Updated July 2002
FA # |
Name of Applicant |
Description of Transaction |
Substantially Similar Transactions |
---|---|---|---|
97-01E |
Morrison Knudson Corp. |
Issuance of Stock Warrants by Plan Sponsor to Plan Participants |
PTE 96-19 (Roses Stores) |
97-02E |
Ironwood Capital |
Sale of asset-backed securities by Party in Interest to Plans |
PTE 94-84 (Brown & Sons) |
97-03E |
Deutsche Bank |
Sale of asset-backed securities by Party in Interest to Plans |
PTE 94-84 (Brown & Sons) |
97-04E |
Arizona Machinery Co. |
Sale of Partnership Interest in Real Property by Plan to Plan Sponsor |
PTE 96-06 (WLI Industries) |
97-05E |
Kendall/Tyco |
Sale of GAC by Plan to Sponsor |
PTE 95-07 (Lucky Electric) |
97-06E |
Banc One & Affiliates |
Reinsurance of Insurance Policy by Affiliate of Sponsor |
PTE 96-49 (First Security) |
97-07E |
Richard Bertelson PSP |
Sale of Real Property by Plan to Plan Participant |
PTE 96-43 (Mornell) |
97-08E |
D. W. Associates Inc. |
Sale of Real Property by Plan to Plan Trustees |
PTE 96-43 (Mornell) |
97-09E |
KeyCorp 401(k) |
Sale of Mortgage Loans by Plan to Plan Sponsor |
PTE 93-64 (Heritage Pullman) |
97-10E |
Les Schwab PSP |
Sale of Real Property by Plan to Plan Sponsor Affiliate |
PTE 94-65 (Long Mftg.) |
97-11E |
Les Schwab PSP |
Sale of Real Property by Plan to Plan Sponsor Affiliate |
PTE 94-65 (Long Mftg.) |
97-12E |
Les Schwab PSP |
Sale of Real Property by Plan to Plan Sponsor Affiliate |
PTE 94-65 (Long Mftg.) |
97-13E |
Les Schwab PSP |
Sale of Real Property by Plan to Plan Sponsor Affiliate |
PTE 94-65 (Long Mftg.) |
97-14E |
Universal Forest Products |
Sale of Real Property by Plan to Plan Sponsor |
PTE 93-28 (Rectifier) |
97-15E |
Renco Properties Inc |
Sale of Real Property by Plan to Parties in Interest |
PTE 96-93 (Beall Corp PSP) |
97-16E |
James Hardie Retirement PSP |
Sale by Plan of Real Property |
PTE 96-93 (Beall Corp PSP) |
97-17E |
El Rey of Hollywood Inc |
Sale of Real Property by Plan to the Plans Sponsor, and Certain Shareholders and Officers |
PTE 94-14 (Randall Smith) |
97-18E |
Preco Inc. |
Purchase of GAC by Sponsor from Plan |
PTE 95-07 (Lucky Electric) |
97-19E |
Clark J. Winslow IRA |
Purchase of Real Property by Plan Participant from Plan |
PTE 95-11 (Hosp. Supplies) |
97-20E |
Progress Software Corp. 401(k) |
Purchase of GAC by Sponsor from Plan |
PTE 95-07 (Lucky Electric) |
97-21E |
Credit Lyonnais Securities |
Sale of asset-backed securities from Party in Interest to Plan |
PTE 94-84 (Brown & Sons) |
97-22E |
Da-Lite |
Purchase of Stock held by Plan by Participants/Fiduciaries |
PTE 96-27 (Meisenbach) |
97-23E |
Ks Merchandise |
Purchase of Real Property from Plan by Plan Sponsor |
PTE 94-48 (Laney/Duke) |
97-24E |
John R. Valaas, |
Sale of Stock held by Plan to Plan Participant |
PTE 95-101 (Elkin) |
97-25E |
Sarofim |
Lease of Real Property by Plan to Party in Interest |
PTE 97-25 (Hughes) |
97-26E |
Gordon Food Service |
Sale of Mortgages by Plan to Plan Sponsor |
PTE 96-15 (LSW) |
97-27E |
Bank One |
Loan to Plan by Party in Interest resulting from the liquidation of Plans GIC |
PTE 94-78 (Union Electric) |
97-28E |
A.O. Smith Retirement |
Sale of Real Property by Plan to Party in Interest |
PTE 95-92 (Central Freight) |
97-29E |
Malrite 401(k) |
Loan by Plan Sponsor to Plan |
PTE 95-78 (Keycorp) |
97-30E |
Lord Corp. |
Purchase of Plans GICs by Sponsor |
PTE 95-07 (Lucky Electric) |
97-31E |
First National Bank |
Sale of Mortgages by Plan to Sponsor |
PTE 93-23 (ELK) |
97-32E |
First National Bank |
Sale of Mortgages by Plan to Sponsor |
PTE 93-23 (ELK) |
