|
Grant; PTE-1996-01
|
D-09877
|
G: 61 FR 3479 (01/31/96)
|
P: 60 FR 47598 (09/13/95)
|
First Hawaiian Bank, et al.
|
Permits the in-kind transfer to any
open end investment company (the Fund or Funds)
registered under the Investment Company Act of 1940 to
which First Hawaiian Bank or any of its affiliates
(collectively, the Bank) serves as investment adviser
and may provide other services, of the assets of
various employee investment funds maintained by the
Bank or otherwise held by the Bank as trustee,
investment manager, or in any other capacity as
fiduciary on behalf of the Plans, in exchange for
shares of such Funds. Also permits, the receipt of
fees by the Bank from the Funds for acting as the
investment adviser, custodian, sub-administrator, and
other service provider for the Funds in connection
with the investment in the Funds by the Plans for
which the Bank acts as a fiduciary.
|
|
Grant; PTE-1996-02
|
D-09983
|
G: 61 FR 3482 (01/31/96)
|
P: 60 FR 53806 (10/17/95)
|
The Chase Manhattan Bank Pooled
Investment Trust for Employee Benefit Plans (the
Trust)
|
Permits the past cash sale of
certain commercial paper notes for $25,129,748 by two
collective investment funds in the Trust known as VAN
1 and VAN 18 (the VANs) to The Chase Manhattan Bank,
N.A., a party in interest with respect to the employee
benefit plans invested in the VANs.
|
|
Grant; PTE-1996-03
|
D-10027
|
G: 61 FR 3482 (01/31/96)
|
P: 60 FR 55857 (11/03/95)
|
Retirement Plan for Employees of
Concord Hospital Capital Region Healthcare Corp. (the
Plan)
|
Permits (1) the transfers to the
Plan (occurring on July 7, July 13, July 18, August 19
and August 22, 1994) of publicly-traded securities
from non-ERISA accounts (the Accounts) of Concord
Hospital, Inc. and its parent corporation, parties in
interest with respect to the Plan; (2) the transfer of
$3,761,319 of publicly traded securities from the Plan
to the Accounts; (3) the proposed transfer of
approximately $3.6 million from the Plan to the
Accounts.
|
|
Grant; PTE-1996-04
|
D-10083
|
G: 61 FR 3483 (01/31/96)
|
P: 60 FR 55861 (11/03/95)
|
Larson Distributing Co. Profit
Sharing Plan (the Plan)
|
Permits (1) the extension of credit
to the Plan (the Loan) by Larson Distributing Co.,
Inc., the sponsor of the Plan, with respect to the
Plan’s investment in annuity accounts maintained
with USG Annuity and Life Co. and All American Life
Insurance Company, and (2) the Plan’s potential
repayment of the Loan.
|
|
Grant; PTE-1996-05
|
D-10125
|
G: 61 FR 3483 (01/31/96)
|
P: 60 FR 55862 (11/03/95)
|
Retirement Savings Plan and Trust
for Employees of the J.H. Heafner Company, Inc. (the
Plan)
|
Permits the sale by the Plan of
certain limited partnership units in two limited
partnerships to the J.H. Heafner Company, Inc., a
party in interest with respect to the Plan.
|
|
Grant; PTE-1996-06
|
D-09987
|
G: 61 FR 3489 (01/31/96)
|
P: 60 FR 53808 (10/17/95)
|
WLI Industries, Inc. Employees’ Stock Ownership Plan (the Plan), et al.
|
Permits, as of December 29, 1995, the cash sale by the Plan of its interest
in a limited partnership (the Partnership) to James Van DeVelde and Robert Van
DeVelde, the general partners of the Partnership and parties in interest with
respect to the Plan.
|
|
Grant; PTE-1996-07
|
D-10024
|
G: 61 FR 3489 (01/31/96)
|
P: 60 FR 58664 (11/28/95)
|
Ventura County National Bancorp 401(k) and Employee Stock Ownership Plan (the
Plan)
|
Permits, for the period from May 12, 1995 until June 21, 1995, (1) the
receipt of certain stock rights (the Rights) by the Plan, which is sponsored by
Ventura County National Bancorp (Ventura) and its affiliates, pursuant to a
stock rights offering by Ventura to shareholders of record of Ventura’s common
stock; (2) the holding of the Rights by the Plan during the Offering Period; and
(3) the exercise of the Rights by the Plan.
|
|
Grant; PTE-1996-08
|
D-10065 and D-10066
|
G: 61 FR 3489 (01/31/96)
|
P: 60 FR 55859 (11/03/95)
|
Industrial Bank of Japan Limited (IBJ)
|
Permits (1) the granting to IBJ, as the representative of lenders (the
Lenders) participating in a credit facility, of security interests in the Tiger
Real Estate Fund, L.P. (the Partnership) owned by certain employee benefit plans
(the Plans) with respect to which some of the Lenders are parties in interest;
and (2) the agreements by the Plans to honor capital calls made by IBJ in lieu
of the Partnership’s general partner.
|
|
Grant; PTE-1996-09
|
D-10077
|
G: 61 FR 3490 (01/31/96)
|
P: 60 FR 58668 (11/28/95)
|
Fidelitone, Inc. Employees’ Profit Sharing and Savings Plan & Trust
(the Plan)
|
Permits the sale by the Plan of certain securities to Fidelitone, Inc., a
party in interest with respect to the Plan.
|
|
Grant; PTE-1996-10
|
D-10095
|
G: 61 FR 3490 (01/31/96)
|
P: 60 FR 58670 (11/28/95)
|
Intrenet Employee Retirement Savings Plan (the Plan)
|
Permits the sale by the Plan of certain units of limited partnership
interests to Intrenet Inc., a party in interest with respect to the Plan.
|
|
Grant; PTE-1996-11
|
D-10102
|
G: 61 FR 3490 (01/3196)
|
P: 60 FR 58671 (11/28/95)
|
ContiFinancial Services Corporation
|
Permits, effective November 28, 1995, (1) the direct or indirect sale,
exchange or transfer of certificates in the initial issuance of certificates
between the sponsor r underwriter and an employee benefit plan when the sponsor,
servicer, trustee or insurer of a trust, the underwriter of the certificates
representing an interest in the trust, or an obligor is a party in interest with
respect to such plan; (2) the direct or indirect acquisition or disposition of
certificates by a plan in the secondary market for such certificates; and (3)
the continued holding of certificates acquired by a plan. Also permits,
effective November 28, 1995, (1) the direct or indirect sale, exchange or transfer of certificates between
the sponsor and underwriter and a plan when the person who has discretionary
authority or renders investment advice with respect to the investment of plan
assets in the certificates is (a) an obligor with respect to 5 percent or less
of the fair market value of obligations or assets contained in the trust, or (b)
an affiliate of a person described in (a). Further, this exemption permits,
effective November 28, 1995, any transactions to which ERISA restrictions and
Code sanctions would otherwise apply merely because a person is deemed to be a
party in interest or a disqualified person (including a fiduciary) with respect
to a plan by virtue of providing services to the plan (or by virtue of having a
relationship to such service provider, as described in section 3(14)(F), (G) or
(I) or ERISA or section 4975(e)(2)(F), (G), (H) or (I) of the Code, solely
because of the plan’s ownership of certificates.
