|
|
Grant; PTE 2000-46 |
D-10590 |
G: 65 FR 56337 (09/18/00) |
P: 65 FR 42248 (07/07/00) |
Bank of Oklahoma (the Bank) |
Permits the purchase or redemption of
shares by an employee benefit plan of shares of certain
affiliated or third party mutual funds, in connection
with the participation by such Plan in the
Bank-sponsored Foundations Program. |
Also permits the provision, by the
Bank, of asset allocation services to an independent
fiduciary of a participating plan (the Primary
Independent Fiduciary) or to a participant (the
Directing Independent Fiduciary) of a Plan that provides
for participant investment direction, which may result
in the selection of portfolios in the Foundation Program
for the investment of Plan assets by the Primary
Independent Fiduciary or the Directing Independent
Fiduciary, and the receipt of fees by the Bank and/or
its affiliates. |
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On
This Page
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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.
|
|
|
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 2000-37 |
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.
|
|