
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G: 67 FR 56596 (09/04/02)
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P: 67 FR 41513 (06/18/02)
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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.
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Grant; PTE 2002-35 |
D-10987
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G: 67 FR 51885 (08/09/02)
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P: 67 FR 36034 (05/22/02)
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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.
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Grant; PTE 2002-29 |
D-10912
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G: 67 FR 39068 (06/06/02)
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P: 67 FR 12062 (03/18/02)
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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.
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Grant; PTE 2002-02 |
D-10913 and D-10914
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G: 67 FR 1243 (01/09/02)
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P: 66 FR 46839 (09/07/01)
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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.
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Grant; PTE 2002-32 |
D-11031
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G: 67 FR 42077 (06/20/02)
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P: 67 FR 20837 (04/26/02)
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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.
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Grant; PTE 2002-40 |
D-11038
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G: 67 FR 54486 (08/22/02)
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P: 67 FR 41521 (06/18/02)
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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.
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Grant; PTE 2002-39 |
D-11036
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G: 67 FR 54484 (08/22/02)
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P: 67 FR 41517 (06/18/02)
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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.
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Grant; PTE 2002-17 |
D-10961
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G: 67 FR 13366 (03/22/02)
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P: 66 FR 64472 (12/13/01)
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O: 67 FR 14986 (03/28/02) (Tech.
Corr.)
See summary for State Farm, et al. under Purchase by Plan of Other
Assets.
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Grant; PTE 2002-47 |
D-10989
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G: 67 FR 62827 (10/08/02)
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P: 67 FR 51877 (08/09/02)
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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.
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Grant; PTE 2002-10 |
D-11015
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G: 67 FR 5318 (02/05/02)
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P: 66 FR 64478 (12/13/01)
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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.
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Grant; PTE 2002-56 |
D-11108
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G: 67 FR 79657 (12/30/02)
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P: 67 FR 69569 (11/18/02)
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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.
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Grant; PTE 2002-38 |
D-11094
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G: 67 FR 54483 (08/22/02)
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P: 67 FR 39062 (06/06/02)
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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 Plan’s sponsor and a party in
interest with respect to the Plan.
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Grant; PTE 2002-11 |
D-11025
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G: 67 FR 5318 (02/05/02)
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P: 66 FR 64478 (12/13/01)
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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.
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Grant; PTE 2002-30
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D-11026
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G: 67 FR 39069 (06/06/02)
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P: 67 FR 15237 (03/29/02)
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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.
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Grant; PTE 2002-46 |
D-10925
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G: 67 FR 59569 (09/23/02)
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P: 67 FR 9082 (02/27/02)
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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.
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Grant; PTE 2002-45 |
D-10924
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G: 67 FR 59564 (09/23/02)
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P: 67 FR 9070 (02/27/02)
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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.
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Grant; PTE 2002-48 |
D-10991
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G: 67 FR 62827 (10/08/02)
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P: 67 FR 44625 (07/03/02)
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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.
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Grant; PTE 2002-44 |
D-11084
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G: 67 FR 56597 (09/04/02)
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P: 67 FR 44633 (07/03/02)
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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.
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Grant; PTE 2002-33 |
D-11048
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G: 67 FR 42077 (06/20/02)
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P: 67 FR 15241 (03/29/02)
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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.
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Grant; PTE 2002-08 |
D-10997
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G: 67 FR 2688 (01/18/02)
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P: 66 FR 46843 (09/07/01)
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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.
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Grant; PTE 2002-31 |
D-11002
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G: 67 FR 42072 (06/20/02)
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P: 67 FR 15230 (03/29/02)
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See summary for Deutsche Bank under QPAM-Type.
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Grant; PTE 2002-05 |
L-10896
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G: 67 FR 1247 (01/09/02)
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P: 66 FR 53637 (10/23/01)
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See summary for the Alaska United Food and Commercial Workers Health and
Security Plan under Purchase by Plan of Personal
Property.
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Grant; PTE 2002-56 |
D-11108
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G: 67 FR 79657 (12/30/02)
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P: 67 FR 69569 (11/18/02)
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See summary for the Dr. Ferdinand G. Mainolfi Plan under
Sale by Plan of Real Property.
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Grant; PTE 2002-24 |
D-11043
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G: 67 FR 20836 (04/26/02)
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P: 67 FR 9092 (02/27/02)
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See summary for the Carl Mundy, Jr. Plan under
In Kind Contribution to
Plan.
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Grant; PTE 2002-11 |
D-11025
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G: 67 FR 5318 (02/05/02)
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P: 66 FR 64478 (12/13/01)
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See summary for the Howard E. Adkins IRA under
Sale by Plan of Real Property.
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Grant; PTE 2002-55 |
D-10958
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G: 67 FR 79655 (12/30/02)
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P: 67 62818 (10/08/02)
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See summary for Fidelity under Credit Facility
Arrangement.
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Grant; PTE 2002-07 |
L-10937
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G: 67 FR 2687 (01/18/02)
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P: 66 FR 49415 (09/27/01)
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See summary for Ford under In Kind
Redemptions.
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