<PAGE>
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): July 28, 1998
CATERPILLAR FINANCIAL FUNDING CORPORATION
- --------------------------------------------------------------------------------
(Exact name of registrant as specified in governing instruments)
Nevada 333-53721 88-0342613
------------------ ------------------------ --------------------
(State or other (Commission File Number) (IRS Employer
jurisdiction of Identification No.)
organization)
Greenview Plaza, 2950 East Flamingo Road, Suite C-3B, Las Vegas, NV 89121
- --------------------------------------------------------------------------------
(Address of principal executive offices)(Zip Code)
Registrant's telephone number, including area code: (702) 735-2514
Not Applicable
- --------------------------------------------------------------------------------
(Former name or former address if changed since last report)
Exhibit Index located at Page 2
<PAGE>
Items 1 through 6 and Item 8 are not included because they are not applicable.
Item 7. FINANCIAL STATEMENTS AND EXHIBITS.
(a) Financial Statements - Not Applicable
(b) Pro Forma Financial Information - Not Applicable
(c) Exhibits (executed copies) - The following execution copies of
Exhibits to the Form S-3 Registration Statement of the Registrant
are hereby filed:
<TABLE>
<CAPTION>
Sequentially
Exhibit Numbered
Number Exhibit Page
- --------- ------------------------------------------- --------------
<S> <C> <C>
3 Certificate of Trust of Caterpillar 4
Financial Asset Trust 1998-A
25 Statement as to the Eligibility of the 6
Indenture Trustee under the Indenture
(Form T-1) with respect to Caterpillar
Financial Asset Trust 1998-A
</TABLE>
2
<PAGE>
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.
CATERPILLAR FINANCIAL FUNDING CORPORATION
(Registrant)
July 28, 1998
By: /s/ Paul J. Gaeto
-------------------------------
Name: Paul J. Gaeto
Title: Secretary
3
<PAGE>
Exhibit 3
Certificate of Trust of Caterpillar
Financial Asset Trust 1998-A
4
<PAGE>
CERTIFICATE OF TRUST OF
CATERPILLAR FINANCIAL ASSET TRUST 1998-A
THIS Certificate of Trust of CATERPILLAR FINANCIAL ASSET TRUST 1998-A (the
"Trust") is being duly executed and filed on behalf of the Trust by the
undersigned, as trustee, to form a business trust under the Delaware Business
Trust Act (12 DEL. C. Section 3801 ET SEQ.)(the "Act").
1. NAME. The name of the business trust formed by this Certificate of
Trust is CATERPILLAR FINANCIAL ASSET TRUST 1998-A.
2. Delaware Trustee. The name and business address of the trustee of the
Trust in the State of Delaware are Chase Manhattan Bank Delaware, 1201 Market
Street, Wilmington, Delaware 19801, Attention: Corporate Trustee
Administration.
3. Effective Date. This Certificate of Trust shall be effective upon
filing.
IN WITNESS WHEREOF, the undersigned has duly executed this Certificate of
Trust in accordance with Section 3811(a)(1) of the Act.
CHASE MANHATTAN BANK DELAWARE, not in its
individual capacity but solely as Trustee
By: /s/ John J. Cashin
--------------------------
Name: John J. Cashin
Title: Vice President
5
<PAGE>
Exhibit 25
Statement as to the Eligibility of the Indenture Trustee
under the Indenture (Form T-1) with respect to
Caterpillar Financial Asset Trust 1998-A
6
<PAGE>
Registration No. 333-53721
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM T-1
STATEMENT OF ELIGIBILITY
UNDER THE TRUST INDENTURE ACT OF 1939
OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE
CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY
OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) X