|
|
Grant; PTE-1996-12
|
D-09840
|
G: 61 FR 10025 (03/12/96)
|
P: 60 FR 5865 (11/28/95)
|
World Omni Financial Corporation and Its Affiliates, et al.
|
Permits, effective June 27, 1994, (1) the direct or indirect sale, exchange,
or transfer of certificates in the initial issuance of certificates between the
sponsor or underwriter and an employee benefit plan when the sponsor, servicer,
trustee or insurer of a trust, the underwriter of the certificates representing
an interest in the trust, or an obligor is a party in interest with respect to
such plan; (2) the direct or indirect acquisition or disposition of certificates
by a plan in the secondary market for such certificates; and (3) the continued
holding of certificates acquired by a plan. Also permits, effective June 27,
1994, (1) the direct or indirect sale, exchange or transfer of certificates
between the sponsor and underwriter and a plan when the person who has
discretionary authority or renders investment advice with respect to the
investment of plan assets in the certificates is (a) an obligor with respect to
5 percent or less of the fair market value of obligations or assets contained in
the trust, or (b) an affiliate of a person described in (a). Further, this
exemption permits, effective June 27, 1994, any transactions to which ERISA
restrictions and Code sanctions would otherwise apply merely because a person is
deemed to be a party in interest or a disqualified person (including a
fiduciary) with respect to a plan by virtue of providing services to the plan
(or by virtue of having a relationship to such service provider, as described in
section 3(14)(F), (G) or (I) or ERISA or section 4975(e)(2)(F), (G), (H) or (I)
of the Code, solely because of the plan’s ownership of certificates.
|
|
Grant; PTE-1996-13
|
D-09903
|
G: 61 FR 10031 (03/12/96)
|
P: 60 FR 24901 (05/10/95)
|
Pediatric Dentistry Ltd. Profit Sharing Trust (the Plan)
|
Permits the cash sale by the Plan of a parcel of improved real property by
the Plan to William Hunter, M.D., a party in interest with respect to the Plan.
|
|
Grant; PTE-1996-14
|
D-09940
|
G: 61 FR 10032 (03/12/96)
|
P: 60 FR 5865 (11/28/95)
|
O: 61 FR 28243 (06/04/96) (Tech.
Corr.)
|
|
Morgan Stanley & Co. Incorporated (MS&C) and Morgan Stanley Trust
Company
|
Permits (1) the lending of securities to MS&Co and to any other U.S.
registered broker-dealers affiliated with MSTC (collectively, the MS
Broker-Dealers) by employee benefit plans with respect to which the MS
Broker-Dealer who is borrowing such securities is a party in interest or for
which MSTC acts as directed trustee or custodian and securities lending agent;
and (2) the receipt of compensation by MSTC in connection with these
transactions.
|
|
Grant; PTE-1996-15
|
D-10048
|
G: 61 FR 10034 (03/12/96)
|
P: 60 FR 58667 (11/28/95)
|
Life Insurance Corporation Retirement Savings Plan (the Plan)
|
Permits the cash sale of 16 residential mortgage loans by the Plan to the
Life Insurance Company of the Southwest, a party in interest with respect to the
Plan.
|
|
Grant; PTE-1996-16
|
D-10113
|
G: 61 FR 10034 (03/12/96)
|
P: 60 FR 58679 (11/28/95)
|
LEGENT Retirement Security Plan (the Plan)
|
Permits the cash sale by the Plan of a limited partnership interest in
Consolidated Capital Institutional Properties Two Limited Partnership to LEGENT
Corporation, a party in interest with respect to the Plan.
|
|
Grant; PTE-1996-17
|
D-09930
|
G: 61 FR 11876 (03/22/96)
|
P: 61 FR 58662 (11/28/95)
|
General Motors Hourly-Rate Employees Pension Plan, et al. (collectively, the
Plans)
|
Permits any transaction arising in connection with the acquisition,
ownership, management, development, leasing, financing, or sale of real property
(including the acquisition, ownership, or sale of any joint venture or
partnership interest in such property) or the borrowing or lending of money in
connection therewith, between a party in interest and the Plans.
|
|
Grant; PTE-1996-18
|
D-10035
|
G: 61 FR 11877 (03/22/96)
|
P: 61 FR 3474 (01/31/96)
|
H.E.B. Investment and Retirement Plan (the Plan)
|
Permits the cash sale by the Plan to H.E. Butt Grocery Company, the Plan
sponsor and a party in interest with respect to the Plan, of an interest in a
certain parcel of improved real property known as the South Congress Shopping
Center in Austin, Texas.
|
|
Grant; PTE-1996-19
|
D-10062
|
G: 61 FR 11877 (03/22/96)
|
P: 61 FR 3485 (01/31/96)
|
Rose’s Stores, Inc. Retirement Savings 401(k) Plan (the Retirement Savings
Plan)
|
Permits (1) the past acquisition and holding by the Rose’s Stores, Inc.
Variable Investment Plan (Variable Investment Plan) of subscription rights (the
Subscription Rights) offered by Rose’s Stores, Inc. (the Employer) to purchase
shares of new common stock (the New Stock) upon the emergence of the Employer
from bankruptcy; (2) the past acquisition and continued holding by the Variable
Investment Plan and subsequently, the Retirement Savings Plan, of warrants (the
Warrants) to purchase shares of the Employer’s New Stock; and (3) the proposed
acquisition of shares of the New Stock by the Retirement Savings Plan upon the
exercise of the Warrants.
|
|
Grant; PTE-1996-20
|
D-09848
|
G: 61 FR 14827 (04/03/96)
|
P: 61 FR 3467 (01/31/96)
|
Associated Hospital Service of Maine (d/b/a
BCBSME) and Blue Alliance Mutual
Insurance Company (Blue Alliance)
|
Permits, as of August 18, 1993, the sales of certain securities by the
Associated Hospital Service of Maine Retirement Plan (the Plan) to the
Associated Hospital Service of Maine (d/b/a BCBSME) and Blue Alliance, parties
in interest with respect to the Plan.
|
|
Grant; PTE-1996-21
|
D-10118
|
G: 61 FR 14827 (04/03/96)
|
P: 61 FR 3487 (01/31/96)
|
W.W. Taylor, Jr., M.D., P.C. Money Purchase Pension Plan (the Plan)
|
Permits, as of October 7, 1994, the contribution by W.W. Taylor, M.D., P.C.
to the Plan of certain publicly traded securities.
