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Index of Granted Individual Exemptions

Subject Listing

For additional cases and subject matter categories, refer to EXPRO Exemptions under PTE 96-62.

Acquisitions or Mergers

Asset Allocation Advice/Investment Allocation Advice

See also Provision of Services to Plans |  Receipt of Fees or Benefits by Parties in Interest


Asset-Backed Securities/Underwriter Exemptions


Assignment by Plans of Rights Claims Causes of Action or Choses in Action

  • PTE 2011-14;  Krispy Kreme Doughnut Corp. Retirement Savings Plan, et al
  • PTE 2009-33;  Cotter Merchandise Storage Co. Defined Benefit Pension Plan
  • PTE 2005-03;  National Electrical Benefit Fund
  • PTE 2004-15;  Employees Retirement Plan of Storytown USA Inc. and Participating affiliated Companies
  • PTE 2004-02;  Bank of America NA
  • PTE 2004-01;  United States Steel and Carnegie Pension Fund
  • PTE 1999-31;  The Unaka Co. Inc. Employees Profit Sharing Plan and Trust

Auction Rate Securities

  • PTE 2014-04;  Northwestern Mutual Investment Services, Inc. and its Affiliates
  • PTE 2013-10;  UBS AG and its current and future affiliates and subsidiaries (UB)
  • PTE 2012-14;  JPMorgan Chase & Co. and its current and future affiliates and subsidiaries
  • PTE 2011-18;  Northern Trust Corp.
  • PTE 2011-07;  Robert W. Baird and Co. Inc. and its current & future affiliates
  • PTE 2011-06;  Wachovia Corp. and its current & future affiliates or successors
  • PTE 2011-05;  TD Ameritrade, Inc.
  • PTE 2011-02;  Morgan Stanley and Co. Inc.
  • PTE 2010-24;  Citizens Bank Wealth Management, NA
  • PTE 2010-20;  Citigroup and its affiliates
  • PTE 2010-14;  UBS Financial Services Inc. and its affiliates
  • PTE 2010-10;  Deutsche Bank AG and its affiliates
  • PTE 2010-05;  Goldman Sachs and Co. and its affiliates
  • PTE 2009-21;  The Bank of New York Mellon Corp. and its affiliates
  • PTE 2009-20;  Morgan Stanley and Co. Inc.
  • PTE 2009-18;  Robert W Baird and Co. Inc.
  • PTE 2009-09;  Northwestern Mutual Investment Services LLC
  • PTE 2009-08;  Raymond James and Associates Inc.
  • PTE 2009-07;  Robert W Baird and Co. Inc.
  • PTE 2009-06;  Citigroup Inc.

Bank Collective Funds

See also Pooled Funds - Banks

Captive Reinsurance


Class Exemption Clones

See also Asset Allocation Advice/Investment Allocation Advice | In Kind Purchases or Transfers | In Kind Redemptions | INHAM-Type Transactions | QPAM-Type Transactions | Pooled Funds-Mutual Funds | Securities Lending-Trio Type Arrangements | Umbrella Exemption | Underwriting Syndicates

  • PTE 2008-14;  Fidelity Brokerage Services LLC and its affiliates (PTE 1993-33)
  • PTE 2008-02;  Citigroup Inc. (PTE 1993-33)
  • PTE 2008-01;  Barclays Global Investors NA et al (PTE 1977-04)
  • PTE 2006-13;  The Young Mens Christian Association Retirement Fund Retirement Plan (PTE 1976-01)
  • PTE 2006-10;  Massachusetts Mutual Life Insurance Co. (PTE 1980-26)
  • PTE 2002-50;  Child Health Corp. of America (PTE 1984-24)
  • PTE 2001-20;  THS Profit Sharing Plan (PTE 1992-05)
  • PTE 2001-16;  New York Life Insurance Co. (PTE 1984-24)
  • PTE 2000-12;  First American Capital Management Inc. (PTE 1986-128)
  • PTE 1997-31;  Howes Leather Co. Inc. Employee Stock Ownership Plan (PTE 1992-06)
  • PTE 1996-85;  Chase Manhattan Bank NA (PTE 1975-01 and PTE 1984-14)

Coinvesting

  • PTE 2003-38;  Aetna Life Insurance Co. and UBS Realty Investors LLC
  • PTE 1998-28;  Massachusetts Mutual Life Insurance Co.
  • PTE 1997-56;  UNUM Life Insurance Co. of America

Collateralization by Party in Interest

  • PTE 1999-22;  Operating Engineers Labor Union 324 Journeyman and Apprentice Training Fund

Collateralized Mortgage Obligations


Contributions to Plans

See also In Kind Contributions to Plans

Consent Dividend

  • PTE 2012-13;  Sammons Enterprises, Inc. Employee Stock Ownership Plan

Credit Card Receivables


Credit Facility Arrangements


Cross Trading

  • PTE 2013-04;  Silchester International Investors LLP
  • PTE 2008-10;  Merrill Lynch and Co. Inc. and BlackRock Inc.
  • PTE 2000-12;  First American Capital Management Inc.

Customer Notes/Equipment Leases


Demutualizations


Economically Targeted Investments

  • PTE 2003-25;  IBEW Local No. 1 Health and Welfare Fund and Local No. 1 Apprenticeship and Training Fund
  • PTE 1999-42;  Pacific Coast Roofers Pension Plan
  • PTE 1997-20;  Real Estate Equity Trust No. 1

Exchanges by Plans

  • PTE 2008-01;  Barclays Global Investors NA et al
  • PTE 2005-13;  Best Business Products Inc. Employee Stock Ownership Plan
  • PTE 2004-17;  Linda Ann Smith MD Profit Sharing Plan and Trust
  • PTE 2004-09;  Landerholm Memovich Lansverk and Whitesides PS 401(k) Profit Sharing Plan
  • PTE 2003-28;  Raleigh Pathology Laboratory Associates PA Profit Sharing Plan
  • PTE 2002-07;  Ford Motor Co.
  • PTE 1999-49;  Massachusetts Mutual Life Insurance Co.
  • PTE 1999-46;  Plumbers and Pipe Fitters National Pension Fund
  • PTE 1998-22;  The Fortunoff Pension Plans
  • PTE 1997-58;  Carl M Callaway IRA
  • PTE 1996-77;  Mewbourne Oil Co. Inc. Plan
  • PTE 1996-42;  James Flynn and Associates Ltd. Pension Plan

Exchange Traded Funds


Excise Tax Payments

  • PTE 2011-11;  H-E-B Brand Savings and Retirement Plan et al
  • PTE 2009-29;  Iron Workers Local 17 Pension Fund
  • PTE 2009-10;  Camino Medical Group Inc. Employee Retirement Plan
  • PTE 2006-14;  Little Rock Diagnostic Clinic PA Profit Sharing Plan
  • PTE 2006-04;  The Donlar Corp. Profit Sharing Plan
  • PTE 2005-14;  Milan Uremovich DDS PC Profit Sharing Plan and Trust
  • PTE 2004-21;  Camino Medical Group Inc. Matching 401(k) Plan and the Camino Medical Group Inc. Employee Retirement Plan
  • PTE 2003-30;  Fifth Third Bank
  • PTE 2002-38;  Unifi Inc. Retirement Savings Plan
  • PTE 2002-23;  Cargill Inc. and Associated Companies Salaried Employees Pension Plan et al
  • PTE 2002-15;  Rockford Corp. 401(k) Retirement Savings Plan
  • PTE 2001-31;  Wagner Doxey and Co. Money Purchase Plan
  • PTE 2001-02;  Care Services Employees 401(k) Profit Sharing Plan and Trust
  • PTE 2000-07;  Cassanos Inc. 401(k) Plan and Trust
  • PTE 1999-30;  Premier Funding Group Inc. Employees Profit Sharing Plan and the Money Purchase Pension Plan for Employees of Premier Funding Group Inc.
  • PTE 1999-16;  Standard Bank Employees Profit Sharing Plan
  • PTE 1997-53;  McCroskey Feldman Cochrane and Brock PC Profit Sharing Plan and Trust
  • PTE 1997-51;  H Weiss and Co. Inc. Defined Benefit Pension Plan
  • PTE 1997-25;  Hughes Non Bargaining Retirement Plan et al
  • PTE 1996-71;  Normike Industries Inc. Profit Sharing Plan
  • PTE 1996-55;  Aircon Energy Inc. 401(k) Profit Sharing Plan
  • PTE 1996-46;  Jacor Communications Inc. Retirement Plan
  • PTE 1996-41;  The Buchanan Broadcasting Co. Inc. Profit Sharing Plan and Trust
  • PTE 1996-06;  WLI Industries Inc. Employees Stock Ownership Plan

Exercise by Plans of Lease Renewal Options

  • PTE 2009-10;  Camino Medical Group Inc. Employee Retirement Plan
  • PTE 2004-19;  ARINC Inc. Retirement Income Plan
  • PTE 2003-10;  The JPMorgan Chase Bank
  • PTE 2002-53;  A Raimondo Inc. Pension Plan
  • PTE 2001-01;  General Motors Hourly Rate Employees Pension Plan et al
  • PTE 1998-36;  Collection Bureau Services Profit Sharing Plan and Trust
  • PTE 1997-24;  The Retirement Plan for Salaried and certain Hourly Employees of Keebler Co.

Extensions of Credit by Plans

See also Loans by Plans

  • PTE 2014-10;  Family Dynamics, Inc., Pension Plan
  • PTE 2014-06;  AT&T Inc. (together with AT&T Inc.’s Affiliates, AT&T)
  • PTE 2011-13;  Ford Motor Company (amendment to PTE 2010-08)
  • PTE 2010-30;  UAW General Motors Company Retiree Medical Benefits Plan et al
  • PTE 2010-22;  CUNA Mutual Pension Plan for Represented Employees et al
  • PTE 2010-12;  Chrysler LLC
  • PTE 2010-08;  Ford Motor Co.
  • PTE 2006-13;  The Young Men’s Christian Association Retirement Fund Retirement Plan
  • PTE 2006-01;  Edward D Jones and Co. LP
  • PTE 2005-04;  Wheeling Pittsburgh Corp. and the Wheeling Pittsburgh Steel Corp.
  • PTE 2003-32;  Sorenson Broadcasting Employee Stock Ownership Plan and Trust
  • PTE 2003-17;  DuPont Capital Management Corp.
  • PTE 2003-16;  DuPont Capital Management Corp.
  • PTE 2003-15;  DuPont Capital Management Corp.
  • PTE 2001-42;  Columbia Savings Plan
  • PTE 2001-30;  JPMorgan Chase and Co. and its affiliates
  • PTE 2001-11;  Salomon Smith Barney et al
  • PTE 2000-68;  The Masters Mates and Pilots Pension Plan and IRA Plan
  • PTE 2000-63;  Merrill Lynch and Co. Inc.
  • PTE 1998-25;  SmartRetirement The OLDE 401(k) Plan
  • PTE 1996-40;  Herzog Heine Geduld Inc.