---
THE FIRST NATIONAL BANK OF CHICAGO
(EXACT NAME OF TRUSTEE AS SPECIFIED IN ITS CHARTER)
A NATIONAL BANKING ASSOCIATION 36-0899825
(I.R.S. EMPLOYER
IDENTIFICATION NUMBER)
ONE FIRST NATIONAL PLAZA, CHICAGO, ILLINOIS 60670-0126
(ADDRESS OF PRINCIPAL EXECUTIVE OFFICES) (ZIP CODE)
THE FIRST NATIONAL BANK OF CHICAGO
ONE FIRST NATIONAL PLAZA, SUITE 0286
CHICAGO, ILLINOIS 60670-0286
ATTN: LYNN A. GOLDSTEIN, LAW DEPARTMENT (312) 732-6919
(NAME, ADDRESS AND TELEPHONE NUMBER OF AGENT FOR SERVICE)
CATERPILLAR FINANCIAL ASSET TRUST 1998-A
(EXACT NAME OF OBLIGOR AS SPECIFIED IN ITS CHARTER)
DELAWARE PENDING
(STATE OR OTHER JURISDICTION OF (I.R.S. EMPLOYER
INCORPORATION OR ORGANIZATION) IDENTIFICATION NUMBER)
C/O CHASE MANHATTAN BANK DELAWARE, AS OWNER TRUSTEE
1201 MARKET STREET
9TH FLOOR
WILMINGTON, DELAWARE 19801
(ADDRESS OF PRINCIPAL EXECUTIVE OFFICES) (ZIP CODE)
7
<PAGE>
CATERPILLAR FINANCIAL FUNDING CORPORATION
(EXACT NAME OF DEPOSITOR OF THE OBLIGOR AS SPECIFIED IN ITS CHARTER)
NEVADA PENDING
(STATE OR OTHER JURISDICTION OF (I.R.S. EMPLOYER
INCORPORATION OR ORGANIZATION) IDENTIFICATION NUMBER)
GREENVIEW PLAZA
2950 EAST FLAMINGO ROAD, SUITE E-4
LAS VEGAS, NEVADA 89121
(ADDRESS OF PRINCIPAL EXECUTIVE OFFICES) (ZIP CODE)
CATERPILLAR FINANCIAL ASSET TRUST 1998-A ASSET BACKED NOTES
(TITLE OF INDENTURE SECURITIES)
8
<PAGE>
ITEM 1. GENERAL INFORMATION. FURNISH THE FOLLOWING
INFORMATION AS TO THE TRUSTEE:
(a) NAME AND ADDRESS OF EACH EXAMINING OR
SUPERVISING AUTHORITY TO WHICH IT IS SUBJECT.
Comptroller of Currency, Washington, D.C.;
Federal Deposit Insurance Corporation,
Washington, D.C.; The Board of Governors of
the Federal Reserve System, Washington D.C..
(b) WHETHER IT IS AUTHORIZED TO EXERCISE
CORPORATE TRUST POWERS.
The trustee is authorized to exercise corporate
trust powers.
ITEM 2. AFFILIATIONS WITH THE OBLIGOR. IF THE OBLIGOR
IS AN AFFILIATE OF THE TRUSTEE, DESCRIBE EACH
SUCH AFFILIATION.
No such affiliation exists with the trustee.
ITEM 16. LIST OF EXHIBITS. LIST BELOW ALL EXHIBITS FILED AS A
PART OF THIS STATEMENT OF ELIGIBILITY.
1. A copy of the articles of association of the
trustee now in effect.*
2. A copy of the certificates of authority of the
trustee to commence business.*
3. A copy of the authorization of the trustee to
exercise corporate trust powers.*
4. A copy of the existing by-laws of the trustee.*
5. Not Applicable.
6. The consent of the trustee required by
Section 321(b) of the Act.
9
<PAGE>
7. A copy of the latest report of condition of the
trustee published pursuant to law or the
requirements of its supervising or examining
authority.
8. Not Applicable.
9. Not Applicable.
Pursuant to the requirements of the Trust Indenture Act of 1939, as
amended, the trustee, The First National Bank of Chicago, a national
banking association organized and existing under the laws of the United
States of America, has duly caused this Statement of Eligibility to be
signed on its behalf by the undersigned, thereunto duly authorized, all in
the City of Chicago and State of Illinois, on the 21st day of July, 1998.
THE FIRST NATIONAL BANK OF CHICAGO,
TRUSTEE
BY /s/ STEVEN M. WAGNER
-------------------------------------
STEVEN M. WAGNER
FIRST VICE PRESIDENT
* EXHIBIT 1, 2, 3 AND 4 ARE HEREIN INCORPORATED BY REFERENCE TO EXHIBITS BEARING
IDENTICAL NUMBERS IN ITEM 16 OF THE FORM T-1 OF THE FIRST NATIONAL BANK OF
CHICAGO, FILED AS EXHIBIT 25 TO THE REGISTRATION STATEMENT ON FORM S-3 OF U S
WEST CAPITAL FUNDING, INC., FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON
MAY 6, 1998 (REGISTRATION NO. 333-51907-01).
