UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-K
FOR ANNUAL AND TRANSITION REPORTS
PURSUANT TO SECTIONS 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
(Mark One)
|
|
|
þ
|
|
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
|
For the fiscal year ended December 31, 2009
OR
|
|
|
o
|
|
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 001-32193
Corporate Asset Backed Corporation, on behalf of
CABCO Series 2004-101 Trust (Goldman Sachs Capital I)
(Exact name of registrant as specified in its charter)
|
|
|
Delaware
(State or Other Jurisdiction
of Incorporation or Organization)
|
|
22-3281571
(I.R.S. Employer
Identification No.)
|
|
|
|
445 Broad Hollow Road, Suite 239, Melville, New York
(Address of Principal Executive Offices)
|
|
11747
(Zip Code)
|
Registrants telephone number, including area code: (631) 587-4700
Securities registered pursuant to Section 12(b) of the Act:
|
|
|
Title of class
|
|
Name of each Exchange on which registered
|
|
|
|
$150,000,000 CABCO Series 2004-101
|
|
New York Stock Exchange
|
Trust (Goldman Sachs Capital I)
Floating Rate Callable Certificates
|
|
|
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
o
No
þ
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
o
No
þ
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
þ
No
o
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). Yes
o
No
o
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.
þ
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated
filer or a non-accelerated filer. See definition of large accelerated filer and accelerated
filer Rule 12b-2 of the Exchange Act.
|
|
|
|
|
|
|
Large accelerated filer
o
|
|
Accelerated filer
o
|
|
Non-accelerated filer
þ
(Do not check if a smaller reporting company)
|
|
Smaller Reporting Company
o
|
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the
Act). Yes
o
No
þ
State the aggregate market value of voting and non-voting common stock held by non-affiliates of
the registrant: All the common stock of Corporate Asset Backed Corporation, the depositor of the
trust, is held by UBS Americas Inc., its parent.
Indicate the number of shares outstanding of each of the registrants classes of common stock, as
of the latest practicable date: As of March 4, 2010, 100 shares of common stock of Corporate Asset
Backed Corporation, the depositor of the trust, par value $1.00 per share, were outstanding.
TABLE OF CONTENTS
INTRODUCTORY NOTE
The Registrant is a trust (the Trust) created by the Trust Agreement, dated as of
May 20, 2004, between Corporate Asset Backed Corporation, as the depositor (the Depositor), and
U.S. Bank Trust National Association, as trustee (the Trustee), providing for the issuance of
$150,000,000 aggregate certificate principal balance of Floating Rate Callable Certificates
relating to the 6.345% Goldman Sachs Capital I Capital Securities due February 15, 2034 (the GS
Securities). The Certificates do not represent obligations of or interests in the Depositor or
the Trustee. The Certificates represent beneficial interests in the Trust. The Trusts assets
consist primarily of $150,000,000 principal amount of the GS Securities, all payments on or
collections in respect of the GS Securities due on and after May 20, 2004, and the rights of the
Trust under the Swap Agreement, dated as of May 20, 2004, between the Trust and UBS AG, as the swap
counterparty. The Goldman Sachs Group, Inc., the guarantor of the GS Securities, is subject to the
informational requirements of the Securities Exchange Act of 1934, and in accordance with those
requirements files periodic and current reports and other information (including financial
information) with the Securities and Exchange Commission (SEC) (File No. 001-14965). You may read
and copy any reports, statements and other information filed by The Goldman Sachs Group, Inc. with
the SEC (a) over the Internet at the SEC website at http://www.sec.gov containing reports, proxy
statements and other information regarding registrants that file electronically with the SEC and
(b) at the SECs public reference room at 450 Fifth Street, N.W., Washington, D.C. 20549. You can
also request copies of these documents upon payment of a copying fee, by writing to the SECs
public reference room at 450 Fifth Street, N.W., Washington, D.C. 20549. Please call the SEC at
(800) SEC-0330 for further information on The Goldman Sachs Group, Inc. and please refer to these
periodic and current reports filed with the SEC.