Basic Stats
| CIK | 1357660 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Strats(SM) Trust For Allstate Corp Securities, Series 2006-3 - Preferred Security
SEC Filings (Chronological Order)
This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.
| March 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2024 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 of issuing entity: 001-32867 Central |
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| March 31, 2025 |
Servicer Compliance Statement of The Bank of New York Mellon for the year ended December 31, 2024. STRATS Trust For Allstate Corporation Securities, Series 2006-3 10-K Exhibit 35.1 Statement of Compliance of The Bank of New York Mellon. I, Terrence White, a Vice President of The Bank of New York, a New York corporation (the “Trustee”), state: (a) A review of the Trustee’s activities for the period from January 01, 2024, through December 31, 2024 (the “Reporting Period”) and of the Trustee’s per |
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| March 31, 2025 |
STRATS Trust For Allstate Corporation Securities, Series 2006-3 10-K Exhibit 34.1 KPMG LLP Aon Center Suite 5500 200 E. Randolph Street Chicago, IL 60601-6436 Report of Independent Registered Public Accounting Firm The Board of Directors The Bank of New York Mellon BNY Mellon Trust of Delaware The Bank of New York Mellon Trust Company, N.A.: We have examined The Bank of New York Mellon’s (formerly |
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| March 31, 2025 |
STRATS Trust For Allstate Corporation Securities, Series 2006-3 10-K Exhibit 33.1 ASSESSMENT OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA Management of The Bank of New York Mellon (formerly The Bank of New York), BNY Mellon Trust of Delaware (formerly BNYM (Delaware)) and The Bank of New York Mellon Trust Company, N.A. (formerly The Bank of New York Trust Company, N.A.), (collectively, the “Co |
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| March 29, 2024 |
STRATS TRUST FOR ALLSTATE CORPORATION SECURITIES, SERIES 2006-3 10-K Exhibit 34.1 KPMG LLP Aon Center Suite 5500 200 E. Randolph Street Chicago, IL 60601-6436 Report of Independent Registered Public Accounting Firm The Board of Directors The Bank of New York Mellon BNY Mellon Trust of Delaware The Bank of New York Mellon Trust Company, N.A.: We have examined management’s assertion, included in the |
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| March 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2023 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 of issuing entity: 001-32867 Central |
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| March 29, 2024 |
STRATS TRUST FOR ALLSTATE CORPORATION SECURITIES, SERIES 2006-3 10-K Exhibit 33.1 ASSESSMENT OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA Management of The Bank of New York Mellon (formerly The Bank of New York), BNY Mellon Trust of Delaware (formerly BNYM (Delaware)) and The Bank of New York Mellon Trust Company, N.A. (formerly The Bank of New York Trust Company, N.A.), (collectively, the “Co |
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| March 29, 2024 |
Servicer Compliance Statement of The Bank of New York Mellon for the year ended December 31, 2023. STRATS TRUST FOR ALLSTATE CORPORATION SECURITIES, SERIES 2006-3 10-K Exhibit 35.1 Statement of Compliance of The Bank of New York Mellon. I, Terrence White, a Vice President of The Bank of New York Mellon (formerly The Bank of New York), a New York corporation (the “Trustee”), state: (a) A review of the Trustee’s activities for the period from January 01, 2023 through December 31, 2023 (the “Repor |
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| March 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2022 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 of issuing entity: 001-32867 Central |
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| March 30, 2023 |
STRATS Trust For Allstate Corporation Securities, Series 2006-3 10-K Exhibit 33.1 ASSESSMENT OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA Management of The Bank of New York Mellon (formerly The Bank of New York), BNY Mellon Trust of Delaware (formerly BNYM (Delaware)) and The Bank of New York Mellon Trust Company, N.A. (formerly The Bank of New York Trust Company, N.A.), (collectively, the “Co |
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| March 30, 2023 |
