|
Final Authorization Number/Date
Case
ID/Applicant Name |
Description of
Transaction |
Substantially Similar
Transactions |
|
08-07E
06/20/08
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
05/30/08
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
05/25/08
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
05/14/08
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
03/10/08
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
03/03/08
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
01/25/08
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
|
|
07-13E
12/22/07
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
12/22/07
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
12/22/07
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
12/14/07
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
10/01/07
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
08/17/07
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
08/08/07
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
07/20/07
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
04/06/07
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
03/17/07
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
03/05/07
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
01/31/07
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
01/31/07
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
|
|
06-19E
12/29/06
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
12/16/06
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
12/17/06
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
11/07/06
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
09/28/06
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
09/17/06
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
08/27/06
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
06/08/06
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
05/01/06
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
04/19/06
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
04/19/06
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
03/15/06
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
02/22/06
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
02/12/06
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
01/13/06
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
01/07/06
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
01/05/06
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
01/05/06
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
01/05/06
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
|
|
05-45E
12/23/05
E00482
W. Mitchell Barber SEP 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
|
|
05-44E
12/23/05
E00481
William Wesley Giles 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
|
|
05-43E
12/16/05
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
12/16/05
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
12/16/05
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
12/16/05
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
12/16/05
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
12/16/05
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
12/16/05
E00472
Julius E. Dunn Jr. 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
|
|
05-36E
12/16/05
E00471
Arnold B. Dopson 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
|
|
05-35E
12/16/05
E00470
Johnie J. Cooper 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
|
|
05-34E
12/16/05
E00469
Mary Jo Collier 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
|
|
05-33E
12/16/05
E00467
Spencer J. Coleman 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
|
|
05-32E
12/16/05
E00467
Spencer J. Coleman 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
|
|
05-31E
12/16/05
E00466
Elizabeth Woodfin Coleman 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
|
|
05-30E
12/16/05
E00465
Judy C. Bell 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
|
|
05-29E
12/16/05
E00464
Isaac Cornelius Barrett Jr. SEP 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
|
|
05-28E
12/16/05
E00463
Curtis L. Barrett Jr. DMD IRA
|
|
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
12/16/05
E00462
Tonia B. Ayers 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
|
|
05-26E
12/16/05
E00461
Robert Todd Ayers 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
|
|
05-25E
10/12/05
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
11/08/05
E00458
Credit Suisse First Boston Inc.
|
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
08/15/05
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
09/29/05
E00456
Sun Microsystems Inc.
|
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
07/24/05
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
07/24/05
E00447
Blackstone Management Associates IV
|
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
07/22/05
E00444
Deutsche Bank AG; Deutsche Bank
|
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
07/21/05
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
07/21/05
E00450
Providence Equity Partners Inc.
|
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
07/21/05
E00449
Kohlberg, Kravis, Roberts & Company LP
|
Private Equity Fund Investments
|
PTE 00-32 Triumph Capital
65 FR 37170 Jun 13, 2000
FAN 02-06E Hellman & Friedman
Jul 28, 2002
|
|
05-15E
07/21/05
E00448
The Goldman Sachs Group Inc.
|
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
07/21/05
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
07/17/05
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
07/13/05
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
07/11/05
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
05/21/05
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
05/07/05
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
04/08/05
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
04/08/05
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
04/08/05
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
03/27/05
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
03/26/05
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
03/12/05
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
01/08/05
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
01/06/05
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
|
|
04-64E
12/31/04
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
12/31/04
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
12/31/04
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
12/31/04
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
12/31/04
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
12/31/04
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
12/31/04
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
12/31/04
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
12/31/04
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
12/31/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/26/04
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
12/10/04
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
12/10/04
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
12/10/04
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
12/10/04
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
12/02/04
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
11/29/04
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
10/13/04
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
09/07/04
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
08/19/04
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
08/18/04
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
08/13/04
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
07/30/04
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
07/02/04
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
06/25/04
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
06/18/04
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
05/27/04
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
05/20/04
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
04/07/04
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
04/01/04
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
02/25/04
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
02/21/04
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
02/06/04
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
02/04/04
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
01/29/04
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
01/21/04
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
|
|
03-37E
12/29/03
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
12/27/03
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
12/27/03
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
12/27/03
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
12/10/03
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
11/07/03
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
10/25/03
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
10/17/03
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
09/27/03
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
09/26/03
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
09/26/03
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
09/26/03
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
09/26/03
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
09/26/03
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
09/26/03
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
09/26/03
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
09/26/03
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
09/26/03
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
09/26/03
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
09/26/03
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
09/26/03
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
09/20/03
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
08/30/03
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
08/24/03
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
08/22/03
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
08/15/03
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
07/31/03
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
07/09/03
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
06/26/03
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
06/15/03
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
06/14/03
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
06/12/03
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
05/01/03
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
02/14/03
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
02/15/03
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
02/07/03
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
01/09/03
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
|
|
02-25E
12/27/02
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
12/27/02
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
12/25/02
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
12/25/02
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
12/20/02
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
12/06/02
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
12/06/02
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
12/06/02
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
12/06/02
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
12/06/02
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
11/06/02
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
11/03/02
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
10/18/02
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
10/11/02
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
10/11/02
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
09/20/02
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
09/14/02