Extensions of Credit to Plans

See also Loans to Plans

  • PTE 2011-22;  Russell Trust Company
  • PTE 2011-13;  Ford Motor Company (amendment to PTE 2010-08)
  • PTE 2010-08;  Ford Motor Co.
  • PTE 2009-28;  Ford Motor Co. and its affiliates
  • PTE 2009-03;  General Motors Corp. and its wholly owned subsidiaries
  • PTE 2006-10;  Massachusetts Mutual Life Insurance Co.
  • PTE 2003-21;  Arizona Machinery Group Inc.
  • PTE 2001-35;  Riggs Bank NA
  • PTE 2000-13;  Deutsche Bank AG et al
  • PTE 2000-05;  Business Mens Assurance Co. of America
  • PTE 1999-31;  The Unaka Co. Inc. Employees Profit Sharing Plan and Trust
  • PTE 1997-01;  Univar Corp. UniSaver Tax Savings Investment Plan
  • PTE 1996-76;  Teachers Insurance and Annuity Association of America
  • PTE 1996-58;  Fieldcrest Cannon Inc. Retirement Savings Plan for Salaried Employees et al
  • PTE 1996-04;  Larson Distributing Co. Profit Sharing Plan

Foreign Exchange Transactions


Guarantees (Guaranties)

  • PTE 2011-22;  Russell Trust Company
  • PTE 2010-04;  JPMorgan Chase Bank NA
  • PTE 2005-03;  National Electrical Benefit Fund
  • PTE 2004-18;  Carpenters Joint Training Fund of St Louis
  • PTE 2004-14;  Les Olson Co. Inc. Profit Sharing Plan
  • PTE 2003-37;  The National Electrical Benefit Fund
  • PTE 2003-35;  Newspaper Agency Corp. Pension Trust
  • PTE 2003-26;  Northwest Airlines Pension Plan for Salaried Employees et al
  • PTE 2003-10;  JPMorgan Chase Bank NA
  • PTE 2002-18;  Smart Chevrolet Co. Employees Profit Sharing Retirement Plan
  • PTE 2002-08;  Morgan Stanley Dean Witter and Co. Inc.
  • PTE 2000-68;  The Masters Mates and Pilots Pension Plan and IRA Plan
  • PTE 1999-03;  Sprinx Inc. Retirement Plan
  • PTE 1998-44;  RandJ Hoffman Inc. Profit Sharing Plan
  • PTE 1998-33;  Breland Investments Inc. Profit Sharing Plan
  • PTE 1998-25;  SmartRetirement The OLDE 401(k) Plan
  • PTE 1997-66;  Profit Sharing Keogh Plan of Richard D Wickersham
  • PTE 1997-52;  Smart Chevrolet Co. Employees Profit Sharing Retirement Plan
  • PTE 1997-19;  APA Inc. 401(k) Profit Sharing Plan
  • PTE 1997-06;  Skana Enterprises Inc. Defined Benefit Pension Plan
  • PTE 1996-68;  Hoechst Marion Roussel Inc. Matching Contribution Plan
  • PTE 1996-58;  Fieldcrest Cannon Inc. Retirement Savings Plan for Salaried Employees et al
  • PTE 1996-30;  Aultman Retirement Savings Plan

Hedge Funds


Holding by Plans of Employer Securities (Entitlements Stock Rights or Warrants)

  • PTE 2014-06;  AT&T Inc. (together with AT&T Inc.’s Affiliates, AT&T)
  • PTE 2013-02;  Atlas Energy, Inc. Employee Stock Ownership Plan
  • PTE 2013-03;  Central Pacific Bank 401(k) Retirement and Savings Plan
  • PTE 2012-17;  TIB Financial Corp. Employee Stock Ownership Plan (stock rights)
  • PTE 2012-02;  First Federal Bancshares of Arkansas, Inc. (stock rights)
  • PTE 2011-14;  Krispy Kreme Doughnut Corp. Retirement Savings Plan, et al
  • PTE 2009-14;  UBS AG and its affiliates et al (entitlements and subscription rights)
  • PTE 2008-15;  Popular Inc. (stock rights)
  • PTE 2007-18;  Owens Corning Savings Plan and Owens Corning Savings and Security Plan (warrants)
  • PTE 2007-17;  BSC Services Corp. 401(k) Profit Sharing Plan (stock rights)
  • PTE 2007-11;  The Revlon Employees Savings Investment and Profit Sharing Plan (stock rights)
  • PTE 2006-11;  The Revlon Employees Savings Investment and Profit Sharing Plan (stock rights)
  • PTE 2005-09;  Liberty Media International Inc. (stock rights)
  • PTE 2004-03;  Lodgian Inc. 401(k) Plan and Trust Agreement (warrants)
  • PTE 2002-43;  Chiquita Processed Foods 401(k) Retirement Savings Plan (warrants)
  • PTE 2002-29;  Wyndham International Inc. Employee Savings and Retirement Plan (stock rights)
  • PTE 2002-02;  The Golden Retirement Savings Program and the Golden Retirement Security Program (warrants)
  • PTE 2001-43;  The FHP International Corp. 401(k) Plan and the FHP International Corp. PAYSOP (stock rights)
  • PTE 2001-28;  Retirement Plan of Dime Bancorp Inc. et al (warrants)
  • PTE 2001-24;  ATGI 401(k) Plan (stock rights)
  • PTE 2000-09;  The FINA Inc. Capital Accumulation Plan (warrants)
  • PTE 1998-47;  Bernard Chaus Inc. Employee Savings Plan (stock rights)
  • PTE 1997-23;  Hawaiian Airlines Inc. Pilots 401(k) Plan Hawaiian Airlines Inc. et al (stock rights)
  • PTE 1996-90;  The Smith Barney Shearson Prototype Defined Contribution Plan (stock rights)
  • PTE 1996-46;  Jacor Communications Inc. Retirement Plan (warrants)
  • PTE 1996-36;  Spreckels Industries Inc. Employee Stock Ownership Plan et al (warrants)
  • PTE 1996-19;  Roses Stores Inc. Retirement Savings 401(k) Plan (stock rights warrants etc)
  • PTE 1996-07;  Ventura County National Bancorp 401(k) and Employee Stock Ownership Plan (stock rights)

Holding by Plan of Employer Securities (Stock Marketable Obligations or Publicly Traded Partnership Interests)

  • PTE 2011-13;  Ford Motor Company (amendment to PTE 2010-08)
  • PTE 2010-30;  UAW General Motors Company Retiree Medical Benefits Plan, et al
  • PTE 2010-12;  Chrysler LLC
  • PTE 2010-08;  Ford Motor Co.
  • PTE 2009-19;  MarkWest Energy Partners LP
  • PTE 2007-18;  Owens Corning Savings Plan and Owens Corning Savings and Security Plan
  • PTE 2005-04;  Wheeling Pittsburgh Corp. and the Wheeling Pittsburgh Steel Corp.
  • PTE 2004-08;  Kinder Morgan Inc.
  • PTE 2003-26;  Northwest Airlines Pension Plan for Salaried Employees
  • PTE 2002-55;  Fidelity Management Trust Co. and its Affiliate
  • PTE 2002-42;  Provident Mutual Life Insurance Co.
  • PTE 2002-15;  Rockford Corp. 401(k) Retirement Savings Plan
  • PTE 2002-09;  The Prudential Insurance Co. of America
  • PTE 2001-36;  Principal Mutual Holding Co.
  • PTE 2001-22;  Phoenix Home Life Mutual Insurance Co.
  • PTE 2001-17;  Indianapolis Life Insurance Co. et al
  • PTE 2001-10;  Cranston Print Works Co. General Employees Retirement Plan
  • PTE 2001-07;  American Express Financial Corp.
  • PTE 2000-68;  The Masters Mates and Pilots Pension Plan and IRA Plan
  • PTE 2000-42;  Pension Plan for Employees of Southco Inc. and Southco Inc. Employee Stock Ownership Plan
  • PTE 2000-38;  Standard Insurance Co.
  • PTE 2000-17;  Earl R Waddell and Sons Profit Sharing Plan and Trust
  • PTE 2000-11;  Metropolitan Life Insurance Co.
  • PTE 2000-06;  John Hancock Mutual Life Insurance Co.
  • PTE 1998-51;  US West Inc. et al
  • PTE 1996-73;  The Masters Mates and Pilots Pension Plan and Individual Retirement Account Plan

Holding by Plans of Other Assets

  • PTE 2012-15;  South Plains Financial, Inc. Employee Stock Ownership Plan (LLC Interests)
  • PTE 2008-01;  Barclays Global Investors NA et al (exchange traded fund shares)
  • PTE 2006-03;  The Zieger Health Care Corp. Retirement Fund (LLC interests)
  • PTE 2004-19;  ARINC Inc. Retirement Income Plan (real property)
  • PTE 2004-01;  United States Steel and Carnegie Pension Fund (timber rights)
  • PTE 2001-34;  Deferred Profit Sharing Plan of the Penske Corp. (LLC interests)
  • PTE 1999-48;  Information Systems Development Inc. Employees Profit Sharing Plan (LLC interests)
  • PTE 1997-64;  Crown American Properties LP Retirement Savings Plan (REIT shares)

Holding by Plans of Other Securities

  • PTE 2012-07;  Genzyme Corporation 401(k) Plan (CVRs)
  • PTE 2012-05;  HSBC-North America (U.S.) Tax Reduction Investment Plan (ADS)
  • PTE 2008-13;  Banc One Investment Advisors Corp. and JPMorgan Investment Management Inc. (stock)
  • PTE 2004-09;  Landerholm Memovich Lansverk and Whitesides PS 401(k) Profit Sharing Plan (real estate mortgages)
  • PTE 2003-21;  Arizona Machinery Group Inc. (customer notes)
  • PTE 2003-17;  DuPont Capital Management Corp. (bonds)
  • PTE 2003-16;  DuPont Capital Management Corp. (bonds)
  • PTE 2003-15;  DuPont Capital Management Corp. (bonds)
  • PTE 2001-42;  Columbia Savings Plan (stock appreciation income linked securities)
  • PTE 2001-38;  The Savings Plan for Employees of Florida Progress Corp. (contingent value obligations)
  • PTE 2001-30;  JPMorgan Chase and Co. (Morgan Chase) and its affiliates (index linked securities)
  • PTE 2000-63;  Merrill Lynch and Co. Inc. (index linked securities)
  • PTE 2000-59;  Deutsche Bank AG and its affiliates (stock)

Index and Model Driven Fund Transactions

  • PTE 2009-25;  Barclays Global Investors NA et al
  • PTE 2008-13;  Banc One Investment Advisors Corp. and JPMorgan Investment Management Inc.
  • PTE 2008-10;  Merrill Lynch and Co. Inc. and BlackRock Inc.
  • PTE 2003-23;  Goldman Sachs and Co. and its affiliates
  • PTE 2003-20;  Deutsche Bank Securities Inc. and its affiliates
  • PTE 2002-27;  Prudential Insurance Co. of America and its affiliates
  • PTE 2002-03;  Metropolitan Life Insurance Co. and its affiliates
  • PTE 2001-07;  American Express Financial Corp.
  • PTE 2000-59;  Deutsche Bank AG and its affiliates
  • PTE 2000-30;  Barclays Bank PLC

