ITEM 9B.	OTHER INFORMATION.
None.
PART III
THE FOLLOWING ITEMS HAVE BEEN OMITTED IN ACCORDANCE WITH GENERAL INSTRUCTION J TO FORM 10-K.
(A) ITEM 10, DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE.
(B) ITEM 11, EXECUTIVE COMPENSATION.
(C) ITEM 12, SECURITY 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.
PART IV
Item 15.
Item 15.Exhibits, Financial Statement Schedules.
Exhibit
Description
Exhibit 3.1
Limited Liability Company Agreement of GE Equipment Transportation LLC, Series 2013-1, incorporated by reference to Exhibit 4(b) to Form 8-K dated March 20, 2013 and filed by the Depositor on March 22, 2013.
Exhibit 4.1
Receivables Sale Agreement, incorporated by reference to Exhibit 4(c) to Form 8-K dated March 20, 2013 and filed by the Depositor on March 22, 2013.
Exhibit 4.2
Receivables Purchase and Sale Agreement, incorporated by reference to Exhibit 4(d) to Form 8-K dated March 20, 2013 and filed by the Depositor on March 22, 2013.
Exhibit 4.3
Servicing Agreement, incorporated by reference to Exhibit 4(e) to Form 8-K dated March 20, 2013 and filed by the Depositor on March 22, 2013.
Exhibit 4.4
Indenture, incorporated by reference to Exhibit 4(f) to Form 8-K dated March 20, 2013 and filed by the Depositor on March 22, 2013.
Exhibit 4.5
Administration Agreement, incorporated by reference to Exhibit 4(g) to Form 8-K dated March 20, 2013 and filed by the Depositor on March 22, 2013.
Exhibit 4.6
Series 2013-1 SUBI Supplement to Trust Agreement, incorporated by reference to Exhibit 99(a) to Form 8-K dated March 20, 2013 and filed by the Depositor on March 22, 2013.
Exhibit 4.7
Collateral Agency Supplement, incorporated by reference to Exhibit 99(b) to Form 8-K dated March 20, 2013 and filed by the Depositor on March 22, 2013.
Exhibit 4.8
Underwriting Agreement incorporated by reference to Exhibit 1(a) to Form 8-K dated March 12, 2013 and filed by the Depositor on March 14, 2013.
Exhibit 31.1
Certification of officer of the Depositor.
Exhibit 33.1
Report on Assessment of Compliance with Servicing Criteria of General Electric Capital Corporation.
Exhibit 33.2
Report on Assessment of Compliance with Servicing Criteria of Citibank, N.A.
Exhibit 34.1
Attestation Report of KPMG LLP, with respect to General Electric Capital Corporation.
Exhibit 34.2
Attestation Report of KPMG LLP, with respect to Citibank, N.A.
Exhibit 35.1
Servicing Compliance Statement of General Electric Capital Corporation.
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).
No single obligor represents 10% or more of the pool assets held by GE Equipment Transportation LLC, Series 2013-1 (the “Issuing Entity”).
ITEM 1114(b)(2) OF REGULATION AB. CREDIT ENHANCEMENT AND OTHER SUPPORT, EXCEPT FOR CERTAIN DERIVATIVES INSTRUMENTS (INFORMATION REGARDING SIGNIFICANT ENHANCEMENT PROVIDERS).
No entity or group of affiliated entities providing credit enhancement or other support with respect to either payment of the pool assets held by the Issuing Entity or payments on the notes (the “Notes”) issued by the Issuing Entity is liable or contingently liable to provide payments representing 10% or more of the cash flow supporting any class of Notes.
ITEM 1115(b)(2) OF REGULATION AB. CERTAIN DERIVATIVES INSTRUMENTS (FINANCIAL INFORMATION).
No entity or group of affiliated entities provides any derivative instruments that are used to alter the payment characteristics of the cashflows from the Issuing Entity.
ITEM 1117 OF REGULATION AB. LEGAL PROCEEDINGS
There are no legal proceedings pending (or known to be contemplated by governmental authorities) against any of General Electric Capital Corporation (the “Sponsor”), CEF Equipment Holding, L.L.C. (the “Depositor”), Citibank, N.A. (the “Indenture Trustee”), the Issuing Entity or the other parties described in Item 1117 of Regulation AB or to which any of their respective property is subject, that are material to the holders of the Notes.
ITEM 1119 OF REGULATION AB. AFFILIATIONS AND CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS.
