-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, IoVnhdD1gm2UEXwfkX4JKC7iqg1x/jOBa15XR6NIMkMCK35444ZDHs+A8jpeE+VS WPdtTd+iabWRVTca4pxHRw== 0001021408-02-013376.txt : 20021107 0001021408-02-013376.hdr.sgml : 20021107 20021107092533 ACCESSION NUMBER: 0001021408-02-013376 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021021 ITEM INFORMATION: Other events ITEM INFORMATION: Financial statements and exhibits FILED AS OF DATE: 20021107 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MAIN PLACE FUNDING LLC CENTRAL INDEX KEY: 0000927627 STANDARD INDUSTRIAL CLASSIFICATION: ASSET-BACKED SECURITIES [6189] IRS NUMBER: 752547042 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 033-82040 FILM NUMBER: 02811857 BUSINESS ADDRESS: STREET 1: 1201 MAIN ST STREET 2: 29TH FLR CITY: DALLAS STATE: TX ZIP: 75202 BUSINESS PHONE: 2147439999 MAIL ADDRESS: STREET 1: 100 NORTH TRYON STREET STREET 2: 23RD FLOOR NCI 007-23-01 CITY: CHARLOTTE STATE: NC ZIP: 28255 FORMER COMPANY: FORMER CONFORMED NAME: MAIN PLACE FUNDING CORP DATE OF NAME CHANGE: 19940728 FORMER COMPANY: FORMER CONFORMED NAME: MAIN PLACE REAL ESTATE INVESTMENT TRUST /MD/ DATE OF NAME CHANGE: 19961114 8-K 1 d8k.htm MAIN PLACE FUNDING FORM 8-K Main Place Funding Form 8-K
 
 
 
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 21, 2002
 
 
 
MAIN PLACE FUNDING, LLC
(Exact name of registrant as specified in charter)
 
 
Delaware
  
333-74817
  
57-0236115
(State or other jurisdiction
of incorporation)
  
(Commission
File Number)
  
(IRS Employer
Identification No.)
100 North Tryon Street, Charlotte, North Carolina
  
28255
(Address of principal executive offices)
  
(Zip Code)
Registrant’s telephone number, including area code
  
(704) 388-7436
 
 
The address of the registrant has not changed since last report.

 
Item 5.    Other Events.
 
On October 21, 2002, Main Place Funding, LLC adopted an Amended and Restated Limited Liability Company Agreement, filed herewith, which removed certain restrictions on the business activities of Main Place Funding, LLC, permitting it to engage in any activity and to exercise any powers permitted to limited liability companies under the laws of the State of Delaware.
 
On October 29, 2002, Main Place Funding, LLC entered into a financial warranty agreement with Pioneer Investment Management, Inc., Pioneer Principal Protection Trust on behalf of its series, Pioneer Protected Principal Plus Fund, filed herewith. The trust is an open-ended diversified, management investment company registered under the Investment Company Act of 1940, as amended. Under the terms of the agreement, Main Place Funding, LLC provided a financial warranty in the amount of up to $900 million in order to ensure that the fund is able to redeem all of its outstanding shares on the fund’s maturity date for an amount equal to the aggregate protected amount, as defined by the agreement.
 
On November 1, 2002, Main Place Funding, LLC entered into a financial warranty agreement with Merrill Lynch Principal Protected Trust, on behalf of its series Merrill Lynch Fundamental Growth Principal Protected Fund and Merrill Lynch Investment Managers, L.P., filed herewith. The trust is an open-ended diversified, management investment company registered under the Investment Company Act of 1940, as amended. Under the terms of the agreement, Main Place Funding, LLC provided a financial warranty in the amount of up to $500 million in order to ensure that the fund is able to redeem all of its outstanding shares on the fund’s maturity date for an amount equal to the aggregate protected amount, as defined by the agreement.
 