Index Linked Securities


INHAM Type Transactions

  • PTE 2009-24;  United States Steel and Carnegie Pension Fund
  • PTE 2009-23;  Verizon Investment Management Corp.
  • PTE 2003-36;  Deutsche Bank AG
  • PTE 1999-33;  General Motors Hourly Rate Employees Pension Plan et al
  • PTE 1996-17;  General Motors Hourly Rate Employees Pension Plan et al

In Kind Contribution to Plans

  • PTE 2014-10;  Family Dynamics, Inc., Pension Plan
  • PTE 2014-06;  AT&T Inc. (together with AT&T Inc.’s Affiliates, AT&T)
  • PTE 2014-02;  ABB Inc. Cash Balance Pension Plan; Cash Balance Pension Plan for Certain Represented Employees of ABB Inc.; Pension Plan for Employees of the Process Analytics Division of ABB Inc. Represented by the Laborer’s International Union of North America, Local No. 1304; Pension Plan of Fischer & Porter Company; ABB Inc. Pension Plan
  • PTE 2012-12;  Weyerhaeuser Company and Federalway Asset Management LP
  • PTE 2012-06;  Retirement Program for Employees of EnPro Industries
  • PTE 2012-01;  The Kemper Corporation Pension Plan
  • PTE 2011-23;  Bayer Corporation
  • PTE 2011-13;  Ford Motor Company (amendment to PTE 2010-08)
  • PTE 2010-12;  Chrysler LLC
  • PTE 2010-08;  Ford Motor Co.
  • PTE 2008-06;  The Swedish Health Services Pension Plan
  • PTE 2006-19;  Kaiser Aluminum Corp. and its subsidiaries
  • PTE 2006-03;  The Zieger Health Care Corp. Retirement Fund
  • PTE 2005-05;  RG Dailey Co. Inc. Defined Benefit Plan
  • PTE 2005-04;  Wheeling Pittsburgh Corp. (WPC) and Wheeling Pittsburgh Steel Corp.
  • PTE 2005-02;  Roy A Herberger Defined Benefit Pension Plan
  • PTE 2004-08;  Kinder Morgan Inc.
  • PTE 2004-01;  United States Steel and Carnegie Pension Fund
  • PTE 2003-26;  Northwest Airlines Pension Plan for Salaried Employees et al
  • PTE 2002-24;  Carl Mundy Jr Defined Benefit Plan
  • PTE 2000-40;  Washington County Hospital Association Employees Cash Balance Plan
  • PTE 1998-51;  US West Inc. et al
  • PTE 1998-02;  First Bank System Personal Retirement Account
  • PTE 1996-77;  Mewbourne Oil Co. Inc. Plan
  • PTE 1996-21;  WW Taylor Jr MD PC Money Purchase Pension Plan

In Kind Contribution to Plan with Leaseback


In Kind Distribution to Plan


In Kind Purchases or Transfers


In Kind Redemptions


Inter Plan/Account Transactions

  • PTE 2004-05;  John Hancock Life Insurance Co.
  • PTE 1999-24;  San Diego Electrical Pension Trust and San Diego Joint Apprenticeship and Training Trust
  • PTE 1999-17;  Plumbers and Pipe Fitters National Pension Fund and Pipe Fitters Local No. 211 Joint Educational Trust
  • PTE 1996-35;  NBD Bancorp
  • PTE 1996-03;  Retirement Plan for Employees of Concord Hospital Capital Region Healthcare Corp.

Investment by Plan in Bank Deposits


Leases by Plans of Real Property

  • PTE 2010-29;  Boston Carpenters Apprenticeship and Training Fund
  • PTE 2009-10;  Camino Medical Group Inc. Employee Retirement Plan
  • PTE 2007-06;  Kern County Electrical Pension Trust et al
  • PTE 2006-08;  Fortunoff Fine Jewelry and Silverware Inc. Cash Balance Pension Plan et al
  • PTE 2006-03;  The Zieger Health Care Corp. Retirement Fund
  • PTE 2005-15;  Dakotas and Western Minnesota Electrical Workers Apprenticeship Plan
  • PTE 2005-14;  Milan Uremovich DDS PC Profit Sharing Plan and Trust
  • PTE 2004-21;  Camino Medical Group Inc. Matching 401(k) Plan and the Camino Medical Group Inc. Employee Retirement Plan
  • PTE 2004-06;  Painters District Council No. 4 Apprenticeship Upgrading and Retraining Trust Fund
  • PTE 2004-04;  Bangs McCullen Butler Foye and Simmons LLP Employees Profit Sharing Plan
  • PTE 2003-36;  Deutsche Bank AG
  • PTE 2003-35;  Newspaper Agency Corp. Pension Trust
  • PTE 2003-25;  IBEW Local No. 1 Health and Welfare Fund and Local No. 1 Apprenticeship and Training Fund
  • PTE 2003-10;  The JPMorgan Chase Bank
  • PTE 2003-06;  Individual Exemption to replace PTE 1981-56, PTE 1985-19 and PTE 1989-05 involving the Truman Arnold Companies Retirement Plan and Trust
  • PTE 2002-53;  A Raimondo Inc. Pension Plan
  • PTE 2001-25;  The Joliet Medical Group Ltd. Employee Retirement Plan and Trust
  • PTE 2001-01;  General Motors Hourly Rate Employees Pension Plan et al
  • PTE 2000-65;  IBEW LU 567 Electrical Joint Apprenticeship and Training Trust Fund and Money Purchase Retirement Plan of Local 567 IBEW
  • PTE 2000-15;  General Electric Pension Trust
  • PTE 1999-40;  UNOVA Inc.
  • PTE 1999-30;  Premier Funding Group Inc. Employees Profit Sharing Plan and the Money Purchase Pension Plan for Employees of Premier Funding Group Inc.
  • PTE 1998-36;  Collection Bureau Services Profit Sharing Plan and Trust
  • PTE 1998-22;  The Fortunoff Pension Plans
  • PTE 1998-20;  The Equitable Life Assurance Society of the United States
  • PTE 1998-18;  Consolidated Association of Railroad Employees Health Care Plan
  • PTE 1998-07;  The Equitable Life Assurance Society of the United States
  • PTE 1997-46;  John Hancock Mutual Life Insurance Co.
  • PTE 1997-25;  Hughes Non Bargaining Retirement Plan et al
  • PTE 1997-24;  Retirement Plan for Salaried and certain Hourly Employees of Keebler Co.
  • PTE 1996-60;  Everett Clinic Profit Sharing Plan and 401(k) Employee Savings Plan
  • PTE 1996-41;  Buchanan Broadcasting Co. Inc. Profit Sharing Plan and Trust
  • PTE 1996-34;  General Electric Pension Trust

Litigation/Settlements

  • PTE 2011-13;  Ford Motor Company (amendment to PTE 2010-08)
  • PTE 2010-30;  UAW General Motors Company Retiree Medical Benefits Plan, et al
  • PTE 2010-20;  Citigroup and its affiliates
  • PTE 2010-14;  UBS Financial Services Inc.
  • PTE 2010-12;  Chrysler LLC
  • PTE 2010-10;  Deutsche Bank AG and its affiliates
  • PTE 2010-08;  Ford Motor Co.
  • PTE 2010-05;  Goldman Sachs and Co. and its affiliates
  • PTE 2010-02;  State Street Bank and Trust Co.
  • PTE 2009-33;  Cotter Merchandise Storage Co. Defined Benefit Pension Plan
  • PTE 2009-28;  Ford Motor Co. and its affiliates
  • PTE 2009-20;  Morgan Stanley and Co. Inc.
  • PTE 2009-03;  General Motors Corp. and its wholly owned subsidiaries
  • PTE 2003-04;  Michigan Conference of Teamsters Welfare Fund
  • PTE 2001-33;  Merganser Capital Management LP
  • PTE 2000-56;  Journal Co. Inc. 401(k) Savings Plan
  • PTE 1999-31;  The Unaka Co. Inc. Employees Profit Sharing Plan and Trust
  • PTE 1996-73;  The Masters Mates and Pilots Pension Plan and IRA Plan

Loans by Plans

See also Extension of Credit by Plans

  • PTE 2006-01;  Edward D Jones and Co. LP
  • PTE 2003-29;  Valley OB GYN Clinic PC Employees Pension Plan
  • PTE 2000-31;  H Ray McPhail and H Ray McPhail Profit Sharing Plan
  • PTE 2000-02;  SandS Partnership Inc. Profit Sharing Plan
  • PTE 1999-03;  Sprinx Inc. Retirement Plan
  • PTE 1998-44;  RandJ Hoffman Inc. Profit Sharing Plan
  • PTE 1998-34;  Karen J Hartley Profit Sharing Plan et al
  • PTE 1998-33;  Breland Investments Inc. Profit Sharing Plan and Trust
  • PTE 1998-01;  The Sperry Rail Inc. Retirement Plan
  • PTE 1997-66;  Profit Sharing Keogh Plan of Richard D Wickersham
  • PTE 1997-62;  Franklin and Davis PC Profit Sharing Plan
  • PTE 1997-19;  APA Inc. 401(k) Profit Sharing Plan
  • PTE 1997-06;  Skana Enterprises Inc. Defined Benefit Pension Plan
  • PTE 1997-02;  Wayne Obstetrical Group PA Money Purchase Retirement Plan et al
  • PTE 1996-70;  Dillards Marine and Sports Center Inc. Profit Sharing Plan

Loans by Plans - Recurring

  • PTE 2004-14;  Les Olson Co. Inc. Profit Sharing Plan
  • PTE 2002-18;  Smart Chevrolet Co. Employees Profit Sharing Retirement Plan
  • PTE 2000-03;  Les Olson Co. Inc. Money Purchase Pension Plan and Les Olson Co. Inc. Profit Sharing Plan
  • PTE 1997-52;  Smart Chevrolet Co. Employees Profit Sharing Retirement Plan

Loans to Plans

See also Extensions of Credit to Plans | Credit Facility Arrangements

  • PTE 2010-34;  Retirement Plan for Employees of the Rehabilitation Institute of Chicago
  • PTE 2010-27;  Finishing Trades Institute of the Mid-Atlantic Region
  • PTE 2006-10;  Massachusetts Mutual Life Insurance Co.
  • PTE 2006-05;  Anchorage Area Pipe Trades 367 Joint Apprenticeship Committee
  • PTE 2005-07;  PAMCAH UA Local 675 Pension Plan and the PAMCAH UA Local 675 Training Plan
  • PTE 2004-18;  Carpenters Joint Training Fund of St Louis
  • PTE 2004-15;  The Employees Retirement Plan of Storytown USA Inc. and Participating affiliated Companies
  • PTE 2002-55;  Fidelity Management Trust Co. and its affiliates
  • PTE 2002-37;  Adams Wood Products Inc. Profit Sharing Plan
  • PTE 2002-01;  Key Trust Co. of Ohio
  • PTE 1999-31;  The Unaka Co. Inc. Employees Profit Sharing Plan and Trust
  • PTE 1999-22;  Operating Engineers Labor Union 324 Journeyman and Apprentice Training Fund
  • PTE 1999-19;  VonRoll Isola Savings Plan
  • PTE 1998-28;  Massachusetts Mutual Life Insurance Co.
  • PTE 1997-37;  The Roquette America Inc. Pension Plan for Salaried Employees
  • PTE 1996-81;  Rexam Retirement Savings Plan
  • PTE 1996-04;  Larson Distributing Co. Profit Sharing Plan

Mistakes

  • PTE 2011-13;  Ford Motor Company (amendment to PTE 2010-08)
  • PTE 2010-30;  UAW General Motors Company Retiree Medical Benefits Plan, et al
  • PTE 2010-12;  Chrysler LLC
  • PTE 2010-08;  Ford Motor Co.
  • PTE 2005-02;  Roy A Herberger Defined Benefit Pension Plan
  • PTE 1998-48;  ACRA Local 725 Health and Welfare Fund and ACRA Local 725 Pension Fund

Mitigation VEBAs - Advances and True Ups

  • PTE 2009-28;  Ford Motor Co. and its affiliates
  • PTE 2009-03;  General Motors Corp. and its wholly owned subsidiaries

Multiple Services

  • PTE 1997-33;  Equitable Life Assurance Society of the United States and its affiliates and its Wholly Owned Subsidiary Equitable Real Estate Management Inc.