|
|
Grant; PTE-1996-22
|
D-10165
|
G: 61 FR 14828 (04/03/96)
|
P: 61 FR 5577 (02/13/96)
|
First Union Corporation (First Union)
|
Permits (1) the direct or indirect sale, exchange or transfer of certificates
in the initial issuance of certificates between the sponsor or underwriter and
an employee benefit plan when the sponsor, servicer, trustee or insurer of a
trust, the underwriter of the certificates representing an interest in the
trust, or an obligor is a party in interest with respect to such plan; (2) the
direct or indirect acquisition or disposition of certificates by a plan in the
secondary market for such certificates; and (3) the continued holding of
certificates acquired by a plan pursuant to the transactions described above in
items (1) or (2). Also permits (1) the direct or indirect sale, exchange or
transfer of certificates in the initial issuance of certificates between the
sponsor or underwriter and a plan when the person who has discretionary
authority or renders investment advice with respect to the investment of plan
assets in the certificates is (a) an obligor with respect to 5 percent or less
of the fair market value of obligations or receivables contained in the trust,
or (b) an affiliate of a person described in item (a) above. Further, this
exemption applies to transactions in connection with the servicing, management
and operation of a trust, provided: (1) such transactions are carried out in
accordance with the terms of a binding pooling and servicing arrangement; and
(2) the pooling and servicing agreement is provided to, or described in all
material respects in the prospectus or private placement memorandum provided to,
investing plans before they purchase certificates issued by the trust. Finally,
permits any transactions to which the restrictions under ERISA or the taxes
under the Code would otherwise apply merely because a person is deemed to be a
party in interest or disqualified person (including a fiduciary) with respect to
a plan by virtue of providing services to the plan (or by virtue of having a
relationship to such service provider described in section 3(14) (F), (G), (H)
or (I) of ERISA or section 4975(e)(2) (F), (G), (H) or (I) of the Code), solely
because of the plan's ownership of certificates.
|
|
Grant; PTE-1996-24
|
D-10036 and D-10037
|
G: 61 FR 18159 (04/24/96)
|
P: 61 FR 8673 (03/05/96)
|
Biscayne Bay Pilots, Inc. Money Purchase Pension Plan (M/P Plan) and Biscayne
Bay Pilots, Inc.401(k) Profit Sharing Plan (P/S Plan; collectively the Plans)
|
Permits the sale of certain improved real property by a trust established on
behalf of Helge Krarup within the Plans to Mr. Krarup, a party in interest with
respect to the Plans.
|
|
Grant; PTE-1996-25
|
D-10064
|
G: 61 FR 18159 (04/24/96)
|
P: 61 FR 8683 (03/05/96)
|
Zausner Foods Corp. Savings Plus Plan (the Plan)
|
Permits, as of December 29, 1995, the sale by the Plan of certain units of
limited partnership interests to Zausner Foods Corp., a party in interest with
respect to the Plan.
|
|
Grant; PTE-1996-26
|
D-10071
|
G: 61 FR 18160 (04/24/96)
|
P: 61 FR 5574 (02/13/96)
|
Jack, Lyon, & Jones, P.A. Profit Sharing Plan (the Plan)
|
Permits the (1) purchase by the Plan of certain improved real property (the
Property) from Jack, Lyon & Jones, P.A., (the Employer), a party in interest
with respect to the Plan; (2) the subsequent leasing of the Property by the Plan
to the Employer; and (3) the potential future repurchase of the Property by the
Employer from the Plan pursuant to the terms of an option agreement.
|
|
|
Grant; PTE-1996-28
|
D-10121
|
G: 61 FR 18161 (04/24/96)
|
P: 61 FR 5576 (02/13/96)
|
Associated Claims Management 401(k) Plan (the Plan)
|
Permits the sale of a group annuity contract issued by Mutual Benefit Life
Insurance Company by the Plan to Foundation Health Corporation, a party in
interest with respect to the Plan.
|
|
Grant; PTE-1996-29
|
D-10144
|
G: 61 FR
18161 (04/24/96)
|
P: 61 FR 8685 (03/05/96)
|
Floral Glass and Mirror, Inc. Profit Sharing Plan and Trust (the Plan)
|
Permits the sale of 20 shares of stock of Floral Glass Industries, Inc. by
the Plan to Mr. Charles Kaplanek, Jr., a party in interest with respect to the
Plan.
|
|
Grant; PTE-1996-30
|
D-09904
|
G: 61 FR 20277 (05/06/96)
|
P: 61 FR 5572 (02/13/96)
|
Aultman Retirement Savings Plan (the Plan)
|
Permits the guarantee (the Guarantee) by Aultman Health Services Association
(the Employer), the sponsor of the Plan, of amounts due the Plan with respect to
four guaranteed investment contracts issued by Confederation Life, including the
Employer's potential cash advances to the Plan pursuant to the Guarantee and the
potential repayment of the Advances.
|
|
Grant; PTE-1996-31
|
D-10168
|
G: 61 FR 20277 (05/06/96)
|
P: 61 FR 10016 (03/12/96)
|
C.C.L. Label, Inc. 401(k) Profit Sharing Plan (the Plan)
|
Permits the sale by the Plan of certain publicly traded limited partnership
interests (the Interests) to CCL Label, Inc. (CCL), a party in interest with
respect to the Plan.
|
|
Grant; PTE-1996-32
|
D-10183
|
G: 61 FR 20277 (05/06/96)
|
P: 61 FR 8686 (03/05/96)
|
Coin Acceptors, Inc. Savings and Protection Plan (the Plan)
|
Permits, effective September 29, 1995, the sale by the Plan of certain
publicly traded securities to Coin Acceptors, Inc., a party in interest with
respect to the Plan.
|
|
Grant; PTE-1996-33
|
D-10219
|
G: 61 FR 20277 (05/06/96)
|
P: 61 FR 11895 (03/22/96)
|
Gail L. Belt Self Employed Retirement Plan (the Plan)
|
Permits the sale of a parcel of real property by the Plan to Ms. Gail L.
Belt, a disqualified person with respect to the Plan for $115,000.
|
|
Grant; PTE-1996-34
|
D-09880
|
G: 61 FR 21501 (05/10/96)
|
P: 60 FR 31512 (06/15/95)
|
General Electric Pension Trust (the Trust)
|
Permits, effective August 3, 1994, the past and continued lease by the Trust
of office space in a commercial office building located at 201 Mission Street in
San Francisco, California, to GE Capital Aviation Services, Inc., a party in
interest with respect to employee benefit plans participating in the Trust.
|
|
|
Grant; PTE-1996-36
|
D-09999 - D-10001
|
G: 61 FR 21502 (05/10/96)
|
P: 61 FR 3470 (01/31/96)
|
Spreckles Industries, Inc. Employee Stock Ownership Plan, et al.
(collectively, the Plans)
|
Permits the acquisition, holding or exercise by the Plans of certain warrants
for the purchase of Class A new common stock of Spreckels Industries, Inc., a
party in interest with respect to the Plans.
|
|
Grant; PTE-1996-37
|
D-10142
|
G: 61 FR 21504 (05/10/96)
|
P: 61 FR 10015 (03/12/96)
|
Budge Clinic Profit Sharing Plan and Trust (the Plan)
|
Permits the sale of certain improved real property, located in Logan, Utah,
by the Plan to IHC Health Services, Inc., a party in interest with respect to
the Plan.
|
|
Grant; PTE-1996-38
|
D-09410
|
G: 61 FR 25909 (05/23/96)
|
P: 61 FR 11878 (03/22/96)
|
RREEF USA Fund – I (the Trust)
|
Permits, effective January 1, 1993, the receipt by RREEF America L.L.C., the
investment manager of the Trust, of a certain performance compensation fee in
connection with the liquidation of the Trust.
