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On
This Page |
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Grant;
PTE 2001-36 |
D-10940 |
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G: 66 FR 49420 (09/27/01) |
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P: 66 FR 40736 (08/03/01) |
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Principal
Mutual Holding Company |
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See summary for PMHC under Demutualization. |
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Grant;
PTE 2001-22 |
D-10943 |
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G: 66 FR 34469 (06/28/01) |
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P: 66 FR 19534 (04/16/01) |
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Phoenix
Home Life Mutual Insurance Company |
|
See summary for Phoenix under Demutualization. |
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Grant;
PTE 2001-17 |
D-10930 |
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G: 66 FR 22611 (05/04/01) |
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P: 66 FR 7802 (01/25/01) |
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Indianapolis
Life Insurance Company and AmerUs Group Co. |
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See summary for Indianapolis Life and AmerUs Group under Demutualization. |
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Grant;
PTE 2001-39 |
D-10960
& D-10961
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G: 66 FR 53439 (10/22/01) |
P: 66 FR 15900 (03/21/01) |
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Independent
Fiduciary Services, Inc. |
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See summary for IFS under Provision of
Services. |
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Grant;
PTE 2001-33 |
D-10951
|
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G: 66 FR 46825 (09/07/01) |
P: 66 FR 30012 (06/04/01) |
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Merganser
Capital Management LP |
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Permits
Merganser to act as a QPAM pursuant to PTCE 84-14 for the period between
April 6, 2000 and December 31, 2006, despite the fact that it currently
fails to meet the shareholders' or partnersEequity requirements of
section V (a)(4) of PTCE 84-14. |
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Grant;
PTE 2001-06 |
D-10782
- D-10785
|
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G: 66 FR 7795 (01/25/01) |
P: 65 FR 50232 (08/17/00) |
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General
Motors Investment Corporation |
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Temporary
exemption (expiring five years from the date of the grant) permitting,
effective May 28, 1999, a transaction between a party in interest with
respect to certain plans (the Plans), and an investment fund in which such
Plans have an interest, provided that General Motors Investment
Corporation or its successor has discretionary authority or control with
respect to the Plan assets involved in the transaction. The relief is necessary because the applicants are unable to
satisfy the diverse clientele test found in Part I(e) of PTCE 84-14. |
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Grant;
PTE 2001-05 |
D-10744
- D-10746
|
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G: 66 FR 7789 (01/25/01) |
P: 65 FR
50226 (08/17/00) |
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DuPont
Capital Management Corporation |
|
Temporary
exemption (expiring six years from the date of the grant) permitting a
transaction between a party in interest with respect to certain former
Dupont-related plans (the Plans), and an investment fund in which such
Plans have an interest, provided that DuPont Capital Management
Corporation has discretionary authority or control with respect to the
Plan assets involved in the transaction. The relief is necessary because the applicants are unable to
satisfy the diverse clientele test found in Part I(e) of PTCE 84-14. |
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Grant;
PTE 2001-16 |
D-10584
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G: 66 FR 22607 (05/04/01) |
P: 66 FR 10514 (02/15/01) |
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New
York Life Insurance Company |
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See summary for NYLIC under Provision of
Services. |
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Grant;
PTE 2001-15 |
D-10897
|
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G: 66 FR 19529 (04/16/01) |
P: 66 FR 6689 (01/22/01) |
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Ibbotson
Associates, Inc. |
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See summary for Ibbotson under Asset Allocation
Services. |
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Grant;
PTE 2001-14 |
D-10571
|
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G: 66 FR 19527 (04/16/01) |
P: 66 FR 6679 (01/22/01) |
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Keystone
Brokerage, Inc. |
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See summary for Keystone under Asset Allocation
Services. |
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Grant;