Servicer Compliance Statement of The Bank of New York Mellon for the year ended December 31, 2022. STRATS Trust For Allstate Corporation Securities, Series 2006-3 10-K Exhibit 35.1 Statement of Compliance of The Bank of New York Mellon. I, Terrence White, a Vice President of The Bank of New York Mellon (formerly The Bank of New York), a New York corporation (the “Trustee”), state: (a) A review of the Trustee’s activities for the period from January 01, 2022, through December 31, 2022 (the “Repo |
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| March 30, 2023 |
STRATS Trust For Allstate Corporation Securities, Series 2006-3 10-K Exhibit 34.1 KPMG LLP Aon Center Suite 5500 200 E. Randolph Street Chicago, IL 60601-6436 Report of Independent Registered Public Accounting Firm The Board of Directors The Bank of New York Mellon BNY Mellon Trust of Delaware The Bank of New York Mellon Trust Company, N.A.: We have examined management’s assertion, included in the |
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| March 30, 2022 |
STRATS Trust For Allstate Corporation Securities, Series 2006-3 10-K Exhibit 34.1 Report of Independent Registered Public Accounting Firm The Board of Directors The Bank of New York Mellon BNY Mellon Trust of Delaware The Bank of New York Mellon Trust Company, N.A.: We have examined management?s assertion, included in the accompanying Management?s Assessment of Compliance with Applicable Servicing |
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| March 30, 2022 |
Servicer Compliance Statement of The Bank of New York Mellon for the year ended December 31, 2021. STRATS Trust For Allstate Corporation Securities, Series 2006-3 10-K Exhibit 35.1 Statement of Compliance of The Bank of New York Mellon. I, Terrence White, a Vice President of The Bank of New York Mellon (formerly The Bank of New York), a New York corporation (the ?Trustee?), state: (a) A review of the Trustee?s activities for the period from January 01, 2021 through December 31, 2021 (the ?Repor |
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| March 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2021 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 of issuing entity: 001-32867 Central |
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| March 30, 2022 |
STRATS Trust For Allstate Corporation Securities, Series 2006-3 10-K Exhibit 33.1 ASSESSMENT OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA Management of The Bank of New York Mellon (formerly The Bank of New York), BNY Mellon Trust of Delaware (formerly BNYM (Delaware)) and The Bank of New York Mellon Trust Company, N.A. (formerly The Bank of New York Trust Company, N.A.), (collectively, the ?Co |
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| March 30, 2021 |
STRATS Trust For Allstate Corporation Securities, Series 2006-3 10-K Exhibit 33.1 ASSESSMENT OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA Management of The Bank of New York Mellon (formerly The Bank of New York), BNY Mellon Trust of Delaware (formerly BNYM (Delaware)) and The Bank of New York Mellon Trust Company, N.A. (formerly The Bank of New York Trust Company, N.A.), (collectively, the ?Co |
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| March 30, 2021 |
STRATS Trust For Allstate Corporation Securities, Series 2006-3 10-K Exhibit 34.1 Report of Independent Registered Public Accounting Firm The Board of Directors The Bank of New York Mellon BNY Mellon Trust of Delaware The Bank of New York Mellon Trust Company, N.A.: We have examined The Bank of New York Mellon?s (formerly The Bank of New York), BNY Mellon Trust of Delaware?s (formerly BNYM (Delawa |
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| March 30, 2021 |
Servicer Compliance Statement of The Bank of New York Mellon for the year ended December 31, 2020. STRATS Trust For Allstate Corporation Securities, Series 2006-3 10-K Exhibit 35.1 Statement of Compliance of The Bank of New York Mellon. I, Terrence White, a Vice President of The Bank of New York Mellon (formerly The Bank of New York), a New York corporation (the ?Trustee?), state: (a) A review of the Trustee?s activities for the period from January 1, 2020 through December 31, 2020 (the ?Report |
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| March 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2020 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 of issuing entity: 001-32867 Central |
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| March 30, 2020 |