|
|
Grant; PTE-1996-39
|
D-09969 and D-09970
|
G: 61 FR 25910 (05/23/96)
|
P: 60 FR 63064 (12/08/95)
|
Timberland Investment Group, Inc. and Wachovia Bank of Georgia,
N.A. (the
Investment Manager)
|
Permits the payment of an incentive fee by Timberland, a special purpose
corporation which holds plan assets from the American Telephone and Telegraph
Master Trust and the BellSouth Master Pension Trust, to the Investment Manager
of Timberland, a party in interest with respect to the Trusts.
|
|
Grant; PTE-1996-40
|
D-10018
|
G: 61 FR 25911 (05/23/96)
|
P: 61 FR 11892 (03/22/96)
|
Herzog, Heine, Geduld, Inc. (HHG)
|
Permits the extension of credit between Herzog, Heine, Geduld, Inc. (HHG) and
various individual retirement accounts for which HHG serves as passive trustee
or custodian (HHG IRAs) resulting from the in-kind transfer to HHG IRAs at the
direction of the owners of such HHG IRAs of certain senior subordinated notes
(the Notes) issued by HHG, and thereafter the holding of such Notes by the HHG
IRAs.
|
|
Grant; PTE-1996-41
|
D-10133 and D-10134
|
G: 61 FR 25911 (05/23/96)
|
P: 61 FR 15142 (04/04/96)
|
The Buchanan Broadcasting Co., Inc. Profit Sharing Plan and Trust (the Plan)
|
Permits the leasing of certain office space in a building by the individual
account of Robert M. Buchanan, Jr. in the Plan to Buchanan Broadcasting Co.,
Inc. and to Westwood Square, Ltd., both parties in interest with respect to the
Plan.
|
|
Grant; PTE-1996-42
|
D-10164
|
G: 61 FR 25912 (05/23/96)
|
P: 61 FR 15144 (04/04/96)
|
James Flynn & Associates, Ltd. Pension Plan (the Plan)
|
Permits (1) the transfer of a parcel of real property to the Plan by James T.
and Britt Marie Flynn (the Flynns), disqualified persons with respect to the
Plan, together with a cash payment by the Flynns to the Plan of $29,000, and (2)
the transfer of another parcel of real property by the Plan to the Flynns.
|
|
Grant; PTE-1996-43
|
D-10170
|
G: 61 FR 25912 (05/23/96)
|
P: 61 FR 11894 (03/22/96)
|
Pierre W. Mornell, M.D., A Sole Proprietorship, Defined Benefit Plan (the
Plan)
|
Permits the sale of certain unimproved real property located in Mill Valley,
California by the Plan to Pierre W. Mornell and Linda C. Mornell, parties in
interest with respect to the Plan.
|
|
Grant; PTE-1996-44
|
D-10049
|
G: 61 FR 28244 (06/04/96)
|
P: 61 FR 15140 (04/04/96)
|
Sprague Electric Company Retirement and Savings Plan (the Plan)
|
Permits the cash sale by the Plan of its 34.2 interest in both the Group
Annuity Contract No. CG 0128203A, issued by Executive Life Insurance Company and
the Group Annuity Contract No. GA-4724, issued by Mutual Benefit Life Insurance
Company, to American Annuity Group, Inc., a party in interest with respect to
the Plan.
|
|
Grant; PTE-1996-45
|
D-10167
|
G: 61 FR 28244 (06/04/96)
|
P: 61 FR 10017 (03/12/96)
|
Dauphin Deposit Bank and Trust Company (Dauphin)
|
Permits, as of May 31, 1996, the in-kind transfer of assets of plans (the
Client Plans) for which Dauphin acts as a fiduciary, other than plans
established and maintained by Dauphin, that are held in certain collective
investment funds maintained by Dauphin (CIFs) in exchange for shares of the
Marketvest Funds (the Funds), open-end investment companies registered under the
Investment Company Act of 1940, in situations where Dauphin acts as investment
advisor for the Fund and may provide some other “Secondary Service” to the
Fund, in connection with the termination of such CIFs. Also permits, as of April
1, 1996, the receipt of fees by Dauphin from the Funds for acting as an
investment adviser to the Funds as well as for providing other services to the
Funds which are “Secondary Services,” in connection with the investment by
the Client Plans in shares of the Funds.
|
|
Grant; PTE-1996-46
|
D-09844
|
G: 61 FR 31959 (06/21/96)
|
P: 61 FR 18421 (04/25/96)
|
Jacor Communications Inc. Retirement Plan (the Plan)
|
Permits, as of January 11, 1993, (1) the receipt by the Plan of certain
stock-purchase warrants (the Warrants) pursuant to the restructuring of Jacor
Communications, Inc., excluding that portion of Warrants which was acquired by
the Plan’s Qualified Matching Contribution Account; (2) the past and future
holding of the Warrants by the Plan; and (3) the disposition or exercise of the Warrants by the Plan.
|
|
Grant; PTE-1996-47
|
D-10147
|
G: 61 FR 31959 (06/21/96)
|
P: 61 FR 18424 (04/25/96)
|
EAI Partners, L.P. (EAI)
|
Permits, as of December 29, 1995, the in-kind transfer of assets of employee
benefit plans that are participant-directed account plans intended to satisfy
section 404(c) of ERISA as to which EAI serves as a fiduciary, including a plan
established by EAI, as well as two plans that are sponsored by affiliates of EAI,
that are held in the Small Managers Equity Fund Trust (SMEF), which is
maintained by EAI, in exchange for shares of the EAI Select Managers Equity
Fund, an open-end investment company registered under the Investment Company Act
of 1940 for which Evaluation Associates Capital Markets, Inc., a wholly owned
subsidiary of EAI, acts as investment adviser, in connection with the partial
termination of SMEF.
|
|
Grant; PTE-1996-48
|
D-10163
|
G: 61 FR 31961 (06/21/96)
|
P: 61 FR 18428 (04/25/96)
|
Pension Plan of Roper Hospital, Inc. (the Plan)
|
Permits the cash sale by the Plan of Separate Investment Account Group
Annuity Policy No. GA-4619 maintained by New England Mutual Life Insurance
Company to Roper Health System, Inc., the Plan sponsor and a party in interest
with respect to the Plan.
|
|
Grant; PTE-1996-49
|
D-10178
|
G: 61 FR 31961 (06/21/96)
|
P: 61 FR 18433 (04/25/96)
|
First Security Group Life Insurance Plan (the Plan)
|
Permits, as of August 1, 1993, the reinsurance of risks and the receipt of
premiums therefrom by First Security Life Insurance Company of Arizona from the
insurance contracts sold by Minnesota Mutual Life Insurance Company (MM) or any
successor insurance company to MM which is unrelated to First Security
Corporation, to provide life insurance benefits to participants in the Plan.
|
|
Grant; PTE-1996-50
|
D-10039
|
G: 61 FR 36766 (07/12/96)
|
P: 61 FR 20278 (05/06/96)
|
San Diego National Bank Deferred Savings Plan (the Plan)
|
Permits, as of May 30, 1995, (1) the past acquisition by the Plan of certain
stock rights (the Rights) pursuant to a stock rights offering (the Offering) by
SDNB Financial Corp., a California corporation, which wholly-owns and is the
parent company of the San Diego National Bank, the sponsor of the Plan and a
party in interest with respect to the Plan; (2) the past holding of the Rights
during the subscription period of the Offering; and (3) the disposition or
exercise of the Rights by the Plan.