PTE 2001-08 |
D-10908
|
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G: 66 FR 10326 (02/14/01) |
P: 65 FR 76293 (12/6/00) |
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ING
Barings LLC, et al. |
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See summary for ING under Securities
Lending. |
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Grant;
PTE 2001-26 |
L-10955
|
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G: 66 FR 40735
(08/03/01) |
P: 66 FR 30019 (06/04/01) |
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ACE
Business Travel Accident Plan |
|
Permits
the reinsurance of risks and the receipt of premiums there from by ACE
American Insurance Company from the insurance contracts sold by Life
Insurance Company of North America (CIGNA), or any successor company to
CIGNA which is unrelated to ACE INA Holdings, the Plans sponsor, to
provide accidental death and dismemberment benefits to participants in the
Plan. |
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Grant;
PTE 2001-25 |
D-10990
|
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G: 66 FR 40734 (08/03/01) |
P: 66 FR 30018 (06/04/01) |
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The
Joliet Medical Group, Ltd. Employee Retirement Plan and Trust |
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See summary for the Joliet Plan under
Lease by Plan of Real
Property. |
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Grant;
PTE 2001-46 |
D-10848
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G: 66 FR 64280 (12/12/01) |
P: 66 FR 39351 (07/30/01) |
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Bank
of America Corporation |
|
See summary for Bank of America Corporation under
In-Kind
Redemption. |
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Grant;
PTE 2001-45 |
D-10946
|
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G: 66 FR 56130 (11/06/01) |
P: 66 FR 46826 (09/07/01) |
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Donaldson,
Lufkin & Jenrette Securities Corporation |
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See summary for DLJ under Securities
Lending. |
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Grant;
PTE 2001-44 |
D-10979
|
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G: 66 FR 56133 (11/06/01) |
P: 66 FR 40743 (08/03/01) |
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Anthem
Insurance Companies, Inc. |
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See summary for Anthem under Demutualization. |
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Grant;
PTE 2001-43 |
D-10916 - D-10917
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G: 66 FR 56133 (11/06/01) |
P: 66 FR 46840 (09/07/01) |
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The
FHP International Corporation 401(k) Plan and the FHP International
Corporation PAYSOP |
|
See summary for the FHP Plans under Rights
Offering. |
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Grant;
PTE 2001-42 |
D-10977
|
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G: 66 FR 53452 (10/22/01) |
P: 66 FR 39367 (07/30/01) |
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Columbia
Savings Plan |
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See summary for the Columbia Savings Plan under
Rights Offering. |
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Grant;
PTE 2001-41 |
D-10966
|
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G: 66 FR 53449 (10/22/01) |
P: 66 FR 34475 (06/28/01) |
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Barclays
Bank PLC and Barclays Capital
Inc. |
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See summary for Barclays and BCI under
Securities Lending. |
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Grant; PTE 2001-39 |
D-10960
& D-10971
|
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G: 66 FR 53439 (10/22/01) |
P: 66 FR 15900 (03/21/01) |
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Independent Fiduciary
Services, Inc. |
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See summary for IFS under Provision of
Services. |
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Grant;
PTE 2001-38 |
D-10953
|
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G: 66 FR 53438 (10/22/01) |
P: 66 FR 39363 (07/30/01) |
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The
Savings Plan for Employees of Florida Progress Corporation |
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See summary for the Florida Progress Plan under
Rights Offering. |
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Grant;
PTE 2001-34 |
D-10911
|
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G: 66 FR 49418 (09/27/01) |
P: 66 FR 36002 (07/10/01) |
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Deferred
Profit Sharing Plan of the Penske Corporation |
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See summary for the
Penske Plan under Purchase by Plan of Partnership
Interests. |
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Grant;
PTE 2001-33 |
D-10951
|
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G: 66 FR 46825 (09/07/01) |
P: 66 FR 30012 (06/04/01) |
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Merganser
Capital Management LP |