STRATS Trust For Allstate Corporation Securities, Series 2006-3 - 10-K Exhibit 34. |
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| March 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2019 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 of issuing entity: 001-32867 Central |
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| March 30, 2020 |
STRATS Trust For Allstate Corporation Securities, Series 2006-3 - 10-K Exhibit 33. |
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| March 30, 2020 |
Servicer Compliance Statement of The Bank of New York Mellon for the year ended December 31, 2019. STRATS Trust For Allstate Corporation Securities, Series 2006-3 - 10-K Exhibit 35. |
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| March 29, 2019 |
STRATS Trust For Allstate Corporation Securities, Series 2006-3 - 10-K Exhibit 35. |
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| March 29, 2019 |
ASSESSMENT OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA STRATS Trust For Allstate Corporation Securities, Series 2006-3 - 10-K Exhibit 33. |
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| March 29, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2018 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 of issuing entity: 001-32867 Central |
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| March 29, 2019 |
Report of Independent Registered Public Accounting Firm STRATS Trust For Allstate Corporation Securities, Series 2006-3 - 10-K Exhibit 34. |
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| March 30, 2018 |
Servicer Compliance Statement of The Bank of New York Mellon for the year ended December 31, 2017. STRATS Trust For Allstate Corporation Securities, Series 2006-3 - 10-K Exhibit 35. |
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| March 30, 2018 |
STRATS Trust For Allstate Corporation Securities, Series 2006-3 - 10-K Exhibit 34. |
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| March 30, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2017 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 of issuing entity: 001-32867 Central |
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| March 30, 2018 |
STRATS Trust For Allstate Corporation Securities, Series 2006-3 - 10-K Exhibit 33. |
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| March 31, 2017 |
STRATS Trust For Allstate Corporation Securities, Series 2006-3 - 10-K Exhibit 34. |
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| March 31, 2017 |
Servicer Compliance Statement of The Bank of New York Mellon for the year ended December 31, 2016. STRATS Trust For Allstate Corporation Securities, Series 2006-3 - 10-K Exhibit 35. |
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| March 31, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2016 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 of issuing entity: 001-32867 Central |
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| March 31, 2017 |
STRATS Trust For Allstate Corporation Securities, Series 2006-3 - 10-K Exhibit 33. |
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| March 30, 2016 |
ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA EX-33.1 3 ex331.htm EXHIBIT 33.1 Exhibit 33.1 ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA The Bank of New York Mellon (formerly The Bank of New York), BNY Mellon Trust of Delaware (formerly BNYM (Delaware)) and The Bank of New York Mellon Trust Company, N.A. (formerly The Bank of New York Trust Company, N.A.), (collectively, the “Company”) provide this platform-level assessment of c |
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| March 30, 2016 |
Exhibit 35.1 Statement of Compliance of The Bank of New York Mellon. I, James W. Hall, a Vice President of The Bank of New York Mellon (formerly The Bank of New York), a New York corporation (the “Trustee”), state: (a) A review of the Trustee’s activities for the period from January 1, 2015 through December 31, 2015 (the “Reporting Period”) and of the Trustee’s performance under each Trust Agreeme |
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| March 30, 2016 |
[Letterhead of KPMG LLP] Report of Independent Registered Public Accounting Firm Exhibit 34.1 [Letterhead of KPMG LLP] Report of Independent Registered Public Accounting Firm The Board of Directors The Bank of New York Mellon BNY Mellon Trust of Delaware The Bank of New York Mellon Trust Company, N.A.: We have examined management?s assertion, included in the accompanying Management?s Assertion of Compliance with Applicable Servicing Criteria, that The Bank of New York Mellon ( |
