Grant; PTE 2000-45

D-10809 & D-10865

G: 65 FR 54315 (09/07/00)

P: 65 FR 35138 (06/01/00)

O: 65 FR 57401 (09/22/00) (Tech. Corr.)

Salomon Smith Barney, Inc. (Salomon Smith Barney)

Modifies and replaces PTE 99-15, an asset allocation exemption issued to Salomon Smith Barney. The exemption amends and clarifies the terms "affiliate" and "officer," as used in PTE 99-15 and permits an independent sub-adviser, under certain circumstances, to exceed a one percent limitation on the acquisition of securities that are issued by Salomon Smith Barney and/or its affiliates, notably in the sub-adviser's replication of a third party index. The exemption is effective as of April 1, 2000.

Grant; PTE 2000-39

D-10720

G: 65 FR 49024 (08/10/00)

P: 65 FR 15360 (03/22/00)

Standard & Poor’s (S&P) and Standard and Poor’s Investment Advisory Services LLC (SPIAS)

Permits the provision of asset allocation services by SPIAS to plan participants and the receipt of fees by SPIAS from service providers in connection with the provision of such asset allocation services.

Grant; PTE 2000-58

D-10829

G: 65 FR 67765 (11/13/00)

P: 65 FR 51454 (08/23/00)

Amendment to PTE 97-34 Morgan Stanley & Co.

In PTE 97-34, OED amended a number of the individual PTEs that provide relief for the origination and operation of certain asset pool investment trusts and the acquisition, holding and disposition of certain asset-backed pass-through certificates representing undivided interests in those investment trusts. Among the changes involved in PTE 97-34 was the ability to use pre-funding of the investment trusts. This exemption permits: (1) for certain categories of transactions, the offering of “investment grade” mortgage-backed securities which are either senior or subordinated; (2) the use of eligible interest rate swaps (both ratings dependent and non-ratings dependent); and (3) the use of yield supplement agreements which involve notional principal amounts. In addition, the exemption provides exemptive relief for transactions involving: (1) an issuer of mortgage-backed securities or asset-backed securities which is a trust (including a grantor or owner trust),, REMIC, FASIT, special purpose corporation, limited liability company or partnership and (2) mortgage-backed securities or asset-backed securities which are either debt or equity investments.

Grant; PTE 2000-55

D-10863

G: 65 FR 67774 (11/13/00)

P: 65 FR 56720 (09/19/00)

Countrywide Securities Corporation (Countrywide)

Permits the sale, exchange or transfer 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 the plan. This is another in our series of “underwriter” proposed exemptions involving asset-backed securities, and it incorporates the amendments of PTE 97-34.

Grant; PTE 2000-41

D-10898

G: 65 FR 51039 (08/22/00)

P: 65 FR 42259 (07/07/00)

First Tennessee National Corporation

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 subsection I.A.(1) or (2).

Notwithstanding the foregoing, section I.A. does not provide an exemption from the restrictions of ERISA sections 406(a)(1)(E), 406(a)(2) and 407 for the acquisition or holding of a certificate on behalf of an Excluded Plan by any person who has discretionary authority or renders investment advice with respect to the assets of that Excluded Plan.

Grant; PTE 2000-33

D-10857

G: 65 FR 37171 (06/13/00)

P: 65 FR 18365 (04/07/00)

McDonald Investments, Inc. (McDonald)

Permits, effective January 4, 2000, the sale, exchange or transfer 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 the plan. This is another in our series of “underwriter” proposed exemptions involving asset-backed securities, and it incorporates the amendments of PTE 97-34.

Grant; PTE 2000-19

D-10834

G: 65 FR 25950 (05/04/00)

P: 65 FR 13844 (03/14/00)

BOSC, Inc. (BOSC)

Permits the sale, exchange or transfer 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 the plan. This is another in our series of “underwriter” proposed exemptions involving asset-backed securities, and it incorporates the amendments of PTE 97-34.

