EXPRO Exemptions Under PTE 96-62

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

16-02E
03/19/2016
E00774
Laclede Gas Company and its affiliates and Laclede Insurance Risk Services, Inc.
Notice to Interested Persons

Captive Reinsurance

PTE 13-06 The Coca-Cola Co.
78 FR 19323 Mar 29, 2013
PTE 14-03 The Intel Corporation
79 FR 19927 Apr 10, 2014

16-01E
03/07/2016
E00773
Indiana/Kentucky/Ohio Regional Council of Carpenters Joint Apprenticeship and Training Fund
Notice to Interested Persons

Sale by Plan of Real Property

PTE 11-24 Oregon-Washington Carpenters Employers Apprenticeship & Training Trust Fund
76 FR 77266 Dec 12, 2011
FAN 14-06E Pipefitters Location Union No. 533 Education Training Program
Nov 8, 2014

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

15-08E
11/13/2015
E00769
The Electrical Trades Center
Notice to Interested Persons

Sale by Plan of Real Property

PTE 11-24 Oregon-Washington Carpenters Employers Apprenticeship & Training Trust Fund
76 FR 77266 Dec 12, 2011
FAN 14-06E Pipefitters Location Union No. 533 Education Training Program
Nov 8, 2014

15-07E
06/26/2015
E00764
Hormel Foods Corporation
Notice to Interested Persons

Captive Reinsurance

PTE 13-06 The Coca-Cola Co.
78 FR 19323 Mar 29, 2013
PTE 14-03 The Intel Corporation
79 FR 19927 Apr 10, 2014

15-06E
06/28/2015
E00763
International Union of Operating Engineers Local 450 Apprenticeship and Training Fund
Notice to Interested Persons

Sale by Plan of Real Property

PTE 11-24 Oregon-Washington Carpenters Employers Apprenticeship & Training Trust Fund
76 FR 77266 Dec 12, 2011
FAN 14-06E Pipefitters Location Union No. 533 Education Training Program
Nov 8, 2014

15-05E
06/17/2015
E00762
Defined Benefit Plan of Fluor Corporation and Participating Subsidiaries
Notice to Interested Persons

Sale by Plan of Partnership Interest

PTE 10-23 Carle Foundation Hospital & Affiliates Pension Plan
75 FR 47637 Aug 6, 2010
FAN 11-07E The Shelly Company and Subsidiaries Retirement Plan
Sep 23, 2011

15-04E
04/29/2015
E00759
Sealed Air Corporation
Notice to Interested Persons

Captive Reinsurance

PTE 13-06 The Coca-Cola Co.
78 FR 19323 Mar 29, 2013
PTE 14-03 The Intel Corporation
79 FR 19927 Apr 10, 2014

15-03E
03/14/2015
E00758
Healthcare Services Group, Inc. (HCSG)
Notice to Interested Persons

Captive Reinsurance

PTE 13-06 The Coca-Cola Co.
78 FR 19323 Mar 29, 2013
PTE 14-03 The Intel Corporation
79 FR 19927 Apr 10, 2014

15-02E
02/26/2015
E00757
Jon Wainwright IRA
Notice to Interested Persons

Sale by Plan of Real Property Interest

PTE 11-10 William W Etherington IRA
76 FR 34253 Jun 13, 2011
PTE 2010-28 John D Simmons IRA
75 FR 61775 Oct 6, 2010

15-01E
02/26/2015
E00756
Tony Calvis IRA
Notice to Interested Persons

Sale by Plan of Real Property Interest

PTE 11-10 William W Etherington IRA
76 FR 34253 Jun 13, 2011
PTE 2010-28 John D Simmons IRA
75 FR 61775 Oct 6, 2010

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

14-06E
11/08/2014
E00752
Pipefitters Local Union No. 533 Education Training Program
Notice to Interested Persons

Sale by Plan of Real Property

PTE 11-24 Oregon-Washington Carpenters Employers Apprenticeship & Training Trust Fund
76 FR 77266 Dec 12, 2011
FAN 09-15E Network Funding Corporation Employees Welfare Benefit Plan
Nov 14, 2009

14-05E
08/30/2014
E00748
The Lawler Foods, Ltd. Profit Sharing Plan
Notice to Interested Persons

Sale by Plan of Partnership Interest

PTE 10-23 Carle Foundation Hospital & Affiliates Pension Plan
75 FR 47637 Aug. 6, 2010
FAN 11-07E The Shelly Company and Subsidiaries Retirement Plan
Sep. 23, 2011

14-04E
08/02/2014
E00744
International Union of Operating Engineers Local 57 Apprenticeship and Skill Improvement Training Fund
Notice to Interested Persons

Sale by Plan of Real Property

PTE 05-10 North Texas Electrical Apprenticeship & Training Trust Fund
70 FR 37443 Jun. 29, 2005
FAN 12-09E Roofers Local 20 Apprenticeship Fund
Jul. 1, 2012

14-03E
07/26/2014
E00746
Nancy D. Halwig IRA
Notice to Interested Persons

Sale by Plan of Real Property Interest

PTE 11-10 William W. Etherington IRA
76 FR 34253 Jun. 13, 2011
FAN 10-03E Kristin P. Boardman IRA
Oct. 27, 2010

14-02E
07/26/2014
E00745
John M. Halwig IRA
Notice to Interested Persons

Sale by Plan of Real Property Interest

PTE 11-10 William W. Etherington IRA
76 FR 34253 Jun. 13, 2011
FAN 10-03E Kristin P. Boardman IRA
Oct. 27, 2010

14-01E
06/21/2014
E00742
Mark R. Madura Sole Proprietorship Profit Sharing Plan
Notice to Interested Persons

Sale by Plan of Real Property

PTE 07-16 Victor P Olson PSP
72 FR 51473 Sep. 7, 2007
FAN 12-04E Douglas S. Dorflinger and Associates Profit Sharing Plan
May 26, 2012

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

13-07E
09/08/2013
E00733
Union Bank, N.A.
Notice to Interested Persons

Credit Facility Arrangement

PTE 04-02 Bank of America
69 FR 7506 Feb. 17, 2004
FAN 11-01E Sumitomo Mitsui Banking Corp.
Mar. 26, 2011
FAN 11-02E WestLB AG
Apr. 11, 2011

13-06E
08/09/2013
E00728
Local 697 IBEW and Electrical Industry Pension Fund
Notice to Interested Persons

Sale by Plan of Real Property

PTE 07-06 Kern County Electrical Pension Trust
72 FR 21299 Apr. 30, 2007
FAN 09-15E Network Fund Corp.
Nov. 14, 2009

13-05E
08/05/2013
E00727
Archer Daniels Midland Company (ADM) and Agrinational Insurance Company (AIC)
Notice to Interested Persons

Captive Reinsurance

PTE 10-15 Subaru of America
75 FR 22852 Apr. 30, 2010
PTE 11-16 Verizon Communications Inc
76 FR 49790 Aug. 11, 2011

13-04E
05/15/2013
E00724
Joseph A. Dugan Jr. Self-Directed IRA
Notice to Interested Persons

Sale by Plan of Other Real Property

PTE 03-34 Hayden O Grona IRA
68 FR 64658 Nov. 14, 2003
FAN 10-03E Kristin P. Boardman IRA
Oct. 27, 2010

13-03E
05/11/2013
E00726
Network Funding Corporation Employees Welfare Benefit Plan
Notice to Interested Persons

Sale by Plan of Partnership or LLC Interest

PTE 09-04 Heico Holding Inc Pension Plan
73 FR 8570 Feb. 25, 2009
PTE 10-23 Carle Foundation Hospital & Affiliates Pension Plan
75 FR 47637 Aug. 6, 2010

13-02E
05/04/2013
E00718
The Northern Trust Company and Affiliates
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 10-26 PNC Financial Services Group Inc
75 FR 56564 Sep. 16, 2010
PTE 08-01 Barclays Global Investors
73 FR 3274 Jan. 17, 2008

13-01E
04/19/2013
E00720
Cavanagh Company Defined Benefit Pension Plan
Notice to Interested Persons

Sale by Plan of Other Real Property

FAN 09-11E McHenry Law Firm Retirement Plan and Trust
Jul. 18, 2009
PTE 06-02 Pa Instit Neurogolical
71 FR 14008 Mar. 20, 2006

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

12-15E
11/29/2012
E00716
IRA For A. Fred Renfro, Jr.
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 09-17 IRA of Michael Ball
74 FR 30631 Jun. 26, 2009
Fan 08-19E Greg Garrison IRA Dec. 31, 2008
Fan 08-20E Mark Garrison IRA Dec. 31, 2008

12-14E
11/29/2012
E00714
IRA For Barbara Hamilton
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 09-17 IRA of Michael Ball
74 FR 30631 Jun. 26, 2009
Fan 08-19E Greg Garrison IRA Dec. 31, 2008
Fan 08-20E Mark Garrison IRA Dec. 31, 2008

12-13E
11/29/2012
E00713
IRA For C. Todd Brown
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 09-17 IRA of Michael Ball
74 FR 30631 Jun. 26, 2009
Fan 08-19E Greg Garrison IRA Dec. 31, 2008
Fan 08-20E Mark Garrison IRA Dec. 31, 2008

12-12E
11/29/2012
E00712
IRA For Cheryl Renfro
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 09-17 IRA of Michael Ball
74 FR 30631 Jun. 26, 2009
Fan 08-19E Greg Garrison IRA Dec. 31, 2008
Fan 08-20E Mark Garrison IRA Dec. 31, 2008

12-11E
11/29/2012
E00711
IRA For Stephen G. Gilland
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 09-17 IRA of Michael Ball
74 FR 30631 Jun. 26, 2009
Fan 08-19E Greg Garrison IRA Dec. 31, 2008
Fan 08-20E Mark Garrison IRA Dec. 31, 2008

12-10E
11/29/2012
E00710
IRA For Doris Rose Crenshaw
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 09-17 IRA of Michael Ball
74 FR 30631 Jun. 26, 2009
Fan 08-19E Greg Garrison IRA Dec. 31, 2008
Fan 08-20E Mark Garrison IRA Dec. 31, 2008

12-09E
07/01/2012
E00691
Roofers Local 20 Apprenticeship Fund
Notice to Interested Persons

Sale by Plan of Real Property

PTE 05-10 North Texas Electrical Apprenticeship & Training Trust Fund
70 FR 37443 Jun. 29, 2005
Fan 09-15E Network Funding Corp. Nov. 14, 2009

12-08E
06/30/2012
E00688
Ralls & Associates Inc. Profit Sharing and Employee Savings Plan
Notice to Interested Persons

Sale by Plan of Real Property

PTE 06-02 Pa Instit Neurogolical
71 FR 14008 Mar. 20, 2006
FAN 09-11E McHenry Law Firm Jul. 18, 2009

12-07E
06/25/2012
E00690
Cotter Merchandise Storage Company Defined Benefit Plan
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 09-33 Cotter Merchandise Storage Co.
74 FR 67925 Dec. 21, 2009
PTE 09-34 Unaka Company Inc.
74 FR 67926 Dec. 21, 2009

12-06E
06/06/2012
E00686
Via Christi Health Inc. and Its Subsidiaries
Notice to Interested Persons

Captive Reinsurance

PTE 04-12 Svenska Cellulosa
69 FR 40978 Jul. 7, 2004
FAN 09-10E Banner Health Jun. 29, 2009
FAN 07-04E NiSource Inc. Mar. 17, 2007
FAN 11-10E Dow Corning Corp. Nov. 25, 2011

12-05E
05/26/2012
E00689
IRA for Michael J. Wise
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 09-17 Individual Retirement Accounts for Ralph Hartwell et. al.
74 FR 30631 Jun. 26, 2009
FAN 08-21E Individual Retirement Account of Christopher L. Robinson Dec. 31, 2008

12-04E
05/26/2012
E00687
Douglas S. Dorflinger and Associates Profit Sharing Plan
Notice to Interested Persons

Sale by Plan of Real Property

PTE 09-11E McHenry Law Firm Retirement Plan and Trust Jul. 18, 2009
PTE 07-16 Victor P. Olson Profit Sharing Plan
72 FR 51473 Sep. 7, 2007

12-03E
03/22/2012
E00685
Google Inc.
Notice to Interested Persons

Captive Reinsurance

PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
FAN 08-05E H.J. Heinz Co. May 25, 2008

12-02E
01/23/2012
E00683
DuPont Capital Management Corporation
Notice to Interested Persons

Similar to QPAM relief without diverse clientele test

PTE 09-24 U.S. Steel and Carnegie Pension Fund
74 FR 45294 Sep. 1, 2009
FAN 06-17E DuPont Capital Management Corp. Dec. 17, 2006

12-01E
01/18/2012
E00682
Microsoft Corporation, and its wholly owned subsidiary, Orcas Ltd.
Notice to Interested Persons

Captive Reinsurance

PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
FAN 08-04E Cephalon Inc. May 14, 2008

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

11-10E
11/25/2011
E00674
Dow Corning Corporation
Notice to Interested Persons

Captive Reinsurance

PTE 04-12 Svenska Cellulosa
69 FR 40978 Jul. 7, 2004
FAN 08-22E Memorial Sloan-Kettering Cancer Center Dec. 31, 2008
FAN 09-17E Dow Corning Corp Nov. 28, 2009

11-09E
11/19/2011
E00673
Alaskan Copper Profit Sharing Plan/Alco Investment Company
Notice to Interested Persons

Sale (or Redemption) by Plan of Other Real Property

PTE 08-11 Pileco Inc
73 FR 55540 Sep. 25, 2008
PTE 07-15 Hawaii Emergency
72 FR 51472 Sep. 7, 2007

11-08E
10/10/2011
E00671
Cortview Capital Securities LLC
Notice to Interested Persons

Asset-Backed Securities/Underwriter Exemption

FAN 11-05E Cantor Fitzgerald & Co Jun. 6, 2011
PTE 09-31 Amend PTE’s 96-22 & 02-19 Wachovia/Wells Fargo
74 FR 59003 Nov. 16, 2009

11-07E
09/23/2011
E00670
The Shelly Co. and Subsidiaries Retirement Plan
Notice to Interested Persons

Sale by Plan of Partnership Interests

PTE 09-04 Heico Holding Inc Pension Plan
73 FR 8570 Feb. 25, 2009
PTE 01-40 Sierra Health Services Inc
66 FR 53449 Oct. 22, 2001
PTE 10-23 Carle Foundation Hospital & Affiliates Pension Plan
75 FR 47637 Aug. 6, 2010

11-06E
08/20/2011
E00668
Deutsche Bank Americas Holding Corporation (DB)
Notice to Interested Persons

Captive Reinsurance

FAN 08-22E Memorial Sloan-Kettering Cancer Center Dec. 31, 2008
FAN 09-16E Microsoft Corp Nov. 19, 2009

11-05E
06/06/2011
E00667
Cantor Fitzgerald & Company
Notice to Interested Persons

Asset-Backed Securities/Underwriter Exemption

FAN 09-12E Amherst Securites Sep. 14, 2009
PTE 09-31 Amend PTE’s 96-22 & 02-19 Wachovia/Wells Fargo
74 FR 59003 Nov. 16, 2009

11-04E
05/19/2011
E00666
Reeves Brothers Inc. Pension Plan/Trelleborg Coated Systems US, Inc.
Notice to Interested Persons

Sale by Plan of Real Property

PTE 02-26 Holt Fleck & Free
67 FR 36030 May 22, 2002
FAN 06-07E HEB Brand Savings Feb. 22, 2006

11-03E
05/05/2011
E00665
Greenbrier Employee Stock Ownership Plan/Greenbrier of Virginia, Inc.
Notice to Interested Persons

Sale of employer stock by an ESOP to the plan sponsor, an S corporation which is over 50% owned by a shareholder employee

PTE 03-14 ACR Homes Inc
68 FR 34650 Jun. 10, 2003
FAN 06-13E Regal Marine Aug. 27, 2006  

11-02E
04/11/2011
E00663
WestLB AG
Notice to Interested Persons

Credit Facility Arrangement

PTE 04-02 Bank of America
69 FR 7506 Feb. 17, 2004
FAN 07-07E Morgan Stanley Bk Aug. 8, 2007
FAN 08-06E Natixis Financial May 30, 2008

11-01E
03/26/2011
E00662
Sumitomo Mitsui Banking Corporation
Notice to Interested Persons

Credit Facility Arrangement

PTE 04-02 Bank of America
69 FR 7506 Feb. 17, 2004
FAN 05-19E Deutsche Bank AG Jul. 22, 2005
FAN 06-04E Wachovia Bank N.A. Jan. 7, 2006
FAN 07-07E Morgan Stanley Bk Aug. 8, 2007
FAN 08-01E Royal Bk of Scotland Jan. 25, 2008
FAN 08-06E Natixis Financial May 30, 2008

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

10-04E
12/12/2010
E00658
Les Schwab Profit Sharing Retirement Trust
Notice to Interested Persons