On November 1, 2002, Main Place Funding, LLC entered into a financial warranty agreement with Merrill Lynch Principal Protected Trust, on behalf of its series Merrill Lynch Basic Value Principal Protected Fund and Fund Asset Management, L.P., filed herewith. The trust is an open-ended diversified, management investment company registered under the Investment Company Act of 1940, as amended. Under the terms of the agreement, Main Place Funding, LLC provided a financial warranty in the amount of up to $500 million in order to ensure that the fund is able to redeem all of its outstanding shares on the fund’s maturity date for an amount equal to the aggregate protected amount, as defined by the agreement.

 
Item 7.    Financial Statements, Pro Forma Financial Information and Exhibits.
 
 
(c)
 
Exhibits
 
Exhibit Number
   
Description
3
   
Amended and Restated Limited Liability Company Agreement of Main Place Funding, LLC, dated October 21, 2002, filed herewith.
10.1
   
Financial Warranty Agreement between Pioneer Investment Management, Inc., Pioneer Principal Protection Trust on behalf of its series, Pioneer Protected Principal Plus Fund and Main Place Funding, LLC, dated October 29, 2002, incorporated herewith by reference to Exhibit (h)(4) of Pioneer Protected Principal Plus Fund’s Registration Form N-1A (No. 333-96545), as amended and filed with the Securities and Exchange Commission on November 1, 2002.
10.2
   
Financial Warranty Agreement among Merrill Lynch Principal Protected Trust, on behalf of its series Merrill Lynch Fundamental Growth Principal Protected Fund, Merrill Lynch Investment Managers, L.P. and Main Place Funding, LLC, dated November 1, 2002, incorporated herewith by reference to Exhibit 8(d)(1) of Merrill Lynch Principal Protected Trust’s Registration Form N-1A (No. 333-92404), as amended and filed with the Securities and Exchange Commission on October 28, 2002.
10.3
   
Financial Warranty Agreement among Merrill Lynch Principal Protected Trust, on behalf of its series Merrill Lynch Basic Value Principal Protected Fund, Fund Asset Management, L.P. and Main Place Funding, LLC, dated November 1, 2002, incorporated herewith by reference to Exhibit 8(d)(2) of Merrill Lynch Principal Protected Trust’s Registration Form N-1A (No. 333-92404), as amended and filed with the Securities and Exchange Commission on October 28, 2002.

 
SIGNATURES
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
   
MAIN PLACE FUNDING, LLC
   
(Registrant)
Date: November 5, 2002
  
By:
  
/s/    SUSAN C. CARR
       
Name:    Susan C. Carr
       
Title:      President

 
EXHIBIT INDEX
 
 
Exhibit Number
   
Description
3
   
Amended and Restated Limited Liability Company Agreement of Main Place Funding, LLC, dated October 21, 2002, filed herewith.
10.1
   
Financial Warranty Agreement between Pioneer Investment Management, Inc., Pioneer Principal Protection Trust on behalf of its series, Pioneer Protected Principal Plus Fund and Main Place Funding, LLC, dated October 29, 2002, incorporated herewith by reference to Exhibit (h)(4) of Pioneer Protected Principal Plus Fund’s Registration Form N-1A (No. 333-96545), as amended and filed with the Securities and Exchange Commission on November 1, 2002.
10.2
   
Financial Warranty Agreement among Merrill Lynch Principal Protected Trust, on behalf of its series Merrill Lynch Fundamental Growth Principal Protected Fund, Merrill Lynch Investment Managers, L.P. and Main Place Funding, LLC, dated November 1, 2002, incorporated herewith by reference to Exhibit 8(d)(1) of Merrill Lynch Principal Protected Trust’s Registration Form N-1A (No. 333-92404), as amended and filed with the Securities and Exchange Commission on October 28, 2002.
10.3
   
Financial Warranty Agreement among Merrill Lynch Principal Protected Trust, on behalf of its series Merrill Lynch Basic Value Principal Protected Fund, Fund Asset Management, L.P. and Main Place Funding, LLC, dated November 1, 2002, incorporated herewith by reference to Exhibit 8(d)(2) of Merrill Lynch Principal Protected Trust’s Registration Form N-1A (No. 333-92404), as amended and filed with the Securities and Exchange Commission on October 28, 2002.
 
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