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See summary for Merganser under QPAM. |
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Grant;
PTE 2001-32 |
D-10926
|
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G: 66 FR 46823 (09/07/01) |
P: 66 FR 36005 (07/10/01) |
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Development
Company Funding Corporation |
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See summary for Development Company Funding Corporation
under Asset-Backed
Securities. |
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Grant;
PTE 2001-28 |
D-10962
- D-10965
|
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G: 66 FR 45340 (08/28/01) |
P: 66 FR 34472 (06/28/01) |
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Retirement
Plan of Dime Bancorp, Inc., et al. |
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See summary for the Dime Plans under Rights
Offering. |
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Grant;
PTE 2001-24 |
D-10970
|
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G: 66 FR 40734 (08/03/01) |
P: 66 FR 30014 (06/04/01) |
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ATGI
401(k) Plan |
|
See summary for the
ATGI Plan under Rights Offering. |
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Grant;
PTE 2001-21 |
D-10942
|
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G: 66 FR 34466 (06/28/01) |
P: 66 FR 15897 (03/21/01) |
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Bank
of America |
|
See summary for BoFA under Credit Facility
Arrangement. |
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Grant;
PTE 2001-13 |
D-10947
|
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G: 66 FR 17740 (04/03/01) |
P: 66 FR 7810 (01/25/01) |
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The
Amalgamated Cotton Garment & Allied Industries Fund-Retirement Fund |
|
See summary for the
Cotton Pension Fund under Purchase by Plan of Other
Securities. |
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Grant;
PTE 2001-08 |
D-10908
|
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G: 66 FR 10326 (02/14/01) |
P: 65 FR 76293 (12/06/00) |
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ING
Barings LLC, et al. |
|
See summary for ING under Securities
Lending. |
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Grant;
PTE 2001-06 |
D-10782
- D-10785
|
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G: 66 FR 7795 (01/25/01) |
P: 65 FR 50232 (08/17/00) |
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General
Motors Investment Corporation |
|
See summary for General
Motors Investment Corporation under QPAM. |
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Grant;
PTE 2001-04 |
D-10538
|
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G: 66 FR 7786 (01/25/01) |
P: 65 FR 60456 (10/11/00) |
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SEI
Investments Company, et al. |
|
See summary for SEI under In-Kind
Purchase. |
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Grant;
PTE 2001-02 |
D-10771
|
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G: 66 FR 4042 (01/17/01) |
P: 65 FR 65011 (10/31/00) |
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Care
Services EmployeesE401(k) Profit Sharing Plan and Trust |
|
See summary for the Care Services Plan under
Sale by Plan of Other Assets. |
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Grant;
PTE 2001-01 |
D-10713
- D-10717
|
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G: 66 FR 4042 (01/17/01) |
P: 65 FR 62761 (10/19/00) |
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General
Motors Hourly-Rate Employees Pension Plan, et al. |
|
See summary for the General
Motors Hourly-Rate Employees Pension Plan under Lease by Plan of Real
Property. |
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Grant;
PTE 2001-43 |
D-10916 - D-10917
|
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G: 66 FR 56133 (11/06/01) |
P: 66 FR 46840 (09/07/01) |
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The
FHP International Corporation 401(k) Plan and the FHP International
Corporation PAYSOP (the FHP Plans) |
|
Permits, effective
for the period April 21, 1997 through May 20, 1997: (1) The past receipt
by the FHP Plans of certain rights (the Talbert Rights) to purchase shares
of common stock, par value $.01 per share, of Talbert Medical Management
Holding Corporation. (2)The past holding of the Talbert Rights by the FHP
Plans; and (3) the disposition or exercise of the Talbert Rights by the
FHP Plans.
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Grant;
PTE 2001-42 |
D-10977
|
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G: 66 FR 53452 (10/22/01) |
P: 66 FR 39367 (07/30/01) |
|
Columbia
Savings Plan |
|
Permits, effective November 1, 2000: (1) The receipt, by the Plan,
of Stock Appreciation Income Linked Securities (SAILS), in exchange for
the common stock of Columbia Energy Group, the Plan sponsor. (2) The
extension of credit by the Plan to NiSource, Inc. (NiSource), a party in
interest in connection with the receipt of the zero coupon bond portion of
the SAILS. (3) The continued holding of the SAILS by the
Plan. (4) The
potential sale of the SAILS by the Plan to NiSource.
