Data processing: financial – business practice – management – or co – Automated electrical financial or business practice or... – Finance
Reexamination Certificate
2011-08-23
2011-08-23
Cheung, Mary (Department: 3667)
Data processing: financial, business practice, management, or co
Automated electrical financial or business practice or...
Finance
Reexamination Certificate
active
08005750
ABSTRACT:
Various embodiments of the present invention relate to methods and systems for providing principal protection exposure to equity markets. More particularly, one embodiment of the present invention relates to a computer implementable method for performing data processing operations associated with providing principal protection exposure to an equity market, comprising the steps of: carrying out a sale of a trust certificate to generate proceeds, which sale is from a trust to a first entity; allocating a portion of the proceeds of the sale of the trust certificate to a purchase of an equity security, which purchase is by the trust from the equity market; and allocating a portion of the proceeds of the sale of the trust certificate to a purchase of a put option on the equity security, which purchase is by the trust from a second entity; wherein the sale of the trust certificate to the first entity, combined with the purchase of the equity security by the trust and the purchase of the put option by the trust, provides the first entity principal protection exposure to the equity market without causing substantial income statement volatility.
REFERENCES:
patent: 5809484 (1998-09-01), Mottola et al.
patent: 2002/0059123 (2002-05-01), Dunning et al.
patent: 2002/0138396 (2002-09-01), Brown et al.
Hechtv.Malley, 265 U. S. 144 (1924), Supreme Court of the United States, p. 146-147.
Securities Act File No. 333-83085 filed by The Market Participation Principal Protection Fund Inc, Jul. 16, 1999.
The Delaware Business Trust Act by Eric A. Mazie, Jan. 9, 2000.
Chicago Board of Trade, Comodity Trading manual, 1994, Glenlake Publishing Company Ltd. p. 95-97, 325-328.
Trudy Ring's Article Abstract ‘European’ Settlement Draws Funds' Interest, published in Pension & Investment Age, May 12, 1986, vol. 14, Iss 10, p. 41-42, retrieved from Proquest Jul. 2, 2008.
Andrade Richard
Bridges Timothy
Millette Michael
Smith Radcliffe J.
Tso Yi
Chadbourne & Parke LLP
Cheung Mary
Goldman Sachs & Co.
Squires John A.
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