Grant; PTE 2000-22

D-10838

G: 65 FR 33376 (05/23/00)

P: 65 FR 13855 (03/14/00)

Bankers Trust Company (BTC)

Permits (1) the granting to BTC (a) by the Cheslock-Bakker Opportunity Fund, L.P. (the LP) of security interests in (i) the capital commitments and capital contributions (Capital Contributions) of certain employee benefit plans (the Plans) investing in the LP, and (ii) a borrower collateral account to which all Capital Contributions will be deposited when paid and (b) by the LP and its general partner of the right to make calls for contributions (Contribution Calls) under the LP’s limited partnership agreement, where BTC is the representative of certain lenders (the Lenders) that will fund a so-called “credit facility” providing credit to the LP, and where the Lenders are parties in interest with respect to the Plans; and (2) the execution of a partner agreement and estoppel under which the Plans agree to honor the Contribution Calls.

Grant; PTE 2000-10

D-10837

G: 65 FR 10826 (02/29/00)

P: 65 FR 528 (01/05/00)

Bankers Trust Company (BTC)

Permits (1) the granting to BTC (a) by Aslan Realty Partners, L.P. (the LP), and by Aslan GP, LLC (the General Partner) of security interests in the capital commitments of certain employee benefit plans investing in the LP, (b) by the LP of a borrower account funded by the plans’ capital contributions, and (c) by the LP and the General Partner of the right to make capital calls (Capital Calls), and provide notice thereto under the agreement under which the LP is organized and operated, where BTC is the representative of certain lenders (the Lenders) that will fund a so-called “credit facility” providing loans to the LP and where the Lenders are parties in interest with respect to the Plans; and (2) the execution of an agreement and estoppel under which the Plans agree to honor Capital Calls made to the Plans by BTC.

Grant; PTE 2000-12

D-10819

G: 65 FR 13331 (03/13/00)

P: 64 FR 70742 (12/17/99)

First American Capital Management, Inc. (FACM)

Permits the same relief as granted in class exemption PTE 86-128, except it provides a different definition of "affiliate." Thus, if there is a broker-dealer in which investment manager FACM owns a 40% non-controlling interest, the exemption applies when it otherwise would not under PTE 86-128.

Grant; PTE 2000-57

D-10814

G: 65 FR 67779 (11/13/00)

P: 65 FR 54307 (09/07/00)

Sun Life Insurance Company (Sun Life)

Permits, effective March 22, 2000, (1) the receipt of common stock issued by Sun Life Financial Services of Canada, Inc., the holding company for Sun Life, or (2) the receipt of cash or policy credits, by or on behalf of any eligible policyholder (the Eligible Policyholder) of Sun Life which is an employee benefit plan (the Plan), subject to applicable provisions of the Act and/or the Code, including any Eligible Policyholder which is a Plan established by Sun Life or an affiliate for their own employees, in exchange for such Eligible Policyholder’s membership interest in Sun Life, in accordance with the terms of a plan of conversion adopted by Sun Life and implemented under the insurance laws of Canada and the State of Michigan.

Grant; PTE 2000-53

D-10874

G: 65 FR 65332 (11/01/00)

P: 65 FR 50240 (08/17/00)

American Mutual Holding Company (AMHC)

Permits, effective September 20, 2000, (1) the receipt of certain common stock issued by AMHC, or (2) the receipt of cash or policy credits, by or on behalf of a policyowner (the Eligible Member) of AmerUs Life Insurance Company, which is an employee benefit plan (the Plan), other than a Plan maintained by AMHC and/or its affiliates, in exchange for such Eligible Member's membership interest in AMHC, in accordance with the terms of a plan of conversion, implemented under Iowa law.