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Grant;
PTE 2001-38 |
D-10953
|
|
G: 66 FR 53438 (10/22/01) |
P: 66 FR 39363 (07/30/01) |
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The
Savings Plan for Employees of Florida Progress Corporation |
|
Permits, effective
November 30, 2000: (1) The receipt by
the plan of contingent value obligations (the CVOs), as a result of the
Plan's ownership of certain common stock in Florida Progress Corporation,
the Plan sponsor. (2) The continued holding of the CVOs by the
Plan. (3) The potential resale of the CVOs by the Plan to Progress Energy, Inc.,
a party in interest with respect to the Plan.
|
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Grant;
PTE 2001-28 |
D-10962
- D-10965
|
|
G: 66 FR 45340 (08/28/01) |
P: 66 FR 34472 (06/28/01) |
|
Retirement
Plan of Dime Bancorp, Inc., et al. |
|
Permits,
effective December 22, 2000: (1) The receipt by the Plan of certain
Litigation Tracking Warrants (the Warrants), pursuant to the distribution
of Warrants by Dime Bancorp, Inc. to all of its common stockholders as of
December 22, 2000. (2) The past and proposed future holding of the Warrants by the
Plans. (3) The disposition or exercise of the Warrants by the Plans.
|
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Grant;
PTE 2001-24 |
D-10970
|
|
G: 66 FR 40734 (08/03/01) |
P: 66 FR 30014 (06/04/01) |
|
ATGI
401(k) Plan |
|
Permits: (1) The acquisition of stock rights (the Stock Rights) by the Plan in
connection with a Stock Rights offering by Alpha Technologies Group, Inc.
(2) The holding of the Stock Rights by the Plan during the subscription
period for the offering. (3) The disposition or exercise of the Stock
Rights by the Plan.
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Grant;
PTE 2001-10 |
D-10909
|
|
G: 66 FR 15907 (03/21/01) |
P: 65 FR 76304 (12/06/00) |
|
Cranston
Retirement Plan |
|
See summary for the Cranston Retirement Plan under
Purchase by Plan of Employer
Securities. |
|
|
|
|
|
|
Grant:
PTE 2001-20 |
D-10921
|
|
G: 66 FR 30022 (06/04/01) |
|
P: 66 FR 19533 (04/16/01) |
|
THS
Profit Sharing Plan |
|
Permits: The sale by the Plan of two life insurance policies which insure Tim H.
Shoecraft, the sole participant, to the Shoecraft Family Trust dated
October 9, 1991, which is a disqualified party with respect to the Plan
under section 4975(e)(2) of the Internal Revenue Code of 1986, as amended.
|
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Trenam, Kemker, Scharf, Barkin, Frye, ONeill & Mullis Professional
Association Section 401(k) Profit Sharing Plan |
|
Permits: The sales by the individually-directed accounts of certain participants
(the Participants) in the Plan of certain limited partnership units to the
Participants.
|
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|
Grant;
PTE 2001-02 |
D-10771
|
|
G: 66 FR 4042 (01/17/01) |
P: 65 FR 65011 (10/31/00) |
|
Care
Services EmployeesE401(k) Profit Sharing Plan and Trust |
|
Permits: (1) The December 30, 1997, cash sale by the Plan of certain assets to Mr.
Warren L. Wolfson, a party in interest with respect to the Plan. (2)
The prospective cash resale of the assets by the Plan to Mr.
Wolfson.
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Grant:
PTE 2001-16 |
D-10584
|
|
G: 66 FR 22607 (05/04/01) |
P: 66 FR 10514 (02/15/01) |
|
New
York Life Insurance Company |
|
See summary for NYLIC under Provision of
Services. |
|
|
|
|
|
|
Grant:
PTE 2001-42 |
D-10977
|
|
G: 66 FR 53452 (10/22/01) |
P: 66 FR 39367 (07/30/01) |
|
Columbia
Savings Plan |
|
See summary for the Columbia Savings Plan under
Rights Offering. |
|
|
Grant;
PTE 2001-38 |
D-10953
|
|
G: 66 FR 53438 (10/22/01) |
P: 66 FR 39363 (07/30/01) |
|
The
Savings Plan for Employees of Florida Progress Corporation |
|
See summary for the Florida Progress Plan under
Rights Offering. |
|
|
Grant;
PTE 2001-30 |
D-10998
|
|
G: 66 FR 45342 (08/28/01) |
P: 66 FR 36010 (07/10/01) |
|
J.P.