Sale by Plan of Real Property

PTE 07-15 Hawaii Emergency
72 FR 51472 Sep. 7, 2007
PTE 07-16 Victor P Olson PSP
72 FR 51473 Sep. 7, 2007

10-03E
10/27/2010
E00656
Kristin P. Boardman IRA
Notice to Interested Persons

Sale by Plan of Real Property

PTE 03-34 Hayden O Grona IRA
68 FR 64658 Nov. 14, 2003
FAN 07-03E Richard R Kracum Mar. 5, 2007

10-02E
10/13/2010
E00657
BB&T Corp. and BB&T Assurance Co. Ltd.
Notice to Interested Persons

Captive Reinsurance

PTE 00-48 Columbia Energy
65 FR 60452 Oct. 11, 2000
PTE 04-12 Svenska Cellulosa
69 FR 40978 Jul. 7, 2004

10-01E
05/21/2010
E00644
Wyvern Restaurants Inc. 401(k) Profit Sharing Plan
Notice to Interested Persons

Sale by Plan of Real Property

PTE 06-17 Frank D. May
71 FR 67915 Nov. 24, 2006
FAN 07-05E IRA Randy Aulick Apr. 6, 2007

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

09-17E
11/28/2009
E00637
Dow Corning Corporation
Notice to Interested Persons

Captive Reinsurance

PTE 00-48 Columbia Energy
65 FR 60452 Oct. 11, 2000
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003

09-16E
11/19/2009
E00640
Microsoft Corporation
Notice to Interested Persons

Captive Reinsurance

PTE 00-48 Columbia Energy
65 FR 60452 Oct. 11, 2000
FAN 08-04E Cephalon Inc May 14, 2008

09-15E
11/14/2009
E00639
Network Funding Corporation Employees Welfare Benefit Plan
Notice to Interested Persons

Sale by Plan of Real Property

PTE 06-02 PA Inst Neurological
71 FR 14008 Mar. 20, 2006
FAN 09-11E McHenry Law Firm Jul. 18, 2009

09-14E
10/16/2009
E00636
YKK Corporation of America
Notice to Interested Persons

Captive Reinsurance

PTE 00-48 Columbia Energy
65 FR 60452 Oct. 11, 2000
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003

09-13E
09/17/2009
E00633
Plumbers and Pipefitters Local 553 Joint Training Fund
Notice to Interested Persons

Purchase by Plan of Real Property

PTE 04-18 Carpenters Joint Trng
69 FR 65231 Nov. 10, 2004
PTE 07-13 Sheet Metal LU 17
72 FR 42131 Aug. 1, 2007

09-12E
09/14/2009
E00635
Amherst Securities Group, L.P.
Notice to Interested Persons

Asset-Backed Securities/Underwriter Exemption

FAN 09-06E NatCity Investments Mar. 28, 2009
PTE 03-31 RBC Dain Rauscher
68 FR 59202 Oct. 14, 2003

09-11E
07/18/2009
E00630
McHenry Law Firm Retirement Plan and Trust
Notice to Interested Persons

Sale by Plan of Real Property

PTE 06-02 Pa Instit Neurogolical
71 FR 14008 Mar. 20,2006
PTE 07-16 Victor P Olson PSP
72 FR 51473 Sep. 7, 2007

09-10E
06/29/2009
E00627
Banner Health
Notice to Interested Persons

Captive Reinsurance

PTE 00-48 Columbia Energy
65 FR 60452 Oct. 11, 2000
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003

09-09E
05/16/2009
E00628
Barry A. Sullivan IRA
Notice to Interested Persons

Sale by Plan of Partnership Interest

PTE 06-17 Frank D. May
71 FR 67915 Nov. 24, 2006
FAN 07-05E IRA Randy Aulick Apr. 6, 2007

09-08E
04/04/2009
E00625
Shirley C. Yawitz Pension and Profit Sharing Plan
Notice to Interested Persons

Sale by Plan of Real Property

PTE 99-35 H. H. Borland Inc PSP
64 FR 46422 Aug. 25, 1999
FAN 07-03E Richard R Kracum Mar. 5, 2007

09-07E
04/04/2009
E00624
American Maritime Officers Safety and Education Plan
Notice to Interested Persons

Purchase by Plan of Real Property

PTE 00-21 Texas Iron Workers
65 FR 33376 May 23, 2000
FAN 04-08E Kentucky State Apr. 7, 2004

09-06E
03/28/2009
E00619
NatCity Investments Inc
Notice to Interested Persons

Asset-Backed Securities/Underwriter Exemption

FAN 08-03E SunTrust Robinson Mar. 10, 2008
PTE 03-31 RBC Dain Rauscher
68 FR 59202 Oct. 14, 2003

09-05E
03/25/2009
E00621
The Bank of New York Mellon Corporation
Notice to Interested Persons

In-Kind Redemption of Mutual Fund Shares

PTE 07-04 Mellon Financial
72 FR 13126 Mar. 20, 2007
FAN 05-01E US Trust Corp. Jan. 6, 2005

09-04E
03/10/2009
E00620
Western States Asset Management Inc Money Purchase Pension Plan
Notice to Interested Persons

Sale by Plan of Real Property

PTE 06-02 Pa Instit Neurogolical
71 FR 14008 Mar. 20, 2006
PTE 07-16 Victor P Olson PSP
72 FR 51473 Sep. 7, 2007

09-03E
03/09/2009
E00615
Jefferies & Company Inc
Notice to Interested Persons

Asset-Backed Securities/Underwriter Exemption

PTE 03-31 RBC Dain Rauscher
68 FR 59202 Oct. 14, 2003
FAN 08-03E SunTrust Robinson Mar. 10, 2008

09-02E
02/14/2009
E00617
Voorhies and Labbe’ PLC Profit Sharing Plan Individually Directed Participant Account for H. Edwin McGlasson Jr.
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 07-09 DeRose Dental
72 FR 36045 Jul. 2, 2007
FAN 06-19E F&M Bancshares Dec. 29, 2006

09-01E
01/25/2009
E00612
Archer Daniels Midland Co. & Agrinational Insurance Co.
Notice to Interested Persons

Captive Reinsurance

PTE 00-48 Columbia Energy
65 FR 60452 Oct. 11, 2000
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
FAN 03-32E International Paper Nov. 7, 2003

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

08-22E
12/31/2008
E00608
Memorial Sloan-Kettering Cancer Center
Notice to Interested Persons

Captive Reinsurance

PTE 00-48 Columbia Energy
65 FR 60452 Oct. 11, 2000
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003

08-21E
12/31/2008
E00611
Christopher L. Robinson IRA
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 98-59 Albright, Hamre et al
63 FR 69326 Dec. 16, 1998
FAN 04-23E James W. Collins IRA Dec. 10, 2004

08-20E
12/31/2008
E00610
Mark Garrison IRA
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 98-59 Albright, Hamre et al
63 FR 69326 Dec. 16, 1998
FAN 04-23E James W. Collins IRA Dec. 10, 2004

08-19E
12/31/2008
E00609
Greg Garrision IRA
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 98-59 Albright, Hamre et al
63 FR 69326 Dec. 16, 1998
FAN 04-23E James W. Collins IRA Dec. 10, 2004

08-18E
12/26/2008
E00607
United Technologies Corporation UTC
Notice to Interested Persons

Captive Reinsurance

PTE 00-48 Columbia Energy
65 FR 60452 Oct. 11, 2000
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003

08-17E
12/22/2008
E00596
DPWN Holdings (USA) Inc
Notice to Interested Persons

Captive Reinsurance

PTE 00-48 Columbia Energy
65 FR 60452 Oct. 11, 2000
PTE 04-12 Svenska Cellulosa
69 FR 40978 Jul. 7, 2004

08-16E
12/20/2008
E00606
AstraZeneca Pharmaceuticals LP and AstraZeneca LP
Notice to Interested Persons

Captive Reinsurance

PTE 00-48 Columbia Energy
65 FR 60452 Oct. 11, 2000
PTE 04-12 Svenska Cellulosa
69 FR 40978 Jul. 7, 2004

08-15E
11/07/2008
E00597
Mid-Hudson Medical Group, P.C. Incentive Savings & Profit-Sharing Plan
Notice to Interested Persons

Sale by Plan of Real Property

PTE 07-15 Hawaii Emergency
72 FR 51472 Sep. 7, 2007
PTE 07-16 Victor P Olson PSP
72 FR 51473 Sep. 7, 2007

08-14E
10/29/2008
E00603
Stanford J. Goldblatt IRA
Notice to Interested Persons

Sale-out of Non-employer Securities from IRA to Disqualified Person

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

08-13E
10/29/2008
E00602
Robert E. King IRA
Notice to Interested Persons

Sale-out of Non-employer Securities from IRA to Disqualified Person

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

08-12E
10/29/2008
E00601
Patrick D. Branham IRA
Notice to Interested Persons

Sale-out of Non-employer Securities from IRA to Disqualified Person

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

08-11E
10/29/2008
E00600
John D. Mabie IRA
Notice to Interested Persons

Sale-out of Non-employer Securities from IRA to Disqualified Person

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

08-10E
10/29/2008
E00599
George E. Fogel IRA
Notice to Interested Persons

Sale-out of Non-employer Securities from IRA to Disqualified Person

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

08-09E
10/29/2008
E00598
Craig E. Pines IRA
Notice to Interested Persons

Sale-out of Non-employer Securities from IRA to Disqualified Person

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

08-08E
10/04/2008
E00593
ConAgra Foods, Inc.
Notice to Interested Persons

Captive Reinsurance

PTE 04-12 Svenska Cellulosa
69 FR 40978 Jul. 7, 2004
FAN 06-11E AGL Resources Inc May 1, 2006

08-07E
06/20/2008
E00589
YKK Corporation of America
Notice to Interested Persons

Captive Reinsurance

PTE 00-48 Columbia Energy
65 FR 60452 Oct. 11, 2000
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
FAN 03-32E International Paper Nov. 7, 2003

08-06E
05/30/2008
E00587
Natixis Financial Products Inc.
Notice to Interested Persons

Credit Facility Arrangement

PTE 04-02 Bank of America
69 FR 7506 Feb. 17, 2004
FAN 05-19E Deutsche Bank AG Jul. 22, 2005
FAN 07-07E Morgan Stanley Bk Aug. 8, 2007

08-05E
05/25/2008
E00582
H.J. Heinz Company
Notice to Interested Persons

Captive Reinsurance

PTE 04-12 Svenska Cellulosa
69 FR 40978 Jul. 7, 2004
FAN 06-11E AGL Resources Inc May 1, 2006

08-04E
05/14/2008
E00579
Cephalon Inc. Welfare Benefits Program
Notice to Interested Persons

Captive Reinsurance

PTE 04-12 Svenska Cellulosa
69 FR 40978 Jul. 7, 2004
FAN 06-11E AGL Resources Inc May 1, 2006

08-03E
03/10/2008
E00580
SunTrust Robinson Humphrey, Inc.
Notice to Interested Persons

Asset-Backed Securities/Underwriter Exemption

PTE 03-31 RBC Dain Rauscher
68 FR 59202 Oct. 14, 2003
FAN 03-07E Raymond Jones Jun. 14, 2003

08-02E
03/03/2008
E00576
Wachovia Corporation Pension Plan

In-Kind redemption of assets by in-house plans of the investment advisers of mutual funds.

PTE 02-20 Union Bk of California
67 FR 14986 Mar. 28, 2002
PTE 03-01 Northern Trust Co
68 FR 6194 Feb. 6, 2003

08-01E
01/25/2008
E00571
Royal Bank of Scotland Plc
Notice to Interested Persons

Credit Facility Arrangement

PTE 04-02 Bank of America
69 FR 7506 Feb. 17, 2004
FAN 06-04E Wachovia Bank N.A. Jan. 7, 2006

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

07-13E
12/22/2007
E00568
James B. Jones IRA
Notice to Interested Persons

Sale by IRA of Employer Securities

PTE 99-28 Gaetano Lombardo
64 FR 38481 Jul. 16, 1999
PTE 02-10 Brenda A Moran
67 FR 5318 Feb. 5, 2002

07-12E
12/22/2007
E00567
Jean B. Chen IRA
Notice to Interested Persons

Sale by IRA of Employer Securities

PTE 99-28 Gaetano Lombardo
64 FR 38481 Jul. 16, 1999
PTE 02-10 Brenda A Moran
67 FR 5318 Feb. 5, 2002

07-11E
12/22/2007
E00566
George D. Jones III IRA
Notice to Interested Persons

Sale by IRA of Employer Securities

PTE 99-28 Gaetano Lombardo
64 FR 38481 Jul. 16, 1999
PTE 02-10 Brenda A Moran
67 FR 5318 Feb. 5, 2002

07-10E
12/14/2007
E00572
Kenneth W. Stumpf Profit Sharing Plan
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 99-10 GUS Plan
64 FR 11045 Mar. 8, 1999
FAN 02-13E Paul W Bridgman Oct. 18, 2002

07-09E
10/01/2007
E00557
Westmoreland Coal Company and Subsidiaries Employees Savings Plan
Notice to Interested Persons

 Stock Rights Offering

PTE 01-24 ATGI 401(k) Plan
66 FR 40734 Aug. 03, 2001
FAN 04-18E Milacron Retirement Sep. 07, 2004

07-08E
08/17/2007
E00551
Carcione’s Fresh Produce Co. Inc. 401(k) Profit Sharing Plan

Sale by Plan of Real Property

PTE 06-02 Pa Instit Neurogolical
71 FR 14008 Mar. 20, 2006
PTE 06-04 Donlar Corporation
71 FR 14011 Mar. 20, 2006

07-07E
08/08/2007
E00553
Morgan Stanley Bank & Morgan Stanley Asset Funding Inc.

Credit Facility Arrangement

PTE 04-02 Bank of America
69 FR 7506 Feb. 17, 2004
FAN 05-19E Deutsche Bank AG Jul. 22, 2005

07-06E
07/20/2007
E00549
BNP Paribus Securities Corporation
Notice to Interested Persons

Asset-Backed Securities/Underwriter Exemption

PTE 06-07 Harris Nesbitt Corp
71 FR 32135 Jun. 2, 2006
FAN 03-07 Raymond James Jun. 14, 2003

07-05E
04/06/2007
E00542
Individual Retirement Account #1474 for Randy Aulick
Notice to Interested Persons

Sale by Plan of Real Property; provided the transaction is entered within 90 days of the Final Authorization date, 04/06/07.