98-01E |
Hi-Plains Hospital |
Purchase of GACs by Plan Sponsor |
PTE 97-14 (Givens) |
98-02E |
Intergroup Employees (FHS) |
Purchase of Partnership Interest from Plan by Party in Interest |
PTE 96-16 (Legent) |
98-03E |
Horner Music Inc. |
Sale of Real Property by Plan to Plan Sponsor |
PTE 95-11 (Hosp. Supplies) |
98-04E |
Bay Cities Container Corp. |
Lease of Real Property by Plan to Plan Sponsor |
PTE 96-26 (Jack, Lyon & Jones PS) |
98-05E |
Tommy J. Poirier PSP |
Sale of Real Property by Plan to Plan Sponsor |
PTE 95-23 (Segal) |
98-06E |
Derrick & Assoc. AmeriPath |
Purchase of Partnership Interests from Plan by Party in Interest |
PTE 95-23 (Segal) |
98-07E |
Merrill Lynch |
Lending of Securities to Affiliates of the Lending Agent |
PTE 97-63 (State Street) |
98-08E |
ABN AMRO Inc. |
Sale of asset-backed securities from Party in Interest to Plan |
PTE 97-05 (Southtrust) |
98-09E |
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) |
98-10E |
Neuro Assoc. |
Sale of Real Property by Plan to Party in Interest |
PTE 95-82 (PMS) |
98-11E |
Peter Cammalleri & AFC Partners |
Plan loan from an individual account to a Party in Interest |
PTE 97-19 (APA, Inc.) |
98-12E |
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) |
98-13E |
Gilbert Gersenfish MD |
Sale of real improved property from the Plan to a Party in Interest |
PTE 93-24 (Welborn Clinic) |
98-14E |
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) |
98-15E |
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) |
98-16E |
The Rockford Pipe Trades Pension Plan |
Sale of real property from the plan to a Party in Interest |
PTE 96-71 (Normike Industries) |
98-17E |
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) |
98-18E |
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) |
98-19E |
Francis J. Pizzi IRA |
Sale of unimproved real property between the Plan and a Party in Interest |
PTE 98-03 (Robert A. Doneff ) |
98-20E |
Sheils Obletz Johnsen |
Plan loan to a disqualified party |
PTE 97-66 (PS Richard Wickerham) |
98-21E |
Fernandez & Kalamaris MD |
Plan sponsor purchase of land trusts from plan |
PTE 96-16 (LEGENT Ret. Plan) |
98-22E |
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) |
98-23E |
Drs. Ferguson & Lolley Surgery Assoc. |
Sale by Plan of Real Property |
PTE 95-88 (Donald D Busker IRA) |
98-24E |
Capital One Bank |
Purchase by plan of asset-backed securities representing a pool of credit card receivables |
PTE 98-13 (MBNA America Bank) |
98-25E |
McMillan & Associates |
Plan sponsor purchases unimproved property by the Plan |
PTE 95-11 (Hospital Supplies) |
98-26E |
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) |
98-27E |
Downey Brand Seymour & Rohwer |
Sale by the Plan of Limited Partnership interest to a Party in Interest |
PTE 95-23 (Terry Segal P.C.) |
98-28E |
J.W. Brewer Tire Co. Inc. |
Sale of two mortgage notes by the Plan to a Party in Interest |
PTE 97-65 (Valley Forge) |
98-29E |
Downey Brand Seymour & Rohwer |
Sale of a limited partnership interest by a Plan to a Party in Interest |
PTE 95-23 (Terry Segal PC) |
98-30E |
Downey Brand Seymour & Rohwer |
Sale of a limited partnership interest by a Plan to Parties in Interest |
PTE 95-23 (Terry Segal PC) |
98-31E |
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) |
99-01E |
Morgan Stanley & Co. |
Lending of Securities to Affiliates of the Lending Agent |
PTE 98-24 (Goldman Sachs) |
99-02E |
South Texas Newborn Associates |
Sale by Plan, individual accounts, of real property to a Party in Interest |
PTE 96-78 (Zerhusen & Ghazi MD) |
99-03E |