10
<PAGE>
EXHIBIT 6
THE CONSENT OF THE TRUSTEE REQUIRED
BY SECTION 321(b) OF THE ACT
July 21, 1998
Securities and Exchange Commission
Washington, D.C. 20549
Gentlemen:
In connection with the qualification of an indenture between Caterpillar
Financial Asset Trust 1998-A and The First National Bank of Chicago, as Trustee,
the undersigned, in accordance with Section 321(b) of the Trust Indenture Act of
1939, as amended, hereby consents that the reports of examinations of the
undersigned, made by Federal or State authorities authorized to make such
examinations, may be furnished by such authorities to the Securities and
Exchange Commission upon its request therefor.
Very truly yours,
THE FIRST NATIONAL BANK OF CHICAGO
BY: /s/ STEVEN M. WAGNER
------------------------------------
STEVEN M. WAGNER
FIRST VICE PRESIDENT
11
<PAGE>
EXHIBIT 7
Legal Title of Bank: The First National Bank of Chicago
Call Date: 03/31/98 ST-BK: 17-1630 FFIEC 031
Address: One First National Plaza, Ste 0460 Page RC-1
City, State Zip: Chicago, IL 60670
FDIC Certificate No.: 0/3/6/1/8
---------
CONSOLIDATED REPORT OF CONDITION FOR INSURED COMMERCIAL
AND STATE-CHARTERED SAVINGS BANKS FOR MARCH 31, 1998
All schedules are to be reported in thousands of dollars. Unless otherwise
indicated, report the amount outstanding of the last business day of the
quarter.
SCHEDULE RC--BALANCE SHEET
<TABLE>
<CAPTION>
DOLLAR AMOUNTS IN THOUSANDS C400
--------
ASSETS
<S> <C> <C> <C> <C>
1. Cash and balances due from depository institutions (from Schedule
RC-A): RCFD
----
a. Noninterest-bearing balances and currency and coin(1). . . . . . . . 0081 4,141,168 1.a
b. Interest-bearing balances(2) . . . . . . . . . . . . . . . . . . . . 0071 5,142,787 1.b
2. Securities
a. Held-to-maturity securities(from Schedule RC-B, column A). . . . . . 1754 0 2.a
b. Available-for-sale securities (from Schedule RC-B, column D) . . . . 1773 7,819,811 2.b
3. Federal funds sold and securities purchased under agreements to
resell. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1350 5,619,157 3.
4. Loans and lease financing receivables: RCFD
a. Loans and leases, net of unearned income (from Schedule ----
RC-C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2122 26,140,376 4.a
b. LESS: Allowance for loan and lease losses. . . . . . . . . . . . . . 3123 417,371 4.b
c. LESS: Allocated transfer risk reserve. . . . . . . . . . . . . . . . 3128 0 4.c
RCFD
d. Loans and leases, net of unearned income, allowance, and reserve ----
(item 4.a minus 4.b and 4.c). . . . . . . . . . . . . . . . . . . . . . 2125 25,723,005 4.d
5. Trading assets (from Schedule RD-D) . . . . . . . . . . . . . . . . . . 3545 5,795,159 5.
6. Premises and fixed assets (including capitalized leases). . . . . . . . 2145 757,033 6.
7. Other real estate owned (from Schedule RC-M). . . . . . . . . . . . . . 2150 6,547 7.
8. Investments in unconsolidated subsidiaries and associated
companies (from Schedule RC-M). . . . . . . . . . . . . . . . . . . . . 2130 135,327 8.
9. Customers' liability to this bank on acceptances outstanding. . . . . . 2155 512,763 9.
10. Intangible assets (from Schedule RC-M). . . . . . . . . . . . . . . . . 2143 261,456 10.
11. Other assets (from Schedule RC-F) . . . . . . . . . . . . . . . . . . . 2160 2,223,495 11.
12. Total assets (sum of items 1 through 11). . . . . . . . . . . . . . . . 2170 58,137,708 12.
</TABLE>
(1) Includes cash items in process of collection and unposted debits.
(2) Includes time certificates of deposit not held for trading.