Grant; PTE 2000-38

D-10705

G: 65 FR 49022 (08/10/00)

P: 65 FR 33370 (05/23/00)

Standard Insurance Company (Standard)

Permits, effective April 21, 1999, (1) the receipt of common stock (the Stock) of the StanCorp Financial Group, Inc. (the Holding Company), the parent of Standard, or (2) the receipt of cash or policy credits, by or on behalf of any eligible policyholder (the Eligible Member) of Standard which is an employee benefit plan (the Plan), including the Standard Group Life, Supplemental Life and AD&D Plan for Employees and Agents and the Standard Group Term and Short Term Disability Employees Plan (together, the Standard Welfare Plan), in exchange for such Eligible Member’s interest in Standard, in accordance with the terms of a plan of demutualization (the Demutualization Plan) adopted by Standard and implemented under Oregon law. Also permits, effective April 21, 1999, the receipt or holding, by the Standard Welfare Plans, in accordance with the terms of the Demutualization Plan, of employer securities in the form of excess Holding Company Stock, which would violate the provisions of sections 406(a)(1)(E) and 407(a)(2) of ERISA.

Grant; PTE 2000-36

D-10790

G: 65 FR 41735 (07/06/00)

P: 65 FR 25956 (05/04/00)

Canada Life Assurance Company (Canada Life)

Permits, effective November 4, 1999, (1) the receipt of common shares of Canada Life Financial Corporation, the holding company for Canada Life; or (2) the receipt of cash or policy credits, by or on behalf of any eligible policyholder (the Eligible Policyholder) of Canada Life which is an employee benefit plan, subject to applicable provisions of the Act and/or the Code, other than a Plan established by Canada Life or an affiliate for its own employees, in exchange for such Eligible Policyholder’s membership interest in Canada Life, in accordance with the terms of a conversion proposal adopted by Canada Life and implemented under the insurance laws of Canada and the State of Michigan.

Grant; PTE 2000-34

D-10712

G: 65 FR 41732 (07/06/00)

P: 65 FR 18359 (04/07/00)

The Fidelity Mutual Life Insurance Company (FML)

Permits (1) the receipt of certain stock (Plan Stock) issued by Fidelity Mutual Group, Inc. (the Group), a wholly owned subsidiary of FML; or (2) the receipt of plan credits, by or on behalf of a mutual member (the Mutual Member) of FML, which is an employee benefit plan, other than the Employee Pension Plan of Fidelity Mutual Life Insurance Company, in exchange for such Mutual Member’s membership interest (the Membership Interest) in FML, in accordance with the terms of a plan of rehabilitation, approved by the Pennsylvania Commonwealth Court (the Court) and supervised by both the Court and a rehabilitator appointed by the Pennsylvania Insurance Commissioner.

Grant; PTE 2000-11

D-10721

G: 65 FR 13326 (03/13/00)

P: 64 FR 66201 (11/24/99)

Metropolitan Life Insurance Company (MetLife)

Permits (1) the receipt, by any eligible policyholder (the Eligible Policyholder) of MetLife that is an employee benefit plan, subject to applicable provisions of the Act and/or the Code, including any Eligible Policyholder that is a Plan covering employees of MetLife or its affiliates, of an interest (the Interest) in a trust (the Trust), whose corpus consists of common stock (the Common Stock) issued by MetLife, Inc. (the Holding Company), the parent of MetLife; or (2) the receipt of cash or policy credits by such Plans, in exchange for such Eligible Policyholder’s membership interest in MetLife, pursuant to a plan of conversion (the Plan of Reorganization) adopted by MetLife and implemented in accordance with section 7312 of the New York Insurance Law.

Also permits the receipt and holding, by a MetLife Plan, of Trust Interests, whose fair market value exceeds 10% of the value of the total assets held by such Plan. Further, this exemption permits: (1) the sale by a Plan to the Holding Company of Holding Company Common Stock, which is held in the Trust for the benefit of such participating Plan and is evidenced by the Trust Interests, following the effective date of the demutualization or upon the termination of the Trust; and (2) the withdrawal by a plan of Holding Company Common Stock, as evidenced by the Trust Interests, beginning on the first anniversary of the effective date of the demutualization until the termination of the Trust.