PTE 00-20 Taylor M. Cole IRA
65 FR 25953 May 4, 2000
PTE 01-29 Gooch Enterprises
66 FR 45341 Aug. 28, 2001

07-04E
03/17/2007
E00540
NiSource Inc. and NiSource Insurance Corporation Limited
Notice to Interested Persons

Captive Reinsurance

PTE 00-48 Columbia Energy
65 FR 60452 Oct. 11, 2000
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
FAN 03-32E International Paper Nov. 7, 2003

07-03E
03/05/2007
E00541
Richard R. Kracum IRA
Notice to Interested Persons

Sale by Plan of Real Property

PTE 00-20 Taylor M. Cole IRA
65 FR 25953 May 4, 2000
FAN 04-15E Jerry D. Clayton IRA Aug. 13, 2004

07-02E
01/31/2007
E00533
Wells Fargo & Co. Basic Life Insurance Plan
Notice to Interested Persons

Captive Reinsurance

PTE 04-12 Svenska Cellulosa
69 FR 40978 Jul. 7, 2004
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003

07-01E
01/31/2007
E00532
Wells Fargo & Co. Long Term Disability Plan
Notice to Interested Persons

Captive Reinsurance

PTE 04-12 Svenska Cellulosa
69 FR 40978 Jul. 7, 2004
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

06-19E
12/29/2006
E00538
F&M Bancshares Inc and Tejas PSF Inc Defined Benefit Plan
Notice to Interested Persons

Sale by Plan of 3rd Party Stock to Disqualified Person

PTE 98-59 Albright, Hamre et al
63 FR 69326 Dec. 16, 1998
FAN 04-23E James W. Collins IRA Dec. 10, 2004
FAN 04-24E Kathleen C. Collins IRA Dec. 10, 2004

06-18E
12/16/2006
E00536
BlackRock Inc and Merrill Lynch & Co Inc
Notice to Interested Persons

Securities Lending between Plans and Broker-dealers (affiliated with plan fiduciary)

PTE 02-45 Deutsche Bank AG
67 FR 59564 Sep. 23, 2002
PTE 02-46 Barclays Global
67 FR 59569 Sep. 23, 2002
FAN 03-08E Merrill Lynch & Co Jun. 15, 2003

06-17E
12/17/2006
E00535
DuPont Capital Management Corporation
Notice to Interested Persons

Similar to QPAM relief without diverse clientele test

PTE 01-05 DuPont Capital
66 FR 07789 Jan. 25, 2001
PTE 01-06 GMIMCo
66 FR 07795 Jan. 25, 2001
FAN 06-05E GMIMCo

06-16E
11/07/2006
E00534
Carbondale Corporation Money Purchase Pension Plan
Notice to Interested Persons

Sale by Plan of Partnership Interests

PTE 01-09 Trenam Kemker et al
66 FR 15907 Mar. 31, 2001
FAN 05-04E Synergy Inc PSP Mar. 26, 2005

06-15E
09/28/2006
E00510
Bristol Hospital & Health Care Group Retirement Plan
Notice to Interested Persons

Loan by Plan Secured by Real Property

PTE 03-29 Valley OB-GYN Clinic
68 FR 52790 Sep. 5, 2003
PTE 05-07 PAMCAH-UA LU 675
70 FR 37440 Jun. 6, 2005

06-14E
09/17/2006
E00522
H.J. Heinz Co. & Heinz Nebel, Inc.
Notice to Interested Persons

Captive Reinsurance

PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
FAN 03-32E International Paper Nov. 7, 2003

06-13E
08/27/2006
E00528
Regal Marine Industries Inc. 401(k) Retirement Plan
Notice to Interested Persons

Sale by Plan of Common Stock

PTE 03-14 (ACR Homes Inc)
68 FR 34650 Jun. 10, 2003
PTE 02-32 Northwoods Bk of MN
67 FR 42077 Jun. 20, 2002

06-12E
06/08/2006
E00521
Pileco Inc. Employees Profit Sharing Plan
Notice to Interested Persons

Sale by Plan of Real Property

PTE 03-13 Richard Gorman
68 FR 34650 Jun. 10, 2003
PTE 02-26 Holt, Fleck Free
67 FR 36030 May 22, 2002

06-11E
05/01/2006
E00518
AGL Resources Inc. and Global Energy Resource Insurance Corporation
Notice to Interested Persons

Captive Reinsurance

PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
PTE 04-12 Svenska Cellulosa
69 FR 40978 Jul. 7, 2004

06-10E
04/19/2006
E00520
The Bear Stearns Companies Inc.
Notice to Interested Persons

Index-Linked Debt Securities

PTE 01-30 JP Morgan Chase
66 FR 45342 Aug. 28, 2001
FAN 03-12E Goldman Sachs Grp Aug. 15, 2003

06-09E
04/19/2006
E00517
Northern Trust Company
Notice to Interested Persons

Purchase or Sale of Securities in the Context of a Portfolio Liquidation or Restructuring

PTE 03-20 Deutsche Bank
68 FR 40689 Jul. 8, 2003
PTE 03-23 Goldman Sachs & Co
68 FR 40698 Jul. 8, 2003
FAN 05-05E JP Morgan Chase Mar. 27, 2005

06-08E
03/15/2006
E00512
Mercer Trust Company et al
Notice to Interested Persons

Purchase by Plan of Other Securities

PTE 01-04 SEI Investments Co
66 FR 07786 Jan. 25, 2001
PTE 02-21 Pacific Investment Co
67 FR 14988 Mar. 28, 2002

06-07E
02/22/2006
E00491
HEB Brand Savings & Retirement Plan and HE Butt Grocery Company
Notice to Interested Persons

Sale by Plan of Real Property

PTE 02-26 Holt Fleck & Free PSP
67 FR 36030 May 22, 2002
PTE 01-27 Walston & High PA
66 FR 45340 Aug. 28, 2001

06-06E
02/12/2006
E00507
Raytheon Savings & Investment Plan Raysip
Notice to Interested Persons

Rights Offering

PTE 02-29 Wyndham Int’l. Inc.
67 FR 39068 Jun. 6, 2002
PTE 02-02 Golden Ret Savings
67 FR 1243 Jan. 9, 2002

06-05E
01/13/2006
E00509
General Motors Investment Management Corp GMIMCO
Notice to Interested Persons

Similar to QPAM relief without diverse clientele test

PTE 01-05 DuPont Capital Mgmt
66 FR 7789 Jan. 25, 2001
PTE 01-06 GMIMCO
66 FR 7795 Jan. 25, 2001
FAN 03-03E US Steel & Carnegie Feb. 15, 2003

06-04E
01/07/2006
E00502
Wachovia Bank N.A.
Notice to Interested Persons

Credit Facility Arrangement

PTE 04-02 Bank of America N.A.
69 FR 7506 Feb. 17, 2004
FAN 05-19E Deutsche Bank AG Jul. 22, 2005

06-03E
01/05/2006
E00501
Stratmark Group 401k Plan
Notice to Interested Persons

Sale by Plan of Partnership Interests

PTE 99-48 Info. Systems Develop.
64 FR 70748 Dec. 17, 1999
PTE 01-40 Sierra Health Services
66 FR 53449 Oct. 22, 2001
FAN 05-04E Synergy Inc PSP Mar. 26, 2005

06-02E
01/05/2006
E00503
Astra Zeneca Pharmaceuticals and AZ-Mont Insurance Co. Life Insurance & AD&D Plan
Notice to Interested Persons

Captive Reinsurance

PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
PTE 04-12 Svenska Cellulosa et al
69 FR 40978 Jul. 7, 2004

06-01E
01/05/2006
E00479
Astra Zeneca Pharmaceuticals and AZ-Mont Insurance Co. Long term Disability Plan
Notice to Interested Persons

Captive Reinsurance

PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
PTE 04-12 Svenska Cellulosa et al
69 FR 40978 Jul. 7, 2004

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

05-45E
12/23/2005
E00482
W. Mitchell Barber SEP IRA
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-44E
12/23/2005
E00481
William Wesley Giles IRA
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-43E
12/16/2005
E00478
Gary L. Welch IRA

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-42E
12/16/2005
E00477
Henderson M. Traylor IRA

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-41E
12/16/2005
E00476
Virginia P. Snyder IRA

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-40E
12/16/2005
E00475
Lynne M. McCurdy IRA

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-39E
12/16/2005
E00474
Bipin Kumar IRA

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-38E
12/16/2005
E00473
Charles Ferguson IRA

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-37E
12/16/2005
E00472
Julius E. Dunn Jr. IRA
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-36E
12/16/2005
E00471
Arnold B. Dopson IRA
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-35E
12/16/2005
E00470
Johnie J. Cooper IRA
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-34E
12/16/2005
E00469
Mary Jo Collier IRA
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-33E
12/16/2005
E00468
Spencer J. Coleman IRA
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-32E
12/16/2005
E00467
Spencer J. Coleman IRA
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-31E
12/16/2005
E00466
Elizabeth Woodfin Coleman IRA
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-30E
12/16/2005
E00465
Judy C. Bell IRA
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-29E
12/16/2005
E00464
Isaac Cornelius Barrett Jr. SEP IRA
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-28E
12/16/2005
E00463
Curtis L. Barrett Jr. DMD IRA
Notice to Interested Persons

 

 

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-27E
12/16/2005
E00462
Tonia B. Ayers IRA
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-26E
12/16/2005
E00461
Robert Todd Ayers IRA
Notice to Interested Persons

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
FAN 04-57E Harold J Brewer et al Dec. 31, 2004

05-25E
10/12/2005
E00457
Systems Technology Inc. 401k ESOP & Trust

Lease by Plan of Real Property

PTE 01-25 Joliet Medical Group
66 FR 40734 Aug. 3, 2001
PTE 04-21 Camino Medical
69 FR 68401 Nov. 24, 2004

05-24E
11/08/2005
E00458
Credit Suisse First Boston Inc.
Notice to Interested Persons

Purchase, Sale, or Holding of Publicly-traded Debt Securities and Extension of Credit

PTE 01-30 J.P. Morgan
66 FR 45342 Aug. 28, 2001
PTE 01-11 Salomon Smith Barney
66 FR 17738 Apr. 3, 2001
PTE 00-63 Merrill Lynch & Co.
65 FR 76306 Dec. 6, 2000

05-23E
08/15/2005
E00454
New England Biolabs Inc. Employee Stock Ownership Plan and Trust

Sale by Plan of Common Stock

PTE 03-14 ACR Homes Inc
68 FR 34650 Jun. 10, 2003
PTE 02-32 Northwoods Bk of MN
67 FR 42077 Jun. 20, 2002

05-22E
09/29/2005
E00456
Sun Microsystems Inc.
Notice to Interested Persons

Captive Reinsurance

PTE 04-12 Svenska Cellulosa
69 FR 40978 Jul. 7, 2004
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003

05-21E
07/24/2005
E00451
Silver Lake Technology Associates II

Private Equity Fund Investments

PTE 00-32 Triumph Capital
65 FR 37170 Jun. 13, 2000
FAN 02-06E Hellman & Friedman Jul. 28, 2002

05-20E
07/24/2005
E00447
Blackstone Management Associates IV
Notice to Interested Persons

Private Equity Fund Investments

PTE 00-32 Triumph Capital
65 FR 37170 Jun. 13, 2000
FAN 02-06E Hellman & Friedman Jul. 28, 2002

05-19E
07/22/2005
E00444
Deutsche Bank AG; Deutsche Bank
Notice to Interested Persons

Credit Facility Arrangement

PTE 04-02 Bank of America
69 FR 7506 Feb. 17, 2004
PTE 00-22 Bankers Trust Co
65 FR 33376 May 23, 2000

05-18E
07/21/2005
E00452
Tarrant Partners LP

Private Equity Fund Investments

PTE 00-32 Triumph Capital
65 FR 37170 Jun. 13, 2000
FAN 02-06E Hellman & Friedman Jul. 28, 2002

05-17E
07/21/2005
E00450
Providence Equity Partners Inc.
Notice to Interested Persons

Private Equity Fund Investments

PTE 00-32 Triumph Capital
65 FR 37170 Jun. 13, 2000
FAN 02-06E Hellman & Friedman Jul. 28, 2002

05-16E
07/21/2005
E00449
Kohlberg, Kravis, Roberts & Company LP
Notice to Interested Persons

Private Equity Fund Investments

PTE 00-32 Triumph Capital
65 FR 37170 Jun. 13, 2000
FAN 02-06E Hellman & Friedman Jul. 28, 2002

05-15E
07/21/2005
E00448
The Goldman Sachs Group Inc.
Notice to Interested Persons

Private Equity Fund Investments

PTE 00-32 Triumph Capital
65 FR 37170 Jun. 13, 2000
FAN 02-06E Hellman & Friedman Jul. 28, 2002

05-14E
07/21/2005
E00446
Bain Capital LLC

Private Equity Fund Investments

PTE 00-32 Triumph Capital
65 FR 37170 Jun. 13, 2000
FAN 02-06E Hellman & Friedman Jul. 28, 2002

05-13E
07/17/2005
E00442
Masters Mates & Pilots Maritime Advancement Training Education & Safety Program
Notice to Interested Persons

Sale by Plan of Real Property

PTE 00-18 Rhode Island Carpenter
65 FR 25949 May 4, 2000
FAN 02-01E Operating Engineers Jan. 11, 2002

05-12E
07/13/2005
E00445
Raytheon Savings and Investment Plan
Notice to Interested Persons

Acquisition, Holding, Exercise & Disposition of Certain Warrants

PTE 02-29 Wyndham Int’l Inc.
67 FR 39068 Jun. 6, 2002
PTE 02-02 Golden Retirement
67 FR 1243 Jan. 9, 2002

05-11E
07/11/2005
E00439
Little Rock Diagnostic Clinic PA Profit Sharing Plan
Notice to Interested Persons

Sale by Plan of Real Property

PTE 00-23 Bay Internists, Inc
65 FR 33377 May 23, 2000
FAN 01-03E Little Rock Clinic Mar. 3, 2001

05-10E
05/21/2005
E00435
Chick-Fil-A Inc Amended & Restated Profit Sharing Plan
Notice to Interested Persons

Sale by Plan of Real Property

PTE 00-31 H. Ray McPhail
65 FR 37170 Jun. 13, 2000
FAN 04-10E Hunter Smith et al May 27, 2004

05-09E
05/07/2005
E00434
Rothschild Asset Management Inc.
Notice to Interested Persons

Investment of Plan Assets in Securities During the Existence of an Underwriting or Selling Syndicate Advised by a Fiduciary and the Receipt of Compensation

PTE 03-24 Deutsche Bank
68 FR 48637 Aug. 14, 2003
PTE 00-27 Chase Manhattan Bank
65 FR 35129 Jun. 1, 2000
PTE 00-25 Morgan Guaranty Trust
65 FR 35129 Jun. 1, 2000

05-08E
04/08/2005
E00438
Federal-Mogul Corp. Salaried Employee’s Investment Program

Acquisition, Holding, Exercise & Disposition of Certain Warrants

PTE 02-29 Wyndham Int’l Inc.
67 FR 39068 Jun. 6, 2002
FAN 02-07E Motient 401(k) Plan Aug. 1, 2002

05-07E
04/08/2005
E00437
Federal-Mogul Corp. Employee Investment Program

Acquisition, Holding, Exercise & Disposition of Certain Warrants

PTE 02-29 Wyndham Int’l Inc.
67 FR 39068 Jun. 6, 2002
FAN 02-07E Motient 401(k) Plan Aug. 1, 2002

05-06E
04/08/2005
E00432
Federal-Mogul Corp. 401(k) Investment Program

Acquisition, Holding, Exercise & Disposition of Certain Warrants

PTE 02-29 Wyndham Int’l Inc.
67 FR 39068 Jun. 6, 2002
FAN 02-07E Motient 401(k) Plan Aug. 1, 2002

05-05E
03/27/2005
E00431
JP Morgan Chase & Co., and JP Morgan Securities Inc. and Affiliates
Notice to Interested Persons

Purchase or Sale of Securities in the Context of a Portfolio Liquidation or Restructuring

PTE 03-20 Deutsche Bank
68 FR 40689 Jul. 8, 2003
PTE 03-23 Goldman Sachs & Co
68 FR 40698 Jul. 8, 2003

05-04E
03/26/2005
E00430
Synergy Inc. Profit Sharing Plan
Notice to Interested Persons

Sale by Plan of Partnership Interests

PTE 99-18 State Bankshares
64 FR 24423 May 6, 1999
PTE 99-48 Info. Systems
64 FR 70748 Dec. 17, 1999
PTE 2000-04 TMI Systems
65 FR 4854 Feb. 1, 2000
FAN 04-12E GA Crown Jun. 25, 2004

05-03E
03/12/2005
E00429
Bank Fund VII LP
Notice to Interested Persons

Purchase by Plan of Partnership Interests; Mergers and Acquisitions; and Incentive Compensation

PTE 00-37 The Banc Funds Co.
65 FR 49018 Aug. 10, 2000
PTE 02-36 The Banc Funds Co.
67 FR 51886 Aug. 9, 2002

05-02E
01/08/2005
E00416
Alcoa Inc. Howmet Corporation Fujikura Three River
Notice to Interested Persons

Captive Reinsurance

PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
PTE 00-48 Columbia Energy
65 FR 60452 Oct. 11, 2000
FAN 03-32E International Paper Nov. 7, 2003

05-01E
01/06/2005
E00378
US Trust Corporation and US Trust Corporation Employees Retirement Plan
Notice to Interested Persons

In-kind Redemption by In-house Plans of shares in certain proprietary mutual funds

PTE 02-20 Union Bk of California
67 FR 14986 Mar. 28, 2002
PTE 03-01 Northern Trust Co
68 FR 6194 Feb. 6, 2003

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

04-64E
12/31/2004
E00428
Mary Margaret Wolf IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
PTE 99-06 IRAs for Hummel, et al
64 FR 4127 Jan. 27, 1999
FAN 02-22E Louis Ahlemeyer Dec. 25, 2002
FAN 03-17E Gayle Line Zuk IRA Sep. 26, 2003

04-63E
12/31/2004
E00427
Comtrust as Trustee for Dennis E. Wolf

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
PTE 99-06 IRAs for Hummel, et al
64 FR 4127 Jan. 27, 1999
FAN 02-22E Louis Ahlemeyer Dec. 25, 2002
FAN 03-17E Gayle Line Zuk IRA Sep. 26, 2003

04-62E
12/31/2004
E00426
Dr. Dennis E. Wolf IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
PTE 99-06 IRAs for Hummel, et al
64 FR 4127 Jan. 27, 1999
FAN 02-22E Louis Ahlemeyer Dec. 25, 2002
FAN 03-17E Gayle Line Zuk IRA Sep. 26, 2003

04-61E
12/31/2004
E00425
Wolfram Wald IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
PTE 99-06 IRAs for Hummel, et al
64 FR 4127 Jan. 27, 1999
FAN 02-22E Louis Ahlemeyer Dec. 25, 2002
FAN 03-17E Gayle Line Zuk IRA Sep. 26, 2003

04-60E
12/31/2004
E00424
Irene R. Wald Rollover IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
PTE 99-06 IRAs for Hummel, et al
64 FR 4127 Jan. 27, 1999
FAN 02-22E Louis Ahlemeyer Dec. 25, 2002
FAN 03-17E Gayle Line Zuk IRA Sep. 26, 2003

