10-K/A 1 c50429_10ka.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ---------------- FORM 10-K/A (AMENDMENT NO. 1) (Mark One) [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 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURI- TIES EXCHANGE ACT OF 1934 For the transition period from ________ to ________ Commission File Number: 001-32344 Freedom Depository, LLC, on behalf of: USAutos Series 2004-1 Trust -------------------------------------------------------------------------------- (Exact name of registrant as specified in its charter) Delaware 72-1545842 ------------------------------------- ------------------------------------ (State or Other Jurisdiction, (I.R.S. Employer Identification No.) Organization or Incorporation) 7801 North Capital of Texas Highway, Suite 300, Austin, Texas 78731 ---------------------------------------- --------------------------------- (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code: (512) 342-3000 Securities registered pursuant to Section 12(b) of the Act: Title of Class Name of Registered Exchange -------------- --------------------------- 5.10% Freedom Certificates, USAutos American Stock Exchange Series 2004-1 Class A Certificates Securities registered pursuant to Section 12(g) of the Act: None Indicate by check mark whether the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes [ ] No [X] 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 [ ] No [X] 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 file requirements for the past 90 days. Yes [X] No [ ] 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 registrant's 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. [X] Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, or a non-accelerated filer. See definition of "accelerated filer and large accelerated filer" in Rule 12b-2 of the Exchange Act. (Check one): Large accelerated filer [ ] Accelerated filer [X] Non-accelerated filer [ ] Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes [X] No [ ] State the aggregate market value of the voting and non-voting common equity held by non-affiliates computed by reference to the price at which the common equity was last sold, or the average bid and asked price of such common equity, as of the last business day of the registrant's most recently completed second fiscal quarter: The registrant has no voting stock or class of common stock that is held by non-affiliates. DOCUMENTS INCORPORATED BY REFERENCE None. 2 EXPLANATORY NOTE We are filing this Amendment No. 1 to our Annual Report on Form 10-K for the fiscal year ended December 31,2006 as filed with the Securities and Exchange Commission (SEC) on March 30, 2007, to correct the language of Exhibit 31.1. This Form 10-K/A does not reflect events occurring after the filing of the original Form 10-K. Further, this Form 10-K/A does not modify or update the disclosures in the original Form 10-K/A in anyway other than as required to reflect the amendment set forth below. Listed below is the exhibit that is amended by this Form 10-K/A: PART IV ITEM 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES. (a) 3. Exhibits: 31.1 - Certification by President of the Registrant pursuant to 15 U.S.C. Section 7241, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 3 SIGNATURE 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. Freedom Depository, LLC, as Depositor for the Trust (the "Registrant") Dated: September 19, 2007 By: /s/ Sean A. Dobson ------------------------ Name: Sean A. Dobson Title: President 4 EXHIBIT INDEX
------------------------ --------------------------------------------------------------- ----------------------------- Reference Number per Item 601 Exhibit Number of Regulation SK Description of Exhibits in this Form 10-K ------------------------ --------------------------------------------------------------- ----------------------------- 31.1 Certification by President of the Registrant pursuant to 15 31.1 U.S.C. Section 7241, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. ------------------------ --------------------------------------------------------------- -----------------------------
5