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| March 30, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2015 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 of issuing entity: 001-32867 Central |
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| March 31, 2015 |
ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA Exhibit 33.1 ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA The Bank of New York Mellon (formerly The Bank of New York), BNY Mellon Trust of Delaware (formerly BNYM (Delaware)) and The Bank of New York Mellon Trust Company, N.A. (formerly The Bank of New York Trust Company, N.A.), (collectively, the ?Company?) provide this platform-level assessment of compliance with the servicing crit |
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| March 31, 2015 |
[Letterhead of KPMG LLP] Report of Independent Registered Public Accounting Firm Exhibit 34.1 [Letterhead of KPMG LLP] Report of Independent Registered Public Accounting Firm The Board of Directors The Bank of New York Mellon BNY Mellon Trust of Delaware The Bank of New York Mellon Trust Company, N.A.: We have examined management?s assertion, included in the accompanying Management?s Assertion of Compliance, that The Bank of New York Mellon (formerly The Bank of New York), BNY |
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| March 31, 2015 |
EX-35.1 5 s000810x8ex35-1.htm EXHIBIT 35.1 Exhibit 35.1 Statement of Compliance of The Bank of New York Mellon. I, James W. Hall, a Vice President of The Bank of New York Mellon (formerly The Bank of New York), a New York corporation (the “Trustee”), state: (a) a review of the Trustee’s activities for the period from January 1, 2014 through December 31, 2014 (the “Reporting Period”) and of the Tru |
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| March 31, 2015 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2014 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 of issuing entity: 001-32867 STRATS TRUST FOR ALLS |
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| January 13, 2015 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2013 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 of issuing entity: 001-32867 S |
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| December 29, 2014 |
December 29, 2014 VIA ELECTRONIC FILING Mr. Arthur C. Sandel, Esq. Special Counsel Office of Structured Finance Division of Corporation Finance Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: STRATS Trust for Allstate Corp Securities, Series 2006-3 STRATS Trust for Goldman Sachs Group Securities Series 2006-2 STRATS Trust for Procter & Gamble Securities, Series 2006-1 |
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| March 31, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K 10-K 1 strats2006-310k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2013 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 of issuin |
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| March 31, 2014 |
Exhibit 35.1 Statement of Compliance of The Bank of New York Mellon. I, James W. Hall, a Vice President of The Bank of New York Mellon (formerly The Bank of New York), a New York corporation (the ?Trustee?), states: (a) A review of the Trustee?s activities for the period from January 1, 2013 through December 31, 2013 (the ?Reporting Period?) and of the Trustee?s performance under each Trust Agreem |
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| March 31, 2014 |
[Letterhead of KPMG LLP] Report of Independent Registered Public Accounting Firm EX-34.1 5 ex34-1.htm Exhibit 34.1 [Letterhead of KPMG LLP] Report of Independent Registered Public Accounting Firm The Board of Directors: The Bank of New York Mellon BNY Mellon Trust of Delaware The Bank of New York Mellon Trust Company, N.A.: We have examined the compliance of The Bank of New York Mellon (formerly The Bank of New York), BNY Mellon Trust of Delaware (formerly BNYM (Delaware) and |
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| March 31, 2014 |
ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA EX-33.1 3 ex33-1.htm Exhibit 33.1 ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA The Bank of New York Mellon (formerly The Bank of New York), BNY Mellon Trust of Delaware (formerly BNYM (Delaware)) and The Bank of New York Mellon Trust Company, N.A. (formerly The Bank of New York Trust Company, N.A.), (collectively, the “Company”) provides this platform-level assessment of compliance w |