Wisdom Import Sales Co. |
Sale of real estate investments by the Plan to a Party in Interest |
PTE 94-48 (Laney & Duke) |
99-04E |
Wisdom Import Sales Co. |
Sale of real estate investments by the Plan to a Party in Interest |
PTE 97-65 (Valley Forge) |
99-05E |
Wisdom Import Sales Co. |
Sale of real estate investments by the Plan to a Party in Interest |
PTE 94-48 (Laney & Duke) |
99-06E |
CARE Health Care Plan |
Plan lease of improved real property to a Party in Interest |
PTE 98-18 (Consolidated Assoc.) |
99-07E |
Hawkins Chemical Inc. |
Plan sells annuity contracts to plan sponsor |
PTE 94-46 (Alberici Companies) |
99-08E |
H.B. Bud Hayden Jr. IRA |
Plan sells fee title in commercial real estate to a Party in Interest |
PTE 98-29 (Knoxville Surgical ) |
99-09E |
Hy-Vee Employees PS & 401(k) |
Sale of improved real property by the Plan to a Party in Interest |
PTE 94-65 (Long Mfg. N.C. Inc) |
99-10E |
First South Utility Construction Inc. |
Plan sells to a Party in Interest shares of a limited partnership |
PTE 96-25 (Zausner Foods Corp) |
99-11E |
Bank of America |
Purchase by plan of asset-backed securities representing a pool of credit card receivables |
PTE 98-13 (MBNA America Bank) |
99-12E |
Family Orthopedic Assoc. 401(k) |
Sale of real property from an individual accounts in Plan to a Party in Interest |
PTE 96-78 (Zerhusen & Ghazi MD) |
99-13E |
Entec Polymers Inc. |
Sale of certain land trust by the Plan to the sponsor |
PTE 96-06 (WLI Industries) |
99-14E |
Liberty National Life Insurance |
Sale by the Plan of certain residential mortgages to a Party in Interest |
PTE 97-65 (Valley Forge) |
99-15E |
Tenco Tractor Inc. PSP |
Sale of interest in promissory notes by plan to a Party in Interest |
PTE 98-50 (John V. Vick) |
99-16E |
Broyhill Furniture Industries Inc. |
Plan sponsor purchases improved real property from the Plan |
PTE 98-29 (Knoxville Surgical) |
99-17E |
Glaziers Local 1940 Pension Fund |
Sale by the Plan to the Plan sponsor of improved real property |
PTE 97-36 (Operating Engineers) |
99-18E |
National Spinning Co. Inc 401(k) |
Interest free loan from the employer to the Plan |
PTE 99-19 (vonRoll isola Sav Plan) |
99-19E |
Owens Group LTD |
A Party in Interest purchases property from the Plan |
PTE 97-30 (Joint Appr. Plumbers) |
99-20E |
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) |
99-21E |
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) |
99-22E |
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) |
99-23E |
Ukrops Super Markets |
Sale by the Plan of certain limited partnership interests to the Plan sponsor |
PTE 97-29 (Washington National) |
99-24E |
Gambone Brothers Construction Company |
Sale by Plan of real property to a Party in Interest |
PTE 98-19 (Thornton, Hegg, Reif) |
99-25E |
Old Kent Bank |
Provision of Services |
PTE 97-47 (AmSouth Bk Alabama) |
99-26E |
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) |
99-27E |
Bank One Corporation |
Purchase by plan of asset-backed securities representing a pool of credit card receivables |
PTE 98-13 (MBNA America Bank) |
99-28E |
Chase Manhattan Bank |
Employer rebates to the Plan the investment advisory fee the employer receives as investment manager for the Plan(s) |
PTE 97-16 (US Trust Co of NY) |
99-29E |
Chapin Medical Co. |
Sale by the Plan of unimproved property to a Party in Interest |
PTE 96-78 (Zerhusen & Ghazi MD) |
99-30E |
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) |
99-31E |
Ironwood Capital LTD |
Sale of asset-backed securities from Party in Interest to Plan |
PTE 98-08 (PNC Capital Markets) |