04-59E
12/31/2004
E00423
George A. Wald Rollover IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
PTE 99-06 IRAs for Hummel, et al
64 FR 4127 Jan. 27, 1999
FAN 02-22E Louis Ahlemeyer Dec. 25, 2002
FAN 03-17E Gayle Line Zuk IRA Sep. 26, 2003

04-58E
12/31/2004
E00422
Larry E. Robinson IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
PTE 99-06 IRAs for Hummel, et al
64 FR 4127 Jan. 27, 1999
FAN 02-22E Louis Ahlemeyer Dec. 25, 2002
FAN 03-17E Gayle Line Zuk IRA Sep. 26, 2003

04-57E
12/31/2004
E00420
Alan D. Douglas IRA

IRAs Selling Shares of Company Stock so the Company can become Subchapter S Corporation

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 01-14E Harry J Bell IRA Apr. 4, 2001

04-56E
12/31/2004
E00419
Harold J. Brewer IRA

IRAs Selling Shares of Company Stock so the Company can become Subchapter S Corporation

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 01-14E Harry J Bell IRA Apr. 4, 2001

04-55E
12/31/2004
E00417
Clifford M. Bowen Jr. and Cindy M. Robbins

IRAs Selling Shares of Company Stock so the Company can become Subchapter S Corporation

PTE 02-10 Brenda Moran IRA
67 FR 5318 Feb. 5, 2002
FAN 03-28E Dennis Hudson Sep. 26, 2003

04-54E
12/26/2004
E00418
Donna Redwine IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-53E
12/26/2004
E00415
W.T. Simpson IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-52E
12/26/2004
E00414
Sammie J. Simpson IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-51E
12/26/2004
E00413
Lula Maye Shanks IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-50E
12/26/2004
E00412
Gerald Shanks IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-49E
12/26/2004
E00411
Jerry Redwine O.D. IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-48E
12/26/2004
E00410
Donna Redwine IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-47E
12/26/2004
E00409
Mike Ratke IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-46E
12/26/2004
E00408
Donna Ratke IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-45E
12/26/2004
E00407
Pat Prater IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-44E
12/26/2004
E00406
Arnold Prater IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-43E
12/26/2004
E00405
Mary Moore IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-42E
12/26/2004
E00404
Judy Moore IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-41E
12/26/2004
E00403
Dewey Moore IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-40E
12/26/2004
E00402
Sally Messenger IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-39E
12/26/2004
E00401
Jay Messenger IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-38E
12/26/2004
E00400
Don McElroy IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-37E
12/26/2004
E00399
Kay Mardis IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-36E
12/26/2004
E00398
W. T. Hutton IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-35E
12/26/2004
E00397
Kenneth R. Henry IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-34E
12/26/2004
E00396
Darlene Henry IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-33E
12/26/2004
E00395
Lynnette Greak IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-32E
12/26/2004
E00394
Bill Dolle IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-31E
12/26/2004
E00393
Edwin R. Cox IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-30E
12/26/2004
E00392
Carol Cox IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-29E
12/26/2004
E00391
James Brown IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-28E
12/26/2004
E00390
Van Brimhall DVM IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-27E
12/26/2004
E00389
Tommie Bratcher IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-26E
12/26/2004
E00388
Charles Bratcher IRA

Sale by Plan of Other Securities

PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998
FAN 02-23E Jamie Ward IRA Dec. 25, 2002

04-25E
12/10/2004
E00384
J.W. Collins Money Purchase Pension Plan

Sale by Plan of Other Securities

PTE 98-59 Albright et al IRAs
63 FR 69326 Dec. 16, 1998
PTE 99-27 Western Petroleum Co
64 FR 38481 Jul. 16, 1999
FAN 03-34-36E Leak et al IRAs Dec. 27, 2003

04-24E
12/10/2004
E00383
Kathleen C. Collins IRA

Sale by Plan of Other Securities

PTE 98-59 Albright et al IRAs
63 FR 69326 Dec. 16, 1998
PTE 99-27 Western Petroleum Co
64 FR 38481 Jul. 16, 1999
FAN 03-34-36E Leak et al IRAs Dec. 27, 2003

04-23E
12/10/2004
E00382
James W. Collins IRA

Sale by Plan of Other Securities

PTE 98-59 Albright et al IRAs
63 FR 69326 Dec. 16, 1998
PTE 99-27 Western Petroleum Co
64 FR 38481 Jul. 16, 1999
FAN 03-34-36E Leak et al IRAs Dec. 27, 2003

04-22E
12/10/2004
E00380
Lehman Brothers Holding Inc.

Purchase, sale or holding by Plan of Other Securities

PTE 01-30 J.P. Morgan Chase
66 FR 45342 Aug. 28 2001
PTE 01-11 Salomon Smith Barney
66 FR 17738 Apr. 3, 2001
PTE 00-63 Merrill Lynch & Co
65 FR 76306 Dec. 6, 2000

04-21E
12/02/2004
E00379
Citigroup Global Markets Inc.

Sale by Plan of Other Securities

PTE 03-20 Deutsche Bank
68 FR 40689 Jul. 8, 2003
PTE 03-23 Goldman Sachs
68 FR 40698 Jul. 8, 2003

04-20E
11/29/2004
E00386
Peter F. Stoloff Money Purchase Pension Plan and Profit Sharing Plan

Sale by Plan of Partnership Interests

PTE 99-48 Information Systems
64 FR 70748 Dec. 17, 1999
PTE 00-04 TMI Systems
65 FR 4854 Feb. 1, 2000

04-19E
10/13/2004
E00364
Parsons Behle & Latimer Money Purchase Pension Plan and the Parsons Behle & Latimer Profit Sharing Plan

Sale by Plan of Real Property

PTE 01-29 Gooch Enterprises, Inc
66 FR 45341 Aug. 28 2001
PTE 02-26 Holt, Fleck & Free
67 FR 36030 May 22, 2002

04-18E
09/07/2004
E00362
Milacron Retirement Savings Plan and Milacron Retirement Plan

Stock Rights Offering

PTE 01-24 Alpha Technologies
66 FR 40734 Aug. 3, 2001
PTE 98-47 Bernard Chaus
63 FR 53729 Oct. 6, 1998
FAN 03-05E Revlon Savings Plan May 1, 2003
FAN 02-07E Motient 401(k) Aug. 1, 2002

04-17E
08/19/2004
E00360
ALCON Laboratories Inc.

Captive Reinsurance

PTE 00-48 Columbia Energy
65 FR 60452 Oct. 11, 2000
PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003

04-16E
08/18/2004
E00358
Terwin Capital LLC

Securities/Underwriter Exemption

PTE 00-19 BOSC, Inc.
65 FR 25950 May 4, 2000
PTE 00-55 Countrywide
65 FR 37171 Jun. 13, 2000; and
PTE 2000-41 First Tennessee
65 FR 51039 Aug. 22, 2000
each as amended by
PTE 2000-58 Bear Stearns, et al.
65 FR 67765 Nov. 13, 2000
PTE 2002-41 Bear Stearns, et al.
67 FR 54487 Aug. 22, 2002
FAN 03-07E Raymond James Jun. 14, 2003

04-15E
08/13/2004
E00359
Jerry D. Clayton Self-Directed IRA Rollover

Sale by Plan of Real Property

PTE 00-20 Taylor M. Cole IRA
65 FR 25953 May 4, 2000
PTE 01-29 Gooch Enterprises
66 FR 45341 Aug. 28, 2001

04-14E
07/30/2004
E00357
Greenview Management Corporation Pension Plan and Trust

Sale by Plan of Other Assets

PTE 99-18 State Bankshares
64 FR 24423 May 6, 1999
PTE 04-04 TMI Systems
65 FR 4854 Feb. 1, 2000

04-13E
07/02/2004
E00349
White & Company Insurance Inc. Profit Sharing Plan

Sale by Plan of Real Property

PTE 99-35 H.H. Borland Inc PSP
64 FR 46422 Aug. 25, 1999
PTE 99-43 Jonas Builders
64 FR 56813 Oct. 21, 1999
PTE 02-26 Holt, Fleck & Free
67 FR 36030 May 22, 2002

04-12E
06/25/2004
E00356
Georgia Crown Distributing Company Profit Sharing Plan and Trust

Sale Out by Plan of Fund Units to Party in Interest, Plan Sponsor

PTE 00-04 TMI Systems
65 FR 4854 Feb. 1, 2000
PTE 99-18 State Bankshares
64 FR 24423 May 6, 1999

04-11E
06/18/2004
E00353
Deutsche Bank AG

Purchase, Sale, or Holding of Publicly-traded Debt Securities and Extension of Credit

PTE 01-30 J.P. Morgan
66 FR 45342 Aug. 28, 2001
PTE 01-11 Citigroup & Salomon
66 FR 17738 Apr. 3, 2001
PTE 00-63 Merrill Lynch
65 FR 76306 Dec. 6, 2000

04-10E
05/27/2004
E00352
Hunter, Smith & Davis LLP 401(k) Retirement Plan

Sale by Plan of Real Property

PTE 00-31 H. Ray McPhail
65 FR 37170 Jun. 13, 2000
PTE 99-38 MICO
64 FR 53736 Oct. 4, 1999
PTE 00-20 Taylor M. Cole IRA
65 FR 25953 May 4, 2000
PTE 01-29 Gooch Enterprises
66 FR 45341 Aug. 28, 2001
PTE 01-37 Miller International
66 FR 49423 Sep. 27, 2001

04-09E
05/20/2004
E00350
James T. Barry Co. Inc., Retirement Plan

Sale by Plan of Interest in Real Property

PTE 03-03 Reagent Chemical
68 FR 10047 Mar. 3, 2003
PTE 01-29 Gooch Enterprises
66 FR 45341 Aug. 28, 2001
PTE 01-37 Miller International
66 FR 49423 Sep. 27, 2001

04-08E
04/07/2004
E00345
Kentucky State District Council of Carpenters Joint Apprenticeship and Journeyman Training Trust Fund

Purchase by Plan of Real Property

PTE 98-12 Hawaii Laborers'
63 FR 12843 Mar. 16, 1998
PTE 00-21 Texas Iron Workers
65 FR 33376 May 23, 2000
FAN 03-01E Alaska Laborers Jan. 9, 2003

04-07E
04/01/2004
E00347
James A. Lo Sapio Jr. IRA

Loan by Plan Secured by Real Estate

PTE 00-02 S&S Partnership
65 FR 04853 Feb. 1, 2000
PTE 00-31 H. Ray McPhail
65 FR 37170 Jun. 13, 2000

04-06E
02/25/2004
E00344
Pacific Construction Supply and Service Corporation Profit Sharing Plan

Sale by Plan of Real Property

PTE 03-13 Richard Gorman
68 FR 34650 Jun. 10, 2003
PTE 01-29 Gooch Enterprises Inc
66 FR 45341 Aug. 28, 2001

04-05E
02/21/2004
E00346
John M. Chezik IRA

Sale Out of Farm Land by IRA to a Company Which is a Disqualified Person

PTE 01-29 Gooch Enterprises Inc
66 FR 45341 Aug. 28, 2001
PTE 00-20 Taylor M Cole IRA
65 FR 25953 May 4, 2000

04-04E
02/06/2004
E00343
Briner Electric Company Profit Sharing Plan and Trust

Loan by Plan Secured by Real Property

PTE 00-02 S & S Partnership
65 FR 04853 Feb. 1, 2000
PTE 00-31 H. Ray McPhail
65 FR 37170 Jun. 13, 2000
PTE 03-29 Valley OB-GYN Clinic
68FR 52790 Sep. 5, 2003

04-03E
02/04/2004
E00342
Barclays Bank PLC & Barclays Capital One

Asset-Backed Securities/Underwriter Exemption

PTE 02-41 Amend PTE 00-58
67 FR 54487 Aug. 22, 2002
PTE 00-58 Amend PTE 97-34
65 FR 67765 Nov. 13, 2000

04-02E
01/29/2004
E00332
Morgan Stanley & Co. Inc. (MS&Co)

Principal transaction w/employee benefit plans, securities borrowing; extensions of credit, and guarantee

PTE 02-08 Modify PTE 97-08
67 FR 2688 Jan. 18, 2002
PTE 99-04 Salomon Smith Barney
64 FR 04127 Jan. 27, 1999

04-01E
01/21/2004
E00331
Credit Suisse First Boston LLC

Transitional brokerage services; principal transaction w/securities

PTE 03-23 Goldman Sachs & Co
68 FR 40698 Jul. 8, 2003
PTE 03-20 Deutsche Bank
68 FR 40689 (Jul. 8, 2003

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

03-37E
12/29/2003
E00340
Robert Larner Pension Trust Money Purchase Pension Plan

Sale by Plan of Real Property to Parties in Interest

PTE 02-26 Holt Fleck & Free
67 FR 36030 May 22, 2002
PTE 99-35 H.H. Borland
64 FR 46422 Aug. 25, 1999

03-36E
12/27/2003
E00335
Polly Richards Lemoine IRA

Sale of Stock by IRA to Disqualified Person

PTE 98-59 Albright et al IRAs
63 FR 69326 May 5, 2003
FAN 01-26E Kevin Kavanaugh Oct. 19, 2001

03-35E
12/27/2003
E00334
William Conville Lemoine IRA

Sale of Stock by IRA to Disqualified Person

PTE 98-59 Albright et al IRAs
63 FR 69326 May 5, 2003
FAN 01-26E Kevin Kavanaugh Oct. 19, 2001

03-34E
12/27/2003
E00333
Harrison Carter Leak III IRA

Sale of Stock by IRA to Disqualified Person

PTE 98-59 Albright et al IRAs
63 FR 69326 May 5, 2003
FAN 01-26E Kevin Kavanaugh Oct. 19, 2001

03-33E
12/10/2003
E00330
SACO Management Inc. Profit Sharing Plan

Sale of Real Property by Plan to Party in Interest

PTE 01-29 Gooch Enterprises
66 FR 45341 Aug. 28, 2001
PTE 03-13 Richard Gorman
68 FR 34650 Jun. 10, 2003

03-32E
11/07/2003
E00328
International Paper Company

Captive Reinsurance

PTE 03-07 Archer Daniels
68 FR 23764 May 5, 2003
PTE 00-48 Columbia Energy
65 FR 60452 Oct. 11, 2000

03-31E
10/25/2003
E00327
JP Morgan Chase Bank, JP Morgan Investment Management Inc., JP Morgan Fleming Assets Management Inc.

Investment of plan assets in mutual funds advised by a fiduciary and the receipt of fees by affiliates of plan fiduciary

PTE 02-28 Mass Mutual Ins.
67 FR 39063 Jun. 6, 2002
PTE 00-66 Allfirst Bank
65 FR 80461 Dec. 21, 2000

03-30E
10/17/2003
E00326
Lehman Brothers Holdings Inc.

Securities Lending between Plans and Broker-dealers (affiliated with plan fiduciary)

PTE 02-48 Deutsche Bank AG
67 FR 62827 Oct. 4, 1999
PTE 02-45 Deutsche Bank AG
67 FR 59564 Sep. 23, 2002
PTE 01-08 ING Barings LLC
66 FR 10326 Feb. 14, 2001

03-29E
09/27/2003
E00324
South West Plumbing Co. Profit Sharing Plan

Sale out of land parcels

PTE 99-38 MICO Inc. PSP
64 FR 53736 Oct. 4, 1999
PTE 03-03 Reagent Chemical
68 FR 10047 Mar. 3, 2003

03-28E
09/26/2003
E00323
Dennis Hudson IRA

IRAs selling shares of Company stock so the Company can become Subchapter S Corporation

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999

03-27E
09/26/2003
E00322
Michael L. Weaver IRA

IRAs selling shares of Company stock so the Company can become Subchapter S Corporation

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999

03-26E
09/26/2003
E00321
Francis Duff IRA

IRAs selling shares of Company stock so the Company can become Subchapter S Corporation

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999

03-25E
09/26/2003
E00320
Donna L. McCoy IRA

IRAs selling shares of Company stock so the Company can become Subchapter S Corporation

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999

03-24E
09/26/2003
E00319
Bruce B. Morgan IRA

IRAs selling shares of Company stock so the Company can become Subchapter S Corporation

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999

03-23E
09/26/2003
E00318
Joyce M. Coons Stern IRA

IRAs selling shares of Company stock so the Company can become Subchapter S Corporation

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999

03-22E
09/26/2003
E00317
John A. Maichel IRA

IRAs selling shares of Company stock so the Company can become Subchapter S Corporation

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999

03-21E
09/26/2003
E00316
Anne Marie Maichel IRA

IRAs selling shares of Company stock so the Company can become Subchapter S Corporation

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999

03-20E
09/26/2003
E00315
James E. Waller IRA

IRAs selling shares of Company stock so the Company can become Subchapter S Corporation

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999

03-19E
09/26/2003
E00314
Kirk Vaughan Self Directed IRA

IRAs selling shares of Company stock so the Company can become Subchapter S Corporation

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999

03-18E
09/26/2003
E00313
Michael Zuk Jr. IRA SEP

IRAs selling shares of Company stock so the Company can become Subchapter S Corporation

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999

03-17E
09/26/2003
E00312
Gayle Line Zuk IRA

IRAs selling shares of Company stock so the Company can become Subchapter S Corporation

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999

03-16E
09/20/2003
E00311
AmSouth Bancorp. Retirement Plan

In-Kind redemption of assets by in-house plans of the investment advisers of mutual funds

PTE 02-20 Union Bk of California
67 FR 14986 Mar. 28, 2002
PTE 03-01 Northern Trust Co
68 FR 6194 Feb. 6, 2003

03-15E
08/30/2003
E00310
Lehman Brothers Holdings Inc.