Mutual Funds

See also Pooled Funds - Mutual Funds

Oil and Gas Rights

  • PTE 1997-46;  John Hancock Mutual Life Insurance Co.

Opportunity Costs

  • PTE 2002-37;  Adams Wood Products Inc. Profit Sharing Plan
  • PTE 2001-21;  Bank of America
  • PTE 1998-42;  Van Ness Plastic Molding Co. Inc. Employees Money Purchase Pension Plan
  • PTE 1998-30;  Jack Mayesh Wholesale Florist Inc. Profit Sharing Plan
  • PTE 1997-37;  The Roquette America Inc. Pension Plan for Salaried Employees
  • PTE 1997-32;  Kenzer Thrift Savings Plan and Trust
  • PTE 1997-26;  ADP Fluor Daniel Inc. Retirement Savings Plan
  • PTE 1997-21;  Orders Distributing Co. Inc. Profit Sharing Plan and 401(k) Retirement Savings Plan
  • PTE 1996-55;  Aircon Energy Inc. 401(k) Profit Sharing Plan
  • PTE 1996-25;  Zausner Foods Corp. Savings Plus Plan
  • PTE 1996-16;  LEGENT Retirement Security Plan
  • PTE 1996-09;  Fidelitone Inc. Employees Profit Sharing and Savings Plan and Trust

Performance Compensation/Incentive Fees


Pooled Funds - Banks


Pooled Funds - Insurance Companies

  • PTE 2012-11;  Delaware Charter Guarantee & Trust Co., d\b\a Principal Trust Co.
  • PTE 2004-11;  Pan American Life Insurance Corp.
  • PTE 1998-28;  Massachusetts Mutual Life Insurance Co.
  • PTE 1998-20;  The Equitable Life Assurance Society of the United States

Pooled Funds - Investment Managers/Advisers

  • PTE 2010-10;  Deutsche Bank AG and its affiliates
  • PTE 2010-07;  Columbia Management Advisors LLC
  • PTE 2010-05;  Goldman Sachs and Co. and its affiliates
  • PTE 2010-02;  State Street Bank and Trust Co.
  • PTE 2010-01;  Deutsche Bank AG
  • PTE 2009-20;  Morgan Stanley and Co. Inc.
  • PTE 2008-16;  BlackRock Inc. and the PNC Financial Services Group Inc.
  • PTE 2008-10;  Merrill Lynch and Co. Inc. and BlackRock Inc.
  • PTE 2008-07;  Credit Suisse and its Current and Future affiliates
  • PTE 2008-03;  Wellington Management Co. LLP et al
  • PTE 2008-01;  Barclays Global Investors NA and its Investment Advisory affiliates including Barclays Global Fund Advisors
  • PTE 2007-20;  BlackRock Incand Merrill Lynch and Co.
  • PTE 2007-14;  Wells Fargo and Co.
  • PTE 2007-03;  Bear Stearns Companies Inc. Bear Stearns Asset Management Inc. and Bear Stearns and Co. Inc.
  • PTE 2003-24;  Deutsche Bank AG JPMorgan Chase Bank and their affiliates
  • PTE 2003-22;  Lehman Brothers Holding Inc. and Lehman Brothers Inc. et al
  • PTE 2000-25;  Morgan Guaranty Trust Co. of New York et al
  • PTE 2000-12;  First American Capital Management Inc.
  • PTE 1997-59;  AEW Capital Management LP
  • PTE 1996-39;  Timberland Investment Group Inc. and Wachovia Bank of Georgia NA

Pooled Funds - Mutual Funds


Portfolio Liquidations/Restructuring

  • PTE 2003-23;  Goldman Sachs and Co. and its affiliates
  • PTE 2003-20;  Deutsche Bank Securities Inc. and its affiliates

Provision of Services by Plans

  • PTE 2011-12;  International Union of Painters and Allied Trades Finishing Trades Institute
  • PTE 2007-12;  American Maritime Officers Safety and Education Plan et al
  • PTE 2007-02;  American Maritime Officers Safety and Education Plan et al

Provision of Services to Plans

See also Asset Allocation Advice | Performance Compensation/Incentive Fees | Receipt of Fees or Benefits by Parties in Interest

  • PTE 2013-05;  EquiLend Holdings LLC
  • PTE 2012-11;  Delaware Charter Guarantee & Trust Co., d\b\a Principal Trust Co.
  • PTE 2012-04;  Aztec Well Servicing Company & Related Companies Medical Plan Trust
  • PTE 2010-19;  The PNC Financial Services Group Inc. and its affiliates
  • PTE 2009-22;  PNC Financial Services Group Inc.
  • PTE 2009-12;  Grant of Individual Exemption to replace PTE 2000-45 involving Citigroup Global Markets Inc. formerly Salomon Smith Barney Inc.
  • PTE 2008-14;  Fidelity Brokerage Services LLC and its affiliates
  • PTE 2008-02;  Citigroup Inc.
  • PTE 2008-01;  Barclays Global Investors NA et al
  • PTE 2007-01;  Plumbers and Pipe Fitters National Pension Fund
  • PTE 2006-15;  Amendment to PTE 1995-31 involving the Financial Institutions Retirement Fund and the Financial Institutions Thrift Plan
  • PTE 2006-01;  Edward D Jones and Co. LP
  • PTE 2004-20;  Comerica Bank
  • PTE 2003-30;  Fifth Third Bank
  • PTE 2002-28;  Massachusetts Mutual Insurance Co.
  • PTE 2002-21;  Pacific Investment Management Co. LLC
  • PTE 2001-39;  Independent Fiduciary Services Inc.
  • PTE 2001-16;  New York Life Insurance Co.
  • PTE 2001-15;  Ibbotson Associates Inc.
  • PTE 2001-14;  Keystone Brokerage Inc.
  • PTE 2000-46;  Bank of Oklahoma
  • PTE 2000-45;  Grant of Individual Exemption to amend and replace PTE 1999-15 involving Salomon Smith Barney Inc.
  • PTE 2000-39;  Standard and Poors and Standard and Poors Investment Advisory Services LLC
  • PTE 1999-15;  Grant of Individual Exemption to amend PTE 1994-50 involving Salomon Smith Barney Inc.
  • PTE 1998-52;  RREEF America LLC
  • PTE 1998-35;  Amalgamated Bank of New York
  • PTE 1997-35;  ILGWU National Retirement Fund et al
  • PTE 1997-12;  Wells Fargo Bank NA
  • PTE 1996-59;  PaineWebber Inc.

Purchases by Plans of Employer Securities

  • PTE 2014-06;  AT&T Inc. (together with AT&T Inc.’s Affiliates, AT&T)
  • PTE 2002-23;  Cargill Inc. and Associated Companies Salaried Employees Pension Plan et al
  • PTE 2002-06;  Brookshire Brothers Ltd.
  • PTE 2001-10;  Cranston Print Works Co. General Employees Retirement Plan
  • PTE 2000-42;  Pension Plan for Employees of Southco Inc. and Southco Inc. Employee Stock Ownership Plan

Purchases by Plans of Other Assets

  • PTE 2010-13;  Putnam Fiduciary Trust Co. (mutual fund shares)
  • PTE 2007-07;  OPET Health Car and Life Insurance Plans RM3A and RM5A and OPET Prescription Drug Plan RRx (prescription drugs)
  • PTE 2006-12;  Retail Clerks Welfare Trust Health and Welfare Plan (prescription drugs)
  • PTE 2003-05;  John Hancock Life Insurance Co. (timber assets)
  • PTE 2002-50;  Child Health Corp. of America (insurance)
  • PTE 2002-17;  State Farm Mutual Automobile Insurance Co. and State Farm VP Management Corp. (mutual fund shares)
  • PTE 2002-05;  Alaska UFCW Health and Security Trust Fund (prescription drugs)
  • PTE 2001-16;  New York Life Insurance Co. (insurance/annuity contracts and a stable value fund product)
  • PTE 2001-14;  Keystone Brokerage Inc. (mutual fund shares)
  • PTE 2000-60;  John L Rust Co. Profit Sharing Plan (equipment leases)
  • PTE 2000-44;  UFCW Union Local 789 and St Paul Food Employers Health Care Plan (prescription drugs)
  • PTE 2000-13;  Deutsche Bank AG et al (stable value fund product)
  • PTE 2000-05;  Business Mens Assurance Co. of America (stable value fund products)
  • PTE 1999-49;  Massachusetts Mutual Life Insurance Co. (separate account units)
  • PTE 1999-42;  Pacific Coast Roofers Pension Plan (CDs)
  • PTE 1999-36;  Aetna Inc. (insurance contracts)
  • PTE 1998-61;  John Hancock Mutual Life Insurance Co. (timber assets)
  • PTE 1998-53;  Pacific Income Advisers Inc. (trust units)
  • PTE 1998-35;  Amalgamated Bank of New York (CDs)
  • PTE 1998-27;  James E Jordan Sr IRA (note)
  • PTE 1998-17;  Metropolitan Life Insurance Co. (stable value fund interests)
  • PTE 1997-35;  ILGWU National Retirement Fund et al (CDs)
  • PTE 1997-20;  Real Estate Equity Trust No. 1 (trust units)
  • PTE 1997-14;  Givens 401(k) Savings and Retirement Plan (GAC)
  • PTE 1996-80;  Lehman Brothers Inc. (collateralized GICs)
  • PTE 1996-76;  Teachers Insurance and Annuity Association of America (real estate separate account units)
  • PTE 1996-75;  Pacific Mutual Life Insurance Co. (stable value fund interests)
  • PTE 1996-69;  Westinghouse Savannah River Co. et al (life insurance interest)

Purchases by Plans of Other Assets and Leaseback

  • PTE 1997-46;  John Hancock Mutual Life Insurance Co.