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
09/05/02
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
08/01/02
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
07/28/02
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
07/05/02
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
05/16/02
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
03/25/02
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
02/24/02
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
01/11/02
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
|
|
01-50E
12/31/01
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
12/31/01
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
12/28/01
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
12/07/01
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
12/07/01
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
12/07/01
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
12/07/01
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
12/07/01
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
12/07/01
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
12/07/01
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
12/07/01
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
12/07/01
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
12/07/01
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
12/07/01
E00244
Judith Brothers
|
Sale of Stock held by Plan to IRA Owner
|
PTE 99-05 Brune, Glowacki et al
64 FR 04131
Jan 27, 1999PTE 99-06 Hummel, Gibson
64 FR 04131 Jan 27,
1999
|
|
01-36E
11/24/01
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
11/17/01
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
10/31/01
E00242
Robert
D. Inman PSP |
Sale by
Plan of Other Securities
|
PTE 99-10 GUS Plan
64 FR 11045 Mar 8, 1999PTE
99-02 Toledo Clinic Inc
64 FR 03319 Jan 21,
1999 |
|
01-33E
10/19/01
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
10/19/01
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
10/19/01
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
10/19/01
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
10/19/01
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
10/19/01
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
10/19/01
E00234
Janet 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
10/19/01
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
10/15/01
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
10/06/01
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
09/07/01
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
09/07/01
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
09/07/01
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
08/25/01
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
06/23/01
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
05/30/01
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
05/14/01
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
04/27/01
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
04/20/01
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
04/04/01
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
04/04/01
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
04/04/01
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
04/04/01
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
04/04/01
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
04/04/01
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
04/04/01
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
04/04/01
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
03/31/01
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
03/24/01
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
03/03/01
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
03/03/01
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
02/26/01
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
02/03/01
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
|
|
00-33E
12/27/00
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
12/22/00
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
12/22/00
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
12/03/00
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
11/30/00
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
11/24/00
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
11/01/00
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
10/17/00
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
10/13/00
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
10/11/00
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
10/05/00
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
10/04/00
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
09/22/00
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
08/19/00
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
07/16/00
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
07/01/00
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
06/22/00
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
06/17/00
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
06/08/00
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
06/07/00
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
06/02/00
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
05/13/00
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
04/08/00
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
03/15/00
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
03/12/00
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
03/07/00
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
03/05/00
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
02/27/00
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
02/12/00
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
02/05/00
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
02/05/00
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
01/22/00
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
01/05/00
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 |
|
99-32E
12/25/99
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
12/20/99
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
12/08/99
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
11/24/99
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
11/04/99
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
10/30/99
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
10/24/99
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
10/15/99
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
10/14/99
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
10/08/99
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
09/28/99
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
09/08/99
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
09/01/99
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
08/27/99
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
08/17/99
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
07/24/99
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
06/27/99
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
06/10/99
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
06/14/99
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
05/21/99
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
04/20/99
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
03/26/99
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
03/06/99
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
02/15/99
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
01/29/99
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
01/23/99
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
01/20/99
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
01/19/99
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
01/19/99
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
01/19/99
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
01/08/99
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
01/04/99
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
|
|
98-31E
12/28/98
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
12/24/98
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
12/24/98
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
12/21/98
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
12/02/98
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
11/09/98
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
11/02/98
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
10/28/98
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
10/09/98
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
10/13/98
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
10/06/98
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
09/30/98
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
09/28/98
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
09/17/98
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
08/24/98
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
08/10/98
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
08/04/98
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
07/28/98
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
07/06/98
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
07/06/98
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
06/29/98
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
05/26/98
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
05/11/98
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
04/27/98
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
04/17/98
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
04/29/98
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
03/16/98
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
03/09/98
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
01/30/98
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
01/26/98
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 |
|
97-32E
12/29/97
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
12/29/97
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
12/08/97
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
11/24/97
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
11/12/97
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
10/29/97
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
10/27/97
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
10/15/97
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
10/03/97
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
09/22/97
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
09/18/97
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
09/10/97
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
08/18/97
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
07/16/97
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
07/16/97
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
06/23/97
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
06/22/97
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
06/16/97
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
04/30/97
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
04/07/97
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
04/07/97
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
04/07/97
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
04/07/97
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
04/04/97
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
04/03/97
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
03/10/97
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
02/24/97
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
01/23/97
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
01/17/97
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
12/09/96
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
11/25/96
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
11/20/96
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 |