Securities Transactions Described in PTE 75-1 & PTE 81-6 Between Plan and Certain Foreign Broker-Dealers

PTE 01-45 Amend PTE 99-45
66 FR 56130 Nov. 6, 2001
PTE 00-47 Goldman Sachs & Co.
65 FR 56341 Sep. 18, 2000

03-14E
08/24/2003
E00307
WAMU Capital Corporation

Asset-Backed and Mortgage Backed Securities

PTE 02-41 Bear Stearns & Co
67 FR 54487 Aug. 19, 2002
Which Updates
PTE 94-29 Residential Funding
59 FR 14675 Mar. 29, 1994
PTE 94-73 GE Capital Mortgage
59 FR 51213 Oct. 7, 1994

03-13E
08/22/2003
E00325
Miller International Inc. Profit Sharing Plan

Sale by Plan of Real Property

PTE 01-37 Miller Int’l Inc.
66 FR 49423 Sep. 27, 2001
PTE 01-29 Gooch Enterprises
66 FR 45341 Aug. 28, 2001

03-12E
08/15/2003
E00306
Goldman Sachs Group Inc.

Sale by Plan of Other Securities

PTE 00-63 Merrill Lynch & Co
65 FR 76306 Dec. 6, 2000
PTE 01-11 Salomon Smith Barney
66 FR 17738 Apr. 3, 2001

03-11E
07/31/2003
E00309
Peter F. Stoloff PC Money Purchase Pension Plan & Profit Sharing Plan

Sale by Plan of Partnership Interests

PTE 99-48 Information Systems
64 FR 70748 Dec. 17, 1999
PTE 00-04 TMI Systems Design
65 FR 04854 Feb. 1, 2000

03-10E
07/09/2003
E00303
The Prudential Insurance Co. of America

QPAM where affiliate has been convicted of a felony

FAN 00-30E Nomura Corporate Dec. 3, 2000
PTE 97-10 PanAgora Asset Mgmt.
62 FR 04813 Jan. 31, 1997

03-09E
06/26/2003
E00299
UBS AG

Securities transaction described in PTE 75-1, PTE 81-6, between plans and certain foreign broker-dealers

PTE 99-04 Salomon Smith Barney
64 FR 04127 Jan. 27, 1999
PTE 99-45 Donaldson el al
64 FR 61138 Nov. 9, 1999
PTE 98-62 Barclays Bank
63 FR 71307 Dec. 24, 1998

03-08E
06/15/2003
E00304
Merrill Lynch & Co. Inc.

Securities Lending between Plans and Broker-dealers (affiliated with plan fiduciary)

PTE 02-45 Deutsche Bank AG
67 FR 59564 Sep. 23, 2002
PTE 02-46 Barclays Global
67 FR 59569 Sep. 23, 2002

03-07E
06/14/2003
E00295
Raymond James & Associates Inc. Financial Inc.

Asset-Backed Securities/Underwriter Exemption

PTE 00-58 Amend PTE 97-34
65 FR 67765 Nov. 13, 2000
PTE 02-41 Amend PTE 00-58
67 FR 54487 Aug. 22, 2002

03-06E
06/12/2003
E00302
Neil G. Clement Self-Directed IRA

Sale by Plan of Real Property

PTE 01-29 Gooch Enterprises Inc
66 FR 45341 Aug. 28, 2001
PTE 00-20 Taylor M. Cole IRA
65 FR 25953 May 4, 2000
PTE 98-03 R. Doneff Custodial
63 FR 01980 Jan. 13, 1998

03-05E
05/01/2003
E00298
Revlon Employees' Savings Investment and Profit Sharing Plan

Acquisition, holding and exercise or sale by the Plan of Employer Securities

PTE 02-43 Chiquita Proc. Foods
67 FR 56594 Sep. 4, 2002
PTE 02-29 Wyndham International
67 FR 39063 Jun. 6, 2002
PTE 01-28 Dime Bancorp Inc
66 FR 45340 Aug. 28, 2001

03-04E
02/14/2003
E00293
Nathan Mandelbaum IRA Account

Sale by Plan of Interest in a Property

PTE 00-64 David Mandelbaum
65 FR 76308 Dec. 6, 2000
PTE 01-03 Eldon Nysether
66 FR 04043 Jan. 17, 2001

03-03E
02/15/2003
E00294
United States Steel and Carnegie Pension Fund

Similar to QPAM relief without diverse clientele test

PTE 01-05 DuPont Capital
66 FR 07789 Jan. 25, 2001
PTE 01-06 GMIMCO
66 FR 07795 Jan. 25, 2001

03-02E
02/07/2003
E00292
Robinson Enterprises Profit Sharing Plan

Sale by Plan of Real Property

PTE 01-37 Miller Int’l. Inc
66 FR 49423 Sep. 27, 2001
FAN 98-31E Radiology of Tampa Dec. 28, 1998

03-01E
01/09/2003
E00289
Alaska Laborers Construction Industry Apprenticeship and Training Trust

Purchase by Plan of Real Property

PTE 00-21 Texas Iron Wkrs
65 FR 33376 May 23, 2000
PTE 98-31 Pipefitters LU 537
63 FR 33731 Jun. 19, 1998

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

02-25E
12/27/2002
E00288
Pamela McGuire IRA

Sale by Plan of Other Securities

PTE 99-06 Hummel, Gibson et al
64 FR 4131 Jan. 27, 1999
PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998

02-24E
12/27/2002
E00287
Kevin McGuire IRA

Sale by Plan of Other Securities

PTE 99-06 Hummel, Gibson et al
64 FR 4131 Jan. 27, 1999
PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998

02-23E
12/25/2002
E00291
Jamie J. Wooldridge Ward IRA

IRAs selling shares of Company stock so the Company can become Subchapter S Corporation

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 4131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson et al
64 FR 4131 Jan. 27, 1999

02-22E
12/25/2002
E00290
Louis K. Ahlemeyer IRA

IRAs selling shares of Company stock so the Company can become Subchapter S Corporation

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 99-05 Brune, Glowacki et al
64 FR 4131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson et al
64 FR 4131 Jan. 27, 1999

02-21E
12/20/2002
E00286
Jones-Hamilton Co. Deferred PSP

Sale by Plan of Promissory Notes

PTE 98-50 John B. Vick DDS
63 FR 56231 Oct. 21, 1998
PTE 99-37 Modern Woodmen
64 FR 52551 Sep. 29, 1999

02-20E
12/06/2002
E00285
S. Brent Heiskell IRA

Sale by IRA stock to IRA Owners

PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson et al
64 FR 04131 Jan. 27, 1999

02-19E
12/06/2002
E00284
Frank R. Parker IRA

Sale by IRA stock to IRA Owners

PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson et al
64 FR 04131 Jan. 27, 1999

02-18E
12/06/2002
E00283
Paul G. Willson IRA

Sale by IRA stock to IRA Owners

PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson et al
64 FR 04131 Jan. 27, 1999

02-17E
12/06/2002
E00282
Debby D. Hannah IRA

Sale by IRA stock to IRA Owners

PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson et al
64 FR 04131 Jan. 27, 1999

02-16E
12/06/2002
E00281
George Scott Hannah IRA

Sale by IRA stock to IRA Owners

PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson et al
64 FR 04131 Jan. 27, 1999

02-15E
11/06/2002
E00278
Whataburger Inc. Profit Sharing and Savings Plan

Sale of Improved Real Property by Plan to Employer Sponsor

PTE 99-20 VECO Corp.
64 FR 28838 May 27, 1999
PTE 98-21 Tyson Foods Inc
63 FR 27328 May 18, 1998

02-14E
11/03/2002
E00280
Cranna Construction Co. Inc. Profit Sharing Plan

Sale by Plan of Real Property

PTE 00-20 Taylor M. Cole IRA
65 FR 25953 May 04, 2000
PTE 01-29 Gooch Enterprises
66 FR 45341 Aug. 28, 2001

02-13E
10/18/2002
E00277
Paul W. Bridgman VIP Profit Sharing Plan & Nicholas C. Zagotta Keogh Plan

Sale by Plan of Securities (closely-held stock of bank holding company, Sub Chapter S Corporation)

PTE 99-02 Toledo Clinic Inc
64 FR 03319 Jan. 21, 1999
PTE 99-10 GUS Plan
64 FR 11045 Mar. 08, 1999

02-12E
10/11/2002
E00276
Barbie J. Barrett MD Inc. Profit Sharing Plan and Money Purchase Pension Plan

Sale by Plan of Improved Real Property (Residential)

PTE 99-35 H.H. Borland Inc
64 FR 46422 Aug. 25, 1999
PTE 00-20 Taylor M. Cole IRA
65 FR 25953 May 04, 2000

02-11E
10/11/2002
E00275
Transol Corp TRA 86 Restated Profit Sharing Plan and Trust

Sale out of improved real property by the Plan to Party in Interest

PTE 00-52 Kwik-Kopy Corp
65 FR 65331 Nov. 01, 2000
PTE 99-43 Jonas Builders Inc
64 FR 56813 Oct. 21, 1999
PTE 98-29 Knoxville Surgical
63 FR 33731 Jun. 19, 1998

02-10E
09/20/2002
E00274
Macquarie Bank Limited

Securities transactions described in PTE 75-1, PTE 81-6, between plans and certain foreign broker-dealers

PTE 98-62 Barclays Bank
63 FR 71307 Dec. 24, 1998
PTE 99-45 Donaldson et al
64 FR 61138 Nov. 09, 1999
PTE 00-47 Goldman Sachs
65 FR 56341 Sep. 18, 2000

02-09E
09/14/2002
E00273
The TCW Group, Inc.

Purchase of securities for plan by Asset Manager/Fiduciary

PTE 00-25 Morgan Guaranty
65 FR 35129 Jun. 01, 2000
PTE 00-27 Chase Manhattan
65 FR 35129 Jun. 01, 2000

02-08E
09/05/2002
E00271
Carpenters Apprenticeship & Journeyman Training and Educational Trust

Purchase by Plan of Real Property from the Union

PTE 98-31 Pipefitters LU 537
63 FR 33731 Jun. 19, 1998
PTE 98-12 Hawaii Laborers'
63 FR 12843 Mar. 16, 1998
PTE 00-21 Texas Iron Workers
65 FR 33376 May 23, 2000

02-07E
08/01/2002
E00269
Motient 401k Savings Plan

Receipt by Plan of Warrants to buy Employer Stock

PTE 02-02 Golden Retirement
67 FR 1243 Jan. 09, 2002
PTE 02-29 Wyndham Int'l Inc.
67 FR 39068 Jun. 06, 2002

02-06E
07/28/2002
E00267
Hellman & Friedman Fund

Purchase by Plans of Interests in a Private Equity Fund that is a Party in Interest

PTE 00-32 Triumph Capital Grp
65 FR 37170 Jun. 13, 2000
PTE 97-42 TA Associates Inc
62 FR 42839 Aug. 08, 1997

02-05E
07/05/2002
E00266
E. Paul Breaux Jr. IRA

Sale of Unimproved Real Property by IRA to IRA Owner

PTE 00-20 Taylor M. Cole IRA
65 FR 25953 May 04, 2000
PTE 98-03 R. Doneff IRA
63 FR 01980 Jan. 13, 1998

02-04E
05/16/2002
E00264
Data Systems Analysts Inc Employee Stock Ownership Plan

Sale by Plan of Other Securities to the Plan Sponsor

PTE 99-48 Info. Systems
64 FR 70748 Dec. 17, 1999
PTE 98-37 McClain's R.V.
63 FR 38854 Jul. 20, 1998

02-03E
03/25/2002
E00261
Bank of America NA

Credit Facility (i.e., loans to entity by Party in Interest/banks)

PTE 00-22 Bankers Trust
65 FR 33376 May 23, 2000
PTE 01-21 Bank of America
66 FR 34466 Jun. 28, 2001
PTE 00-10 Bankers Trust
65FR 10826 Feb. 29, 2000

02-02E
02/24/2002
E00260
King's Office Products Centers Inc 401k Plan

Sale by Plan of Two Limited Partnership Interests to Plan Sponsor

PTE 99-18 State Bankshares
64 FR 24423 May 6, 1999
PTE 00-04 TMI Systems Design
65 FR 04854 Feb. 1, 2000

02-01E
01/11/2002
E00258
Operating Engineers Local No. 17 Training Fund

Sale of Real Property by Plan to Party in Interest Union

PTE 01-18 UAM Fund Services
66 FR 22615 May 4, 2001
PTE 98-37 McClain's RV 401k
63 FR 38854 Jul. 20, 1998
PTE 99-38 MICO
64 FR 53736 Oct. 4, 1999

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

01-50E
12/31/2001
E00257
Robert M. Fitzpatrick IRA

Sale of stock by IRA's

PTE 98-59 Albright et al IRAs
63 FR 69326 Dec. 16, 1998
PTE 97-45 Chez & Kuntz IRAs
62 FR 47053 Sep. 5, 1997

01-49E
12/31/2001
E00256
John W. Dossey IRA

Sale of stock by IRA's

PTE 98-59 Albright et al IRAs
63 FR 69326 Dec. 16, 1998
PTE 97-45 Chez & Kuntz IRAs
62 FR 47053 Sep. 5, 1997

01-48E
12/28/2001
E00255
Stephen B. Swartz 1991 PSP

Sale by Plan of Real Property

PTE 98-05 Robert Herzog PSP
63 FR 03773 Jan. 26, 1998
PTE 00-20 Taylor M. Cole IRA
65 FR 25953 May 4, 2000
PTE 01-13 Amalgamated Cotton
66 FR 17740 Apr. 3, 2001

01-47E
12/07/2001
E00254
Angela D. McKinney

Sale of Stock held by Plan to IRA Owner

PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson
64 FR 04131 Jan. 27, 1999

01-46E
12/07/2001
E00253
David L. Appleman

Sale of Stock held by Plan to IRA Owner

PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson
64 FR 04131 Jan. 27, 1999

01-45E
12/07/2001
E00252
Nancy Sharp

Sale of Stock held by Plan to IRA Owner

PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson
64 FR 04131 Jan. 27, 1999

01-44E
12/07/2001
E00251
Betty Newman

Sale of Stock held by Plan to IRA Owner

PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson
64 FR 04131 Jan. 27, 1999

01-43E
12/07/2001
E00250
Shawna McKenney

Sale of Stock held by Plan to IRA Owner

PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson
64 FR 04131 Jan. 27, 1999

01-42E
12/07/2001
E00249
Rhonda McCord

Sale of Stock held by Plan to IRA Owner

PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson
64 FR 04131 Jan. 27, 1999

01-41E
12/07/2001
E00248
Steven T. Hamilton

Sale of Stock held by Plan to IRA Owner

PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson
64 FR 04131 Jan. 27, 1999

01-40E
12/07/2001
E00247
Linda Fralix

Sale of Stock held by Plan to IRA Owner

PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson
64 FR 04131 Jan. 27, 1999

01-39E
12/07/2001
E00246
Anita E. Dodson

Sale of Stock held by Plan to IRA Owner

PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson
64 FR 04131 Jan. 27, 1999

01-38E
12/07/2001
E00245
Brenda Cooper

Sale of Stock held by Plan to IRA Owner

PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson
64 FR 04131 Jan. 27, 1999

01-37E
12/07/2001
E00244
Judith Brothers

Sale of Stock held by Plan to IRA Owner

PTE 99-05 Brune, Glowacki et al
64 FR 04131 Jan. 27, 1999
PTE 99-06 Hummel, Gibson
64 FR 04131 Jan. 27, 1999

01-36E
11/24/2001
E00243
Gregory & Penny Paetow IRAs

Sale by Plan of Other Securities

PTE 99-28 Gaetano Lombardo
PTE 97-45 Chez & Kuntz IRA
64 FR 38481 Jul. 16, 1999
62 FR 47053 Sep. 5, 1997