|
|
Grant; PTE-1996-51
|
D-10149
|
G: 61 FR 36766 (07/12/96)
|
P: 61 FR 15143 (04/04/96)
|
Puckett Machinery Company Profit Sharing Plan (the Plan)
|
Permits the sale of improved real property by the Plan to Richard H. Puckett,
a party in interest with respect to the Plan.
|
|
Grant; PTE-1996-52
|
D-10175 - D-10177
|
G: 61 FR 36767 (07/12/96)
|
P: 61 FR 18430 (04/25/96)
|
First Virginia Banks, Inc. (First Virginia)
|
Permits (1) the cash sale, on December 23, 1994, of certain variable rate
certificates of deposit (CDs), issued by Merrill Lynch National Bank, Salt Lake
City, Utah, by forty employee benefit plans, Keogh plans and individual
retirement accounts (IRAs) for which First Knoxville Bank in Knoxville,
Tennessee (the Bank) serves as a fiduciary, to First Virginia, a party in
interest or disqualified person with respect to such plans and IRAs; (2) the
cash sale, on various dates during 1995, of certain fixed rate CDs issued by
various unrelated financial institutions, by eighteen employee benefit plans,
Keogh plans and IRAs, for which the Bank serves as a fiduciary, to First
Virginia; and (3) the proposed cash sale of certain additional fixed rate CDs,
issued by various unrelated financial institutions, by approximately twenty-one
employee benefit plans, Keogh plans and IRAs, for which the Bank serves as a
fiduciary, to First Virginia. This exemption is effective as of December 23,
1994 for the transaction described in item (1) above and at various times during
1995 for the transaction described in item (2).
|
|
Grant; PTE-1996-53
|
D-10185
|
G: 61 FR 36768 (07/12/96)
|
P: 61 FR 20283 (05/06/96)
|
AmSouth Bancorporation Thrift Plan (the Plan)
|
Permits the cash sale of Guaranteed Investment Contract No. 62531 and
Guaranteed Investment Contract No. 62651, both issued by Confederation Life
Insurance of Atlanta, Georgia, by the Plan to AmSouth Bancorporation, a Delaware
corporation, the sponsor of the Plan and a party in interest with respect to the
Plan.
|
|
Grant; PTE-1996-54
|
D-09334
|
G: 61 FR 37933 (07/22/96)
|
P: 61 FR 15123 (04/04/96)
|
Wells Fargo Bank, N.A. (the Bank), et al.
|
Permits, effective July 2, 1993 until October 1, 1993, the in-kind transfer
of all or a pro rata portion of the assets of employee benefit plans that are
held in certain collective investment funds (the CIF or CIFs), for which the
Bank or any of its affiliates (collectively, Wells Fargo) serves as fiduciary,
to the Stagecoach Funds, Inc. (the Fund or Funds), an open-end investment
company registered under the Investment Company Act of 1940, as amended, for
which Wells Fargo acts as investment adviser and may provide other services, in
exchange for shares of the Funds, in connection with the partial termination of
the CIFs.
|
|
Grant; PTE-1996-55
|
D-10073
|
G: 61 FR 37935 (07/22/96)
|
P: 61 FR 3476 (01/31/96)
|
Aircon Energy, Inc. 401(k) Profit Sharing Plan (the Plan)
|
Permits the sale by the Plan of certain office equipment to Aircon Energy,
Inc., a party in interest with respect to the Plan.
|
|
Grant; PTE-1996-56
|
D-10126
|
G: 61 FR 37935 (07/22/96)
|
P: 61 FR 25905 (05/23/96)
|
Smith Barney
|
Permits, effective September 25, 1995, the lending of securities, under
certain “exclusive borrowing” arrangements, to Smith Barney, and to any
affiliate of Smith Barney, who is a U.S. registered broker-dealer or a
government securities broker or dealer, by employee benefit plans with respect
to which Smith Barney is a party in interest.
|
|
Grant; PTE-1996-57
|
D-10141
|
G: 61 FR 37936 (07/22/96)
|
P: 61 FR 25907 (05/23/96)
|
VVP America, Inc. Incentive Savings Plan (the Plan)
|
Permits the sales by the Plan to VVP America, Inc., the sponsor of the Plan,
of universal life insurance policies issued by the Confederation Life Insurance
Company.
|
|
Grant; PTE-1996-58
|
D-10180 and D-10181
|
G: 61 FR 37936 (07/22/96)
|
P: 61 FR 20281 (05/06/96)
|
Fieldcrest Cannon, Inc. Retirement Savings Plan for Salaried Employees, et
al. collectively, (the Plans)
|
Permits the (1) the guaranty by Fieldcrest Cannon, Inc. (the Employer), the
sponsor of the Plans, of amounts due the Plans with respect to three guaranteed
investment contracts (the GICs) issued by Confederation Life Insurance Company;
(2) the potential extensions of credit (the Advances) to the Plans by the
Employer pursuant to the Guaranty; (3) the Plans’ potential repayment of the
Advances; and (4) the potential purchase of the GICs from the Plans by the
Employer for cash.
|
|
Grant; PTE-1996-59
|
D-09818
|
G: 61 FR 40000 (07/31/96)
|
P: 61 FR 11882 (03/22/96)
|
PaineWebber Incorporated (PaineWebber)
|
Permits, effective August 18, 1995, the purchase or redemption of shares by
an employee benefit plan, a plan described in section 403(b) of the Code, an
individual retirement account or a retirement plan for a self- employed
individual (collectively referred to herein as the Plans) in the PaineWebber
Managed Accounts Services Portfolio Trust established in connection with such
Plans’ participation in the PaineWebber PACE Program (the PACE Program). In
addition, this exemption permits, effective August 18, 1995, (a) the provision,
by PaineWebber Managed Accounts Services, a division of PaineWebber, of asset
allocation and related services to an independent fiduciary (the Independent
Fiduciary) of a Plan or to a directing participant (the Directing Participant)
in a Plan that is covered under and permits participant selection as
contemplated by the provisions of section 404(c) of ERISA, which may result in
the selection by the Independent Fiduciary or the Directing Participant of
portfolios of the Trust in the PACE Program for the investment of Plan assets;
and (b) the provision of investment management services by Mitchell Hutchins
Asset Management, Inc. to the PACE Money Market Investments Portfolio of the
Trust.
|
|
Grant; PTE-1996-60
|
D-10171
|
G: 61 FR 40004 (07/31/96)
|
P: 61 FR 28238 (06/04/96)
|
The Everett Clinic Profit Sharing Plan and 401(k) Employee Savings Plan and
Trust (the Plan)
|
Permits, as of June 1, 1996, the Plan and Everett Clinic (the Employer), a
party in interest with respect to the Plan to engage in the following
transactions: (1) the exchange of cash and real property (Parcel B) owned by the
Plan for other real property (Parcel C) owned by the Employer; (2) the grant by
the Employer to the Plan of a perpetual easement to run with the land on the
Plan’s Parcel B (to be exchanged) and on certain Employer-owned property; (3)
the modification and extension of an existing lease (the New Lease) of improved
real property by the Plan to the Employer, so as to include Parcel C and,
effective January 1, 1997, a parking lot owned by the Employer to be contributed
gratuitously to the Plan; and (4) the potential future purchase of the leased
premises by the Employer pursuant to the terms of an option agreement contained
in the New Lease.