Grant; PTE 2000-06

D-10718

G: 65 FR 6224 (02/08/00)

P: 64 FR 57136 (10/22/99)

John Hancock Mutual Life Insurance Company (John Hancock)

Permits (1) the receipt of common stock of John Hancock Financial Services, Inc., the holding company for John Hancock (the Holding Company), or (2) the receipt of cash or policy credits, by or on behalf of any eligible policyholder (the Eligible Policyholder) of John Hancock which is an employee benefit plan, other than certain Eligible Policyholders which are Plans maintained by John Hancock or an affiliate for their own employees (the John Hancock Plans), in exchange for such Eligible Policyholder’s membership interest in John Hancock, in accordance with a plan of reorganization (the Reorganization Plan) adopted by John Hancock and implemented pursuant to Chapter 175 of the Massachusetts General Laws. Also permits the receipt or holding, by the John Hancock Plans, of employer securities in the form of excess Holding Company stock, in accordance with the Reorganization Plan.

Grant; PTE 2000-38

D-10705

G: 65 FR 49022 (08/10/00)

P: 65 FR 33370 (05/23/00)

Standard Insurance Company (Standard)

See summary for Standard under Demutualization.

Grant; PTE 2000-17

D-10730

G: 65 FR 25949 (05/04/00)

P: 65 FR 10828 (02/29/00)

Earl R. Waddell & Sons Profit Sharing Plan and Trust

See summary for the Waddell Plan under Sale by Plan of Employer Securities.

Grant; PTE 2000-11

D-10721

G: 65 FR 13326 (03/13/00)

P: 64 FR 66201 (11/24/99)

Metropolitan Life Insurance Company (MetLife)

See summary for MetLife under Demutualization.

Grant; PTE 2000-06

D-10718

G: 65 FR 6224 (02/08/00)

P: 64 FR 57136 (10/22/99)

John Hancock Mutual Life Insurance Company (John Hancock)

See summary for the John Hancock under Demutualization.

Grant; PTE 2000-68

D-10800 & D-10801

G: 65 FR 80465 (12/21/00)

P: 65 FR 57389 (09/22/00)

The Masters, Mates and Pilots Pension Plan and Individual Retirement Account Plan

See summary for the Masters, Mates and Pilots Pension Plan and Individual Retirement Account Plan under Sale by Plan of Employer Securities.

Grant; PTE 2000-63

D-10651

G: 65 FR 76306 (12/06/00)

P: 65 FR 62756 (10/19/00)

Merrill Lynch & Co. Inc. (ML&Co.)

See summary for ML&Co. under Index-Linked Securities.

Grant; PTE 2000-13

D-10384

G: 65 FR 13333 (03/13/00)

P: 65 FR 4843 (02/01/00)

O: 65 FR 6223 (02/08/00)

Deutsche Bank AG, et al. (Deutsche Bank)

See summary for Deutsche Bank under Synthetic GICs.

Grant; PTE 2000-05

D-10542

G: 65 FR 6223 (02/08/00)

P: 64 FR 70732 (12/17/99)

Business Men's Assurance Company of America (BMA)

See summary for BMA under Synthetic GICs.

Grant; PTE 2000-56

D-10781

G: 65 FR 67778 (11/13/00)

P: 65 FR 54303 (09/07/00)

Journal Company, Inc. 401(k) Savings Plan

See summary for the Journal Plan under Settlement.

Grant; PTE 2000-68

D-10800 & D-10801

G: 65 FR 80465 (12/21/00)

P: 65 FR 57389 (09/22/00)

The Masters, Mates and Pilots Pension Plan and Individual Retirement Account Plan

See summary for the Masters, Mates and Pilots Pension Plan and Individual Retirement Account Plan under Sale by Plan of Employer Securities.

Grant; PTE 2000-60

D-10877

G: 65 FR 70621 (11/24/00)

P: 65 FR 57394 (09/22/00)

John L. Rust Co. Profit Sharing Plan

See summary for the Rust Plan under Purchase by Plan of Other Assets.

Grant; PTE 2000-59

D-10770

G: 65 FR 70618 (11/24/00)

P: 65 FR 56708 (09/19/00)

Deutsche Bank AG and its Affiliates (collectively, DB)

Permits (1) effective June 4, 1999, the acquisition, holding and disposition of common stock issued by Deutsche Bank AG by Index and Model-Driven Funds maintained by DB; and (2) prospectively, essentially the same transaction, except that the Funds can acquire stock of DB’s affiliates as well, and different conditions will apply.