Morgan Chase & Co., and its Affiliates |
|
See summary for the Applicants under Purchase by Plan of Other
Securities. |
|
|
Grant;
PTE 2001-11 |
D-10760
|
|
G: 66 FR 17738 (04/03/01) |
P: 66 FR 10521 (02/15/01) |
|
Salomon
Smith Barney Inc., Citigroup, Inc. and their Affiliates |
|
See summary for the Applicants under Purchase by Plan of Other
Securities. |
|
|
|
|
|
|
Grant;
PTE 2001-40 |
D-10884
|
|
G: 66 FR 53449 (10/22/01) |
P: 66 FR 39356 (07/30/01) |
|
Sierra
Health Services Inc. |
|
Permits: The sale by the Plan of certain limited partnership
interests to Sierra Health Services, Inc., the Plans sponsor a party in
interest with respect to the Plan.
|
|
|
Grant;
PTE 2001-34 |
D-10911
|
|
G: 66 FR 49418 (09/27/01) |
P: 66 FR 36002 (07/10/01) |
|
Deferred
Profit Sharing Plan of the Penske Corporation |
|
See summary for the Plan under Purchase by Plan of Partnership
Interests. |
|
|
|
|
|
|
Grant;
PTE 2001-37 |
D-10980
|
|
G: 66 FR 49423 (09/27/01) |
P: 66 FR 39371 (07/30/01) |
|
Miller
International, Inc. Profit Sharing Plan |
|
Permits: The proposed
sale of a certain three acre parcel of vacant land by the Plan to Miller
International, Inc., the Plan sponsor.
|
|
|
Grant;
PTE 2001-31 |
D-11003
|
|
G: 66 FR 45343 (08/28/01) |
P: 66 FR 36016 (07/10/01) |
|
Wagner,
Doxey and Company Money Purchase Plan |
|
Permits: The sale of certain improved real property by the individual account in
the Plan of Warren L. Wagner to Mr. Wagner, who is a disqualified person
with respect to the Plan.
|
|
|
|
|
Grant;
PTE 2001-27 |
D-10935
|
|
G: 66 FR 45340 (08/28/01) |
P: 66 FR 34471 (06/28/01) |
|
The
Walston & High, P.A. Profit Sharing Plan |
|
Permits: The sale by the Plan of three parcels of improved real property to A.J.
Walston and Arthur T. High, the Plans trustees.
|
|
|
|
|
Grant;
PTE 2001-12 |
D-10793
|
|
G: 66 FR 17740 (04/03/01) |
P: 66 FR 6688 (01/22/01) |
|
Reagent
Chemical & Research, Inc. Employees Profit Sharing Plan and Trust |
|
Permits: The sale of
a certain residential lot by the Plan to parties in interest with respect
to the Plan.
|
|
|
Grant;
PTE 2001-03 |
D-10901
& D-10902
|
|
G: 66 FR 4043 (01/17/01) |
P: 65 FR 76292 (12/06/00) |
|
IRAs
for Eldon Nysether and Mark Nysether |
|
Permits: The sale by the IRAs of their interests in certain improved real property
to Sea-Land Development Corporation, a disqualified person with respect to
the IRAs.
|
|
|
|
|
|
|
Grant;
PTE 2001-45 |
D-10946
|
|
G: 66 FR 56130 (11/06/01) |
P: 66 FR 46826 (09/07/01) |
|
Donaldson,
Lufkin & Jenrette Securities Corporation |
|
Exemption
amends PTE 99-45, originally granted to DLJ. PTE 99-45, which is effective as of September 24, 1999, relates to:
(1) The purchase or sale of a security between certain affiliates of DLJ
which are foreign broker dealers (the Foreign Affiliates) and employee
benefit plans (the Plans) with respect to which the Foreign Affiliates are
parties in interest, including options written by a Plan, DLJ or the
Foreign Affiliates. (2) The extension of credit to the Plans by the
Foreign Affiliates to permit the settlement of securities transactions
that are effected on either an agency or principal basis, or in connection
with the writing of options contracts. (3) The lending of securities
to the Foreign Affiliates by the Plans.
