Below is a historical list of exemptions and EXPRO authorizations. They may not reflect current policies or procedures. The Department, for example, may require terms and conditions that were not required in prior exemptions. Persons considering filing for an exemption or EXPRO authorization may find it very helpful to discuss the facts or issues in their cases with the Department before preparing the filing. The Department welcomes all inquiries and is available to answer any questions you may have. Call us at 202-693-8540.
| 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 |
12-14E | Sale by Plan of Other Securities | PTE 09-17 IRA of Michael Ball |
12-13E | Sale by Plan of Other Securities | PTE 09-17 IRA of Michael Ball |
12-12E | Sale by Plan of Other Securities | PTE 09-17 IRA of Michael Ball |
12-11E | Sale by Plan of Other Securities | PTE 09-17 IRA of Michael Ball |
12-10E | Sale by Plan of Other Securities | PTE 09-17 IRA of Michael Ball |
12-09E | 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 | Captive Reinsurance | PTE 03-07 Archer Daniels |
| 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 |