Attached files
file | filename |
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EX-34.1 - EX-34.1 - PPLUS Trust Series RRD-1 | e15265ex34_1.htm |
EX-33.1 - EX-33.1 - PPLUS Trust Series RRD-1 | e15265ex33_1.htm |
EX-35.1 - EX-35.1 - PPLUS Trust Series RRD-1 | e15265ex35_1.htm |
EX-31.1 - EX-31.1 - PPLUS Trust Series RRD-1 | e15265ex31_1.htm |
SECURITIES AND EXCHANGE COMMISSION
(Commission file number of issuing entity)
0001354371
(CIK number of issuing entity)
(Commission file number of depositor)
0001040240
(CIK number of depositor)
0001040240
(CIK number of sponsor)
New York (State or other jurisdiction of incorporation or organization of the issuing entity) |
13-3891329 (I. R. S. Employer Identification No.) |
One Bryant Park, 4th FL New York, NY (Address of principal executive offices of the issuing entity) |
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
Item 1B. Unresolved Staff Comments
Item 1112(B) of Regulation AB. Significant Obligors of Pool Assets (Financial Information)
Item 1115(B) of Regulation AB. Certain Derivative Instruments (Financial Information)
Item 1117 of Regulation AB. Legal Proceedings
Item 1119 of Regulation AB. Affiliations and Certain Relationships and Related Transactions.
Item 1122 of Regulation AB. Compliance with Applicable Servicing Criteria
Item 1123 of Regulation AB. Servicer Compliance Statement
Item 15.Exhibits, Financial Statement Schedules
EX-33.1: REPORT ON ASSESSMENT OF COMPLIANCE WITH SERVICING CRITERIA
(A) | Item 1, Business. | |
(B) | Item 1A, Risk Factors. | |
(C) | Item 2, Properties. | |
(D) | Item 3, Legal Proceedings. | |
(E) | Item 4, Mine Safety Disclosures. |
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(A) | Item 5, Market for Registrants Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities. | |
(B) | Item 6, Selected Financial Data. | |
(C) | Item 7, Managements Discussion and Analysis of Financial Condition and Results of Operations. | |
(D) | Item 7A, Quantitative and Qualitative Disclosures About Market Risk. | |
(E) | Item 8, Financial Statements and Supplementary Data. | |
(F) | Item 9, Changes in and Disagreements with Accountants on Accounting and Financial Disclosure. | |
(G) | Item 9A, Controls and Procedures. |
(A) | Item 10, Directors, Executive Officers and Corporate Governance. | |
(B) | Item 11, Executive Compensation. | |
(C) | Item 12, Security of Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters. | |
(D) | Item 13, Certain Relationships and Related Transactions, and Director Independence. | |
(E) | Item 14, Principal Accounting Fees and Services. |
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The Bank of New York Mellon (in its role as trustee) has been identified by the registrant as participating in the servicing function with respect to the asset pool held by the PPLUS Trust Series RRD-1 (the Servicing Party). The Servicing Party has completed a report on assessment of compliance with the servicing criteria applicable to it (a Servicing Report), which Servicing Report is attached as exhibit 33.1 to this Form 10-K. The Servicing Party has provided an attestation report (an Attestation Report) by KPMG LLP, Independent Registered Public Accounting Firm, which report is attached as exhibit 34.1 to this Form 10-K.
While Regulation AB does not contemplate identifying noncompliance on an
individual transaction basis, the Servicing Party has confirmed to the
Registrant that no instances of noncompliance with Regulation AB were discovered
with respect to the PPLUS trust series that were part of the statistical sample
used in preparing the Servicing Report. The Servicing Party has informed the
Registrant that the Servicing Party cannot provide any assurances that had an
analysis been done of each and every transaction included in the platform
(including all PPLUS trust series forming part of the platform), that
instances of noncompliance would not have been discovered. However, the
Servicing Party has informed the Registrant that it has no reason, based on the
sampling and analysis done, to believe that there are any instances of
noncompliance with those PPLUS trust series that were not part of the sampling
procedures.
(b) | Exhibits |
(c) | Financial Statement Schedules |
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MERRILL LYNCH DEPOSITOR, INC. |
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Date: March 11, 2016 | By: | /s/ Dylan Lohonen | ||
Name: | Dylan Lohonen | |||
Title: | President |
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