|
|
|
Grant;
PTE 2001-41 |
D-10966
|
|
G: 66 FR 53449 (10/22/01) |
P: 66 FR 34475 (06/28/01) |
|
Barclays
Bank PLC (Barclays) and Barclays Capital Inc. (BCI) |
|
Permits, effective
January 24, 2001: The lending of securities, under certain exclusive
borrowing arrangements to: (1) Barclays (2) BCI and any other affiliate of Barclays that, now or in the
future, is a U.S. registered broker-dealer or a government securities
broker or dealer or a U.S. bank. (3) Barclays Capital Securities Limited, which is subject to regulation in the
United Kingdom by the Securities and Futures Authority of the United
Kingdom (the UK SFA). (4) Any broker-dealer or bank that, now or in
the future, is an affiliate of Barclays which is subject to regulation by
the UK SFA or the Bank of England, by employee benefit plans, including
commingled investment funds holding plan assets with respect to which
Barclays or any of its affiliates is a party in interest.
|
|
|
Grant;
PTE 2001-08 |
D-10908
|
|
G: 66 FR 10326 (02/14/01) |
P: 65 FR 76293 (12/06/00) |
|
ING
Barings LLC |
|
Permits,
effective December 6, 2000: (1) The lending of securities to
ING, its
successors, and certain of its domestic and foreign affiliates in the
United Kingdom, Japan and the Netherlands (the Affiliates), by plans for
which the Affiliates act as securities lending agent, sub-agent, directed
trustee, or custodian under either of two securities lending arrangements.
(2) The receipt of compensation by ING affiliates in connection with
such securities lending transactions.
|
|
|
|
|
|
|
Grant;
PTE 2001-16 |
D-10584
|
|
G: 66 FR 22607 (05/04/01) |
P: 66 FR 10514 (02/15/01) |
|
New
York Life Insurance Company |
|
See summary for NYLIC under Provision of
Services. |
|
|
|
|
|
|
Grant;
PTE 2001-06 |
D-10782
- D-10785
|
|
G: 66 FR 7795 (01/25/01) |
P: 65 FR 50232 (08/17/00) |
|
General
Motors Investment Corporation |
|
See summary for General Motors Investment Corporation under
QPAM. |
|
|
Grant;
PTE 2001-05 |
D-10744
- D-10746
|
|
G: 66 FR 7789 (01/25/01) |
P: 65 FR 50226 (08/17/00) |
|
DuPont
Capital Management Corporation |
|
See summary for DuPont Capital Management Corporation under
QPAM. |
|
|
|
|
|
|
Grant;
PTE 2001-31 |
D-11003
|
|
G: 66 FR 45343 (08/28/01) |
P: 66 FR 36016 (07/10/01) |
|
Wagner,
Doxey and Company Money Purchase Plan |
|
See summary for the Wagner Doxey Plan under
Sale by Plan of Real Property. |
|
|
Grant;
PTE 2001-20 |
D-10921
|
|
G: 66 FR 30022 (06/04/01) |
P: 66 FR 19533 (04/16/01) |
|
THS
Profit Sharing Plan |
|
See summary for the THS Plan under Sale by Plan of Other
Assets. |
|
|
Grant;
PTE 2001-03 |
D-10901
& D-10902
|
|
G: 66 FR 4043 (01/17/01) |
P: 65 FR 76292 (12/06/00) |
|
IRAs
for Eldon Nysether and Mark Nysether |
|
See summary for the IRAs under Sale by Plan of Real
Property. |
|
|
|
|
|
|
Grant;
PTE 2001-35 |
D-10928
|
|
G: 66 FR 49419 (09/27/01) |
P: 66 FR 39357 (07/30/01) |
|
Riggs
Bank N.A. |
|
See summary for Riggs under Sale by Plan of Real
Property. |
|