01-35E
11/17/2001
E00241
Brinson Advisors Inc Brinson

Purchases by Index Funds plan assets of stock issued by Brinson or an Affiliate

PTE 00-59 Deutsche Bank
65 FR 70PTE 01-07 American Express 618 Nov. 24, 2000
66 FR 10323 Feb. 14, 2001
PTE 00-30 Barclays Bank PLC
65 FR 37165 Jun. 13, 2000

01-34E
10/31/2001
E00242
Robert D. Inman PSP

Sale by Plan of Other Securities

PTE 99-10 GUS Plan
64 FR 11045 Mar. 8, 1999
PTE 99-02 Toledo Clinic Inc
64 FR 03319 Jan. 21, 1999

01-33E
10/19/2001
E00240
James R. Burns IRA

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 98-59 Albright et al
63 FR 69326 Dec. 16, 1998

01-32E
10/19/2001
E00239
Tina Louise Miller IRA

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 98-59 Albright et al
63 FR 69326 Dec. 16, 1998

01-31E
10/19/2001
E00238
Rose Marie Steed IRA

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 98-59 Albright et al
63 FR 69326 Dec. 16, 1998

01-30E
10/19/2001
E00237
John H. White IRA

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 98-59 Albright et al
63 FR 69326 Dec. 16, 1998

01-29E
10/19/2001
E00236
Joyce L. Dillard IRA

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 98-59 Albright et al
63 FR 69326 Dec. 16, 1998

01-28E
10/19/2001
E00235
Marjorie L. White IRA

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 98-59 Albright et al
63 FR 69326 Dec. 16, 1998

01-27E
10/19/2001
E00234
Jan.et Kavanaugh IRA

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 98-59 Albright et al
63 FR 69326 Dec. 16, 1998

01-26E
10/19/2001
E00233
Kevin Kavanaugh IRA

Sale by Plan of Other Securities

PTE 98-38 Roark Young et al
63 FR 42079 Aug. 6, 1998
PTE 98-59 Albright et al
63 FR 69326 Dec. 16, 1998

01-25E
10/15/2001
E00232
William J. Mayer Securities LLC

Asset-backed and mortgaged-backed pass-through securities

PTE 00-55 Countrywide Securities
65 FR 67774 Nov. 13, 2000
PTE 00-33 McDonald Investments
65 FR 37171 Jun. 13, 2000

01-24E
10/06/2001
E00204
Barclays Global Investors NA & Barclays Capital Inc

Purchase securities in an underwriting managed by an affiliate

PTE 00-25 Morgan Guaranty
65 FR 35129 Jun. 01, 2000
PTE 00-29 Morgan Stanley
65 FR 35129 Jun. 01, 2000

01-23E
09/07/2001
E00231
Sylvian E. Gillespie IRA

Sale by Plan of Other Assets

PTE 98-59 Albright et al IRAs
63 FR 69326 Dec. 16, 1998
PTE 99-06 Hummel et al IRAs
64 FR 04131 Jan. 27, 1999

01-22E
09/07/2001
E00230
W. Everett Crawford IRA

Sale by Plan of Other Assets

PTE 98-59 Albright et al IRAs
63 FR 69326 Dec. 16, 1998
PTE 99-06 Hummel et al IRAs

01-21E
09/07/2001
E00229
Raye Miller IRA

Sale by Plan of Other Assets

PTE 98-59 Albright et al IRAs
63 FR 69326 Dec. 16, 1998
PTE 99-06 Hummel et al IRAs
64 FR 04131 Jan. 27, 1999

01-20E
08/25/2001
E00228
Morgan Stanley Dean Witter & Co and its Affiliates

Purchase and holding of debt securities by employee benefit plans

PTE 01-11 Citigroup & Salomon
66 FR 17738 Apr. 3, 2001
PTE 00-63 Merrill Lynch
65 FR 76306 Dec. 6, 2000

01-19E
06/23/2001
E00226
Deutsche Bank AG and Its Affiliates

Purchase by Plan of Other Securities - PTCE 75-1 underwritings mgr

PTE 00-25 Morgan Guaranty
65 FR 35129 Jun. 1, 2000
PTE 00-27 Chase Manhattan Bk
65 FR 35129 Jun. 1, 2000

01-18E
05/30/2001
E00224
American Refrigeration Supplies Inc 401k PSP

Sale out by Plan of limited partnership interests

PTE 96-86 Acme 401K
61 FR 59467 Nov. 22, 1996
PTE 99-48 Info. Systems
64 FR 70748 Dec. 17, 1999

01-17E
05/14/2001
E00214
Dow Chemical Co Emp Paid & Dependent Life Ins DORINCO Insurance Co

Captive Reinsurance

PTE 96-95 Zions Bancorporation
61 FR 68790 Dec. 30, 1996
PTE 96-49 First Security Group
61 FR 31961 Jun. 21, 1996

01-16E
04/27/2001
E00213
Jose F. Font MD PA PSP and Trust

Sale of real estate by Plan to a party in interest

PTE 00-20 Taylor M. Cole IRA
65 FR 25953 May 4, 2000
PTE 96-89 John A. Colglazier
61 FR 64766 Dec. 6, 1996

01-15E
04/20/2001
E00212
KeyCorp and Its Affiliates

Receipt of fees from mutual funds

PTE 97-47 AmSouth Bk Alabama
62 FR 47054 Sep. 5, 1997
PTE 98-49 Harris Trust
63 FR 56227 Oct. 21, 1998
PTE 00-66 Allfirst Bank
65 FR 80461 Dec. 21, 2000

01-14E
04/04/2001
E00223
Harry J. Bell IRA

Sale by holdings of common stock & warrants issued by a C Corp that is converting to an S Corp

PTE 98-38 Roark, Young et al
63 FR 42079 Aug. 6, 1998
PTE 98-59 Albright, Hamre et al
63 FR 69326 Dec. 16, 1998

01-13E
04/04/2001
E00222
Charles Porter IRA

Sale by holdings of common stock & warrants issued by a C Corp that is converting to an S Corp

PTE 98-38 Roark, Young et al
63 FR 42079 Aug. 6, 1998
PTE 98-59 Albright, Hamre et al
63 FR 69326 Dec. 16, 1998

01-12E
04/04/2001
E00221
George F. Snell IRA

Sale by holdings of common stock & warrants issued by a C Corp that is converting to an S Corp

PTE 98-38 Roark, Young et al
63 FR 42079 Aug. 6, 1998
PTE 98-59 Albright, Hamre et al
63 FR 69326 Dec. 16, 1998

01-11E
04/04/2001
E00220
Henry G. Green III IRA

Sale by holdings of common stock & warrants issued by a C Corp that is converting to an S Corp

PTE 98-38 Roark, Young et al
63 FR 42079 Aug. 6, 1998
PTE 98-59 Albright, Hamre et al
63 FR 69326 Dec. 16, 1998

01-10E
04/04/2001
E00219
Myrtice Smith Lester IRA

Sale by holdings of common stock & warrants issued by a C Corp that is converting to an S Corp

PTE 98-38 Roark, Young et al
63 FR 42079 Aug. 6, 1998
PTE 98-59 Albright, Hamre et al
63 FR 69326 Dec. 16, 1998

01-09E
04/04/2001
E00218
William C. Napier IRA

Sale by holdings of common stock & warrants issued by a C Corp that is converting to an S Corp

PTE 98-38 Roark, Young et al
63 FR 42079 Aug. 6, 1998
PTE 98-59 Albright, Hamre et al
63 FR 69326 Dec. 16, 1998

01-08E
04/04/2001
E00217
Dwayne D. Porter IRA

Sale by holdings of common stock & warrants issued by a C Corp that is converting to an S Corp

PTE 98-38 Roark, Young et al
63 FR 42079 Aug. 6, 1998
PTE 98-59 Albright, Hamre et al
63 FR 69326 Dec. 16, 1998

01-07E
04/04/2001
E00216
John K. Worz IRA

Sale by holdings of common stock & warrants issued by a C Corp that is converting to an S Corp

PTE 98-38 Roark, Young et al
63 FR 42079 Aug. 6, 1998
PTE 98-59 Albright, Hamre et al
63 FR 69326 Dec. 16, 1998

01-06E
03/31/2001
E00208
Plumbers’ & Pipefitters’ Welfare Fund

Purchase by Plan of real property from the Union in a one-time transaction for cash

PTE 98-12 Hawaii Laborers’
63 FR 12843 Mar. 16, 1998
PTE 98-31 Pipefitters LU 537
63 FR 33731 Jun. 19, 1998

01-05E
03/24/2001
E00211
Meaden Screw Products Co PS 401k Plan

Sale of shares of stock one-time sale for cash from the Plan to a Party in Interest

PTE 96-32 Coin Acceptors Inc
61 FR 20277 May 6, 1996
PTE 98-39 William M Hitchcock
63 FR 42080 Aug. 6, 1998

01-04E
03/03/2001
E00210
NECA-IBEW LU 176 JATC

Sale by Plan of real property

PTE 97-30 Plumbers LU 27
62 FR 31631 Jun. 10, 1997
PTE 97-36 Oper. Eng. LU 150
62 FR 41092 Jul. 31, 1997

01-03E
03/03/2001
E00207
Little Rock Diagnostic

Sale by Plan of real property

PTE 98-37 McClain’s RV Inc
63 FR 38854 Jul. 20, 1998
PTE 00-23 Bay Internists Inc
65 FR 33377 May 23, 2000

01-02E
02/26/2001
E00206
Credit Suisse First Boston

QPAM where Affiliate has been convicted of a felony

PTE 97-10 PanAgora Asset Mgmt
62 FR 4813 Jan. 31, 1997
PTE 97-13 GE Capital Investment
62 FR 7278 Feb. 18, 1997

01-01E
02/03/2001
E00205
Porpoise Productions LTD PSP & Trust

Sale by Plan of real property

PTE 00-20 Taylor M. Cole IRA
65 FR 25953 May 4, 2000
PTE 98-05 Robert Herzog PSP
63 FR 03773 Jan. 26, 1998

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

00-33E
12/27/2000
E00201
Waste Management Pension Plan

Sale by Plan of partnership interests

PTE 00-04 TMI System Design
65 FR 04854 Feb. 1, 2000
PTE 99-18 State Bankshares
64 FR 24423 May 6, 1999

00-32E
12/22/2000
E00198
Adams Brothers Interiors Inc

Sale by Plan of partnership interests

PTE 99-18 State Bankshares Inc
64 FR 24423 May 6, 1997
PTE 97-39 Gart Brothers Sporting
62 FR 41093 Jul. 31, 1997

00-31E
12/22/2000
E00200
Ladowicz, Coatar, Roe, Westberg, Camino et al IRAs

Sale by Plan of other securities

PTE 99-05 Brune Glowacki et al
64 FR 04131 Jan. 28, 1999
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998

00-30E
12/03/2000
E00196
Nomura Corporate Research & Asset Mgmt

QPAM where Affiliate has been convicted of a felony

PTE 97-13 GE Capital Investment
62 FR 07278 Feb. 18, 1997
PTE 97-10 PanAgora Asset Mgt.
62 FR 04813 Jan. 31, 1997

00-29E
11/30/2000
E00195
DW Productions Inc PSP

Sale by Plan of real property

PTE 99-35 H.H. Borland Inc PSP
64 FR 46422 Aug. 25, 1999
PTE 98-05 Robert Herzog PSP
63 FR 03773 Jan. 26, 1998

00-28E
11/24/2000
E00194
Deutsche Bank

Securities Transactions described in PTE 75-1 and PTE 81-6 between Plan and certain foreign broker-dealers

PTE 99-04 Salomon Smith Barney
64 FR 4127 Jan. 27, 1999
PTE 99-45 Donaldson et al
64 FR 61138 Nov. 9, 1999

00-27E
11/01/2000
E00186
Westdeutsche Landersbank Girozentrale

Sale by Plan of other securities

PTE 99-04 Salomon Smith Barney
64 FR 4127 Jan. 27, 1999
PTE 98-62 Barclays Bank PLC
61 FR 71307 Jul. 31, 1996

00-26E
10/17/2000
E00191
James Edgerton & Dennis E. Ver Mulm IRA

Sale by Plan of other securities

PTE 99-28 Gaetano Lombardo
64 FR 38481 Jul. 16, 1999
PTE 97-45 Ronald L. Chez IRA
62 FR 47050 Sep. 5, 1997

00-25E
10/13/2000
E00190
Aldrich, Schulten, Holec & Smith Mds

Sale by Plan of Real Property

PTE 99-35 H.H. Borland Inc PSP
64 FR 46422 Aug. 25, 1999
PTE 96-24 Biscayne Bay Pilots
61 FR 18159 Apr. 24, 1996
PTE 96-78 Zerhusen & Ghazi MD
61 FR 54229 Oct. 17, 1996
PTE 98-16 Overland, Ordal et al
63 FR 17020 Apr. 7, 1998

00-24E
10/11/2000
E00192
Doskocil Manufacturing Co 401k

Sale by Plan of real property

PTE 98-37 McClain’s RV Inc
63 FR 38854 Jul. 20, 1998
PTE 98-19 Thornton Hegg et al
63 FR 19960 Apr. 22, 1998

00-23E
10/05/2000
E00189
Alexander P. Golden III IRA

Sale by Plan of other securities

PTE 97-44 1st Source Bank
62 FR 47050 Sep. 5, 1997
PTE 99-06 IRAs for Hummel, et al
64 FR 4127 Jan. 27, 1999

00-22E
10/04/2000
E00188
Farmers & Merchants Bank of Long Beach PSP

Sale by Plan of 3rd party notes

PTE 96-15 Life Insurance
61 FR 10025 Mar. 12, 1996
PTE 99-37 Modern Woodmen
64 FR 52551 Sep. 29, 1999

00-21E
09/22/2000
E00187
Goldberg, Kohn, Bell, Black, Rosenbloom & Moritz IRA

Purchase by Plan of employer securities

PTE 96-05 J.H. Heafner Co
61 FR 3478 Jan. 31, 1996
PTE 99-18 State Bankshares
64 FR 24423 May 6, 1999

00-20E
08/19/2000
E00183
J.P. Morgan

Securities Transactions described in PTE 75-1 and PTE 81-6 between Plan and certain foreign broker-dealers

PTE 98-62 Barclays Bank
63 FR 71307 Dec. 24, 1998
PTE 99-04 Salomon Smith Barney
64 FR 4127 Jan. 27, 1999

00-19E
07/16/2000
E00181
American Express

Purchase by plan of asset-backed securities representing a pool of credit card receivables

PTE 98-13 MBNA America Bank
63 FR 10720 Apr. 7, 1998
PTE 98-14 Citibank
63 FR 17027 Apr. 7, 1998

00-18E
07/01/2000
E00180
Credit Suisse First Boston

Lending of Securities to Affiliates of the Lending Agent

PTE 98-32 Union Bk Switzerland
63 FR 36958 Jul. 8, 1998
PTE 98-23 Bankers Trust Co
63 FR 29435 May 29, 1998
PTE 99-50 Bankers Trust Co
65 FR 534 Jan. 5, 2000

00-17E
06/22/2000
E00179
Cal Sierra Disposal Inc PSP

Sale by the Plan of certain unimproved real property to a Party in Interest

PTE 98-30 Jack Mayesh Florist
63 FR 33727 Jun. 19, 1998
PTE 98-37 McClain’s RV 401k
63 FR 38853 Jul. 20, 1998
PTE 99-18 State Bankshares
64 FR 24423 May 6, 1999
PTE 2000-04 TMI Systems
65 FR 4854 Feb. 1, 2000

00-16E
06/17/2000
E00178
Precision Machining Inc

Sale by Plan of Real Property

PTE 98-29 Knoxville Surg Group
63 FR 33731 Jun. 19, 1998
PTE 97-36 Oper. Eng. LU 150
62 FR 41092 Jul. 31, 1997

00-15E
06/08/2000
E00176
NECA-IBEW LU 176 JATC Electrical Fund

Sale by the Plan of real property to a Party in Interest

PTE 95-11 Hospital Supplies
60 FR 8095 Feb. 10, 1995
PTE 94-14 Randall W. Smith MD
59 FR 4114 Jan. 28, 1994

00-14E
06/07/2000
E00177
Plumbers Supply Co Inc

Sale of the Plan’s mortgage portfolio to a Party in Interest

PTE 97-65 Valley Forge
62 FR 66689 Dec. 19, 1997
PTE 96-15 Life Insurance Corp
61 FR 10025 Mar. 12, 1996

00-13E
06/02/2000
E00175
Singer Org Inc PSP

Sale by Plan of Real Property

PTE 99-35 H.H. Borland Inc PSP
64 FR 46422 Aug. 25, 1999
PTE 99-38 MICO Inc
64 FR 53736 Oct. 4, 1999

00-12E
05/13/2000
E00174
Conradco Inc

Sale by the Plan of real property to a Party in Interest

PTE 96-78 Zerhusen & Ghazi MD
61 FR 54229 Oct. 17, 1996
PTE 94-14 Randall W. Smith MD
59 FR 4114 Jan. 28, 1994