The information required by Item 1119 of Regulation AB has been previously reported and has been omitted from this report on Form 10-K in reliance on the instruction to Item 1119.
ITEM 1122 OF REGULATION AB. COMPLIANCE WITH APPLICABLE SERVICING CRITERIA.
The Sponsor (in its roles as servicer and administrator) and Citibank, N.A. (in its role as indenture trustee) (together, the “Servicing Parties”) have each been identified by the registrant as parties participating in the servicing function with respect to the asset pool held by the Issuing Entity. Each of the Servicing Parties has completed a report on assessment of compliance with the servicing criteria applicable to it (each a “Servicing Report”), which Servicing Reports are attached as exhibits to this Form 10-K. Each of the Servicing Parties has provided an attestation report (each an “Attestation Report”) by one or more public accounting firms, which reports are also attached as exhibits to this Form 10-K.
None of the Servicing Reports or Attestation Reports has identified any material instance of noncompliance with the servicing criteria to the respective Servicing Party.
ITEM 1123 OF REGULATION AB. SERVICER COMPLIANCE STATEMENT.
The Sponsor (in its role as servicer) has been identified by the registrant as servicer with respect to the asset pool held by the Issuing Entity. The Sponsor has completed a statement of compliance with applicable servicing criteria (the “Compliance Statement”), signed by an authorized officer of the Sponsor. The Compliance Statement is attached as an exhibit to this Form 10-K.
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.
GE Equipment Transportation LLC, Series 2013-1
(by CEF Equipment Holding, L.L.C.)
Date: March 27, 2014 By: /s/ Thomas A. Davidson
Name: Thomas A. Davidson
Title: President and Chief Executive Officer
Supplemental Information to be Furnished With Reports Filed Pursuant to Section 15(d) of the Act by Registrants Which Have Not Registered Securities Pursuant to Section 12 of the Act.
No annual report or proxy materials have been sent to security holders and no such report or proxy materials are to be furnished to security holders subsequent to the filing of this Annual Report on Form 10-K.
EXHIBIT INDEX
Exhibit
Description
Exhibit 3.1
Limited Liability Company Agreement of GE Equipment Transportation LLC, Series 2013-1, incorporated by reference to Exhibit 4(b) to Form 8-K dated March 20, 2013 and filed by the Depositor on March 22, 2013.
Exhibit 4.1
Receivables Sale Agreement, incorporated by reference to Exhibit 4(c) to Form 8-K dated March 20, 2013 and filed by the Depositor on March 22, 2013.
Exhibit 4.2
Receivables Purchase and Sale Agreement, incorporated by reference to Exhibit 4(d) to Form 8-K dated March 20, 2013 and filed by the Depositor on March 22, 2013.
Exhibit 4.3
Servicing Agreement, incorporated by reference to Exhibit 4(e) to Form 8-K dated March 20, 2013 and filed by the Depositor on March 22, 2013.
Exhibit 4.4
Indenture, incorporated by reference to Exhibit 4(f) to Form 8-K dated March 20, 2013 and filed by the Depositor on March 22, 2013.
Exhibit 4.5
Administration Agreement, incorporated by reference to Exhibit 4(g) to Form 8-K dated March 20, 2013 and filed by the Depositor on March 22, 2013.
Exhibit 4.6
Series 2013-1 SUBI Supplement to Trust Agreement, incorporated by reference to Exhibit 99(a) to Form 8-K dated March 20, 2013 and filed by the Depositor on March 22, 2013.
Exhibit 4.7
Collateral Agency Supplement, incorporated by reference to Exhibit 99(b) to Form 8-K dated March 20, 2013 and filed by the Depositor on March 22, 2013.
Exhibit 4.8
Underwriting Agreement incorporated by reference to Exhibit 1(a) to Form 8-K dated March 12, 2013 and filed by the Depositor on March 14, 2013.
Exhibit 31.1
Certification of officer of the Depositor.
Exhibit 33.1
Report on Assessment of Compliance with Servicing Criteria of General Electric Capital Corporation.
Exhibit 33.2
Report on Assessment of Compliance with Servicing Criteria of Citibank, N.A.
Exhibit 34.1
Attestation Report of KPMG LLP, with respect to General Electric Capital Corporation.
Exhibit 34.2
Attestation Report of KPMG LLP, with respect to Citibank, N.A.
Exhibit 35.1
Servicing Compliance Statement of General Electric Capital Corporation.