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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
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(Amendment No. 1)
[ ] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
For the Fiscal Year Ended December 31, 1997
[X] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
For the transition period from July 1, 1997 to December 31, 1997
Commission file number 33-99362
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FIRST USA BANK
(Exact name of registrant as specified in charter)
(As Servicer on behalf of First USA Credit Card Master Trust)
DELAWARE 76-0039224
(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification No.)
201 NORTH WALNUT STREET 19801
WILMINGTON, DELAWARE (ZIP CODE)
(Address of principal executive offices)
REGISTRANT'S TELEPHONE NUMBER, INCLUDING AREA CODE: (302) 594-4117
Securities registered to Section 12(g) of the Act: NONE
Securities registered pursuant to Section 12(b) of the Act:
Series 1993-1, Floating Rate Asset Backed Certificates
Series 1993-3, Floating Rate Asset Backed Certificates
Series 1994-4, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1994-6, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1994-7, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1994-8, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1995-1, Class A Floating Rate Asset Backed Certificates
Series 1995-2, Class A Floating Rate Asset Backed Certificates
Series 1995-3, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1995-4, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1995-5, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1995-6, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1996-1, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1996-2, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1996-4, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1996-6, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1996-8, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1997-1, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1997-2, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1997-3, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1997-4, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1997-5, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1997-6, 6.42% Class A Asset Backed Certificates and 6.58% Class B Asset
Backed Certificates
Series 1997-7, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1997-8, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1997-9, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
Series 1997-10, Class A Floating Rate Asset Backed Certificates and Class B
Floating Rate Asset Backed Certificates
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 such shorter period that the Registrant
was required to file such reports), and (2) has been subject to such filing
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.
Not Applicable.
State the aggregate market value of the voting stock held by non-affiliates of
the Registrant. The aggregate market value shall be computed by reference to
the price at which the stock was sold, or the average bid and asked prices of
such stock, as of a specified date within 60 days prior to the date of filing.
Not Applicable.
Indicate the number shares outstanding of each of the Registrant's class of
common stock, as of the latest practicable date.
Not Applicable.
DOCUMENTS INCORPORATED BY REFERENCE: NONE
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Part IV, Item 14 as hereby amended in its entirety to read as follows:
ITEM 14. EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS
ON FORM 10-K
(a) The following documents are filed as part of this Report:
3. Exhibits:
99.00 Independent Accountants' Reports of Coopers & Lybrand
L.L.P. on Management's Assertions. The Annual Independent
Accountants' Servicing Reports relate to compliance with
the requirements of Section 3.06 of the Pooling and
Servicing Agreement (the "Agreement") dated as of
September 1, 1992 between First USA Bank (the "Bank"), as
transferor and servicer, and The Bank of New York
(Delaware), as trustee (the "Trustee"). The report
required by Section 3.06(b), known generally as the Agreed
Upon Procedures Report, is not being filed with this
report because of a change in AICPA's Professional
Standards (SAS#75) which governs the preparation and
distribution of such report. In general, SAS#75 limits the
usage of this report unless the users take responsibility
for the specific procedures to be performed. However, a
report, required by Section 3.06(a), issued by a firm of
independent certified public accountants to the effect
that (i) such accountants have examined the assertions
made by the Bank's management that, as of December 31,
1997, the Bank maintained effective internal controls over
the servicing of the receivables and (ii) such assertion
is fairly stated in all material respects is being filed.
In addition, a report issued by a firm of independent
certified public accountants to the effect that (i) such
accountants have examined the assertions made by the
Bank's management that, as of December 31, 1997, the Bank
complied with the covenants and conditions of Sections
2.06, 2.07, 2.08, 3.01(b), 3.04(a) and (b), 3.05, 3.06(a)
and (b), 4.02(a), (b) and (c) and 4.03 of the Agreement
and (ii) such assertion is fairly stated in all material
respects is also being filed as a part of this report.
(b) Not applicable
(c) See item 14(a)3 above
(d) Not applicable
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SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities
Exchange Act of 1934, the registrant has duly caused this Amendment No. 1 to the
Registrant's Annual Report on Form 10K to be signed on its behalf by the
undersigned, thereunto duly authorized.
FIRST USA BANK,
As Servicer
By: /s/ Tracie H. Klein
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Tracie H. Klein
Vice President
Date: May 13, 1998
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