Grant; PTE 2000-30

D-10188

G: 65 FR 37165 (06/13/00)

P: 65 FR 13836 (03/14/00)

Barclays Bank PLC (Barclays)

Permits (1) effective December 31, 1995 until June 13, 2000, the acquisition, holding and disposition of common stock issued by Barclays PLC by Index and Model-Driven Funds maintained by Barclays; and (2) prospectively, essentially the same transaction, except that the Funds can acquire stock of Barclays’ affiliate as well, and different conditions will apply.

This exemption (1) clarifies which conditions should relate specifically to the so-called "buy-up" period; (2) permits Index or Model-Driven Funds to acquire an investment manager's own stock from sources other than the national exchange on which the stock is primarily traded; (3) sets a new precedent for certain key percentage limitations involving the investment manager's stock; and (4) addresses investments in an Index or Model-Driven Fund made by the investment manager's own plan. The exemption also sets in place a new framework for future exemptions involving Index and Model-Driven Funds acquiring their investment manager's own stock.

Grant; PTE 2000-63

D-10651

G: 65 FR 76306 (12/06/00)

P: 65 FR 62756 (10/19/00)

Merrill Lynch & Co. Inc. (ML&Co.)

Permits the purchase or sale by employee benefit plans (the Plans), other than Plans sponsored by ML&Co. or its affiliates (collectively, the Applicants), of Market Index Target-Term Securities (the MITTS), which are debt securities issued by the Applicants; and (2) the extension of credit by the Plans to the Applicants in connection with the holding of the MITTS.

In-Kind Contribution of Other Securities

Grant; PTE 2000-40

D-10839

G: 65 FR 49028 (08/10/00)

P: 65 FR 37182 (06/13/00)

Washington County Hospital Association Employees’ Cash Balance Plan

Permits, effective June 18, 1998, the contribution-in-kind of publicly-traded third party securities to the Plan by Washington County Hospital Association, the Plan’s sponsor and a party in interest with respect to the Plan.

Grant; PTE 2000-65

L-10906 & D-10907

G: 65 FR 76308 (12/06/00)

P: 65 FR 57397 (09/22/00)

O: 65 FR 80497 (12/21/00) (Tech. Corr.)

I.B.E.W. LU 567 Electrical Joint Apprenticeship and Training Trust Fund (the Training Plan) and Money Purchase Retirement Plan of Local 567, I.B.E.W. (the M/P Plan)

Permits, effective August 31, 2000, the leases of certain office space and supplemental facilities to the Plans by Local 567 I.B.E.W. Building Corporation, an entity which is wholly owned by Local 567 of the International Brotherhood of Electrical Workers, a party in interest with respect to the Plans.

Grant; PTE 2000-15

D-10679 - D-10682

G: 65 FR 18132 (04/06/00)

P: 64 FR 46728 (08/26/99)

General Electric Pension Trust

Permits, as of October 1, 1998, the lease by the Trust of office space in a certain commercial office building to Transport International Pool, Inc., a party in interest with respect to employee benefit plans of General Electric Company and/or an affiliate whose assets are held in the Trust.

Grant; PTE 2000-56

D-10781

G: 65 FR 67778 (11/13/00)

P: 65 FR 54303 (09/07/00)

Journal Company, Inc. 401(k) Savings Plan

See summary for the Journal Plan under Settlement.

Grant; PTE 2000-31

D-10678

G: 65 FR 37170 (06/13/00)

P: 65 FR 18354 (04/07/00)

H. Ray McPhail and H. Ray McPhail Profit Sharing Plan

See summary for H. Ray McPhail and the McPhail Plan under Sale by Plan of Real Property.

Grant; PTE 2000-03

D-10810 & D-10811

G: 65 FR 4854 (02/01/00)

P: 64 FR 66208 (11/24/99)

Les Olson Company, Inc. Money Purchase Pension Plan and Les Olson Company, Inc. Profit Sharing Plan

Permits a series of loans, originated within a five-year period, by the Plans to Les Olson Company, Inc., the Plans’ sponsor and a party in interest with respect to the Plans.

