Item 1. Business.
Item 1A.
Item 1A. Risk Factors.
Item 2. Properties.
Item 3. Legal Proceedings.
Item 4. Submission of Matters to a Vote of Security Holders.
Item 1B.
Item 1B. Unresolved Staff Comments.
Not Applicable
PART II
The following Items have been omitted in accordance with General Instruction J to Form 10-K:
Item 5.
Item 5. Market for Registrant's Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities.
Item 6.
Item 6. Selected Financial Data.
Item 7.
Item 7. Management's Discussion and Analysis of Financial Condition and Results of Operations.
Item 7A.
Item 7A. Quantitative and Qualitative Disclosures About Market Risk.
Item 8.
Item 8. Financial Statements and Supplementary Data.
Item 9.
Item 9. Changes in and Disagreements With Accountants on Accounting and Financial Disclosure.
Item 9A.
Item 9A. Controls and Procedures.
Item 9B.
Item 9B. Other Information.
None
PART III
The following Items have been omitted in accordance with General Instruction J to Form 10-K:
Item 10.
Item 10. Directors and Executive Officers of the Registrant.
Item 11.
Item 11. Executive Compensation.
Item 12.
Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stock Matters.
Item 13.
Item 13. Certain Relationships and Related Transactions.
Item 14.
Item 14. Principal Accounting Fees and Services.
SUBSTITUTE INFORMATION PROVIDED IN ACCORDANCE WITH GENERAL INSTRUCTION J(2) TO FORM 10-K.
PART IV
Item 15.
Item 15. Exhibits, Financial Statement Schedules.
Trust Description
Distribution Date
Filed on
STRATS(SM) Trust For News Corporation Securities, Series 2006-4
06-01-2007
06-15-2007
STRATS(SM) Trust For News Corporation Securities, Series 2006-4
12-01-2007
12-17-2007
2.
None
3.
Exhibits:
31.1 - Certification by Director of the Registrant pursuant to 15 U.S.C. Section 7241, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
33.1 - Report on Assessment of Compliance with Servicing Criteria for U.S. Bank Trust National Association for the period from and including January 1, 2007 through and including December 31, 2007.
34.1 - Attestation Report of Ernst & Young LLP on Assessment of Compliance with Servicing Criteria relating to U.S. Bank Trust National Association.
35.1 - Servicer Compliance Statement of U.S. Bank Trust National Association for the period from and including January 1, 2007 through and including December 31, 2007.
99.1 - Registrant's Current Report on Form 10-D filed with the Securities and Exchange Commission on June 15, 2007, as further described in Item 15(a)(1) above, is incorporated herein by reference.
99.2 - Registrant's Current Report on Form 10-D filed with the Securities and Exchange Commission on December 12, 2007, as further described in Item 15(a)(1) above, is incorporated herein by reference.
(b)
See Item 15(a) above.
(c)
Not Applicable.
SIGNATURE
Pursuant to the requirements of Section 13 or 15 (d) 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.
Synthetic Fixed-Income Securities, Inc.,
as Depositor for the Trust
By: /s/ James Whang
Name: James Whang
Title: Director
(senior officer in charge of the securitizations of the depositor)
Dated: March 28, 2007
EXHIBIT INDEX
Exhibit Number in this Form 10-K
Description of Exhibits
31.1
Certification by Director of the Registrant pursuant to 15 U.S.C. Section 7241, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
33.1
Report on Assessment of Compliance with Servicing Criteria for U.S. Bank Trust National Association for the period from and including January 1, 2007 through and including December 31, 2007.
34.1
Attestation Report of Ernst & Young LLP on Assessment of Compliance with Servicing Criteria relating to U.S. Bank Trust National Association.
35.1
Servicer Compliance Statement of U.S. Bank Trust National Association for the period from and including January 1, 2007 through and including December 31, 2007.
99.1
Registrant's Current Report on Form 10-D filed with the Securities and Exchange Commission on June 15, 2007, as further described in Item 15(a)(1) above, is incorporated herein by reference.
99.2
Registrant's Current Report on Form 10-D filed with the Securities and Exchange Commission on December 17, 2007, as further described in Item 15(a)(1) above, is incorporated herein by reference.