|
|
Grant; PTE-1996-61
|
L-10221
|
G: 61 FR 40005 (07/31/96)
|
P: 61 FR 28241 (06/04/96)
|
The SUP Welfare Plan (the Plan)
|
Permits the sale by Plan of the remaining term of a one hundred year pre-paid
leasehold interest to the Sailors’ Union of the Pacific Building Corporation,
a party in interest with respect to the Plan.
|
|
Grant; PTE-1996-64
|
D-10063
|
G: 61 FR 44081 (08/27/96)
|
P: 61 FR 8674 (03/05/96)
|
Society National Bank; KeyTrust Company of Ohio; Society Asset Management,
Inc.; and KeyCorp (collectively, the Bank)
|
Permits, effective December 1, 1993, the in-kind transfer of assets of plans
for which the Bank serves as a fiduciary (the Client Plans), other than plans
established and maintained by the Bank, that are held in certain collective
investment funds maintained by the Bank (the CIFs), in exchange for the shares
of the Victory Portfolios (collectively, the Funds), an open-end investment
company registered under the Investment Company Act of 1940, for which the Bank
acts as an investment adviser as well as a custodian, sub-administrator, and/or
shareholder servicing agent, or provides some other “secondary service,” in
connection with the termination of such CIFs. Also permits, effective October 1,
1995, the receipt of fees by the Bank from the Funds for acting as an investment
adviser to the Funds in connection with the investment by Client plans in shares
of the Funds; and (2) the receipt and retention of fees by the Bank from the
Funds for acting as custodian, sub-administrator, and shareholder servicing
agent to the Funds, as well as for providing any other services to the Funds
which are not investment advisory services (i.e., “secondary services”), in
connection with the investment by Client Plans in shares of the Funds.
|
|
Grant; PTE-1996-65
|
D-10146
|
G: 61 FR 44084 (08/27/96)
|
P: 61 FR 31954 (06/21/96)
|
Bill Ussery Motors, Inc. Fourth Amended and Restated Profit Sharing Plan and
Trust (the Plan)
|
Permits the cash sale of certain real property by the Plan to Mr. John C.
Brockway, the sole shareholder of the sponsoring employer and a party in
interest.
|
|
Grant; PTE-1996-66
|
D-10203
|
G: 61 FR 44084 (08/27/96)
|
P: 61 FR 31955 (06/21/96)
|
Hach Company 401 (k) Profit Sharing Plan (the Plan)
|
Permits the cash sale by the Plan of Group Annuity Contract No. 5000008
issued by Anchor National Life Insurance Company to Hach Company, a party in
interest with respect to the Plan.
|
|
Grant; PTE-1996-67
|
D-10233
|
G: 61 FR 44084 (08/27/96)
|
P: 61 FR 28242 (06/04/96)
|
Cablevision Industries Corporation Profit Sharing Plan (the Plan)
|
Permits the purchase from the Plan by Cablevision Industries Corporation, the
sponsor of the Plan of its entire remaining interest in guaranteed investment
contract number GCNG8690011A issued by the Executive Life Insurance Company.
|
|
Grant; PTE-1996-68
|
D-10242
|
G: 61 FR 44085 (08/27/96)
|
P: 61 FR 31956 (06/21/96)
|
Hoechst Marion Roussel, Inc. Matching Contribution Plan (the Plan)
|
Permits, from July 18, 1995 until August 2, 2005, the continuing guarantee by
Hoechst Marion Roussel, Inc. of a loan made to the Plan.
|
|
Grant; PTE-1996-69
|
D-10189
|
G: 61 FR 49171 (09/18/96)
|
P: 61 FR 40006 (07/31/96)
|
Westinghouse Savannah River
Company/Bechtel Savannah River, Inc. Pension
Plan, (the Plan), et al.
|
Permits, effective October 15, 1994, the past and future use by the U.S.
Department of Energy (DOE), acting on behalf of Westinghouse Savannah River
Company (WSRC) and Bechtel Savannah River, Inc. (BSRI), parties in interest with
respect to the Plan, of portions of DOE’s interest in Group Annuity Contract
GR-409 (GR-409) issued by Connecticut General Life Insurance Company (CGLIC), an
insurance company headquartered in Hartford, Connecticut, to purchase interests
for the Plan in CGLIC Group Annuity Contract IN-16111 (IN-16111) for the purpose
of funding the benefits under the Plan.
|
|
Grant; PTE-1996-70
|
D-10214
|
G: 61 FR 49175 (09/18/96)
|
P: 61 FR 37926 (07/22/96)
|
Dillard’s Marine & Sports Center, Inc. Profit Sharing Plan (the Plan)
|
Permits the loan of $47,962.50 by the Plan from the individual account of
Willard M. Dillard, Jr. to Dillard’s Marine & Sports Center, Inc., the
sponsoring employer and a party in interest with respect to the Plan.
|
|
Grant; PTE-1996-71
|
D-10239
|
G: 61 FR 49175 (09/18/96)
|
P: 61 FR 37926 (07/22/96)
|
Normike Industries, Inc. Profit Sharing Plan (the Plan)
|
Permits, effective August 20, 1996, the sale by the Plan of certain improved
real property located in Plainville, Connecticut to Norman and Diane Stoll,
parties in interest with respect to the Plan.
|
|
Grant; PTE-1996-72
|
D-10281
|
G: 61 FR 49176 (09/18/96)
|
P: 61 FR 37931 (07/22/96)
|
Mei Technology Corporation 401 (k) Plan (the Plan)
|
Permits the cash sale of Guaranteed Annuity Contracts No. GA-7192,
Certificate Nos. 0001-0004 (collectively, the GAC), issued by Mutual Benefit
Life Insurance Company, by the Plan to Mei Technology, the sponsoring employer
and a party in interest with respect to the Plan.
|
|
Grant; PTE-1996-73
|
D-10198
|
G: 61 FR 51463 (10/02/96)
|
P: 61 FR 20284 (05/06/96)
|
The Masters, Mates and Pilots Pension Plan and Individual Retirement Account
Plan (together, the Plans)
|
Temporarily permits the continued holding by the Plans of their shares of the
stock in American Heavy Lift Shipping Company, a party in interest with respect
to the Plans. This exemption is effective until the later date of (1) December
31, 1997 or (2) December 31, 1998,provided another application is filed with the
Department prior to December 31, 1997.
|
|
Grant; PTE-1996-74
|
D-10222
|
G: 61 FR 51464 (10/02/96)
|
P: 61 FR 18435 (04/25/96)
|
Chicago Trust Company and Its Affiliates (collectively, Chicago Trust)
|
Permits, effective September 21, 1995, the in-kind transfer to any
diversified open-end investment company (the Fund or Funds) registered under the
Investment Company Act of 1940 to which Chicago Trust serves as investment
adviser and/or may provide other services, of the assets of various employee
benefit plans (the Client Plans), including plans established or maintained by
Chicago Trust that are either held in certain collective investment funds
maintained by Chicago Trust as trustee or investment manager, in exchange for
shares of such Funds. Also permits, effective September 21, 1995, (1) the
receipt of fees by Chicago Trust from the Funds for investment advisory services
to the Funds; and (2) the receipt or retention of fees by Chicago Trust from the
Funds for acting as custodian or shareholder servicing agent to the Funds, as
well as any other services provided to the Funds which are not investment
advisory services (i.e., the Secondary Services), in connection with the
investment of shares in the Funds by the Client Plans for which Chicago Trust
acts as a fiduciary.