Grant; PTE 2000-02

D-10807

G: 65 FR 4853 (02/01/00)

P: 64 FR 70742 (12/17/99)

S&S Partnership, Inc. Profit Sharing Plan

Permits the loan of $200,000 by the Plan to Hiramco Realty Corporation, a disqualified person with respect to the Plan.

Grant; PTE 2000-37

D-10624

G: 65 FR 49018 (08/10/00)

P: 65 FR 33360 (05/23/00)

The Banc Funds Company, LLC (TBFC)

Permits, effective July 15, 1998, (1) the purchase or redemption of interest in the Banc Fund V, L.P. (the Partnership) by employee benefit plans investing in the Banc Fund V Group Trust (the BF V Group Trust), where TBFC, a party in interest with respect to the Plans, is the general partner of MidBanc V, L.P., which is, in turn, the general partner (the General Partner) of the Partnership; (2) the sale, for cash or other consideration, by the Partnership, of certain securities that are held as Partnership assets, to a party in interest with respect to a Plan participating in the Partnership through the BF V Group Trust, where the party in interest proposes to acquire or merge with the portfolio company that issued such securities; and (3) the payment to the General Partner, by Plans participating in the Partnership through the BF V Group Trust, of an incentive fee which is intended to reward the General Partner for the superior performance of investments in the Partnership.

Grant; PTE 2000-68

D-10800 & D-10801

G: 65 FR 80465 (12/21/00)

P: 65 FR 57389 (09/22/00)

The Masters, Mates and Pilots Pension Plan and Individual Retirement Account Plan

See summary for the Masters, Mates and Pilots Pension Plan and Individual Retirement Account Plan under Sale by Plan of Employer Securities.

Grant; PTE 2000-49

D-10879

G: 65 FR 60454 (10/11/00)

P: 65 FR 39435 (06/26/00)

O: 65 FR 62755 (10/19/00) (Tech. Corr.)

Actuarial Scientists Associates, Inc. (ASA) and ASA Fiduciary Counselors Inc. (ASA Counselors)

See summary for ASA and ASA Counselors under QPAM.

Grant; PTE 2000-37

D-10624

G: 65 FR 49018 (08/10/00)

P: 65 FR 33360 (05/23/00)

The Banc Funds Company, LLC (TBFC)

See summary for TBFC under Performance Compensation.

Grant; PTE 2000-12

D-10819

G: 65 FR 13331 (03/13/00)

P: 64 FR 70742 (12/17/99)

First American Capital Management, Inc. (FACM)

See summary for FACM under Cross-Trading.

Grant; PTE 2000-11

D-10721

G: 65 FR 13326 (03/13/00)

P: 64 FR 66201 (11/24/99)

Metropolitan Life Insurance Company (MetLife)

See summary for MetLife under Demutualization.

Grant; PTE 2000-05

D-10542

G: 65 FR 6223 (02/08/00)

P: 64 FR 70732 (12/17/99)

Business Men's Assurance Company of America (BMA)

See summary for BMA under Synthetic GICs.

Grant; PTE 2000-66

D-10706

G: 65 FR 80461 (12/21/00)

P: 64 FR 57129 (10/22/99)

O: 66 FR 15896 (03/21/01) (Tech. Corr.)

Allfirst Bank (Allfirst)

See summary for Allfirst under Receipt of Fees.

Grant; PTE 2000-66

D-10706

G: 65 FR 80461 (12/21/00)

P: 65 FR 57129 (10/22/00)

O: 66 FR 15896 (03/21/01) (Tech. Corr.)

Allfirst Bank (Allfirst)

See summary for Allfirst under Receipt of Fees.

Grant; PTE 2000-49

D-10879

G: 65 FR 60454 (10/11/00)

P: 65 FR 39435 (06/26/00)

O: 65 FR 62755 (10/19/00) (Tech. Corr.)