00-11E
04/08/2000
E00173
Carl Acebes Custodial IRA

Sale by Plan of Real Property

PTE 95-88 Donald D Busker IRA
60 FR 49011 Sep. 21, 1995
PTE 96-78 Zerhusen & Ghazi MD
61 FR 54229 Oct. 17, 1996

00-10E
03/15/2000
E00168
Minkoff Co

Sale by Plan of 3rd party notes

PTE 97-65 Valley Forge
62 FR 66689 Dec. 19, 1997
PTE 96-15 Life Insurance Corp
61 FR 10025 Mar. 12, 1996

00-09E
03/12/2000
E00167
Penn Camera Exchange Inc

Sale by Plan of Real Property to a Party in Interest

PTE 97-65 Valley Forge
62 FR 66689 Dec. 19, 1997
PTE 96-15 Life Insurance Corp
61 FR 10025 Mar. 12, 1996

00-08E
03/07/2000
E00163
Operating Engineers LU 17

Sale by Plan of Real Property to a Party in Interest

PTE 96-65 Bill Ussery Motors
61 FR 44081 Aug. 27, 1996
PTE 96-83 Oper. Eng. LU 150
61 FR 58231 Nov. 13, 1996

00-07E
03/05/2000
E00166
Linker Marketing Co

Sale by Plan of Real Property to a Party in Interest

PTE 96-43 Pierre W. Mornell MD
61 FR 25909 May 23, 1996
PTE 98-15 Massachusetts Mutual
63 FR 17020 Apr. 7, 1998

00-06E
02/27/2000
E00165
Miller & Solomon General Contractors

Sale by Plan of Employer Securities

PTE 96-29 Floral Glass & Mirror
61 FR 18159 Apr. 24, 1996
PTE 96-27 IRA John Meisenbach
61 FR 18159 Apr. 24, 1996

00-05E
02/12/2000
E00162
Greenwood Trust Co

Purchase by plan of asset-backed securities representing a pool of credit card receivables

PTE 98-13 MBNA America Bank
63 FR 10720 Apr. 7, 1998
PTE 98-14 Citibank
63 FR 17027 Apr. 7, 1998

00-04E
02/05/2000
E00159
Kimley-Horn & Assoc Money Purchase

Sale by Plan of Real Property

PTE 98-37 McClain’s RV 401k
63 FR 38853 Jul. 20, 1998
PTE 96-93 Beall Corp PSP
61 FR 68787 Dec. 30, 1996

00-03E
02/05/2000
E00158
Kimley-Horn & Assoc Ret Savings

Sale by Plan of Real Property

PTE 98-37 McClain’s RV 401k
63 FR 38853 Jul. 20, 1998
PTE 96-93 Beall Corp PSP
61 FR 68787 Dec. 30, 1996

00-02E
01/22/2000
E00156
Unifirst Corp PSP

Sale of Plan interest in a parcel of unimproved real property to the Plan sponsor

PTE 96-93 Beall Corp
61 FR 68787 Dec. 30, 1996
PTE 98-37 McClain’s RV Inc
63 FR 38853 Jul. 20, 1998

00-01E
01/05/2000
E00161
Whitley Memorial Hospital

Loan to the Plan by Plan Sponsor

PTE 95-13 Alucobond Tech.
60 FR 8095 Feb. 10, 1995
PTE 95-78 KeyCorp
60 FR 46309 Sep. 6, 1995

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

99-32E
12/25/1999
E00155
Cardiovascular Surgery Assoc 401k PSP

Sale of unimproved real property by the Plan to a Party in Interest

PTE 96-78 Zerhusen & Ghazi MD
61 FR 54229 Oct. 17, 1996
PTE 98-16 Overland, Ordal et al
63 FR 17020 Apr. 7, 1998

99-31E
12/20/1999
E00152
Ironwood Capital LTD

Sale of asset-backed securities from Party in Interest to Plan

PTE 98-08 PNC Capital Markets
63 FR 8497 Feb. 19, 1998
PTE 99-11 Mellon Financial
64 FR 11045 Mar. 8, 1999

99-30E
12/08/1999
E00154
Finch, Pitchell, Sims Jr., Strickland IRAs

Sale of shares of closely-held common stock by IRAs to disqualified persons

PTE 99-06 IRAs for Hummel, et al
64 FR 4127 Jan. 27, 1999
PTE 98-38 IRAs Roark, Young
63 FR 42079 Aug. 6, 1998

99-29E
11/24/1999
E00149
Chapin Medical Co

Sale by the Plan of unimproved property to a Party in Interest

PTE 96-78 Zerhusen & Ghazi MD
61 FR 54229 Oct. 17, 1996
PTE 95-102 Carolina OB-GYN
60 FR 55868 Nov. 3, 1995

99-28E
11/04/1999
E00145
Chase Manhattan Bank

Plan fiduciary rebates to the plan the investment advisory fee the fiduciary receives from mutual funds in which the plan invests

PTE 97-16 US Trust Co of NY
62 FR 7275 Mar. 5, 1997
PTE 95-51 Fst Nat’l Bk of Boston
60 FR 33004 Jun. 26, 1995

99-27E
10/30/1999
E00141
Bank One Corp

Purchase by plan of asset-backed securities representing a pool of credit card receivables

PTE 98-13 MBNA America Bank
63 FR 10720 Apr. 7, 1998
PTE 98-14 Citibank
63 FR 17027 Apr. 7, 1998

99-26E
10/24/1999
E00138
Halstead, Jones, Thomas & Hooks IRA

Purchase of shares of a closely-held bank holding company from IRAs by the owner of each IRA

PTE 97-45 Ronald L. Chez IRA
62 FR 47050 Sep. 5, 1997
PTE 97-48 Martin D. Ross IRA
62 FR 47050 Sep. 5, 1997
PTE 96-27 IRA John Meisenbach
61 FR 18159 Apr. 24, 1996

99-25E
10/15/1999
E00132
Old Kent Bank

Provision of Services

PTE 97-47 AmSouth Bk Alabama
62 FR 47054 Sep. 5, 1997
PTE 95-51 Fst Nat’l Bk of Boston
60 FR 33004 Jun. 26, 1995

99-24E
10/14/1999
E00140
Gambone Brothers Construction Company

Sale by Plan of real property to a Party in Interest

PTE 98-19 Thornton, Hegg, Reif
63 FR 19955 Apr. 22, 1998
PTE 95-82 PMS PSP
60 FR 47610 Sep. 13, 1995
PTE 96-71 Normike Industries
61 FR 49171 Sep. 18, 1996
PTE 97-51 H. Weiss & Co
62 FR 48672 Sep. 16, 1997

99-23E
10/08/1999
E00139
Ukrop’s Super Markets

Sale by the Plan of certain limited partnership interests to the Plan sponsor

PTE 97-29 Washington National
62 FR 31630 Jun. 10, 1997
PTE 96-10 Intrenet
61 FR 3488 Jan. 31, 1996

99-22E
09/28/1999
E00137
Union Carbide Supplemental Life Ins Plan

A reinsurance transaction by the Plan sponsor and a Party in Interest to provide life insurance benefits to participants in the Plan

PTE 96-95 Zions Bancorproation
61 FR 68790 Dec. 24, 1996
PTE 96-49 First Security Group
61 FR 31961 Jun. 21, 1996

99-21E
09/08/1999
E00135
Merrill Lynch Pierce Fenner & Smith Inc

Securities Transactions described in PTE 75-1 and PTE 81-6 between Plan and certain foreign broker-dealers

PTE 99-04 Salomon Smith Barney
64 FR 4127 Jan. 27, 1999
PTE 98-62 Barclays Bank PLC
61 FR 71307 Jul. 31, 1996

99-20E
09/01/1999
E00136
St. Andrews Corp PSP

Sale of certain shares of stock by the Plan to a disqualified person with respect to the Plan

PTE 95-21 Wadco, Inc
60 FR 13455 Mar. 13, 1995
PTE 96-27 IRA John Meisenbach
61 FR 18159 Apr. 24, 1996

99-19E
08/27/1999
E00134
Owens Group LTD

A Party in Interest purchases property from the Plan

PTE 97-30 Joint Appr. Plumbers
62 FR 31630 Jun. 10, 1997
PTE 96-18 H.E.B. Investment
61 FR 11875 Mar. 22, 1996

99-18E
08/17/1999
E00129
National Spinning Co Inc 401k

Interest free loan from the employer to the Plan

PTE 99-19 vonRoll isola Sav Plan
64 FR 24423 May 6, 1999
PTE 94-58 Hollingsworth & Vose
59 FR 38205 Jul. 27, 1994

99-17E
07/24/1999
E00128
Glaziers Local 1940 Pension Fund

Sale by the Plan to the Plan sponsor of improved real property

PTE 97-36 Operating Engineers
62 FR 41088 Jul. 31, 1997
PTE 97-30 Joint Appr. Plumbers
62 FR 31630 Jun. 10, 1997

99-16E
06/27/1999
E00124
Broyhill Furniture Industries Inc

Plan sponsor purchases improved real property from the Plan

PTE 98-29 Knoxville Surgical
63 FR 33727 Jun. 19, 1998
PTE 94-65 Long Mfg. Inc
59 FR 45733 Sep. 2, 1994

99-15E
06/10/1999
E00122
Tenco Tractor Inc PSP

Sale of interest in promissory notes by plan to a Party in Interest

PTE 98-50 John V. Vick
63 FR 56227 Oct. 21, 1998
PTE 97-65 Valley Forge
62 FR 66689 Dec. 19, 1997

99-14E
06/14/1999
E00123
Liberty National Life Insurance

Sale by the Plan of certain residential mortgages to a Party in Interest

PTE 97-65 Valley Forge
62 FR 66689 Dec. 19, 1997
PTE 96-15 Life Insurance Corp
61 FR 10025 Mar. 12, 1996

99-13E
05/21/1999
E00120
Entec Polymers Inc

Sale of certain land trust by the Plan to the sponsor

PTE 96-06 WLI Industries
61 FR 3488 Jan. 31, 1996
PTE 95-57 T.J. Lambrecht
60 FR 35936 Jul. 12, 1995

99-12E
04/20/1999
E00118
Family Orthopedic Assoc 401k

Sale of real property from an individual accounts in Plan to a Party in Interest

PTE 96-78 Zerhusen & Ghazi MD
61 FR 54229 Oct. 17, 1996
PTE 94-14 Randall W. Smith MD
59 FR 4114 Jan. 28, 1994

99-11E
03/26/1999
E00116
Bank of America

Purchase by plan of asset-backed securities representing a pool of credit card receivables

PTE 98-13 MBNA America Bank
63 FR 10720 Apr. 7, 1998
PTE 98-14 Citibank
63 FR 17027 Apr. 7, 1998
PTE 97-26 ADP Fluor Daniel
62 FR 27621 May 20, 1997

99-10E
03/06/1999
E00115
First South Utility Constr Inc

Plan sells to a Party in Interest shares of a limited partnership

PTE 96-25 Zausner Foods Corp
61 FR 18159 Apr. 24, 1996
PTE 97-26 ADP Fluor Daniel
62 FR 27621 May 20, 1997

99-09E
02/15/1999
E00113
Hy-Vee Employees’ PS & 401k

Sale of improved real property by the Plan to a Party in Interest

PTE 94-65 Long Mfg. N.C. Inc
59 FR 45733 Sep. 2, 1994
PTE 96-18 H.E.B. Investment
61 FR 11875 Mar. 22, 1996

99-08E
01/29/1999
E00114
H.B. Hayden Jr. IRA

Plan sells fee title in commercial real estate to a Party in Interest

PTE 98-29 Knoxville Surgical
63 FR 33727 Jun. 19, 1998
PTE 97-04 Summit Sheet Metal
62 FR 1925 Jan. 14, 1997

99-07E
01/23/1999
E00108
Hawkins Chemical Inc

Plan sells annuity contracts to plan sponsor

PTE 94-46 Alberici Companies
59 FR 30048 Jun. 10, 1994
PTE 96-66 Hach Company
61 FR 44081 Aug. 27, 1996

99-06E
01/20/1999
E00109
CARE Health Care Plan

Plan lease of improved real property to a Party in Interest

PTE 98-18 Consolidated Assoc
63 FR 19955 Apr. 22, 1998
PTE 95-90 Texas Commerce Bank
60 FR 49289 Sep. 22, 1995
PTE 95-75 Construction Laborers
60 FR 44905 Aug. 29, 1995

99-05E
01/19/1999
E00112
Wisdom Import Sales Co

Sale of real estate investments by the Plan to a Party in Interest

PTE 94-48 Laney & Duke
59 FR 30048 Jun. 10, 1994
PTE 97-30 Joint Appr. Plumbers
62 FR 31630 Jun. 10, 1997

99-04E
01/19/1999
E00111
Wisdom Import Sales Co

Sale of real estate investments by the Plan to a Party in Interest

PTE 97-65 Valley Forge
62 FR 66689 Dec. 19, 1997
PTE 96-15 Life Insurance Corp
61 FR 10025 Mar. 12, 1996

99-03E
01/19/1999
E00110
Wisdom Import Sales Co

Sale of real estate investments by the Plan to a Party in Interest

PTE 94-48 Laney & Duke
59 FR 30048 Jun. 10, 1994
PTE 97-30 Joint Appr. Plumbers
62 FR 31630 Jun. 10, 1997
PTE 96-05 J.H. Heafner Co
61 FR 3478 Jan. 31, 1996
PTE 97-39 Gart Bros. Sporting
62 FR 41088 Jul. 31, 1997
PTE 97-65 Valley Forge
62 FR 66689 Dec. 19, 1997
PTE 96-15 Life Insurance Corp
61 FR 10025 Mar. 12, 1996

99-02E
01/08/1999
E00107
South Texas Newborn Associates

Sale by Plan, individual accounts, of real property to a Party in Interest

PTE 96-78 Zerhusen & Ghazi MD
61 FR 54229 Oct. 17, 1996
PTE 95-102 Age-Based PS Plan
60 FR 55868 Nov. 3, 1995
PTE 93-79 Robert W. McCurdy
58 FR 60215 Nov. 15, 1993
PTE 94-05 David Rothman MD
59 FR 2621 Jan. 18, 1994
PTE 95-11 Hospital Supplies Inc
60 FR 8095 Feb. 10, 1995
PTE 95-22 Valley Transplants
60 FR 13456 Mar. 13, 1995
PTE 96-43 Pierre W. Mornel MD
61 FR 25909 May 23, 1996

99-01E
01/04/1999
E00104
Morgan Stanley & Co

Lending of Securities to Affiliates of the Lending Agent

PTE 98-24 Goldman Sachs
63 FR 29435 May 29, 1998
PTE 98-32 Union Bk Switzerland
63 FR 36958 Jul. 8, 1998

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

98-31E
12/28/1998
E00103
Radiology Assoc of Tampa Ret Plan

Sale of unimproved real property by the Plan to Parties in Interest

PTE 95-12 Clarence E. Coker Jr
60 FR 8095 Feb. 10, 1995
PTE 94-66 Thomas G. Soper MD
59 FR 45733 Sep. 2, 1994

98-30E
12/24/1998
E00102
Downey Brand Seymour & Rohwer

Sale of a limited partnership interest by a Plan to Parties in Interest

PTE 95-23 Terry Segal PC
60 FR 13456 Mar. 13, 1995
PTE 96-79 Huggler & Silverang
61 FR 54229 Oct. 17, 1996

98-29E
12/24/1998
E00101
Downey Brand Seymour & Rohwer

Sale of a limited partnership interest by a Plan to a Party in Interest

PTE 95-23 Terry Segal PC
60 FR 13456 Mar. 13, 1995
PTE 96-79 Huggler & Silverang
61 FR 54229 Oct. 17, 1996

98-28E
12/21/1998
E00106
J.W. Brewer Tire Co Inc

Sale of two mortgage notes by the Plan to a Party in Interest

PTE 97-65 Valley Forge
62 FR 66689 Dec. 19, 1997
PTE 96-15 Life Insurance Corp
61 FR 10025 Mar. 12, 1996

98-27E
12/02/1998
E00093
Downey Brand Seymour & Rohwer

Sale by the Plan of Limited Partnership interest to a Party in Interest

PTE 95-23 Terry Segal P.C.
60 FR 13456 Mar. 13, 1995
PTE 95-32 Annis, Mitchell, et al
60 FR 18620 Apr. 12, 1995

98-26E
11/09/1998
E00090
Dr. Michael D. Hoffman PSP

Sale of improved real property by the plan to a Party in Interest

PTE 95-12 Clarence E. Coker Jr
60 FR 8095 Feb. 10, 1995
PTE 94-66 Thomas G. Soper MD
59 FR 45733 Sep. 2, 1994

98-25E
11/02/1998
E00088
McMillan & Associates

Plan sponsor purchases unimproved property by the Plan

PTE 95-11 Hospital Supplies
60 FR 8095 Feb. 10, 1995
PTE 94-14 Randall W. Smith
59 FR 4114 Jan. 28, 1994