|
|
Grant; PTE-1996-75
|
D-10258
|
G: 61 FR 51469 (10/02/96)
|
P: 61 FR 37928 (07/22/96)
|
Pacific Mutual Life Insurance Company (PM)
|
Permits, effective September 2, 1993, the sale to employee benefit plans (the
Plans) of a synthetic guaranteed investment contract offered by PM, which is a
party in interest with respect to the Plans.
|
|
Grant; PTE-1996-76
|
D-09915
|
G: 61 FR 54229 (10/17/96)
|
P: 61 FR 15128 (04/04/96)
|
Teachers Insurance and Annuity Association of America
(TIAA)
|
Permits, effective October 2, 1995, (1) the purchase by TIAA of certain units
(the Liquidity Units) in a real estate separate account established and operated
by TIAA (the Separate Account); and (2) the sale of Liquidity Units of the
Separate Account by TIAA in the event of net contributions to the Separate
Account. Also permits, effective October 2, 1995, (1) the use of cash flow from
the Separate Account; (2) the use of liquid investments in the Separate Account;
or (3) the use of the proceeds from the sale of certain properties owned by the
Separate Account for the purpose of purchasing Liquidity Units in the Separate
Account from TIAA in connection with a decrease in the participation by TIAA in
the Separate Account after the trigger point has been reached or during the wind
down period of the Separate Account.
|
|
Grant; PTE-1996-77
|
D-10173
|
G: 61 FR 54236 (10/17/96)
|
P: 61 FR 37925 (07/22/96)
|
Mewbourne Oil Company, Inc. Plan (the Plan)
|
Permits, effective February 11, 1994, the contribution by Mewbourne Oil
Company (the Employer) to the Plan of a U.S. Treasury Strip Bond (the Bond) and
the subsequent exchange by the Employer of the Bond for cash.
|
|
Grant; PTE-1996-78
|
D-10224
|
G: 61 FR 54237 (10/17/96)
|
P: 61 FR 44085 (08/27/96)
|
Zerhusen and Ghazi, M.D. Inc. Profit Sharing Plan (the Plan)
|
Permits the sale by Dr. J. Robert Zerhusen’s individual, self-directed
account within the Plan of a parcel of real property to his spouse, Marilyn E.
Zerhusen, a participant and a party in interest with respect to the Plan.
|
|
Grant; PTE-1996-79
|
D-10238
|
G: 61 FR 54237 (10/17/96)
|
P: 61 FR 47203 (09/06/96)
|
Huggler & Silverang Profit Sharing Plan (the Plan)
|
Permits the cash sale by the Plan of two 5 percent limited partnership
interests in Rosemont Square Association, L.P., one to Mr. David H. Huggler and
the second to Mr. Kevin J. Silverang, respectively, parties in interest with
respect to the Plan.
|
|
|
Grant; PTE-1996-81
|
D-10294
|
G: 61 FR 55326 (10/25/96)
|
P: 61 FR 44089 (08/27/96)
|
Rexam Retirement Savings Plan (the Plan)
|
Permits, effective June 25, 1996, the loan of $1,620,246.56 to the Plan from
Rexam, Inc. (the Employer) with respect to the Guaranteed Investment Contract
No. 63217 (the GIC) issued by Confederation Life Insurance Company and the Plan’s
potential repayment of the Loan upon the receipt by the Plan of payments under
the GIC.
|
|
Grant; PTE-1996-82
|
D-10034
|
G: 61 FR 58232 (11/13/96)
|
P: 61 FR 49156 (09/18/96)
|
Dimensional Fund Advisors Inc. (DFA)
|
Permits the in kind transfers of the assets of employee benefit plans (the
Client Plans) for which DFA or an affiliate act as a fiduciary and which are
held in DFA sponsored group trusts to the DFA Investment Trust Company, in
exchange for the shares of the Master Fund, an open-end investment company
registered under the Investment Company Act of 1940.
|
|
Grant; PTE-1996-83
|
L-10279
|
G: 61 FR 58233 (11/13/96)
|
P: 61 FR 40011 (07/31/96)
|
Operating Engineers Local 150 Apprenticeship Fund (the Plan)
|
Permits the sale by the Plan of a parcel of unimproved real property in Will
County, Illinois to the International Union of Operating Engineers Local 150,
AFL-CIO, a party in interest with respect to the Plan.
|
|
Grant; PTE-1996-84
|
D-10316
|
G: 61 FR 58231 (11/13/96)
|
P: 61 FR 49163 (09/18/96)
|
HSBC Securities, Inc. (HSBC)
|
Permits (1) the direct or indirect sale, exchange or transfer of certificates
in the initial issuance of certificates between the sponsor or underwriter and
an employee benefit plan when the sponsor, servicer, trustee or insurer of a
trust, the underwriter of the certificates representing an interest in the
trust, or an obligor is a party in interest with respect to such plan; (2) the
direct or indirect acquisition or disposition of certificates by a plan in the
secondary market for such certificates; and (3) the continued holding of
certificates acquired by a plan. Also permits (1) the direct or indirect sale,
exchange or transfer of certificates in the initial issuance of certificates
between the sponsor or underwriter and a plan when the person who has
discretionary authority or renders investment advice with respect to the
investment of plan assets in the certificates is (a) an obligor with respect to
5 percent or less of the fair market value of obligations or receivables
contained in the trust; or (b) an affiliate of a person described in (a); (2)
the direct or indirect acquisition or disposition of certificates by a plan in
the secondary market for such certificates; and (3) the continued holding of
certificates acquired by a plan. Further, permits transactions occurring in
connection with the servicing, management and operation of a trust. Finally,
permits any transactions to which the restrictions of ERISA and the taxes
imposed under the Code would apply, merely because a person is deemed to be a
party in interest or a disqualified person (including a fiduciary) with respect
to a plan by virtue of having a relationship to such service provider solely
because of the plan’s ownership of certificates.
|
|
Grant; PTE-1996-85
|
D-10200
|
G: 61 FR 59466 (11/22/96)
|
P: 61 FR 47195 (09/06/96)
|
The Chase Manhattan Bank (Chase)
|
Permits (1) any acquisition or sale of “emerging market” securities (the
Securities) and any repurchase agreement involving such Securities, which occurs
between Chase or its Affiliates and the IBM Retirement Plan, to which Chase or
an Affiliate is a party in interest under ERISA at the time of the transaction;
and (2) certain repurchase agreements involving the Securities which occurred
between the IBM Plan and Chemical Bank (Chemical) that were outstanding as of
March 31, 1996, the date of the merger between the holding companies of Chemical
and Chase. The exemption is effective as of September 6, 1996 for the
transactions described in item (1) and as of March 31, 1996 for the transactions
described in item (2).