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| June 5, 2013 |
8-K 1 strats2006-38k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 28, 2013 STRATSSM Trust for Allstate Corporation Securities, Series 2006-3 (Exact name of Registrant as specified in its charter) Synthetic Fixed-Income S |
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| March 29, 2013 |
[Letterhead of KPMG LLP] Report of Independent Registered Public Accounting Firm EX-34.1 4 ex34-1.htm Exhibit 34.1 [Letterhead of KPMG LLP] Report of Independent Registered Public Accounting Firm The Board of Directors: The Bank of New York Mellon BNY Mellon Trust of Delaware The Bank of New York Mellon Trust Company, N.A.: We have examined the compliance of The Bank of New York Mellon (formerly The Bank of New York), BNY Mellon Trust of Delaware (formerly BNYM (Delaware)) and |
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| March 29, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2012 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 of issuing entity: 001-32867 STRATS( |
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| March 29, 2013 |
ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA EX-33.1 3 ex33-1.htm Exhibit 33.1 ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA The Bank of New York Mellon (formerly The Bank of New York), BNY Mellon Trust of Delaware (formerly BNYM (Delaware)) and The Bank of New York Mellon Trust Company, N.A. (formerly The Bank of New York Trust Company, N.A.), (collectively, the “Company”) provides this platform-level assessment of compliance w |
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| March 29, 2013 |
EX-35.1 5 ex35-1.htm Exhibit 35.1 Statement of Compliance of The Bank of New York Mellon. I, James W. Hall, a Vice President of The Bank of New York Mellon (formerly The Bank of New York), a New York corporation (the “Trustee”), states: (a) A review of the Trustee’s activities for the period from January 1, 2012 through December 31, 2012 (the “Reporting Period”) and of the Trustee’s performance un |
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| October 31, 2012 |
Other Events - STRATS TRUST FOR ALLSTATE 2006-3 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 25, 2012 STRATS(SM) TRUST FOR ALLSTATE CORPORATION SECURITIES, SERIES 2006-3 (Exact name of Registrant as specified in its charter) SYNTHETIC FIXED-INCOME SECURITIES, INC. (Ex |
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| March 30, 2012 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2011 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 of issuing entity: 1-32867 STRATSSM TRUST FOR ALLS |
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| March 30, 2012 |
Exhibit 35.1 Statement of Compliance of The Bank of New York Mellon. I, Pierre Boutros, a Vice President of The Bank of New York Mellon (formerly The Bank of New York), a New York corporation (the ?Trustee?), state: (a) a review of the Trustee?s activities for the period from January 1, 2011 through December 31, 2011 (the ?Reporting Period?) and of the Trustee?s performance under each Trust Agreem |
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| March 30, 2012 |
ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA EX-33.1 3 efc12-341ex331.htm REPORT ON ASSESSMENT OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA OF THE BANK OF NEW YORK MELLON FOR THE YEAR ENDED DECEMBER 31, 2011. Exhibit 33.1 ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA The Bank of New York Mellon (formerly The Bank of New York), BNY Mellon Trust of Delaware (formerly BNYM (Delaware)) and The Bank of New York Mellon Trust Compa |
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| March 30, 2012 |
Report of Independent Registered Public Accounting Firm EX-34.1 4 efc12-341ex341.htm INDEPENDENT ACCOUNTANTS? ATTESTATION REPORT CONCERNING SERVICING ACTIVITIES OF THE BANK OF NEW YORK MELLON FOR THE YEAR ENDED DECEMBER 31, 2011. Exhibit 34.1 Report of Independent Registered Public Accounting Firm The Board of Directors The Bank of New York Mellon BNY Mellon Trust of Delaware The Bank of New York Mellon Trust Company, N.A.: We have examined the accompa |
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| March 30, 2011 |
ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA EX-33.1 3 efc11-238ex331.htm Exhibit 33.1 ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA The Bank of New York Mellon (formerly The Bank of New York), BNY Mellon Trust of Delaware (formerly BNYM (Delaware)) and The Bank of New York Mellon Trust Company, N.A. (formerly The Bank of New York Trust Company, N.A.), (collectively, the “Company”) provides this platform-level assessment of comp |
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| March 30, 2011 |
Report of Independent Registered Public Accounting Firm EX-34.1 4 efc11-238ex341.htm Exhibit 34.1 Report of Independent Registered Public Accounting Firm The Board of Directors The Bank of New York Mellon BNY Mellon Trust of Delaware The Bank of New York Mellon Trust Company, N.A.: We have examined the accompanying management’s assertion that The Bank of New York Mellon (formerly The Bank of New York), BNY Mellon Trust of Delaware (formerly BNYM (Delaw |
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| March 30, 2011 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2010 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 of issuing entity: 1-32867 STRATS(SM) TRUST FOR AL |
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| March 30, 2011 |
EX-35.1 5 efc11-238ex351.htm Exhibit 35.1 Statement of Compliance of The Bank of New York Mellon. I, Joseph Panepinto, a Vice President of The Bank of New York Mellon (formerly The Bank of New York), a New York corporation (the “Trustee”), state: (a) a review of the Trustee’s activities for the period from January 1, 2010 through December 31, 2010 (the “Reporting Period”) and of the Trustee’s perf |
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| April 21, 2010 |
SIDLEY AUSTIN llp 787 SEVENTH AVENUE NEW YORK, NY 10019 (212) 839 5300 (212) 839 5599 FAX BEIJING BRUSSELS CHICAGO DALLAS FRANKFURT GENEVA HONG KONG LONDON LOS ANGELES NEW YORK PALO ALTO SAN FRANCISCO SHANGHAI SINGAPORE SYDNEY TOKYO WASHINGTON, D. |
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| March 30, 2010 |
ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA EX-33.1 3 efc10-263ex331.htm Exhibit 33.1 ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA The Bank of New York Mellon (formerly The Bank of New York), BNY Mellon Trust of Delaware (formerly BNYM (Delaware)) and The Bank of New York Mellon Trust Company, N.A. (formerly The Bank of New York Trust Company, N.A.), (collectively, the “Company”) provides this platform-level assessment of comp |
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| March 30, 2010 |
Report of Independent Registered Public Accounting Firm EX-34.1 4 ex10-263ex341.htm Exhibit 34.1 [LOGO OMITTED KPMG LLP KPMG LLP 303 East Wacker Drive Chicago, IL 60601-5212 Report of Independent Registered Public Accounting Firm (1) The Board of Directors (2) The Bank of New York Mellon (3) BNY Mellon Trust of Delaware The Bank of New York Mellon Trust Company, N.A.: We have examined the compliance of The Bank of New York Mellon (formerly The Bank of |
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| March 30, 2010 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K 10-K 1 efc10-263fm10k.htm SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ý 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 ¨ 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 of issuing entity: 1-328 |
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| March 30, 2010 |
EX-35.1 5 efc10-263ex351.htm Exhibit 35.1 Statement of Compliance of The Bank of New York Mellon. I, Gerard Facendola, a Managing Director of The Bank of New York Mellon (formerly The Bank of New York), a New York corporation (the “Trustee”), state: (a) a review of the Trustee’s activities for the period from January 1, 2009 through December 31, 2009 (the “Reporting Period”) and of the Trustee’s p |
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| March 30, 2009 |
ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA EX-33.1 3 efc9-0393ex331.htm Exhibit 33.1 ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA The Bank of New York Mellon (formerly The Bank of New York), BNY Mellon Trust of Delaware (formerly BNYM (Delaware)) and The Bank of New York Mellon Trust Company, N.A. (formerly The Bank of New York Trust Company, N.A.), (collectively, the “Company”) provides this platform-level assessment of comp |
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| March 30, 2009 |