98-24E
10/28/1998
E00089
Capital One Bank

Purchase by plan of asset-backed securities representing a pool of credit card receivables

PTE 98-13 MBNA America Bank
63 FR 10720 Apr. 7, 1998
PTE 98-14 Citibank
63 FR 17027 Apr. 7, 1998

98-23E
10/09/1998
E00087
Drs. Ferguson & Lolley Surgery Assoc

Sale by Plan of Real Property

PTE 95-88 Donald D Busker IRA
60 FR 49011 Sep. 21, 1995
PTE 95-11 Hosp. Supplies
60 FR 8095 Feb. 10, 1995

98-22E
10/13/1998
E00082
Commerzbank AG

Securities Transactions described in PTE 75-1 and PTE 81-6 between Plan and certain foreign broker-dealers

PTE 97-08 Morgan Stanley
62 FR 4811 Jan. 31, 1997
PTE 97-57 NatWest Securities
62 FR 56203 Oct. 29, 1997

98-21E
10/06/1998
E00084
Fernandez & Kalamaris MD

Plan sponsor purchase of land trusts from plan

PTE 96-16 LEGENT Ret Plan
61 FR 10034 Mar. 12, 1996
PTE 95-57 T.J. Lambrecht
60 FR 35936 Jul. 12, 1995

98-20E
09/30/1998
E00085
Sheils Obletz Johnsen

Plan loan to a disqualified party

PTE 97-66 PS Richard Wickerham
62 FR 66691 Dec. 19, 1997
PTE 97-62 Franklin & Davis
62 FR 62622 Nov. 24, 1997

98-19E
09/28/1998
E00086
Francis J. Pizzi IRA

Sale of unimproved real property between the Plan and a Party in Interest

PTE 98-03 Robert A. Doneff
63 FR 1980 Jan. 13, 1998
PTE 96-24 Biscayne Bay Pilots
61 FR 18159 Apr. 24, 1996
PTE 96-43 Pierre W. Mornell MD
61 FR 25912 May 23, 1996

98-18E
09/17/1998
E00079
The David J. Joseph Co

Sale by the Plan of an interest in a limited partnership to the plan sponsor

PTE 97-39 Gart Brothers Sporting
62 FR 41092 Jul. 31, 1997
PTE 97-29 Washington National
62 FR 31630 Jun. 10, 1997

98-17E
08/24/1998
E00077
H.E.B. Investment Plan

Sale of improved real property from the Plan to a Party in Interest

PTE 96-18 H.E.B. Investment
61 FR 11875 Mar. 22, 1996
PTE 97-30 Joint Appr. Plumbers
62 FR 31631 Jun. 10, 1997

98-16E
08/10/1998
E00076
The Rockford Pipe Trades Pension Plan

Sale of real property from the plan to a Party in Interest

PTE 96-71 Normike Industries
61 FR 49171 Sep. 18, 1996
PTE 94-09 Holsum Bakery
59 FR 4115 Jan. 28, 1994

98-15E
08/04/1998
E00080
Fina, Inc & the FINA Capital Accum. Plan

The holding or exercise by the Plans of certain warrants for the purchase of a stock of a Party in Interest

PTE 96-07 Ventura County
61 FR 3488 Jan. 31, 1996
PTE 96-36 Spreckels Industries
61 FR 21501 May 10, 1996

98-14E
07/28/1998
E00073
Les Schwab PS Ret Trust

Sale of a parcel of qualifying employer real property from the Plan to a Party in Interest

PTE 96-51 Puckett Machinery Co
61 FR 36766 Jul. 12, 1996
PTE 96-37 Budge Clinic
61 FR 21501 May 10, 1996
PTE 96-18 H.E.B. Investment
61 FR 11875 Mar. 22, 1996

98-13E
07/06/1998
E00071
Gilbert Gersenfish MD

Sale of real improved property from the Plan to a Party in Interest

PTE 93-24 Welborn Clinic
58 FR 18426 Apr. 9, 1993
PTE 96-60 The Everett Clinic
61 FR 40004 Jul. 31, 1996

98-12E
07/06/1998
E00070
Ambrose J. Muenchrath

Purchase of three parcels of unimproved real property held by the plan by a Party in Interest

PTE 95-91 Leavitt Group PSP
60 FR 49290 Sep. 22, 1995
PTE 94-74 Stephen Cranston Prof.
59 FR 51216 Oct. 7, 1994

98-11E
06/29/1998
E00072
Peter Cammalleri & AFC Partners

Plan loan from an individual account to a Party in Interest

PTE 97-19 APA, Inc
62 FR 10085 Mar. 5, 1997
PTE 93-76 Hazlehurst & Assoc
58 FR 57841 Oct. 27, 1993

98-10E
05/26/1998
E00068
Neuro Assoc

Sale of Real Property by Plan to Party in Interest

PTE 95-82 PMS
60 FR 47610 Sep. 13, 1995
PTE 97-53 McCroskey
62 FR 51911 Oct. 3, 1997

98-09E
05/11/1998
E00066
Lehman Brothers Inc

Securities Transactions described in PTE 75-1 and PTE 81-6 between Plan and certain foreign broker-dealers

PTE 97-08 Morgan Stanley
62 FR 4810 Jan. 31, 1997
PTE 97-57 NatWest Sec.
62 FR 56201 Oct. 29, 1997

98-08E
04/27/1998
E00064
ABN AMRO Inc

Sale of asset-backed securities from Party in Interest to Plan

PTE 97-05 Southtrust
62 FR 1925 Jan. 14, 1997
PTE 97-28 Norwest
62 FR 27621 May 20, 1997

98-07E
04/17/1998
E00062
Merrill Lynch

Lending of Securities to Affiliates of the Lending Agent

PTE 97-63 State Street
62 FR 66689 Dec. 19, 1997
PTE 96-14 Morgan Stanley
61 FR 10025 Mar. 12, 1996
PTE 95-50 Paloma
60 FR 33003 Jun. 26, 1995

98-06E
04/29/1998
E00061
Derrick & Assoc AmeriPath

Purchase of Partnership Interests from Plan by Party in Interest

PTE 95-23 Segal
60 FR 13456 Mar. 13, 1995
PTE 96-79 Huggler
61 FR 54229 Oct. 17, 1996

98-05E
03/30/89
E00060
Tommy J. Poirier PSP

Sale of Real Property by Plan to Plan Sponsor

PTE 95-23 Segal
60 FR 13456 Mar. 13, 1995
PTE 95-32 Annis
60 FR 18620 Apr. 12, 1995

98-04E
03/16/1998
E00063
Bay Cities Container Corp

Lease of Real Property by Plan to Plan Sponsor

PTE 96-26 Jack, Lyon & Jones PS
61 FR 18159 Apr. 24, 1996
PTE 96-60 Everett Clinic PS Plan
61 FR 40004 Jul. 31, 1996

98-03E
03/09/1998
E00058
Horner Music Inc

Sale of Real Property by Plan to Plan Sponsor

PTE 95-11 Hosp. Supplies
60 FR 8095 Feb. 10, 1995
PTE 95-36 WalkerProd.
60 FR 26740 May 18, 1995

98-02E
01/30/1998
E00055
Intergroup Employees FHS

Purchase of Partnership Interest from Plan by Party in Interest

PTE 96-16 Legent
61 FR 10025 Mar. 12, 1996
PTE 97-21 Orders Distr.
62 FR 17207 Apr. 9, 1997

98-01E
01/26/1998
E00054
Hi-Plains Hospital

Purchase of GAC’s by Plan Sponsor

PTE 97-14 Givens
62 FR 7275 Feb. 18, 1997
PTE 95-35 Shipper’s Paper
60 FR 20776 Apr. 27, 1995

Final Authorization Number
Date, Case ID, Applicant Name

Description of Transaction

Substantially Similar Transactions

97-32E
12/29/1997
E00050
First National Bank

Sale of Mortgages by Plan to Sponsor

PTE 93-23 ELK
58 FR 16714 Mar. 30, 1993
PTE 93-64 Heritage Pullman
58 FR 49325 Sep. 22, 1993

97-31E
12/29/1997
E00049
First National Bank

Sale of Mortgages by Plan to Sponsor

PTE 93-23 ELK
58 FR 16714 Mar. 30, 1993
PTE 93-64 Heritage Pullman
58 FR 49325 Sep. 22, 1993

97-30E
12/08/1997
E00046
Lord Corp

Purchase of Plan’s GIC’s by Sponsor

PTE 95-07 Lucky Electric
60 FR 5732 Jan. 30, 1995
PTE 96-72 Mei Technology
61 FR 49171 Sep. 18, 1996

97-29E
11/24/1997
E00044
Malrite 401k

Loan by Plan Sponsor to Plan

PTE 95-78 Keycorp
60 FR 46309 Sep. 6, 1995
PTE 96-81 Rexam
61 FR 55325 Oct. 25, 1996

97-28E
11/12/1997
E00035
A.O. Smith Retirement

Sale of Real Property by Plan to Party in Interest

PTE 95-92 Central Freight
60 FR 49290 Sep. 22, 1995
PTE 93-39 Johnson Paints
58 FR 34821 Jun. 29, 1993

97-27E
10/29/1997
E00039
Bank One

Loan to Plan by Party in Interest resulting from the liquidation of Plan’s GIC

PTE 94-78 Union Electric
59 FR 56554 Nov. 14, 1994
PTE 95-78 Keycorp
60 FR 46309 Sep. 6, 1995

97-26E
10/27/1997
E00040
Gordon Food Service

Sale of Mortgages by Plan to Plan Sponsor

PTE 96-15 LSW
61 FR 10025 Mar. 12, 1996
PTE 93-35 Hervey
58 FR 31431 Jun. 2, 1993

97-25E
10/15/1997
E00038
Sarofim

Lease of Real Property by Plan to Party in Interest

PTE 97-25 Hughes
62 FR 27621 May 20, 1997
PTE 94-63 AT&T
59 FR 42311 Aug. 17, 1994

97-24E
10/03/1997
E00037
John R. Valaas

Sale of Stock held by Plan to Plan Participant

PTE 95-101 Elkin
60 FR 55868 Nov. 3, 1995
PTE 93-15 Suter
58 FR 13095 Mar. 9 , 1993

97-23E
09/22/1997
E00033
K’s Merchandise

Purchase of Real Property from Plan by Plan Sponsor

PTE 94-48 Laney/Duke
59 FR 30048 Jun. 10, 1994
PTE 97-30 Plumbers Local
62 FR 31630 Jun. 10, 1997

97-22E
09/18/1997
E00034
Da-Lite

Purchase of Stock held by Plan by Participants/Fiduciaries

PTE 96-27 Meisenbach
61 FR 18159 Apr. 24, 1996
PTE 95-80 Shepard
60 FR 46311 Sep. 6, 1995

97-21E
09/10/1997
E00032
Credit Lyonnais Securities

Sale of asset-backed securities from Party in Interest to Plan

PTE 94-84 Brown & Sons
59 FR 65400 Dec. 19, 1994
PTE 96-22 First Union
61 FR 14827 Apr. 3, 1996

97-20E
08/18/1997
E00031
Progress Software Corp 401k

Purchase of GAC by Sponsor from Plan

PTE 95-07 Lucky Electric
60 FR 5732 Jan. 30, 1995
PTE 96-72 Mei Technology
61 FR 49171 Sep. 18, 1996

97-19E
07/16/1997
E00029
Clark J. Winslow IRA

Purchase of Real Property by Plan Participant from Plan

PTE 95-11 Hosp. Supplies
60 FR 8095 Feb. 10, 1995
PTE 96-43 Mornell
61 FR 25909 May 23, 1996

97-18E
07/16/1997
E00028
Preco Inc

Purchase of GAC by Sponsor from Plan

PTE 95-07 Lucky Electric
60 FR 5732 Jan. 30, 1995
PTE 96-72 Mei Technology
61 FR 49171 Sep. 18, 1996

97-17E
06/23/1997
E00027
El Rey of Hollywood Inc

Sale of Real Property by Plan to the Plan’s Sponsor, and Certain Shareholders and Officers

PTE 94-14 Randall Smith
59 FR 4114 Jan. 28, 1994
PTE 93-36 Communication Wkrs
58 FR 25670 Jun. 2, 1993

97-16E
06/22/1997
E00023
James Hardie Retirement PSP

Sale by Plan of Real Property

PTE 96-93 Beall Corp PSP
61 FR 68787 Dec. 30, 1996
PTE 92-63 Tel Real Estate
57 FR 38525 Aug. 25, 1992

97-15E
06/16/1997
E00023
Renco Properties Inc

Sale of Real Property by Plan to Parties in Interest

PTE 96-93 Beall Corp PSP
61 FR 68787 Dec. 30, 1996
PTE 92-62 Cappuccio
57 FR 38525 Aug. 25, 1992

97-14E
04/30/1997
E00020
Universal Forest Products

Sale of Real Property by Plan to Plan Sponsor

PTE 93-28 Rectifier
58 FR 25673 May 14, 1993
PTE 95-82 PMS Consolidated
60 FR 47610 Sep. 13, 1995

97-13E
04/07/1997
E00018
Les Schwab PSP

Sale of Real Property by Plan to Plan Sponsor Affiliate

PTE 94-65 Long Mftg.
59 FR 45733 Sep. 2, 1994
PTE 92-60 Publix Super Market
47 FR 38524 Aug. 25, 1992

97-12E
04/07/1997
E00017
Les Schwab PSP

Sale of Real Property by Plan to Plan Sponsor Affiliate

PTE 94-65 Long Mftg.
59 FR 45733 Sep. 2, 1994
PTE 92-60 Publix Super Market
47 FR 38524 Aug. 25, 1992

97-11E
04/07/1997
E00016
Les Schwab PSP

Sale of Real Property by Plan to Plan Sponsor Affiliate

PTE 94-65 Long Mftg.
59 FR 45733 Sep. 2, 1994
PTE 92-60 Publix Super Market
47 FR 38524 Aug. 25, 1992

97-10E
04/07/1997
E00015
Les Schwab PSP

Sale of Real Property by Plan to Plan Sponsor Affiliate

PTE 94-65 Long Mftg.
59 FR 45733 Sep. 2, 1994
PTE 92-60 Publix Super Market
47 FR 38524 Aug. 25, 1992

97-09E
04/04/1997
E00013
KeyCorp 401k

Sale of Mortgage Loans by Plan to Plan Sponsor

PTE 93-64 Heritage Pullman
58 FR 49325 Sep. 22, 1993
PTE 96-15 Life Insurance
61 FR 10025 Mar. 12, 1996

97-08E
04/03/1997
E00019
D. W. Associates Inc

Sale of Real Property by Plan to Plan Trustees

PTE 96-43 Mornell
61 FR 25909 May 23, 1996
PTE 96-33 Gail Belt
61 FR 20277 May 6, 1996

97-07E
03/10/1997
E00012
Richard Bertelson PSP

Sale of Real Property by Plan to Plan Participant

PTE 96-43 Mornell
61 FR 25909 May 23, 1996
PTE 96-33 Gail Belt
61 FR 20277 May 6, 1996

97-06E
02/24/1997
E00008
Banc One & Affiliates

Reinsurance of Insurance Policy by Affiliate of Sponsor

PTE 96-49 First Security
61 FR 31961 Jun. 21, 1996
PTE 91-66 Agway
56 FR 57678 Nov. 13, 1991

97-05E
01/23/1997
E00010
Kendall/Tyco

Sale of GAC by Plan to Sponsor

PTE 95-07 Lucky Electric
60 FR 5732 Jan. 30, 1995
PTE 96-72 Mei Technology
61 FR 49171 Sep. 18, 1996

97-04E
01/17/1997
E00007
Arizona Machinery Co

Sale of Partnership Interest in Real Property by Plan to Plan Sponsor

PTE 96-06 WLI Industries
61 FR 3488 Jan. 31, 1996
PTE 95-14 Sammons
60 FR 10877 Feb. 28, 1995

97-03E
12/09/1997
E00003
Deutsche Bank

Sale of asset-backed securities by Party in Interest to Plans

PTE 94-84 Brown & Sons
59 FR 65400 Dec. 19, 1994
PTE 96-22 First Union
61 FR 14827 Apr. 3, 1996

97-02E
11/25/1997
E00001
Ironwood Capital

Sale of asset-backed securities by Party in Interest to Plans

PTE 94-84 Brown & Sons
59 FR 65400 Dec. 19, 1994
PTE 96-22 First Union
61 FR 14827 Apr. 3, 1996

97-01E
11/20/1997
E00005
Morrison Knudson Corp

Issuance of Stock Warrants by Plan Sponsor to Plan Participants

PTE 96-19 Rose’s Stores
61 FR 11875 Mar. 22, 1996
PTE 96-46 Jacor
61 FR 31958 Jun. 21, 1996