99-32E |
Cardiovascular Surgery Assoc. 401(k) PSP |
Sale of unimproved real property by the Plan to a Party in Interest |
PTE 96-78 (Zerhusen & Ghazi MD) |
00-01E |
Whitley Memorial Hospital |
Loan to the Plan by Plan Sponsor |
PTE 95-13 (Alucobond Tech.) |
00-02E |
Unifirst Corp.PSP |
Sale of Plan interest in a parcel of unimproved real property to the Plan sponsor |
PTE 96-93 (Beall Corporation) |
00-03E |
Kimley-Horn & Assoc. Ret Savings |
Sale by Plan of Real Property |
PTE 98-37 (McClains RV 401(k)) |
00-04E |
Kimley-Horn & Assoc. Money Purchase |
Sale by Plan of Real Property |
PTE 98-37 (McClains RV 401(k)) |
00-05E |
Greenwood Trust Co. |
Purchase by plan of asset-backed securities representing a pool of credit card receivables |
PTE 98-13 (MBNA America Bank) |
00-06E |
Miller & Solomon General Contractors |
Sale by Plan of Employer Securities |
PTE 96-29 (Floral Glass & Mirror) |
00-07E |
Linker Marketing Co. |
Sale by Plan of Real Property to a Party in Interest |
PTE 96-43 (Pierre W. Mornell MD) |
00-08E |
Operating Engineers LU 17 |
Sale by Plan of Real Property to a Party in Interest |
PTE 96-65 (Bill Ussery Motors) |
00-09E |
Penn Camera Exchange Inc. |
Sale by Plan of Real Property to a Party in Interest |
PTE 97-65 (Valley Forge) |
00-10E |
Minkoff Co. |
Sale by Plan of 3rd party notes |
PTE 97-65 (Valley Forge) |
00-11E |
Carl Acebes Custodial IRA |
Sale by Plan of Real Property |
PTE 95-88 (Donald D Busker IRA) |
00-12E |
Conradco Inc. |
Sale by the Plan of real property to a Party in Interest |
PTE 96-78 (Zerhusen & Ghazi MD) |
00-13E |
Singer Organization Inc. PSP |
Sale by Plan of Real Property |
PTE 99-35 (H.H. Borland Inc PSP) |
00-14E |
Plumbers Supply Co. Inc. |
Sale of the Plans mortgage portfolio to a Party in Interest |
PTE 97-65 (Valley Forge) |
00-15E |
NECA-IBEW LU 176 JATC Electrical Fund |
Sale by the Plan of real property to a Party in Interest |
PTE 95-11 (Hospital Supplies) |
00-16E |
Precision Machining Inc. |
Sale by Plan of Real Property |
PTE 98-29 (Knoxville Surg Group) |
00-17E |
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) |
00-18E |
Credit Suisse First Boston |
Lending of Securities to Affiliates of the Lending Agent |
PTE 98-32 (Union Bk Switzerland) |
00-19E |
American Express |
Purchase by plan of asset-backed securities representing a pool of credit card receivables |
PTE 98-13 (MBNA America Bank) |
00-20E |
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) |
00-21E |
Goldberg, Kohn, Bell, Black, Rosenbloom & Moritz IRA |
Purchase by Plan of employer securities |
PTE 96-05 (J.H. Heafner Co) |
00-22E |
Farmers & Merchants Bank of Long Beach PSP |
Sale by Plan of 3rd party notes |
PTE 96-15 (Life Insurance) |
00-23E |
Alexander P. Golden III IRA |
Sale by Plan of other securities |
PTE 97-44 (1st Source Bank) |
00-24E |
Doskocil Manufacturing Co. 401(k) |
Sale by Plan of real property |
PTE 98-37 (McClains RV Inc) |
00-25E |
Aldrich, Schulten, Holec & Smith Mds |
Sale by Plan of Real Property |
PTE 99-35 (H.H. Borland Inc PSP) |
00-26E |
James Edgerton & Dennis E. Ver Mulm IRA |
Sale by Plan of other securities |
PTE 99-28 (Gaetano Lombardo ) |
00-27E |
Westdeutsche Landersbank Girozentrale |
Sale by Plan of other securities |
PTE 99-04 (Salomon Smith Barney) |
00-28E |
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) |
00-29E |
DW Productions Inc. PSP |
Sale by Plan of real property |
PTE 99-35 (H.H. Borland Inc PSP) |
00-30E |
Nomura Corporate Research & Asset Mgmt. |
QPAM where Affiliate has been convicted of a felony |
PTE 97-13 (GE Capital Investment) |