|
|
Grant; PTE-1996-86
|
D-10270
|
G: 61 FR 59467 (11/22/96)
|
P: 61 FR 47204 (09/06/96)
|
Acme 401(k) Retirement Savings Plan (the Plan)
|
Permits the cash sale by the Plan of a 2.86 percent interest in the Arizona
Equities V Real Estate Investment Trust to RSC Holdings, Inc., the sponsor of
the Plan and a party in interest with respect to the Plan.
|
|
Grant; PTE-1996-87
|
D-09990
|
G: 61 FR 64763 (12/06/96)
|
P: 61 FR 25900 (05/23/96)
|
Blue Cross and Blue Shield of Virginia (the Company)
|
Permits the receipt of cash and/or common stock of Trigon Healthcare, Inc.,
the Company’s sole owner, by any employee benefit plan policyholder of the
Company, other than an employee benefit plan sponsored by the Company or its
affiliates, in exchange for such policyholder’s membership interest in the
Company, in accordance with the terms of a plan of reorganization adopted by the
Company and implemented pursuant to the insurance laws of the State of Virginia.
|
|
Grant; PTE-1996-88
|
D-10117
|
G: 61 FR 64766 (12/06/96)
|
P: 61 FR 49160 (09/18/96)
|
First National Bank of Anchorage Common Trust Fund (the Fund)
|
Permits the sales of certain defaulted real estate mortgages by the First
National Bank of Anchorage Common Trust Fund to the First National Bank of
Anchorage, a party in interest with respect to the Fund.
|
|
Grant; PTE-1996-89
|
D-10291
|
G: 61 FR 64766 (12/06/96)
|
P: 61 FR 54227(10/17/96)
|
John A. Colglazier Self Employment Retirement (the Plan)
|
Temporarily permits, for a period of 90 days subsequent to the date of the
publication of the grant notice in the Federal Register, the cash sale by the
Plan, for $74,250, of a parcel of unimproved real property to John A. Colglazier,
a sole proprietor and a disqualified person with respect to the Plan.
|
|
Grant; PTE-1996-90
|
D-10150
|
G: 61 FR 66333 (12/17/96)
|
P: 61 FR 54224 (10/17/96)
|
The Smith Barney Shearson Prototype Defined Contribution Plan (the Plan)
|
Permits the past acquisition, holding, and exercise by the Plan of certain
stock purchase rights, which were issued by the Highland Federal Bank (the
Employer) to all shareholders of record, as of November 7, 1995, of common stock
of the Employer pursuant to a rights offering.
|
|
Grant; PTE-1996-91
|
D-10225
|
G: 61 FR 66333 (12/17/96)
|
P: 61 FR 47202 (09/06/96)
|
International Brotherhood of Electrical Workers Local Union 613
(IBEW) Local
613 Defined Contribution Pension Fund (the Fund)
|
Permits the sale of a certain parcel of improved real property from the Fund
to Mr. Charles W. Eason, Sr., a party in interest with respect to the Fund.
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Grant; PTE-1996-92
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D-10335
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G: 61 FR 66334 (12/17/96)
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P: 61 FR 57468 (11/06/96)
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BA Securities, Inc. (BA)
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Permits, effective August 29, 1996, (1) the direct or indirect sale, exchange
or transfer of certificates in the initial issuance of certificates between the
sponsor or underwriter and an employee benefit plan when the sponsor, servicer,
trustee or insurer of a trust, the underwriter of the certificates representing
an interest in the trust, or an obligor is a party in interest with respect to
such plan; (2) the direct or indirect acquisition or disposition of certificates
by a plan in the secondary market for such certificates; and (3) the continued
holding of certificates acquired by a plan pursuant to the transactions
described above in items (1) and (2). Also permits, effective August 29, 1996,
(1) the direct or indirect sale, exchange or transfer of certificates in the
initial issuance of certificates between the sponsor or underwriter and a plan
when the person who has discretionary authority or renders investment advice
with respect to the investment of plan assets in the certificates is (a) an
obligor with respect to 5 percent or less of the fair market value of
obligations or receivables contained in the trust, or (b) an affiliate of a
person described in (a) above. Further permits, effective August 29, 1996,
transactions in connection with the servicing, management and operation of the
trust. Finally, permits, effective August 29, 1996, any transactions to which
the restrictions of ERISA and the taxes under the Code would apply merely
because a person is deemed to be a party in interest or disqualified person
(including a fiduciary) with respect to a plan by virtue of providing services
to the plan (or by virtue of having a relationship to such service provider
described in section 3(14)(F), (G), (H) or (I) of the Act or section
4975(e)(2)(F), (G), (H) or (I) of the Code), solely because of the plan’s
ownership of certificates.
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Grant; PTE-1996-93
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D-10240
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G: 61 FR 68787 (12/30/96)
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P: 61 FR 55321 (10/25/96)
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Beall Corporation 401I(k) Profit Sharing Plan
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Permits the cash sale by the Plan of four acres of unimproved real property
to the Diamond Beall Development Corporation, an Oregon general partnership and
party in interest with respect to the Plan.
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Grant; PTE-1996-94
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D-10361
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G: 61 FR 68787 (12/30/96)
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P: 61 FR 58244 (11/13/96)
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First Chicago NBD Corporation
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Permits, effective October 8, 1996, (1) the direct or indirect sale, exchange
or transfer of certificates in the initial issuance of certificates between the
sponsor or underwriter and an employee benefit plan when the sponsor, servicer,
trustee or insurer of a trust, the underwriter of the certificates representing
an interest in the trust, or an obligor is a party in interest with respect to
such plan; (2) the direct or indirect acquisition or disposition of certificates
by a plan in the secondary market for such certificates; and (3) the continued
holding of certificates acquired by a plan. Also permits, effective October 8,
1996, (1) the direct or indirect sale, exchange or transfer of certificates in
the initial issuance of certificates between the sponsor or underwriter and a
plan when the person who has discretionary authority or renders investment
advice with respect to the investment of plan assets in the certificates is (a)
an obligor with respect to 5 percent or less of the fair market value of
obligations or receivables contained in the trust, or (b) an affiliate of a
person described in (a) above. Further permits, effective October 8, 1996,
transactions in connection with the servicing, management and operation of the
trust. Finally, permits, effective October 8, 1996, any transactions to which
the restrictions of ERISA and the taxes under the Code would apply merely
because a person is deemed to be a party in interest or disqualified person
(including a fiduciary) with respect to a plan by virtue of providing services
to the plan (or by virtue of having a relationship to such service provider
described in section 3(14)(F), (G), (H) or (I) of the Act or section
4975(e)(2)(F), (G), (H) or (I) of the Code) solely because of the plan’s
ownership of certificates.
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Grant; PTE-1996-95
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L-10338
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G: 61 FR 68790 (12/30/96)
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P: 61 FR 57477 (11/06/96)
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Zions Bancorporation and Affiliated
Companies (Zions)
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Permits the reinsurance of risks
and the receipt of premiums there from by Zions Life
Insurance Company in connection with an insurance
contract sold by American Bankers Life Insurance
Company to provide group life and accidental death and
dismemberment insurance to employees of Zions.
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