Lehman Abs Corp Corp Backed Trust Certs Ser 02 17 Class A1 - Annual Report (10-K)
2008年3月31日 - 7:01PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-K
(Mark One)
[X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE
ACT OF 1934
For the fiscal year ended December 31, 2007
or
[ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
For the transition period from ________ to ________
Commission File Number: 001-31515
filed on behalf of:
Corporate Backed Trust Certificates, American General Institutional Capital A
Capital Securities-Backed Series 2002-17 Trust
(Exact Name of Registrant as Specified in Its Charter)
by:
Lehman ABS Corporation
(Exact Name of Depositor as Specified in Its Charter)
Delaware 13-3447441
------------------------------------------ -----------------------------------
(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification No.)
745 Seventh Avenue, New York, New York 10019
--------------------------------------------------- ------------------------
(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code: (212) 526-7000
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Securities registered pursuant to Section 12(b) of the Act:
Title of Each Class Name of Each Exchange on Which
------------------- ------------------------------
Registered
----------
Corporate Backed Trust Certificates, New York Stock Exchange
American General Institutional ("NYSE")
Capital A Capital Securities-Backed
Series 2002-17
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Securities registered pursuant to Section 12(g) of the Act: None
Indicate by check mark if the registrant is a well-known seasoned issuer, as
defined in Rule 405 of the Securities Act.
Yes [ ] No [X]
Indicate by check mark if the registrant is not required to file reports
pursuant to Section 13 or Section 15(d) of the Act.
Yes [ ] No [X]
Indicate by check mark whether the registrant: (1) has filed all reports
required to be filed by Section 13 or 15(d) of the Securities Exchange Act of
1934 during the preceding 12 months (or for such shorter period that the
registrant was required to file such reports), and (2) has been subject to such
filing requirements for the past 90 days.
Yes [X] No [ ]
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405
of Regulation S-K (ss. 229.405) is not contained herein, and will not be
contained, to the best of registrant's knowledge, in definitive proxy or
information statements incorporated by reference in Part III of this Form 10-K
or any amendment to this Form 10-K. [X]
Indicate by check mark whether the registrant is a large accelerated filer, an
accelerated filer, a non-accelerated filer, or a smaller reporting company.
See the definitions of "large accelerated filer," "accelerated filer" and
"smaller reporting company" in Rule 12b-2 of the Exchange Act. (Check one):
Large Accelerated Filer [ ] Accelerated Filer [ ] Non-Accelerated Filer [X] Smaller Reporting Company [ ]
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Indicate by check mark whether the registrant is a shell company (as defined in
Rule 12b-2 of the Act).
Yes [ ] No [X]
State the aggregate market value of the voting and non-voting common equity held
by nonaffiliates computed by reference to the price at which the common equity
was last sold, or the average bid and asked price of such common equity, as of
the last business day of the registrant's most recently completed second fiscal
quarter.
The registrant has no voting stock or class of common stock that is held by
nonaffiliates.
DOCUMENTS INCORPORATED BY REFERENCE
The distribution reports to security holders, filed on Form 8-K during the
fiscal year in lieu of reports on Form 10-Q, which include the reports filed on
Form 8-K listed in Item 15(a) hereto are incorporated by reference into part IV
of this Annual Report.
Introductory Note
Lehman ABS Corporation (the "Depositor") is the Depositor in respect of the
Corporate Backed Trust Certificates, American General Institutional Capital A
Capital Securities-Backed Series 2002-17 Trust (the "Trust"), a common law trust
formed pursuant to the Standard Terms for Trust Agreements, dated as of January
16, 2001, between the Depositor and U.S. Bank Trust National Association, as
trustee (the "Trustee"), as supplemented by a Series Supplement (the "Series
Supplement"), dated as of October 23, 2002, in respect of the Trust, as
supplemented by a Supplement to the Series Supplement, dated as of June 18,
2003. The Trust's assets consist solely of capital securities issued by American
General Institutional Capital A (the "Underlying Securities Issuer"). The
Certificates do not represent obligations of, or interests in, the Depositor or
the Trustee.
American International Group, Inc., the guarantor of the junior subordinated
debentures, the sole assets held by the Underlying Securities Issuer, is subject
to the information reporting requirements of the Securities Exchange Act of
1934, as amended (the "Exchange Act"). For information on American International
Group, Inc., please see its periodic and current reports filed with the
Securities and Exchange Commission (the "Commission") under American
International Group, Inc.'s Exchange Act file number, 001-08787. The Commission
maintains a site on the World Wide Web at "http://www.sec.gov" at which users
can view and download copies of reports, proxy and information statements and
other information regarding issuers filed electronically through the Electronic
Data
2
Gathering, Analysis and Retrieval system, or "EDGAR." Periodic and current
reports and other information required to be filed pursuant to the Exchange Act
by the guarantor of the junior subordinated debentures may be accessed on this
site. Neither the Depositor nor the Trustee has participated in the preparation
of such reporting documents, or made any due diligence investigation with
respect to the information provided therein. Neither the Depositor nor the
Trustee has verified the accuracy or completeness of such documents or reports.