EX-35.1 5 efc9-0393ex351.htm Exhibit 35.1 Statement of Compliance of The Bank of New York Mellon. I, Joseph Panepinto, a Vice President of The Bank of New York Mellon (formerly The Bank of New York), a New York corporation (the “Trustee”), state: (a) a review of the Trustee’s activities for the period from January 1, 2008 through December 31, 2008 (the “Reporting Period”) and of the Trustee’s perf |
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| March 30, 2009 |
Report of Independent Registered Public Accounting Firm EX-34.1 4 efc9-0393ex341.htm Exhibit 34.1 KPMG LLP 303 East Wacker Drive Chicago, IL 60601-5212 Report of Independent Registered Public Accounting Firm The Board of Directors The Bank of New York Mellon BNY Mellon Trust of Delaware The Bank of New York Mellon Trust Company, N.A.: We have examined the compliance of The Bank of New York Mellon (formerly The Bank of New York), BNY Mellon Trust of Del |
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| March 30, 2009 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2008 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 of issuing entity: 1-32867 STRATS(SM) TRUST FOR AL |
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| October 10, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 5, 2007 SYNTHETIC FIXED-INCOME SECURITIES, INC. ON BEHALF OF: STRATS(SM) TRUST FOR ALLSTATE CORPORATION SECURITIES, SERIES 2006-3 - (Exact Name of Registrant as Specified in |
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| September 27, 2007 |
ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA Exhibit 33.1 ASSERTION OF COMPLIANCE WITH APPLICABLE SERVICING CRITERIA The Bank of New York, The Bank of New York Trust Company, N. A. and The Bank of New York (Delaware) (collectively, the “Company”) provides this platform-level assessment of compliance with the servicing criteria specified in Item 1122(d) of Regulation AB promulgated by the Securities and Exchange Commission. Management has det |
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| September 27, 2007 |
EX-35.1 8 exh35-1.htm Exhibit 35.1 Statement of Compliance of The Bank of New York. I, David Ayerdis, Vice President - The Bank of New York, a New York corporation (the “Trustee”), state: A review of the Trustee’s activities for the period from January 1, 2006 through December 31, 2006 (the “Reporting Period”) and of the Trustee’s performance under each Trust Agreement, delivered with respect to t |
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| September 27, 2007 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A Amendment No. 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A Amendment No. 1 x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2006 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 of issuing entity: 333-111858-21 |
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| September 27, 2007 |
September 27, 2007 Securities and Exchange Commission 100 F Street, N.E., Mail Stop 3561 Washington, D.C. 20549 Attention: Filing Desk Re: STRATS Trust for Allstate Corporation Securities, Series 2006-3 Amendment No. 1 to Form 10-K for the fiscal year ended December 31, 2006 Filed March 29, 2007 Ladies and Gentlemen: On behalf of Synthetic Fixed-Income Securities, Inc., as sponsor and originator o |
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| September 27, 2007 |
[Orrick, Herrington & Sutcliffe LLP Letterhead] [Orrick, Herrington & Sutcliffe LLP Letterhead] September 20, 2007 VIA FACSIMILE AND HAND DELIVERY Max A. |
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| September 27, 2007 |
Report of Independent Registered Public Accounting Firm EX-34.1 7 exh34-1.htm Exhibit 34.1 [LOGO OMITTED ERNST & YOUNG § Ernst & Young LLP 5 Times Square New York, New York 10036-6530 § Phone: (212) 773-3100 www.ey.com Report of Independent Registered Public Accounting Firm Board of Directors The Bank of New York We have examined management’s assertion, included in the accompanying Management’s Report on Assertion of Compliance with Applicable Servicin |
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| September 27, 2007 |
[Orrick, Herrington & Sutcliffe LLP Letterhead] [Orrick, Herrington & Sutcliffe LLP Letterhead] August 8, 2007 VIA FACSIMILE AND HAND DELIVERY Mr. |
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| April 27, 2006 |
PROSPECTUS SUPPLEMENT TO THE PROSPECTUS DATED DECEMBER 1, 2004 $35,000,000 FLOATING RATE STRUCTURED REPACKAGED ASSET-BACKED TRUST SECURITIES (STRATS(SM)) CERTIFICATES, SERIES 2006-3 STRATS(SM) TRUST FOR ALLSTATE CORPORATION SECURITIES, SERIES 2006-3 ISSUING ENTITY SYNTHETIC FIXED-INCOME SECURITIES, INC. |