00-31E |
Ladowicz, Coatar, Roe, Westberg, Camino et al IRAs |
Sale by Plan of other securities |
PTE 99-05 (Brune Glowacki et al) |
00-32E |
Adams Brothers Interiors Inc. |
Sale by Plan of partnership interests |
PTE 99-18 (State Bankshares Inc) |
00-33E |
Waste Management Pension Plan |
Sale by Plan of partnership interests |
PTE 00-04 (TMI System Design) |
01-01E |
Porpoise Productions LTD PSP & Trust |
Sale by Plan of real property |
PTE 00-20 (Taylor M. Cole IRA) |
01-02E |
Credit Suisse First Boston |
QPAM where Affiliate has been convicted of a felony |
PTE 97-10 (PanAgora Asset Mgmt) |
01-03E |
Little Rock Diagnostic |
Sale by Plan of real property |
PTE 98-37 (McClains RV Inc) |
01-04E |
NECA-IBEW LU 176 JATC |
Sale by Plan of real property |
PTE 97-30 (Plumbers LU 27) |
01-05E |
Meaden Screw Products Co PS 401(k) 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) |
01-06E |
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) |
01-07E |
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) |
01-08E |
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) |
01-09E |
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) |
01-10E |
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) |
01-11E |
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) |
01-12E |
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) |
01-13E |
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) |
01-14E |
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) |
01-15E |
KeyCorp and Its Affiliates |
Receipt of fees from mutual funds |
PTE 97-47 (AmSouth Bk Alabama) |
01-16E |
Jose F. Font MD PA Profit Sharing Plan and Trust |
Sale of real estate by Plan to a party in interest |
PTE 00-20 (Taylor M. Cole IRA) |
01-17E |
Dow Chemical Co Emp. Paid & Dependent Life Ins. DORINCO Insurance Co. |
Captive Reinsurance |
PTE 96-95 (Zions
Bancorporation) 61 FR 68790 (December 30, 1996) PTE 96-49 (First Security Group) 61 FR 31961 (June 21, 1996) |
01-18E |
American Refrigeration Supplies Inc. 401(k) Profit Sharing Plan |
Sale out by Plan of limited partnership interests |
PTE 96-86 (Acme 401K) 61 FR 59467 (November 22, 1996) PTE 99-48 (Info. Systems) 64 FR 70748 (December 17, 1999) |
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 (June 1, 2000) PTE 00-27 (Chase Manhattan Bk) 65 FR 35129 (June 1, 2000) |
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 (April 3, 2001) PTE 00-63 (Merrill Lynch) 65 FR 76306 (December 6, 2000) |
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 (December 16, 1998) PTE 99-06 (Hummel et al IRAs) 64 FR 04131 (January 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 (December 16, 1998) PTE 99-06 (Hummel et al IRAs) |
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 (December 16, 1998) PTE 99-06 (Hummel et al IRAs) 64 FR 04131 (January 27, 1999) |
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 (June 01, 2000) PTE 00-29 (Morgan Stanley) 65 FR 35129 (June 01, 2000) |
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 (November 13, 2000) PTE 00-33 (McDonald Investments) 65 FR 37171 (June 13, 2000) |
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 (August 6, 1998) PTE 98-59 (Albright et al) 63 FR 69326 (December 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 (August 6, 1998) PTE 98-59 (Albright et al) 63 FR 69326 (December 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 (August 6, 1998) PTE 98-59 (Albright et al) 63 FR 69326 (December 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 (August 6, 1998) PTE 98-59 (Albright et al) 63 FR 69326 (December 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 (August 6, 1998) PTE 98-59 (Albright et al) 63 FR 69326 (December 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 (August 6, 1998) PTE 98-59 (Albright et al) 63 FR 69326 (December 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 (August 6, 1998) PTE 98-59 (Albright et al) 63 FR 69326 (December 16, 1998) |
