Attached files
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EX-99.1 - TRUSTEE'S ANNUAL COMPLIANCE CERTIFICATE - PPlus Trust Series LMG-4 | e47239ex99_1.htm |
EX-99.3 - REPORT OF KPMG LLP - PPlus Trust Series LMG-4 | e47239ex99_3.htm |
EX-99.2 - REPORT OF PRICEWATERHOUSECOOPERS LLP - PPlus Trust Series LMG-4 | e47239ex99_2.htm |
EX-31.1 - CERTIFICATION - PPlus Trust Series LMG-4 | e47239ex31_1.htm |
The Securities Exchange Act of 1934
For the fiscal year ended: | Commission file number: | |
December 31, 2011 | 001-32415 |
DELAWARE (State or other jurisdiction of incorporation) |
13-3891329 (I. R. S. Employer Identification No.) |
ONE BRYANT PARK, 4th FL STRUCTURED CREDIT TRADING NEW YORK, NEW YORK (Address of principal executive offices) |
10036 (Zip Code) |
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrants 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. o
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).
Not Applicable.
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| the purchase price of the trust certificates, | ||
| when you acquire your trust certificates, and | ||
| whether the call warrant holders exercise their optional rights to purchase outstanding trust certificates. |
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| The underlying securities issuers right to participate as an equity holder in any distribution of assets of any of its subsidiaries upon the subsidiarys liquidation or otherwise, and thus the ability of its security holders, including the trust, to benefit from the distribution, will be subject to prior claims of the subsidiarys creditors, except to the extent that any claims the underlying securities issuer may have as a creditor of the subsidiary are recognized, and | ||
| The underlying securities issuers ability to service its indebtedness and other obligations is dependent primarily upon the earnings and cash flow of its subsidiaries and the distribution or other payment to it of such earnings and cash flow. |
| if a default occurs, the market value of the underlying securities may be adversely affected and the proceeds of their disposition may be lower than the aggregate present value or stated amount (if applicable) of the trust certificates; and | ||
| in either event, any distribution of funds or underlying securities by the trust to the trust certificateholders will be done in accordance with the allocation ratio as described in the applicable prospectus supplement relating to the trust certificates. The funds or aggregate principal amount of underlying securities you receive on that distribution may be less than the present value or stated amount (if applicable) of your trust certificates. |
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| there is a payment default on any underlying securities, | ||
| there is another type of default that accelerates the maturity of the underlying securities, or | ||
| the underlying securities issuer ceases to file Exchange Act reports or ceases to satisfy the requirements of Rule 3-10 of Regulation S-X under the Securities Act. |
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(a) | Securities Authorized For Issuance Under Equity Compensation Plans: None. | ||
(b) | Security Ownership Of Certain Beneficial Owners: None. | ||
(c) | Security Ownership Of Management: Not Applicable. | ||
(d) | Changes In Control: None. |
31.1. | Certification of the Vice President of Registrant dated March 9, 2012, pursuant to Rules 13a-14 and 15d-14 under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, with respect to the Registrants Annual Report on Form 10-K for the year ended December 31, 2011. | ||
99.1. | Trustees Annual Compliance Certificate dated March 5, 2012. | ||
99.2. | Report of PricewaterhouseCoopers LLP, Independent Registered Public Accounting Firm, dated March 6, 2012, Registrants Assertion on Compliance with PPLUS Minimum Servicing Standards dated March 6, 2012 and PPLUS Minimum Servicing Standards. |
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99.3. | Report of KPMG LLP, Independent Registered Public Accounting Firm, dated February 24, 2012, The Bank of New York Mellons Assertion on Compliance with PPLUS Minimum Servicing Standards dated February 24, 2012 and PPLUS Minimum Servicing Standards. |
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MERRILL LYNCH DEPOSITOR, INC. |
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Date: March 9, 2012 | By: | /s/ John Marciano | ||
Name: | John Marciano | |||
Title: | Vice President |
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