12
<PAGE>
Legal Title of Bank: The First National Bank of Chicago
Call Date: 03/31/98 ST-BK: 17-1630 FFIEC 031
Address: One First National Plaza, Ste 0460
Page RC-2
City, State Zip: Chicago, IL 60670
FDIC Certificate No.: 0/3/6/1/8
---------
<TABLE>
<CAPTION>
SCHEDULE RC-CONTINUED
DOLLAR AMOUNTS IN
THOUSANDS
--------------
LIABILITIES
<S> <C> <C> <C>
13. Deposits: RCON
a. In domestic offices (sum of totals of columns A and C ----
from Schedule RC-E, part 1). . . . . . . . . . . . . . . . . . . 2200 21,551,932 13.a
(1) Noninterest-bearing(1) . . . . . . . . . . . . . . . . . . . 6631 9,361,049 13.a1
(2) Interest-bearing . . . . . . . . . . . . . . . . . . . . . . 6636 12,190,883 13.a2
RCFN
b. In foreign offices, Edge and Agreement subsidiaries, and ----
IBFs (from Schedule RC-E, part II) . . . . . . . . . . . . . . . 2200 14,511,110 13.b
(1) Noninterest bearing. . . . . . . . . . . . . . . . . . . . . 6631 604,859 13.b1
(2) Interest-bearing . . . . . . . . . . . . . . . . . . . . . . 6636 13,906,251 13.b2
14. Federal funds purchased and securities sold under agreements RCFD
to repurchase:. . . . . . . . . . . . . . . . . . . . . . . . . . . 2800 3,887,022 14
RCON
15. a. Demand notes issued to the U.S. Treasury . . . . . . . . . . . . 2840 63,092 15.a
RCFD
b. Trading Liabilities(from Sechedule RC-D) . . . . . . . . . . . . 3548 5,918,194 15.b
RCFD
16. Other borrowed money: ----
a. With original maturity of one year or less . . . . . . . . . . . 2332 3,134,696 16.a
b. With original maturity of more than one year. . . . . . . . . . A547 381,681 16.b
c. With original maturity of more than three years. . . . . . . . . A548 326,551 16.c
17. Not applicable
18. Bank's liability on acceptance executed and outstanding . . . . . . 2920 512,763 18.
19. Subordinated notes and debentures . . . . . . . . . . . . . . . . . 3200 2,000,000 19.
20. Other liabilities (from Schedule RC-G). . . . . . . . . . . . . . . 2930 1,163,747 20.
21. Total liabilities (sum of items 13 through 20). . . . . . . . . . . 2948 53,450,788 21.
22. Not applicable
EQUITY CAPITAL
23. Perpetual preferred stock and related surplus . . . . . . . . . . . 3838 0 23.
24. Common stock. . . . . . . . . . . . . . . . . . . . . . . . . . . . 3230 200,858 24.
25. Surplus (exclude all surplus related to preferred stock). . . . . . 3839 3,107,585 25.
26. a. Undivided profits and capital reserves . . . . . . . . . . . . . 3632 1,359,598 26.a
b. Net unrealized holding gains (losses) on available-for-sale
securities . . . . . . . . . . . . . . . . . . . . . . . . . . . 8434 18,975 26.b
27. Cumulative foreign currency translation adjustments . . . . . . . . 3284 (96) 27.
28. Total equity capital (sum of items 23 through 27) . . . . . . . . . 3210 4,686,920 28.
29. Total liabilities, limited-life preferred stock, and equity
capital (sum of items 21, 22, and 28) . . . . . . . . . . . . . . . 3300 58,137,708 29.
Memorandum
To be reported only with the March Report of Condition.
1. Indicate in the box at the right the number of the statement
below that best describes the most comprehensive level of
auditing work performed for the bank by independent external RCFD
auditors as of any date during 1996 . . . . . . . . . . . . . . . . 6724 2 M.1.
</TABLE>
1 = Independent audit of the bank conducted in accordance
13
<PAGE>
with generally accepted auditing standards by a certified public
accounting firm which submits a report on the bank
2 = Independent audit of the bank's parent holding company conducted in
accordance with generally accepted auditing standards by a certified
public accounting firm which submits a report on the consolidated
holding company (but not on the bank separately)
3 = Directors' examination of the bank conducted in accordance with
generally accepted auditing standards by a certified public accounting
firm (may be required by state chartering authority)
4 = Directors' examination of the bank performed by other external auditors
(may be required by state chartering authority)
5 = Review of the bank's financial statements by external auditors
6 = Compilation of the bank's financial statements by external auditors
7 = Other audit procedures (excluding tax preparation work)
8 = No external audit work
(1) Includes total demand deposits and noninterest-bearing time and savings
deposits.
14