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 (August 6, 1998) PTE 98-59 (Albright et al) 63 FR 69326 (December 16, 1998) |
01-34E |
Robert D. Inman Profit Sharing Plan | Sale by Plan of Other Securities |
PTE 99-10 (GUS Plan) |
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) |
01-36E 11-24-01 E00243 |
Gregory J. and Penny Paetow IRAs | Sale by Plan of Other Securities |
PTE 99-28 (Gaetano Lombardo) |
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 (January 27, 1999)PTE 99-06 (Hummel, Gibson) 64 FR 04131 (January 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 (January 27, 1999) PTE 99-06 (Hummel, Gibson) 64 FR 04131 (January 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 (January 27, 1999) PTE 99-06 (Hummel, Gibson) 64 FR 04131 (January 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 (January 27, 1999) PTE 99-06 (Hummel, Gibson) 64 FR 04131 (January 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 (January 27, 1999) PTE 99-06 (Hummel, Gibson) 64 FR 04131 (January 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 (January 27, 1999) PTE 99-06 (Hummel, Gibson) 64 FR 04131 (January 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 (January 27, 1999) PTE 99-06 (Hummel, Gibson) 64 FR 04131 (January 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 (January 27, 1999) PTE 99-06 (Hummel, Gibson) 64 FR 04131 (January 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 (January 27, 1999) PTE 99-06 (Hummel, Gibson) 64 FR 04131 (January 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 (January 27, 1999) PTE 99-06 (Hummel, Gibson) 64 FR 04131 (January 27, 1999) |
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 (January 27, 1999) PTE 99-06 (Hummel, Gibson) 64 FR 04131 (January 27, 1999) |
01-48E 12-28-01 E00255 |
Stephen B. Swartz 1991 Profit Sharing Plan | Sale by Plan of Real Property | PTE 98-05 (Robert Herzog
PSP) 63 FR 03773 (January 26, 1998) PTE 00-20 (Taylor M. Cole IRA) 65 FR 25953 (May 4, 2000) PTE 01-13 (Amalgamated Cotton) 66 FR 17740 (April 3, 2001) |
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 (December 16, 1998) PTE 97-45 (Chez & Kuntz IRAs) 62 FR 47053 (September 5, 1997) |
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 (December 16, 1998) PTE 97-45 (Chez & Kuntz IRAs) 62 FR 47053 (September 5, 1997) |
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 401(k)) 63 FR 38854 (July 20, 1998) PTE 99-38 (MICO) 64 FR 53736 (October 4, 1999) |
02-02E 02-24-02 E00260 |
King's Office Products Centers Inc. 401(k) 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 (February 1, 2000) |
02-03E 03-25-02 E00261 |
Bank of America NA | Credit Facility | PTE 00-22 (Bankers Trust)
65 FR 33376 (May 23, 2000) PTE 01-21 (Bank of America) 66 FR 34466 (June 28, 2001) PTE 00-10 (Bankers Trust) 65FR 10826 (February 29, 2000) |
02-04E 05-16-02 E00264 |
Data Systems Analysts Inc. Employee Stock Ownership Plan | Sale by Plan of Other Securities | PTE 99-48 (Info. Systems)
64 FR 70748 (December 17, 1999) PTE 98-37 (McClain's R.V.) 63 FR 38854 (July 20, 1998) |
02-05E 07-05-02 E00266 |
E. Paul Breaux Jr. IRA | Sale of 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 (January 13, 1998) |