Purchases by Plans of Other Securities

  • PTE 2006-09;  The Southwest Gas Corp. (stock)
  • PTE 2004-09;  Landerholm Memovich Lansverk and Whitesides PS 401(k) Profit Sharing Plan (real estate mortgages)
  • PTE 2003-23;  Goldman Sachs and Co. and its affiliates (equities debt securities etc)
  • PTE 2003-22;  Lehman Brothers Holding Inc. and Lehman Brothers Inc. et al (equities debt securities etc)
  • PTE 2003-21;  Arizona Machinery Group Inc. (customer notes)
  • PTE 2003-20;  Deutsche Bank Securities Inc. and its affiliates (equities debt securities etc)
  • PTE 2002-22;  Connecticut Plumbers and Pipe Fitters Pension Fund Connecticut Pipe Trades Local No. 777 Annuity Fund and Connecticut Pipe Trades Health Fund (stock)
  • PTE 2002-16;  Morgan Stanley and Co. Inc. (bonds)
  • PTE 2001-30;  JPMorgan Chase and Co. and its affiliates (index linked securities)
  • PTE 2001-13;  The Amalgamated Cotton Garment and Allied Industries Fund Retirement Fund (stock)
  • PTE 2001-11;  Salomon Smith Barney Inc. et al (debt securities)
  • PTE 2000-63;  Merrill Lynch and Co. Inc. (index linked securities)
  • PTE 2000-29;  Morgan Stanley Dean Witter (ICA defined securities)
  • PTE 2000-28;  Citigroup Inc. (ICA defined securities)
  • PTE 2000-27;  The Chase Manhattan Bank (ICA defined securities)
  • PTE 2000-26;  Goldman Sachs and Co. (ICA defined securities)
  • PTE 2000-25;  Morgan Guaranty Trust Co. of New York and JPMorgan (ICA defined securities)
  • PTE 1999-36;  Aetna Inc. (insurance contract)
  • PTE 1999-25;  Daniel N Cunningham IRA and the Sidney B Cox IRA (stock)
  • PTE 1999-16;  Standard Bank Employees Profit Sharing Plan (residential mortgage notes)
  • PTE 1999-10;  Genito Urinary Surgeons Inc. Profit Sharing Plan (stock)
  • PTE 1997-15;  The Chicago Corp. (bank equities debt instruments etc)
  • PTE 1996-85;  The Chase Manhattan Bank (emerging market securities)

Purchases (or Acquisitions) by Plans of Employer Securities (Entitlements, Stock Rights, Warrants) (non-QES)

  • PTE 2013-02;  Atlas Energy, Inc. Employee Stock Ownership Plan
  • PTE 2013-03;  Central Pacific Bank 401(k) Retirement and Savings Plan

Purchases (or Acquisitions) by Plans of Partnership or LLC Interests

  • PTE 2012-15;  South Plains Financial, Inc. Employee Stock Ownership Plan
  • PTE 2009-19;  MarkWest Energy Partners LP
  • PTE 2007-10;  Paul Niednagel IRAs and Lynne Niednagel IRAs
  • PTE 2002-36;  The Banc Funds Co. LLC
  • PTE 2001-34;  Deferred Profit Sharing Plan of the Penske Corp.
  • PTE 2000-37;  The Banc Funds Co. LLC
  • PTE 1999-46;  Plumbers and Pipe Fitters National Pension Fund
  • PTE 1998-10;  MS Commodity Investments Portfolio II LP and Morgan Stanley

Purchases by Plans of Real Property

  • PTE 2013-07;  Mo-Kan Teamsters Apprenticeship and Training Fund
  • PTE 2010-18;  Boston Carpenters Apprenticeship and Training Fund
  • PTE 2009-32;  Alaska Laborers Construction Industry Apprenticeship Training Trust
  • PTE 2007-13;  Sheet Metal Workers Local Union 17 Insurance Fund
  • PTE 2007-06;  Kern County Electrical Pension Trust et al
  • PTE 2005-07;  PAMCAH UA Local 675 Pension Plan and the PAMCAH UA Local 675 Training Plan
  • PTE 2004-18;  Carpenters Joint Training Fund of St Louis
  • PTE 2003-27;  Local 705 International Brotherhood of Teamsters Pension Plan
  • PTE 2002-49;  Twin City Iron Workers Apprenticeship and Training Fund
  • PTE 2001-23;  Retirement Plan of Plumbers and Steamfitters Local 489
  • PTE 2000-21;  Texas Iron Workers and Employers Apprenticeship Training and Journeyman Pension Fund
  • PTE 1999-46;  Plumbers and Pipe Fitters National Pension Fund
  • PTE 1998-31;  Pipe Fitters Local Union No. 537 Pension Fund
  • PTE 1998-12;  Hawaii Laborers Apprenticeship and Training Trust Fund

Purchases by Plans of Real Property and Leaseback

See also Sales by Plans of Real Property and Leasebacks

  • PTE 2012-16;  Meridian Medical Associates, S.C. Employees' Retirement Plan and Trust
  • PTE 1996-26;  Jack Lyon and Jones PA Profit Sharing Plan

Purchases by Plans of Real Property Interests

  • PTE 2002-34;  Louisville Electrical Joint Apprentice and Training Committee Trust Fund
  • PTE 2003-05;  John Hancock Life Insurance Co.
  • PTE 1999-24;  San Diego Electrical Pension Trust and San Diego Joint Apprenticeship and Training Trust
  • PTE 1998-61;  John Hancock Mutual Life Insurance Co.

Purchase Options/Agreements

  • PTE 2012-07;  Genzyme Corporation 401(k) Plan
  • PTE 2004-19;  ARINC Inc. Retirement Income Plan
  • PTE 2003-38;  Aetna Life Insurance Co. and UBS Realty Investors LLC
  • PTE 2003-26;  Northwest Airlines Pension Plan for Salaried Employees et al
  • PTE 2002-39;  Grant of Individual Exemption to amend and replace PTE 1985-131 involving the Watkins Master Trust
  • PTE 2002-23;  Cargill Inc. and Associated Companies Salaried Employees Pension Plan et al
  • PTE 2001-10;  Cranston Print Works Co. General Employees Retirement Plan
  • PTE 2000-42;  Pension Plan for Employees of Southco Inc. and Southco Inc. Employee Stock Ownership Plan
  • PTE 1998-36;  Collection Bureau Services Profit Sharing Plan and Trust
  • PTE 1998-18;  Consolidated Association of Railroad Employees Health Care Plan
  • PTE 1998-02;  First Bank System Personal Retirement Account
  • PTE 1997-24;  The Retirement Plan for Salaried and certain Hourly Employees of Keebler Co.
  • PTE 1996-85;  The Chase Manhattan Bank
  • PTE 1996-60;  Everett Clinic Profit Sharing Plan and 401(k) Employee Savings Plan
  • PTE 1996-58;  Fieldcrest Cannon Inc. Retirement Savings Plan for Salaried Employees et al
  • PTE 1996-26;  Jack Lyon and Jones PA Profit Sharing Plan

QPAM Type Transactions


Real Estate Operating Companies


Recapture Payments

  • PTE 2000-35;  Fortis Inc. Employees Uniform Profit Sharing Plan
  • PTE 1998-42;  Van Ness Plastic Molding Co. Inc. Employees Money Purchase Pension Plan
  • PTE 1997-32;  The Kenzer Corp. Thrift Savings Plan and Trust

Receipt of Consideration by Plan


Receipt of Fees or Benefits by Parties in Interest

See also Asset Allocation Advice | Performance Compensation/Incentive Fees | Provision of Services


Repayments by Plans

  • PTE 2004-15;  Employees Retirement Plan of Storytown USA Inc. and Participating affiliated Companies
  • PTE 2003-37;  National Electrical Benefit Fund
  • PTE 2002-55;  Fidelity Management Trust Co. and its affiliates
  • PTE 2002-37;  Adams Wood Products Inc. Profit Sharing Plan
  • PTE 2002-01;  Key Trust Co. of Ohio
  • PTE 1996-58;  Fieldcrest Cannon Inc. Retirement Savings Plan for Salaried Employees et al
  • PTE 1996-30;  Aultman Retirement Savings Plan
  • PTE 1996-04;  Larson Distributing Co. Profit Sharing Plan

Restorative (or Restoration) Payments

  • PTE 2000-67;  Butler Johnson Corp. Profit Sharing Plan
  • PTE 2000-56;  Journal Co. Inc. 401(k) Savings Plan
  • PTE 2000-35;  Fortis Inc. Employees Uniform Profit Sharing Plan
  • PTE 1998-48;  ACRA Local 725 Health and Welfare Plan Fund and ACRA Local 725 Pension Fund
  • PTE 1998-42;  Van Ness Molding Co. Inc. Employees Money Purchase Pension Plan
  • PTE 1997-37;  The Roquette America Inc. Pension Plan for Salaried Employees
  • PTE 1997-32;  The Kenzer Corp. Thrift Savings Plan and Trust
  • PTE 1997-07;  Pikeville National Bank and Trust Co. et al