Actuarial Scientists Associates, Inc. (ASA) and ASA Fiduciary Counselors Inc. (ASA Counselors)

See summary for ASA and ASA Counselors under QPAM.

Grant; PTE 2000-44

L-10872

G: 65 FR 51044 (08/22/00)

P: 65 FR 39940 (06/26/00)

United Food and Commercial Workers Union Local 789 and St. Paul Food Employers Health Care Plan

See summary for the United Health Care Plan under Purchase by Plan of Personal Property.

Grant; PTE 2000-42

D-10539 & D-10540

G: 65 FR 51043 (08/22/00)

P: 65 FR 39432 (06/26/00)

Pension Plan for Employees of Southco, Inc. (the Pension Plan) and Southco, Inc. Employee Stock Ownership Plan (the ESOP)

Permits (1) the proposed purchase and holding by the Pension Plan of common stock (the Company Stock) issued by South Chester Tube Company (the Company), an affiliate of Southco, Inc. (the Employer), from the ESOP or the Employer; and (2) the acquisition, holding and exercise of an irrevocable put option permitting the Pension Plan to sell the Company Stock back to the Employer for cash in an amount that is greater of either (i) the fair market value of the Company Stock at the time of the transaction (as established by a qualified, independent appraiser, or (ii) the Pension Plan's original acquisition cost for the Company Stock.

Grant; PTE 2000-60

D-10877

G: 65 FR 70621 (11/24/00)

P: 65 FR 57394 (09/22/00)

John L. Rust Co. Profit Sharing Plan

Permits (1) the purchases by the Plan of certain leases of equipment (the Leases) from John L. Rust Co. (Rust), the Plan’s sponsor; and (2) the agreement by Rust to indemnify the Plan against any loss relating to the Leases and also to repurchase any Leases that are in default. The exemption is temporary, and is effective from September 21, 2000 through September 21, 2005.

Grant; PTE 2000-13

D-10384

G: 65 FR 13333 (03/13/00)

P: 65 FR 4843 (02/01/00)

Deutsche Bank AG, et al. (Deutsche Bank)

See summary for Deutsche Bank under Synthetic GICs.

Grant; PTE 2000-63

D-10651

G: 65 FR 76306 (12/06/00)

P: 65 FR 62756 (10/19/00)

Merrill Lynch & Co. Inc. (ML&Co.)

See summary for ML&Co. under Index-Linked Securities.

Grant; PTE 2000-29

D-10832

G: 65 FR 35129 (06/01/00)

P: 65 FR 6229 (01/08/00)

O: 65 FR 39431 (06/26/00) (Tech. Corr.)

Morgan Stanley Dean Witter

See summary for Morgan Stanley Dean Witter under Underwriting Syndicates.

Grant; PTE 2000-28

D-10820

G: 65 FR 35129 (06/01/00)

P: 65 FR 6229 (01/08/00)

O: 65 FR 39431 (06/26/00) (Tech. Corr.)

Citigroup Inc. (Citigroup)

See summary for Citigroup Inc. under Underwriting Syndicates.

Grant; PTE 2000-27

D-10779

G: 65 FR 35129 (06/01/00)

P: 65 FR 6229 (01/08/00)

O: 65 FR 39431 (06/26/00) (Tech. Corr.)

The Chase Manhattan Bank (Chase)

See summary for Chase Manhattan Bank under Underwriting Syndicates.

Grant; PTE 2000-26

D-10587

G: 65 FR 35129 (06/01/00)

P: 65 FR 6229 (01/08/00)

O: 65 FR 39431 (06/26/00) (Tech. Corr.)

Goldman, Sachs & Co. (Goldman)

See summary for Goldman under Underwriting Syndicates.

Grant; PTE 2000-25

D-10119 & D-10120

G: 65 FR 35129 (06/01/00)

P: 65 FR 6229 (01/08/00)

O: 65 FR 39431 (06/26/00) (Tech. Corr.)

Morgan Guaranty Trust Company of New York (Morgan) and J.P. Morgan Investment Management Inc. (J.P. Morgan)

See summary for Morgan and J.P. Morgan under Underwriting Syndicates.