Item 9A. Controls and Procedures
ITEM 9A. CONTROLS AND PROCEDURES
The Registrant has procedures so as to provide reasonable assurance that its future Exchange Act filings will be filed within the applicable time periods.
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
(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.
ITEM 13. CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS, AND DIRECTOR INDEPENDENCE
None.
ITEM 14. PRINCIPAL ACCOUNTING FEES AND SERVICES
Not Applicable.
12
PART IV
ITEM 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES
(a)(1) Financial Statements: Not Applicable.
(a)(2) Financial Statement Schedules: Not Applicable.
(a)(3) List of Exhibits
The following exhibits are filed as part of, and
incorporated by reference into, this Annual Report on
Form 10-K:
31.1.
Certification of the Vice President of Registrant dated March 25,
2013, 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, 2012.
99.1.
Trustees Annual Compliance Certificate dated February 25,
2013.
99.2.
Report of PricewaterhouseCoopers LLP ,
Independent Registered Public Accounting Firm, dated March 22,
2013, Registrants Assertion on Compliance with PPLUS Minimum
Servicing Standards dated March 22, 2013 and PPLUS Minimum Servicing
Standards.
99.3.
Report of KPMG LLP, Independent Registered Public Accounting Firm,
dated February 13, 2013, The Bank of New York Mellons Assertion
on Compliance with PPLUS Minimum Servicing Standards dated February 13,
2013 and PPLUS Minimum Servicing Standards.
(b) Exhibits
The Registrant hereby files as part of this Annual
Report on Form 10-K the exhibits listed in Item
15(a)(3) set forth above.
(c) Financial Statement Schedules
Not Applicable.
13
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, hereunto duly authorized.
MERRILL LYNCH DEPOSITOR, INC.
Date: March 26, 2013
By:
/s/ John Marciano
Name:
John Marciano
Title:
Vice President
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.