Corrections


Rights Offerings

  • PTE 2014-05;  Liberty Media 401(k) Savings Plan
  • PTE 2014-07;  Delaware County Bank and Trust Company Employee 401(k) Retirement Plan
  • PTE 2014-08;  Home Savings and Loan Company 401(k) Savings Plan (the Plan, United Community Financial Corporation (UCFC), and the Home Savings and Loan Company
  • PTE 2013-12;  Sears Holdings Savings Plan, Sears Holdings Puerto Rico Savings Plan, and The Lands’ End, Inc. Retirement Plan
  • PTE 2013-13;  AIG, Inc. Incentive Savings Plan, American General Agents’ & Managers’ Thrift Plan, and Chartis Insurance Company – Puerto Rico Capital Growth Plan
  • PTE 2013-02;  Atlas Energy, Inc. Employee Stock Ownership Plan
  • PTE 2013-03;  Central Pacific Bank 401(k) Retirement and Savings Plan
  • PTE 2012-17;  TIB Financial Corp. Employee Stock Ownership Plan (stock rights)
  • PTE 2012-07;  Genzyme Corporation 401(k) Plan
  • PTE 2012-05;  HSBC North America (U.S.) Tax Reduction Investment Plan
  • PTE 2012-02;  First Federal Bancshares of Arkansas, Inc.
  • PTE 2011-20;  Pacific Capital Bancorp Amended and Restated Incentive and Investment Salary Savings Plan
  • PTE 2011-04;  Citigroup, Inc. et al
  • PTE 2011-03;  The West Coast Bancorp 401(k) Plan
  • PTE 2009-14;  UBS AG (UBS) and its affiliates et al
  • PTE 2009-01;  Calpine Corp.
  • PTE 2008-15;  Popular Inc.
  • PTE 2007-18;  Owens Corning Savings Plan and Owens Corning Savings and Security Plan
  • PTE 2007-17;  BSC Services Corp. 401(k) Profit Sharing Plan
  • PTE 2007-11;  The Revlon Employees Savings Investment and Profit Sharing Plan
  • PTE 2006-11;  The Revlon Employees Savings Investment and Profit Sharing Plan
  • PTE 2005-09;  Liberty Media International Inc.
  • PTE 2004-03;  Lodgian Inc. 401(k) Plan and Trust Agreement
  • PTE 2003-33;  Liberty Media 401(k) Savings Plan
  • PTE 2002-43;  Chiquita Processed Foods 401(k) Retirement Savings Plan and the Chiquita Savings and Investment Plan
  • PTE 2002-35;  Metropolitan Life Insurance Co.
  • PTE 2002-29;  Wyndham International Inc. Employee Savings and Retirement Plan
  • PTE 2002-02;  The Golden Retirement Savings Program and the Golden Retirement Security Program
  • PTE 2001-43;  The FHP International Corp. 401(k) Plan and the FHP International Corp. PAYSOP
  • PTE 2001-42;  Columbia Savings Plan
  • PTE 2001-38;  The Savings Plan for Employees of Florida Progress Corp.
  • PTE 2001-28;  Retirement Plan of Dime Bancorp Inc. et al
  • PTE 2001-24;  ATGI 401(k) Plan
  • PTE 2000-09;  the FINA Inc. Capital Accumulation Fund
  • PTE 1998-47;  Bernard Chaus Inc. Employee Savings Plan
  • PTE 1997-43;  First Savings Bank FSB Profit Sharing and Employee Stock Ownership Plan
  • PTE 1997-23;  Hawaiian Airlines Inc. Pilots 401(k) Plan et al
  • PTE 1996-90;  The Smith Barney Shearson Prototype Defined Contribution Plan
  • PTE 1996-50;  San Diego National Bank Deferred Savings Plan
  • PTE 1996-46;  Jacor Communications Inc. Retirement Plan
  • PTE 1996-36;  Spreckles Industries Inc. Employee Stock Ownership Plan et al
  • PTE 1996-19;  Roses Stores Inc. Retirement Savings 401(k) Plan
  • PTE 1996-07;  Ventura County National Bancorp 401(k) and Employee Stock Ownership Plan

Rights of First Refusal

  • PTE 2003-38;  Aetna Life Insurance Co. and UBS Realty Investors LLC
  • PTE 2003-26;  Northwest Airlines Pension Plan for Salaried Employees et al
  • PTE 2003-10;  The JPMorgan Chase Bank
  • PTE 2001-10;  Cranston Print Works Co. General Employees Retirement Plan
  • PTE 1998-28;  Massachusetts Mutual Life Insurance Co.
  • PTE 1998-18;  Consolidated Associations of Railroad Employees Health Care Plan
  • PTE 1997-56;  UNUM Life Insurance Co. of America
  • PTE 1997-24;  The Retirement Plan for Salaried and certain Hourly Employees of Keebler Co.

Sales by Plans of Employer Securities

  • PTE 2012-18;  Ed Laur Defined Benefit Plan (stock)
  • PTE 2010-32;  Sherburne Tele Systems, Inc. 2008 amended and restated Employee Stock Ownership Plan and Trust
  • PTE 2005-13;  Best Business Products Inc. Employee Stock Ownership Plan
  • PTE 2003-32;  Sorenson Broadcasting Employee Stock Ownership Plan and Trust
  • PTE 2003-26;  Northwest Airlines Pension Plan for Salaried Employees et al
  • PTE 2003-14;  ACR Homes Inc. Employee Stock Ownership Plan
  • PTE 2002-32;  Northwoods Bank of Minnesota Employee Stock Ownership Plan
  • PTE 2001-10;  Cranston Retirement Plan
  • PTE 2000-68;  The Masters Mates and Pilots Pension Plan and Individual Retirement Plan
  • PTE 2000-17;  Earl R Waddell and Sons Profit Sharing Plan and Trust
  • PTE 1996-29;  Floral Glass and Mirror Inc. Profit Sharing Plan and Trust

Sales by Plans of Other Assets

  • PTE 2011-22;  Russell Trust Company (notes)
  • PTE 2010-22;  CUNA Mutual Pension Plan for Represented Employees et al (private equity fund interests)
  • PTE 2010-13;  Putnam Fiduciary Trust Co. (mutual fund shares)
  • PTE 2010-06;  Louis Chaykin MD PA Cross Tested Profit Sharing Plan (coins)
  • PTE 2004-11;  Pan American Life Insurance Corp. (stable value fund units)
  • PTE 2003-05;  John Hancock Life Insurance Co. (timber assets/products)
  • PTE 2002-17;  State Farm Mutual Automobile Insurance Co. and State Farm VP Management Corp. (mutual fund shares)
  • PTE 2001-20;  THS Profit Sharing Plan (life insurance policies)
  • PTE 2000-52;  Kwik Kopy Corp. Employees Welfare Plan (recreational facilities)
  • PTE 1998-58;  Mohammad J Iqbal Employee Profit Sharing Plan and Trust (coins)
  • PTE 1998-53;  Pacific Income Advisers Inc. (trust units)
  • PTE 1998-21;  Tyson Foods Inc. Employee Profit Sharing Plan and Trust (hatcheries and freezer)
  • PTE 1998-17;  Metropolitan Life Insurance Co. (stable value fund units)
  • PTE 1998-06;  CoreStates GIC and BIC Fund (GICs)
  • PTE 1998-04;  Pentair Retirement Savings and Stock Incentive Plan (GICs)
  • PTE 1997-31;  Howes Leather Co. Inc. Employee Stock Ownership Plan (life insurance policy)
  • PTE 1997-17;  Consolidated Lumber Corp. Pension Plan (whole life insurance policies)
  • PTE 1996-86;  Acme 401(k) Retirement Savings Plan (interest in real estate fund)
  • PTE 1996-76;  Teachers Insurance and Annuity Association of America (units in real estate separate account)
  • PTE 1996-75;  Pacific Mutual Life Insurance Co. (stable value fund products)
  • PTE 1996-72;  Mei Technology Corp. 401(k) Plan (GAC)
  • PTE 1996-67;  Cablevision Industries Corp. Profit Sharing Plan (GIC interest)
  • PTE 1996-66;  Hach Co. 401(k) Profit Sharing Plan (GAC)
  • PTE 1996-58;  Fieldcrest Cannon Inc. Retirement Savings Plan for Salaried Employees et al (GICs)
  • PTE 1996-57;  VVP America Inc. Incentive Savings Plan (life insurance policies)
  • PTE 1996-55;  Aircon Energy Inc. 401(k) Profit Sharing Plan (work stations)
  • PTE 1996-53;  AmSouth Bancorporation Thrift Plan (GIC)
  • PTE 1996-52;  First Virginia Banks Inc. (CDs)
  • PTE 1996-48;  Pension Plan of Roper Hospital Inc. (GAC)
  • PTE 1996-44;  Sprague Electric Co. Retirement and Savings Plan (GAC interest)
  • PTE 1996-28;  Associated Claims Management 401(k) Plan (GAC)

Sales by Plans of Other Securities

  • PTE 2014-10;  Family Dynamics, Inc., Pension Plan
  • PTE 2012-18;  Ed Laur Defined Benefit Plan (stock)
  • PTE 2011-21;  BB&T Asset Management, Inc. (stock)
  • PTE 2010-25;  State Street Bank and Trust Co. et al (fixed income securities)
  • PTE 2010-21;  Barclays California Corp. (short term debt instruments)
  • PTE 2010-17;  The Bank of New York Mellon (Victoria Financial stock)
  • PTE 2010-03;  The Bank of New York Mellon (Lehman floating rate stock)
  • PTE 2010-02;  State Street Bank and Trust Co. (mortgage/asset backed securities)
  • PTE 2009-34;  Unaka Co. Inc. Employees Profit Sharing Plan (notes)
  • PTE 2009-33;  Cotter Merchandise Storage Co. Defined Benefit Pension Plan (notes)
  • PTE 2009-27;  The Bank of New York Mellon Corp. (Lehman floating rate stock)
  • PTE 2009-17;  IRA for Ralph Hartwell et al (stock)
  • PTE 2009-02;  Starrett Corp. Pension Plan (note)
  • PTE 2008-12;  Mellon Bank NA (notes)
  • PTE 2008-09;  Wholesale Electronic Supply Employees Profit Sharing Plan and Trust (notes)
  • PTE 2007-21;  Gastroenterology and Oncology Associates PA Profit Sharing Plan and Trust (stock)
  • PTE 2007-19;  Middleburg Trust Co. (bonds)
  • PTE 2007-09;  The DeRose Dental Offices Inc. SC Profit Sharing Plan (stock)
  • PTE 2006-17;  Frank D May DMD PA 401(k) Profit Sharing Plan and Trust (stock)
  • PTE 2005-11;  The UNITE National Retirement Fund (stock)
  • PTE 2004-09;  Landerholm Memovich Lansverk and Whitesides PS 401(k) Profit Sharing Plan (mortgages)
  • PTE 2003-23;  Goldman Sachs and Co. and its affiliates (equities fixed income securities etc)
  • PTE 2003-20;  Deutsche Bank Securities Inc. and its affiliates (equities fixed income securities etc)
  • PTE 2003-21;  Arizona Machinery Group Inc. (customer notes)
  • PTE 2003-09;  Metropolitan Life Insurance Co. (notes)
  • PTE 2002-47;  Investor Savings Bank Pension Plan (stock)
  • PTE 2002-36;  The Banc Funds Co. LLC (bank equities debt instruments etc)
  • PTE 2002-10;  Rollover IRA for Brenda A Moran (stock)
  • PTE 2002-04;  Kimball International Inc. Retirement Plan (stock)
  • PTE 2001-42;  Columbia Savings Plan (stock appreciation income linked securities)
  • PTE 2001-38;  The Savings Plan for Employees of Florida Progress Corp. (contingent value obligations)
  • PTE 2001-30;  JPMorgan Chase and Co. and its affiliates (index linked securities)
  • PTE 2001-11;  Salomon Smith Barney Inc. et al (debt securities)
  • PTE 2001-02;  Care Services Employees 401(k) Profit Sharing Plan and Trust (bonds and common stock)
  • PTE 2000-67;  Butler Johnson Corp. Profit Sharing Plan (residential mortgage notes)
  • PTE 2000-63;  Merrill Lynch and Co. Inc. (index linked securities)
  • PTE 2000-50;  IRA FBO Floyd A Ross (stock)
  • PTE 2000-37;  The Banc Funds Co. LLC (bank equities debt instruments etc)
  • PTE 1999-37;  Modern Woodmen of America Employees Savings Plan (commercial mortgages)
  • PTE 1999-28;  Gaetano Lombardo IRA (stock)
  • PTE 1999-27;  Western Petroleum Co. Profit Sharing Plan (stock)
  • PTE 1999-26;  Hanson Operating Co. Inc. Defined Benefit Pension Plan (stock)
  • PTE 1999-12;  State Street Bank and Trust Co. (fractional amounts of fixed income instruments)
  • PTE 1999-10;  Genito Urinary Surgeons Inc. Profit Sharing Plan (stock)
  • PTE 1999-09;  Bankers Trust Co. (fractional amounts of fixed income instruments)
  • PTE 1999-06;  Hummel Gibson et al IRAs (stock)
  • PTE 1999-05;  Brune Glowacki et al IRAs (stock)
  • PTE 1999-02;  Toledo Clinic Inc. Employees 401(k) and Profit Sharing Plan (stock)
  • PTE 1998-59;  IRAs for William N Albright Victor Hamre and Richard Pearson (stock)
  • PTE 1998-50;  John B Vick DDS PA Pension Plan (notes)
  • PTE 1998-39;  William M Hitchcock SERP (DB) (stock)
  • PTE 1998-38;  IRAs for Roark Young Russell Rice et al (stock)
  • PTE 1997-65;  Valley Forge Consulting Corp. Profit Sharing Trust (mortgage note)
  • PTE 1997-58;  Carl Callaway IRA (stock)
  • PTE 1997-55;  Bloom Consulting Corp. Profit Sharing Plan (stock)
  • PTE 1997-48;  Martin D Ross IRA (debentures)
  • PTE 1997-45;  Ronald L Chez IRA and Lawrence G Kuntz IRA (stock)
  • PTE 1997-22;  General Electric Pension Trust (stock)
  • PTE 1997-15;  The Chicago Corp. (bank equities debt instruments etc)
  • PTE 1997-09;  Cassemco Inc. Retirement Plan and Trust Agreement (common stock and warrants)
  • PTE 1997-07;  Pikeville National Bank and Trust Co. Trust Co. of Kentucky and First American Bank (collateralized mortgage obligations and other mortgage backed securities)
  • PTE 1997-03;  National Baptist Publishing Board Pension Plan (stock)
  • PTE 1996-88;  First National Bank of Anchorage Common Trust Fund (defaulted real estate mortgages)
  • PTE 1996-85;  The Chase Manhattan Bank (emerging market securities)
  • PTE 1996-32;  Coin Acceptors Inc. Savings and Protection Plan (stock)
  • PTE 1996-27;  IRA Rollover FBO John W Meisenbach (stock)
  • PTE 1996-20;  Associated Hospital Service of Maine (dba BCBSME) and Blue Alliance Mutual Insurance Co. (US Treasury and agency securities)
  • PTE 1996-15;  Life Insurance Corp. Retirement Savings Plan (residential mortgage loans)
  • PTE 1996-09;  Fidelitone Inc. Employees Profit Sharing and Savings Plan and Trust (securities)
  • PTE 1996-02;  The Chase Manhattan Bank Pooled Investment Trust for Employee Benefit Plans (notes)