There can be no assurance that events affecting the Underlying Securities
Issuer, the guarantor of the junior subordinated debentures or the underlying
securities have not occurred or have not yet been publicly disclosed which would
affect the accuracy or completeness of the publicly available documents
described above.
PART I
Item 1. Business.
Not Applicable
Item 1A. Risk Factors.
Not Applicable
Item 1B. Unresolved Staff Comments.
Not Applicable
Item 2. Properties .
Not Applicable
Item 3. Legal Proceedings.
None
Item 4. Submission of Matters to a Vote of Security Holders.
None
PART II
Item 5. Market for Registrant's Common Equity, Related Stockholder Matters and
Issuer Purchases of Equity Securities.
The publicly offered Certificates representing investors' interest in the
Trust are represented by one or more physical Certificates registered in the
name of "Cede & Co.", the nominee of The Depository Trust Company. Those
publicly offered Certificates are listed on the NYSE.
Item 6. Selected Financial Data.
Not Applicable
Item 7. Management's Discussion and Analysis of Financial Condition and Results
of Operation.
Not Applicable
Item 7A. Quantitative and Qualitative Disclosures About Market Risk.
Not Applicable
Item 8. Financial Statements and Supplementary Data.
Not Applicable
Item 9. Changes in and Disagreements With Accountants on Accounting and
Financial Disclosure.
None
Item 9A. Controls and Procedures.
Not Applicable
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Item 9A(T). Controls and Procedures.
Not Applicable
Item 9B. Other Information.
None
PART III
Item 10. Directors, Executive Officers and Corporate Governance.
Not Applicable
Item 11. Executive Compensation.
Not Applicable
Item 12. Security Ownership of Certain Beneficial Owners and Management and
Related Stockholder Matters.
Not Applicable
Item 13. Certain Relationships and Related Transactions, and Director
Independence.
None
Item 14. Principal Accountant Fees and Services.
Not Applicable
PART IV
Item 15. Exhibits, Financial Statement Schedules.
(a) The following documents have been filed as part of this report.
1. Trustee's Distribution Statements documented on Form 8-K
regarding the distributions from the Trust to the
certificateholders for the period from January 1, 2007 through
and including December 31, 2007 have been filed with the
Securities and Exchange Commission and are hereby incorporated
by reference. Filing dates are listed below:
--------------------------------------------------------------------------------
Distribution
Trust Description Date Filed on
--------------------------------------------------------------------------------
Corporate Backed Trust Certificates, American
General Institutional Capital A Capital 06/01/2007 06/15/2007
Securities-Backed Series 2002-17 Trust 12/01/2007 12/10/2007
--------------------------------------------------------------------------------
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2. None.
3. Exhibits:
31.1 - Certification by Senior Vice President of the
Registrant pursuant to 15 U.S.C. Section 7241, as adopted
pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2 - Annual Compliance Report by Trustee pursuant to 15
U.S.C. Section 7241, as adopted pursuant to Section 302 of the
Sarbanes-Oxley Act of 2002.
The trust covered by this Annual Report was formed prior to
June 30, 2003 and there is no requirement in the trust
agreement for the preparation of a report by an independent
public accountant regarding the Trustee's compliance with its
obligations.
4
(b) See Item 15(a) above.
(c) Not Applicable
5
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities
Exchange Act of 1934, the registrant has duly caused this report to be signed on
its behalf by the undersigned thereunto duly authorized.
Lehman ABS Corporation, as Depositor for the
Trust (the "Registrant")
Dated: March 26, 2008 By: /s/ Scott Barek
-----------------------------------------
Name: Scott Barek
Title: Senior Vice President
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EXHIBIT INDEX
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Reference Exhibit Number
Number per in
Item 601 of Description of Exhibits this
Regulation SK Form 10-K
--------------------------------------------------------------------------------
(31.1) Certification by Senior Vice President of the 31.1
Registrant pursuant to 15 U.S.C. Section 7241,
as adopted pursuant to Section 302 of the
Sarbanes-Oxley Act of 2002.
--------------------------------------------------------------------------------
(31.2) Annual Compliance Report by Trustee pursuant
to 15 U.S.C. Section 7241, as adopted pursuant
to Section 302 of the Sarbanes-Oxley Act of 31.2
2002.
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7
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