FIRST USA CREDIT CARD MASTER TRUST - 10-K - 20060330 - PART_III
PART III
ITEM 10.
DIRECTORS AND EXECUTIVE OFFICERS OF THE REGISTRANT
Not applicable.
ITEM 11.
EXECUTIVE COMPENSATION
Not applicable.
ITEM 12.
SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS
(a) The following sets forth certain information believed by the Registrant to be accurate based on information provided to it concerning the beneficial
ownership of investor certificates.
Beneficial owners of more than 5% of the
Series 1996-4 Class A and Class
B
investor certificates as of December 31, 2005, are as follows:
ORIGINAL BALANCE
% CLASS
CLASS A
00000954 Mellon Trust of New England, NA
525 William
Penn Place, Suite 3418
Pittsburgh, PA 15259
$
209,590,000.00
41.92
%
00000929 WACHO BKNA
40 Broad Street, 5th Floor
New York, NY 10004
$
81,635,000.00
16.33
%
00000901 The Bank of New York
One Wall Street, 6th Floor
New York, NY 10286
$
43,000,000.00
8.60
%
00002616 PNC Bank, National Association
8800 Tinicum Blvd T
MS F6-F266-02-2
Philadelphia, PA 19153
$
35,600,000.00
7.12
%
00002039 SEI Private
1 Freedom Valley Drive
Oaks, PA 19456
$
35,000,000.00
7.00
%
00000902 JPMorgan Chase Bank, National Association
Proxy Services 14201
Dallas Parkway STE 121
Dallas, TX 75254
$
34,225,000.00
6.85
%
CLASS B
00000997 State Street Bank and Trust Company
1776 Heritage Drive
North Quincy, MA 02171
$
26,930,000.00
59.61
%
00000954 Mellon Trust of New England, NA
525 William Penn Place, Suite 3418
Pittsburgh, PA 15259
$
16,050,000.00
35.52
%
Beneficial owners of more than 5% of the
Series 1997-4 Class A and Class B
investor certificates as of
December 31, 2005, are as follows:
ORIGINAL BALANCE
% CLASS
CLASS A
00000997 State Street Bank and Trust Company
1776 Heritage Drive
North Quincy, MA 02171
$
196,226,000.00
39.25
%
00000902 JPMorgan Chase Bank, National Association
Proxy Services
14201 Dallas Parkway STE 121
Dallas, TX 75254
$
100,150,000.00
20.03
%
00000954 Mellon Trust of New England, NA
525 William Penn Place, Suite 3418
Pittsburgh, PA 15259
$
66,394,000.00
13.28
%
00000636 LHMNGV/LBI
70 Hudson Street
Jersey City, NJ 07302
$
40,500,000.00
8.10
%
00000012 SWISS AME
12 East 49th Street, 41st Floor
New York, NY 10017
$
33,200,000.00
6.64
%
CLASS B
00002164 JPMorgan Chase Bank/
Correspondence Clearing Services 2
Proxy Services 14201
Dallas Parkway STE 121
Dallas, TX 75254
$
20,000,000.00
44.27
%
00000902 JPMorgan Chase Bank, National Association
Proxy Services
14201 Dallas Parkway STE 121
Dallas, TX 75254
$
15,180,000.00
33.60
%
00000908 Citibank, N.A.
3800 Citibank Center B3-15
Tampa, FL 33610
$
5,000,000.00
11.07
%
00000954 Mellon Trust of New England, NA
525 William Penn Place, Suite 3418
Pittsburgh, PA 15259
$
5,000,000.00
11.07
%
Beneficial owners of more than 5% of the
Series 1997-8 Class A and Class B
investor certificates as of
December 31, 2005, are as follows:
ORIGINAL BALANCE
% CLASS
CLASS A
00000902 JPMorgan Chase Bank, National Association
Proxy Services
14201 Dallas Parkway STE 121
Dallas, TX 75254
$
285,236,000.00
36.57
%
00000997 State Street Bank and Trust Company
1776 Heritage Drive
North Quincy, MA 02171
$
183,488,000.00
23.52
%
00000901 The Bank of New York
One Wall Street, 6th Floor
New York, NY 10286
$
99,332,000.00
12.73
%
00002164 JPMorgan Chase Bank/
Correspondence Clearing Services 2
Proxy Services
14201 Dallas Parkway STE 121
Dallas, TX 75254
$
75,000,000.00
9.62
%
00000954 Mellon Trust of New England, NA
525 William Penn Place, Suite 3418
Pittsburgh, PA 15259
$
43,943,000.00
5.63
%
CLASS B
00002164 JPMorgan Chase Bank/
Correspondence Clearing Services 2
Proxy Services
14201 Dallas Parkway STE 121
Dallas, TX 75254
$
30,482,000.00
43.25
%
00000908 Citibank, N.A.
3800 Citibank Center B3-15
Tampa, FL 33610
$
20,000,000.00
28.38
%
00000954 Mellon Trust of New England, NA
525 William Penn Place, Suite 3418
Pittsburgh, PA 15259
$
5,000,000.00
7.09
%
00002027 Wells Fargo Bank Minnesota, N.A.
733 Marquette Avenue
MAC N9306-057 5th Floor
Minneapolis, MN 55479
$
5,000,000.00
7.09
%
Beneficial owners of more than 5% of the
Series 1998-6 Class A and Class B
investor certificates as of
December 31, 2005, are as follows:
ORIGINAL BALANCE
% CLASS
CLASS A
00000902 JPMorgan Chase Bank, National Association
Proxy/Class Actions/Bankruptcy
14201 Dallas Parkway 12th Floor
Dallas, TX 75254
$
284,500,000.00
35.56
%
00000908 Citibank, N.A.
3800 Citibank Center B3-15
Tampa, FL 33610
$
240,000,000.00
30.00
%
00002803 U.S. Bank N.A.
Attn: Securities Control
1555 N. Rivercenter Drive Ste 0300
Milwaukee, WI 53212
$
120,000,000.00
15.00
%
00002164 JPMorgan Chase Bank/
Correspondence Clearing Services 2
Proxy Services
14201 Dallas Parkway STE 121
Dallas, TX 75254
$
65,000,000.00
8.13
%
CLASS B
00000908 Citibank, N.A.
3800 Citibank Center B3-15
Tampa, FL 33610
$
36,614,000.00
50.65
%
00000997 State Street Bank and Trust Company
1776 Heritage Drive
North Quincy, MA 02171
$
30,075,000.00
41.60
%
00000901 The Bank of New York
One Wall Street, 6th Floor
New York, NY 10286
$
5,200,000.00
7.19
%
Beneficial owners of more than 5% of the
Series 1999-2 Class A and Class B
investor certificates as of
December 31, 2005, are as follows:
ORIGINAL BALANCE
% CLASS
CLASS A
00000997 State Street Bank and Trust Company
1776 Heritage Drive
North Quincy, MA 02171
$
249,870,000.00
49.97
%
00002212 Investors Bank & Trust Company
200 Clarendon Street 9th Floor
Corporate Actions Unit/TOP57
Boston, MA 02116
$
62,400,000.00
12.48
%
00000902 JPMorgan Chase Bank, National Association
Proxy Services
14201 Dallas Parkway STE 121
Dallas, TX 75254
$
52,000,000.00
10.40
%
00000908 Citibank, N.A.
3800 Citibank Center B3-15
Tampa, FL 33610
$
43,500,000.00
8.70
%
00000954 Mellon Trust of New England, NA
525 William Penn Place, Suite 3418
Pittsburgh, PA 15259
$
38,665,000.00
7.73
%
CLASS B
00000997 State Street Bank and Trust
Company 1776 Heritage Drive
North Quincy, MA 02171
$
25,000,000.00
55.33
%
00000954 Mellon Trust of New England, NA
525 William Penn Place, Suite 3418
Pittsburgh, PA 15259
$
9,000,000.00
19.92
%
00000902 JPMorgan Chase Bank, National Association
Proxy Services
14201 Dallas Parkway STE 121
Dallas, TX 75254
$
5,000,000.00
11.07
%
00000955 Bank of America, National Association
411 N. Akard, 5th Floor
Dallas, TX 75201
$
5,000,000.00
11.07
%
Beneficial owners of more than 5% of the
Series 2001-1 Class A and Class B
investor certificates as of
December 31, 2005, are as follows:
ORIGINAL BALANCE
% CLASS
CLASS A
00000902 JPMorgan Chase Bank, National Association
Proxy Services
14201 Dallas Parkway STE 121
Dallas, TX 75254
$
256,167,500.00
34.16
%
00000997 State Street Bank and Trust Company
1776 Heritage Drive
North Quincy, MA 02171
$
199,387,500.00
26.59
%
00000908 Citibank, N.A.
3800 Citibank Center B3-15
Tampa, FL 33610
$
75,000,000.00
10.00
%
00000954 Mellon Trust of New England, NA
525 William Penn Place, Suite 3418
Pittsburgh, PA 15259
$
58,115,000.00
7.75
%
00002767 BGI/IBT CO
980 9th Street, 6th Floor
Sacramento, CA 95814
$
53,500,000.00
7.13
%
CLASS B
00000997 State Street Bank and Trust Company
1776 Heritage Drive
North Quincy, MA 02171
$
21,036,000.00
36.25
%
00000902 JPMorgan Chase Bank, National Association
Proxy Services
14201 Dallas Parkway STE 121
Dallas, TX 75254
$
15,500,000.00
26.71
%
00000954 Mellon Trust of New England, NA
525 William Penn Place, Suite 3418
Pittsburgh, PA 15259
$
11,500,000.00
19.82
%
00000443 PERSHING
Securities Corporation
1 Pershing Plaza
Jersey City, NJ 07399
$
10,000,000.00
17.23
%
Beneficial owners of more than 5% of the
Series 2001-3 Class A and Class B
investor certificates as of
December 31, 2005, are as follows:
ORIGINAL BALANCE
% CLASS
CLASS A
00000997 State Street Bank and Trust Company
1776 Heritage Drive
North Quincy, MA 02171
$
273,477,000.00
43.41
%
00000902 JPMorgan Chase Bank, National Association
Proxy Services
14201 Dallas Parkway STE 121
Dallas, TX 75254
$
211,051,000.00
33.50
%
00000954 Mellon Trust of New England, NA
525 William Penn Place, Suite 3418
Pittsburgh, PA 15259
$
71,567,000.00
11.36
%
CLASS B
00000997 State Street Bank and Trust Company
1776 Heritage Drive
North Quincy, MA 02171
$
43,750,000.00
89.74
%
00002616 PNC Bank, National Association
8800 Tinicum Blvd T
MS F6-F266-02-2
Philadelphia, PA 19153
$
5,000,000.00
10.26
%
Beneficial owners of more than 5% of the
Series 2001-4 Class A and Class B
investor certificates as of
December 31, 2005, are as follows:
ORIGINAL BALANCE
% CLASS
CLASS A
00000997 State Street Bank and Trust Company
1776 Heritage Drive
North Quincy, MA 02171
$
222,915,000.00
37.15
%
00000954 Mellon Trust of New England, NA
525 William Penn Place, Suite 3418
Pittsburgh, PA 15259
$
222,675,000.00
37.11
%
00000902 JPMorgan Chase Bank, National Association
Proxy Services
14201 Dallas Parkway STE 121
Dallas, TX 75254
$
101,935,000.00
16.99
%
00000908 Citibank, N.A.
3800 Citibank Center B3-15
Tampa, FL 33610
$
38,455,000.00
6.41
%
CLASS B
00000902 JPMorgan Chase Bank, National Association
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