Item 1.
Business.
Item 1A.
Item 1A.
Risk Factors.
Item 2.
Properties.
Item 3.
Legal Proceedings.
Item 4.
Submission of Matters to a Vote of Security Holders.
Item 1B.
Item 1B. Unresolved Staff Comments.
None.
Substitute information provided in accordance with General Instruction J to Form 10-K:
Item 1112(b) of Regulation AB. Significant Obligors of Pool Assets (Financial Information).
None.
Item 1114(b)(2) of Regulation AB. Credit Enhancement and Other Support, Except for Certain Derivatives Instruments (Financial Information).
No entity or group of affiliated entities provides any external credit enhancement or other support with respect to either
payment on the pool assets held by Caterpillar Financial Asset Trust 2006-A (the “Trust” or “issuing entity”) or
payments on the notes (the “Notes”) or certificates (the “Certificates”) issued by the Trust.
Item 1115(b) of Regulation AB. Certain Derivatives Instruments (Financial Information).
Not Applicable.
Item 1117 of Regulation AB. Legal Proceedings.
There are no material legal proceedings pending or contemplated against Caterpillar Financial Services Corporation (“Cat Financial”), as sponsor or servicer, Caterpillar Financial Funding Corporation, as depositor, Caterpillar Financial Asset Trust 2006-A, as the issuing entity, or any other parties described in Item 1117 of Regulation AB, or any of the property of any of the foregoing, which, individually or in the aggregate, would have a material adverse impact on investors in the offered notes.
The following items have been omitted in accordance with General Instruction J to Form 10-K:
Item 5.
Item 5.
Market for Registrant’s Common Equity, Related Stockholder Matters, and Issuer Purchases of Equity Securities.
Item 6.
Item 6.
Selected Financial Data.
Item 7.
Item 7.
Management’s Discussion and Analysis of Financial Condition and Results of Operations.
Item 7A.
Item 7A.
Quantitative and Qualitative Disclosures About Market Risk.
Item 8.
Item 8.
Financial Statements and Supplementary Data.
Item 9.
Item 9.
Changes in and Disagreements with Accountants on Accounting and Financial Disclosure.
Item 9A.
Item 9A.
Controls and Procedures.
Item 9B.
Item 9B. Other Information.
None.
The following items have been omitted in accordance with General Instruction J to Form 10-K:
Item 10.
Item 10.
Directors and Executive Officers of the Registrant.
Item
Executive Compensation.
Item 12.
Item 12.
Security Ownership of Certain Beneficial Owners and Management and Related Stockholders Matters.
Item 13.
Item 13.
Certain Relationships and Related Transactions.
Item 14.
Item 14.
Principal Accounting Fees and Services.
Substitute information provided in accordance with General Instruction J to Form 10-K:
Item 1119 of Regulation AB. Affiliations and Certain Relationships with Related Transactions.
With respect to disclosure of affiliations and certain relationships and related transactions, this information has been omitted from this Form 10-K in accordance with General Instruction to Item 1119 of Regulation AB and can be obtained in a prospectus supplement dated June 20, 2006, to a prospectus dated June 19, 2006, and filed with the Securities and Exchange Commission under the same Central Index Key code as used to file this current annual report on Form 10-K.
Item 1122 of Regulation AB. Compliance with Applicable Servicing Criteria.
Each of Cat Financial and U.S. Bank National Association (each, a “Servicing Participant”) has been identified as a party participating in the servicing function during the reporting period with respect to the pool assets held by the issuing entity. Each of the Servicing Participants has completed a report on an assessment of compliance with the servicing criteria applicable to such Servicing Participant (each, a “Report on Assessment”) during the issuing entity’s fiscal year ended December 31, 2006, which Reports on Assessment are attached as exhibits to this Form 10-K. In addition, each of the Servicing Participants has provided an attestation report (each, an “Attestation Report”) by a registered independent public accounting firm regarding its related Report on Assessment. Each Attestation Report is attached as an exhibit to this Form 10-K. None of the Reports on Assessment or the related Attestation Reports has identified any material instances of noncompliance with the servicing criteria described in the related Report on assessment as being applicable to such Servicing Participant.
Item 1123 of Regulation AB. Servicer Compliance Statement.
Each of Cat Financial and U.S. Bank National Association has been identified as a servicer during the reporting period with respect to the asset pool held by the issuing entity. Each of Cat Financial and U.S. Bank National Association has provided a Report on Compliance, signed by an authorized officer of each respective Servicing Participant, and each such Report on Compliance is attached as an exhibit to this Form 10-K.
Item 15.
Item 15. Exhibits and Financial Statement Schedules.
(b) The following documents are filed as part of this report:
Exhibit No.
3.1
Articles of Incorporation of Caterpillar Financial Funding Corporation.*
3.2
Bylaws of Caterpillar Financial Funding Corporation.*
4.1
Indenture, dated June 1, 2006, between Caterpillar Financial Asset Trust 2006-A and U.S. Bank National Association, as trustee and not in its individual capacity (the
"Indenture Trustee"), incorporated by reference to exhibit 4.1 to Form 8-K dated June 28, 2006, and filed by the Registrant on July 3, 2006.
4.2
Amended and Restated Trust Agreement, dated June 28, 2006, between Caterpillar Financial Funding Corporation, a Nevada Corporation, as depositor, and Chase
Bank USA, National Association, as trustee, incorporated by reference to exhibit 4.2 to Form 8-K dated June 28, 2006, and filed by the Registrant on July 3, 2006.
Certification of Steven R. Elsesser, Controller of Caterpillar Financial Services Corporation, as required pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
33.1
Report on Assessment of Compliance with Applicable Servicing Criteria for Asset-Backed Securities of Caterpillar Financial Services Corporation.
33.2
Report on Assessment of Compliance with Applicable Servicing Criteria for Asset-Backed Securities of U.S. Bank National Association.
34.1
Attestation Report of Assessment of Compliance with Servicing Criteria for Asset-Backed Securities of PricewaterhouseCoopers LLP, on behalf of Caterpillar
Financial Services Corporation.
34.2
Attestation Report of Assessment of Compliance with Servicing Criteria for Asset-Backed Securities of Ernst & Young LLP, on behalf of U.S. Bank National
Association.
Servicer Compliance Statement.
Annual Servicer Report to Holders of Notes and Certificates.
* Incorporated by reference to the identically marked exhibit to the Registrant’s Registration Statement filed on Form S-3 with the Securities and Exchange Commission on March 15, 2005, file No. 333-123328.
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, thereunto duly authorized.
Caterpillar Financial Asset Trust 2006-A
(Registrant)
By: Caterpillar Financial Funding Corporation
(Depositor)
Dated: March 29, 2007
By:
/s/ Steven R. Elsesser
Steven R. Elsesser, Chief Financial Officer
Dated: March 29, 2007
By:
/s/ James A. Duensing
James A. Duensing, Treasurer