Sales (or Redemptions) by Plans of Partnership or LLC Interests

  • PTE 2012-15;  South Plains Financial, Inc. Employee Stock Ownership Plan
  • PTE 2010-23;  Carle Foundation Hospital and Affiliates Pension Plan
  • PTE 2009-30;  Urology Clinics of North Texas PA 401(k) Profit Sharing Plan and Trust
  • PTE 2009-05;  Brewster Dairy Inc. 401(k) Profit Sharing Plan
  • PTE 2009-04;  Heico Holding Inc. Pension Plan
  • PTE 2002-36;  The Banc Funds Co. LLC
  • PTE 2001-40;  Sierra Health Services Inc.
  • PTE 2001-34;  Deferred Profit Sharing Plan of the Penske Corp.
  • PTE 2001-09;  Trenam Kemker Scharf Barkin Frye O’Neill and Mullis PA Section 401(k) Profit Sharing Plan
  • PTE 2001-02;  Care Services Employees 401(k) Profit Sharing Plan and Trust
  • PTE 2000-37;  The Banc Funds Co. LLC
  • PTE 2000-04;  TMI Systems Design Corp. Profit Sharing Plan
  • PTE 1999-48;  Information Systems Development Inc. Employees Profit Sharing Plan
  • PTE 1999-18;  State Bankshares 401(k) Profit Sharing Plan
  • PTE 1998-43;  IRAs for Marcia A Hendrichsen Larry L Hendrichsen et al
  • PTE 1998-26;  Beer Nuts Inc. Profit Sharing Plan
  • PTE 1998-10;  MS Commodity Investments Portfolio II LP and Morgan Stanley
  • PTE 1997-54;  Alloy Die Casting Co. Employees Profit Sharing Plan
  • PTE 1997-39;  Gart Brothers Sporting Goods Co. 401(k) Plan
  • PTE 1997-29;  Washington National Retirement Plan
  • PTE 1997-26;  ADP Fluor Daniel Inc. Retirement Savings Plan
  • PTE 1997-21;  Orders Distributing Co. Inc. Profit Sharing Plan and 401(k) Retirement Savings Plan
  • PTE 1996-79;  Huggler and Silverang Profit Sharing Plan
  • PTE 1996-31;  CCL Label Inc. 401(k) Profit Sharing Plan
  • PTE 1996-25;  Zausner Foods Corp. Savings Plus Plan
  • PTE 1996-16;  LEGENT Retirement Security Plan
  • PTE 1996-10;  Intrenet Employee Retirement Savings Plan
  • PTE 1996-06;  WLI Industries Inc. Employees Stock Ownership Plan et al
  • PTE 1996-05;  Retirement and Savings Plan and Trust for Employees of the JH Heafner Co. Inc.

Sales by Plans of Real Property

  • PTE 2013-11;  Wells Fargo Bank, N.A.
  • PTE 2011-24;  Oregon-Washington Carpenters Employers Apprenticeship and Training Trust Fund
  • PTE 2011-15;  United Brotherhood of Carpenters Pension Fund
  • PTE 2011-11;  H-E-B Brand Savings and Retirement Plan et al
  • PTE 2011-09;  The Parvin Nahvi, MD, Inc. 401(k) Profit Sharing Plan and Trust
  • PTE 2009-15;  Schloer Enterprises Inc. 401(k) Profit Sharing Plan
  • PTE 2008-11;  Pileco Inc. Employees Profit Sharing Plan
  • PTE 2008-05;  Toeruna Widge IRA
  • PTE 2007-16;  Victor P Olson Profit Sharing Plan
  • PTE 2007-15;  Hawaii Emergency Physicians Associated Inc. Profit Sharing Plan
  • PTE 2007-06;  Kern County Electrical Pension Trust et al
  • PTE 2006-04;  The Donlar Corp. Profit Sharing Plan
  • PTE 2006-03;  The Zieger Health Care Corp. Retirement Fund
  • PTE 2006-02;  Pennsylvania Institute of Neurological Disorders Inc. Profit Sharing Plan
  • PTE 2005-10;  The North Texas Electrical Joint Apprenticeship and Training Trust Fund
  • PTE 2003-34;  Hayden O Grona IRA
  • PTE 2003-13;  Law Offices of Richard D Gorman Pension and Profit Sharing Plan
  • PTE 2003-08;  GD Castillo MD Ltd. Profit Sharing Plan
  • PTE 2003-04;  Michigan Conference of Teamsters Welfare Fund
  • PTE 2002-56;  The Profit Sharing Trust of Dr Ferdinand G Mainolfi
  • PTE 2002-38;  Unifi Inc. Retirement Savings Plan
  • PTE 2002-26;  Holt Fleck and Free PA Profit Sharing Plan
  • PTE 2001-37;  Miller International Inc. Profit Sharing Plan
  • PTE 2001-31;  Wagner Doxey and Co. Money Purchase Plan
  • PTE 2001-29;  Gooch Enterprises Inc. Money Purchase Pension Plan
  • PTE 2001-27;  The Watson and High PA Profit Sharing Plan
  • PTE 2001-19;  Texas Instruments Employees Pension Plan
  • PTE 2001-12;  Reagent Chemical and Research Inc. Employees Profit Sharing Plan and Trust
  • PTE 2001-03;  IRAs for Eldon Nysether and Mark Nysether
  • PTE 2000-69;  Gillespie Real Estate Professional Corp. Defined Benefit Plan
  • PTE 2000-62;  Pembroke Construction Co. Inc. Employees 401(k) Profit Sharing Plan
  • PTE 2000-54;  Richard E Lobenherz Profit Sharing Plan
  • PTE 2000-51;  Platt Orthopedics Retirement Plan
  • PTE 2000-43;  Robert P Yoo MD PC Profit Sharing Plan
  • PTE 2000-31;  H Ray McPhail and H Ray McPhail Profit Sharing Plan
  • PTE 2000-24;  Foodcraft Inc. Defined Benefit Pension Plan
  • PTE 2000-23;  Bay Internists Inc. Profit Sharing Plan
  • PTE 2000-20;  Taylor M Cole IRA Rollover
  • PTE 2000-18;  Rhode Island Carpenters Local No. 94 Pension Fund the Rhode Island Carpenters Local No. 94 Apprenticeship Fund and the Rhode Island Carpenters Local No. 94 Union
  • PTE 2000-16;  Cullen Inc. Profit Sharing Plan and Trust and Employees Defined Contribution Plan and Trust
  • PTE 2000-08;  Anvil Construction Co. Inc. Employees Money Purchase Pension Plan and Employee Profit Sharing Plan et al
  • PTE 2000-07;  Cassanos Inc. 401(k) Plan and Trust
  • PTE 2000-01;  South Central New York District Council of Carpenters Pension Fund
  • PTE 1999-43;  Jonas Builders Inc. Restated Profit Sharing Plan
  • PTE 1999-38;  MICO Inc.
  • PTE 1999-35;  HH Borland Inc. Profit Sharing Plan
  • PTE 1999-20;  VECO Corp.
  • PTE 1999-17;  Plumbers and Pipe Fitters National Pension Fund et al
  • PTE 1999-01;  Moody Day Inc. Profit Sharing Plan
  • PTE 1998-57;  Service Employees International Union Local 252 Welfare Fund
  • PTE 1998-45;  Kilpatrick Investment Co. Employees Pension Plan
  • PTE 1998-37;  McClains RV Inc. 401(k) Profit Sharing Plan
  • PTE 1998-30;  Jack Mayesh Wholesale Florist Inc. Profit Sharing Plan
  • PTE 1998-29;  Knoxville Surgical Group Qualified Retirement Plan
  • PTE 1998-21;  Tyson Foods Inc. Employee Profit Sharing Plan and Trust
  • PTE 1998-19;  Thornton Hegg Reif Johnston and Dolan Profit Sharing Plan and Trust
  • PTE 1998-16;  Overland Ordal Thorson and Fennell Pulmonary Consultants PC Profit Sharing Plan and Trust
  • PTE 1998-09;  Jeffrey R Light MD Inc. Profit Sharing Plan
  • PTE 1998-05;  Robert H Herzog Profit Sharing Plan
  • PTE 1998-03;  Robert A Doneff Custodial IRA
  • PTE 1997-53;  McCrosky Feldman Cochrane and Brock PC
  • PTE 1997-51;  H Weiss and Co. Inc. Defined Benefit Pension Plan
  • PTE 1997-50;  McLane Co. Inc. Profit Sharing Plan and Trust
  • PTE 1997-49;  Pension Fund of the Bricklayers and Allied Crafts Local No. 74 of DuPage County et al
  • PTE 1997-36;  Operating Engineers Local 150 Apprenticeship Fund (the Plan)
  • PTE 1997-30;  Joint Apprenticeship Committee of Plumbers Local No. 27
  • PTE 1997-04;  Summit Sheet Metal Inc. Defined Benefit Pension Plan
  • PTE 1996-93;  Beall Corp. 401I(k) Profit Sharing Plan
  • PTE 1996-91;  IBEW Local Union 613 Local 613 Defined Contribution Pension Fund
  • PTE 1996-89;  John A Colglazier Self Employment Retirement Plan
  • PTE 1996-83;  Operating Engineers Local 150 Apprenticeship Fund
  • PTE 1996-78;  Zerhusen and Ghazi MD Inc. Profit Sharing Plan
  • PTE 1996-71;  Normike Industries Inc. Profit Sharing Plan
  • PTE 1996-65;  Bill Ussery Motors Inc. Fourth Amended and Restated Profit Sharing Plan and Trust
  • PTE 1996-51;  Puckett Machinery Co. Profit Sharing Plan
  • PTE 1996-43;  Pierre W Mornell MD A Sole Proprietorship Defined Benefit Plan
  • PTE 1996-37;  Budge Clinic Profit Sharing Plan and Trust
  • PTE 1996-33;  Gail L Belt Self Employed Retirement Plan
  • PTE 1996-25;  Zausner Foods Corp. Savings Plus Plan
  • PTE 1996-24;  Biscayne Bay Pilots Inc. Money Purchase Pension Plan and Biscayne Bay Pilots Inc. 401(k) Profit Sharing Plan
  • PTE 1996-18;  HEB Investment and Retirement Plan
  • PTE 1996-13;  Pediatric Dentistry Ltd. Profit Sharing Trust

Sales by Plans of Real Property Interests

  • PTE 2011-10;  William W. Etherington IRA
  • PTE 2010-28;  John D. Simmons Individual Retirement Account
  • PTE 2009-29;  Iron Workers Local 17 Pension Fund
  • PTE 2006-14;  The Little Rock Diagnostic Clinic PA Profit Sharing Plan
  • PTE 2003-03;  Reagent Chemical and Research Inc. Employees Profit Sharing Plan and Trust
  • PTE 2002-40;  Watkins Master Trust
  • PTE 2002-39;  Grant of Individual Exemption to amend and replace PTE 1985-131 involving the Watkins Master Trust
  • PTE 2002-11;  IRA of Howard E Adkins
  • PTE 2000-67;  Butler Johnson Corp. Profit Sharing Plan
  • PTE 2000-64;  The David Mandelbaum IRA Rollover Account
  • PTE 1998-55;  John Taylor Fertilizers Co. Profit Sharing Plan
  • PTE 1996-61;  The SUP Welfare Plan

Sales by Plans - Recurring


Sales to Plans of Real Property and Leasebacks

See also Purchases by Plans of Real Property and Leaseback

  • PTE 2006-03;  The Zieger Health Care Corporation Retirement Fund
  • PTE 2005-01;  JCO Inc. Retirement Plan and Trust
  • PTE 2002-54;  J Penner Corp. Profit Sharing Plan
  • PTE 1997-38;  Robert A Benz and Co. PA CPAs Employees Profit Sharing Plan

Securities Lending - Electronic Transactions


Securities Lending - General PTE 2006-16-Type


Securities Lending - Plan A Type Arrangements

Lending of Client Plan Securities by Lending Agent to affiliated Borrower and Receipt of Compensation by Lending Agent

  • PTE 2010-16;  Morgan Stanley and Co. Inc. et al
  • PTE 2009-11;  Amendment to PTE 1999-34 involving the Chase Manhattan Bank/JPMorgan Chase Bank National Association
  • PTE 2003-19;  Individual Exemption to replace PTE 1997-63 involving State Street Bank and Trust Co.
  • PTE 2002-46;  Barclays Global Investors NA
  • PTE 2002-45;  Deutsche Bank AG
  • PTE 1999-50;  Bankers Trust Co.
  • PTE 1999-34;  Chase Manhattan Bank
  • PTE 1999-21;  Citibank NA and Salomon Smith Barney
  • PTE 1998-41;  Lehman Brothers Inc. and Lehman Brothers Trust Co. and affiliates et al
  • PTE 1998-40;  Morgan Stanley and Co. Inc. and Morgan Stanley Trust Co.
  • PTE 1998-24;  Goldman Sachs and Co. and the Goldman Sachs Trust
  • PTE 1998-23;  Bankers Trust Co.
  • PTE 1997-63;  State Street Bank and Trust Co.
  • PTE 1996-14;  Morgan Stanley and Co. Inc. and Morgan Stanley Trust Co.

Securities Lending - Plan B Type Arrangements

Exclusive Borrowing Arrangements


Securities Lending - Plan A and Plan B Type Arrangements


Securities Lending - Trio Type Arrangements

Principal Transactions Extensions of Credit and General Securities Lending


Sharing of Expenses

  • PTE 2007-02;  American Maritime Officers Safety and Education Plan et al

Stable Value Fund Products


Swap Transactions


Sweep Fee Arrangements


Temporary Time Limits

  • PTE 2009-24;  United States Steel and Carnegie Pension Fund
  • PTE 2009-12;  Grant of Individual Exemption to replace PTE 2000-45 involving Citigroup Global Markets Inc. formerly Salomon Smith Barney Inc.
  • PTE 2009-11;  JPMorgan Chase Bank National Association
  • PTE 2007-10;  Paul Niednagel IRAs and Lynne Niednagel IRAs
  • PTE 2006-03;  The Zieger Health Care Corp. Retirement Fund
  • PTE 2004-14;  Les Olson Co. Inc. Profit Sharing Plan
  • PTE 2002-31;  Deutsche Bank AG
  • PTE 2002-18;  Smart Chevrolet Co. Employees Profit Sharing Retirement Plan
  • PTE 2001-06;  General Motors Investment Corp.
  • PTE 2001-05;  DuPont Capital Management Corp.
  • PTE 2000-60;  John L Rust Co. Profit Sharing Plan
  • PTE 2000-49;  Actuarial Sciences Associates Inc. and ASA Fiduciary Counselors Inc.
  • PTE 2000-03;  Les Olson Co. Inc. Money Purchase Pension Plan and Les Olson Co. Inc. Profit Sharing Plan
  • PTE 1997-52;  Smart Chevrolet Co. Employees Profit Sharing Retirement Plan
  • PTE 1997-32;  The Kenzer Thrift Savings Plan and Trust
  • PTE 1996-89;  John A Colglazier Self Employment Retirement Plan
  • PTE 1996-73;  Masters Mates and Pilots Pension Plan and IRA Plan
  • PTE 1996-17;  General Motors Hourly Rate Employees Pension Plan et al

Timber Rights

  • PTE 2004-01;  United States Steel and Carnegie Pension Fund:

Title I Only Jurisdiction

  • PTE 2013-07;  Mo-Kan Teamsters Apprenticeship and Training Fund
  • PTE 2013-06;  The Coca-Cola Company and Red Re, Inc.
  • PTE 2011-13;  Ford Motor Company (amendment to PTE 2010-08)
  • PTE 2011-12;  International Union of Painters and Allied Trades Finishing Trades Institute
  • PTE 2010-30;  UAW General Motors Company Retiree Medical Benefits Plan, et al
  • PTE 2010-29;  Boston Carpenters Apprenticeship and Training Fund
  • PTE 2010-27;  Finishing Trades Institute of the Mid-Atlantic Region
  • PTE 2010-18;  Boston Carpenters Apprenticeship and Training Fund
  • PTE 2010-12;  Chrysler LLC
  • PTE 2010-08;  Ford Motor Co.
  • PTE 2009-28;  Ford Motor Co. and its affiliates
  • PTE 2009-03;  General Motors Corp. and its wholly owned subsidiaries
  • PTE 2006-19;  Kaiser Aluminum Corp. and its subsidiaries
  • PTE 2006-12;  Retail Clerks Welfare Trust Health and Welfare Plan
  • PTE 2006-05;  Anchorage Area Pipe Trades 367 Joint Apprenticeship Committee
  • PTE 2005-15;  Dakotas and Western Minnesota Electrical Workers Apprenticeship Plan
  • PTE 2004-06;  Painters District Council No. 4 Apprenticeship Upgrading and Retraining Trust Fund
  • PTE 2003-25;  IBEW Local No. 1 Health and Welfare Fund and Local No. 1 Apprenticeship and Training Fund
  • PTE 2003-04;  Michigan Conference of Teamsters Welfare Fund
  • PTE 2002-05;  Alaska UFCW Health and Security Trust Fund
  • PTE 2000-65;  IBEW LU 567 Electrical Joint Apprenticeship and Training Trust Fund and Money Purchase Retirement Plan of Local 567 IBEW
  • PTE 2000-52;  Kwik Kopy Corp. Employees Welfare Plan
  • PTE 2000-21;  Texas Iron Workers and Employers Apprenticeship Training and Journeyman Pension Plan
  • PTE 1996-61;  The SUP Welfare Plan
  • PTE 1996-35;  NBD Bancorp

Title II Only Jurisdiction


Transfers of Assets by Plans


Umbrella Exemptions


Underwriting Syndicates

  • PTE 2010-07;  Columbia Management Advisors LLC et al
  • PTE 2009-13;  The Bank of New York Mellon Corp.
  • PTE 2008-16;  BlackRock Inc. and the PNC Financial Services Group
  • PTE 2008-07;  Credit Suisse and its current and future affiliates
  • PTE 2007-20;  BlackRock Inc. and Merrill Lynch and Co.
  • PTE 2007-14;  Wells Fargo and Co.
  • PTE 2007-03;  Bear Stearns Companies Inc. Bear Stearns Asset Management Inc. and Bear Stearns and Co. Inc.
  • PTE 2003-24;  Deutsche Bank AG JPMorgan Chase Bank and their affiliates
  • PTE 2003-22;  Lehman Brothers Holding Inc. and Lehman Brothers Inc. et al
  • PTE 2000-29;  Morgan Stanley Dean Witter
  • PTE 2000-28;  Citigroup Inc.
  • PTE 2000-27;  The Chase Manhattan Bank
  • PTE 2000-26;  Goldman Sachs and Co.
  • PTE 2000-25;  Morgan Guaranty Trust Co. of New York and JPMorgan Investment Management Inc.

Unitized Employer Stock Funds


Use by Plan of Other Assets

  • PTE 1996-76;  Teachers Insurance and Annuity Association of America

Venture Capital Funds


Voluntary Employees Beneficiary Associations (VEBAs)


Voluntary Fiduciary Correction Program