Item 1. Business.
Omitted.
Item 2.
Item 2. Properties.
Information regarding the mortgaged properties is included in the Accountant's Report and the Annual Statement of Compliance filed under Item 14 hereof, as discussed in Item 14.
Item 3.
Item 3. Legal Proceedings.
The registrant knows of no material pending legal proceedings with respect to the Trust Fund for any Series, involving the registrant, the Trust Fund, Citibank N.A. (the "Trustee") and Chase Manhattan Mortgage Corporation (the "Seller and Servicer"), other than ordinary routine litigation incidental to duties of the registrant, Trustee, Seller or the Servicer under the applicable pooling and servicing agreement for Series 1999-1, Series 1999-2, Series 1999-3, Series 1999-4, Series 2000-1, Series 2000-2, Series 2000-3, Series 2001-1, Series 2001-2, Series 2001-3, Series 2001-4, Series 2002-1, Series 2002-2, Series 2002-3, Series 2002-4, Series 2001-AD1, Series 2001-C1, Series 2001-C2, Series 2001-C3, Series 2002-C1 and Series 2001-FF1.
Item 4.
Item 4. Submission of Matters to a Vote of Security Holders.
No matter was submitted to a vote of Certificateholders for any Series during the fiscal year covered by this report.
PART II
Item 5.
Item 5. Market for Registrant's Common Equity and Related Stockholder Matters.
(a) (1) To the knowledge of the Registrant, there is no established public market for the Certificates of any Series
(2) To the knowledge of the Registrant, there are no reported high and low bid quotations for any of the Certificates.
(b) The records of The Depository Trust Company ("DTC") indicate that as of December 31, 2002, the following Series had the following number of holders of record:
Series 1999-1: 23 Series 1999-2: 32 Series 1999-3: 26 Series 1999-4: 36 Series 2000-1: 25 Series 2000-2: 35 Series 2000-3: 38 Series 2001-1: 44 Series 2001-2: 33 Series 2001-3: 74 Series 2001-4: 66 Series 2002-1: 86 Series 2002-2: 100 Series 2002-3: 68 Series 2002-4: 58 Series 2001-AD1: 69 Series 2001-C1: 19 Series 2001-C2: 52 Series 2001-C3: 13 Series 2002-C1: 70 Series 2001-FF1: 20
Item 6.
Item 6. Selected Financial Data.
Omitted.
Item 7.
Item 7. Management's Discussion and Analysis of Financial Condition and Results of Operations.
Omitted.
Item 7A.
Item 7A. Quantitative and Qualitative Disclosures About Market Risk
Not applicable.
Item 8.
Item 8. Financial Statements and Supplementary Data.
Omitted.
Item 9.
Item 9. Changes in and Disagreements with Accountants on Accounting and Financial Disclosure.
None.
PART III
Item 10.
Item 10. Directors and Executive Officers of the Registrant.
Omitted.
Item 11.
Item 11. Executive Compensation.
Omitted.
Item 12.
Item 12. Security Ownership of Certain Beneficial Owners and Management.
The records of DTC indicate that as of December 31, 2002, there were the following holders of record with more than 5% of each class of each series of Certificates:
Item 13.
Item 13. Certain Relationships and Related Transactions.
Omitted.
PART IV
Item 14.
Item 14. Exhibits, Financial Statement Schedules, and Reports of Form 8-K.
(a) Exhibits
99.1 Servicer's Annual Statement of Compliance for each of the following Series:
(i) Series 1999-1 (ii) Series 1999-2 (iii) Series 1999-3 (iv) Series 1999-4 (v) Series 2000-1 (vi) Series 2000-2 (vii) Series 2000-3 (viii) Series 2001-1 (ix) Series 2001-2 (x) Series 2001-3 (xi) Series 2001-4 (xii) Series 2002-1 (xiii) Series 2002-2 (xiv) Series 2002-3 (xv) Series 2002-4 (xvi) Series 2001-AD1 (xvii) Series 2001-C1 (xviii) Series 2001-C2 (xix) Series 2001-C3 (xx) Series 2002-C1 (xxi) Series 2001-FF1
99.2 Reports prepared by Servicer's certified independent accountants concerning their respective duties for the year ended December 31, 2002:
99.3 Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
(i) Series 1999-1 (ii) Series 1999-2 (iii) Series 1999-3 (iv) Series 1999-4 (v) Series 2000-1 (vi) Series 2000-2 (vii) Series 2000-3 (viii) Series 2001-1 (ix) Series 2001-2 (x) Series 2001-3 (xi) Series 2001-4 (xii) Series 2002-1 (xiii) Series 2002-2 (xiv) Series 2002-3 (xv) Series 2002-4 (xvi) Series 2001-AD1 (xvii) Series 2001-C1 (xviii) Series 2001-C2 (xix) Series 2001-C3 (xx) Series 2002-C1 (xxi) Series 2001-FF1
(b) Reports on Form 8-K during the last quarter of the prior calendar year.
(ii) Reports on Form 8-K were filed during the last quarter of the prior calendar year for the following series:
(A) Series 2002-3 September 9, 2002 in response to Item 5 and Item 7 (Structural Term Sheets, Collateral Term Sheets and Computational Materials)
(B) Series 2002-3 September 12, 2002 in response to Items 5 and 7 (Computational Materials)
(C) Series 2002-3 September 20, 2002 in response to Items 5 and 7 (Filing of Legality and Tax Opinions)
(D) Series 2002-3 September 20, 2002 in response to Items 5 and 7 (Acquisition or Disposition of Assets and Pooling and Servicing Agreement)
(E) Series 2002-4 November 4, 2002 in response to Items 5 and 7 (Structural Term Sheets, Collateral Term Sheets and Computational Materials)
(F) Series 2002-4 November 20, 2002 in response to Items 5 and 7 (Filing of Legality and Tax Opinions)
(G) Series 2002-4 November 20, 2002 in response to Items 5 and 7 (Acquisition or Disposition of Assets and Pooling and Servicing Agreement)
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of 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.
CHASE FUNDING, INC. (Registrant)
By: /s/Luke S. Hayden ----------------------------- Name: Luke S. Hayden Title: Chief Executive Officer
Date: March 28, 2003
SUPPLEMENTAL INFORMATION TO BE FURNISHED WITH REPORTS FILED PURSUANT TO SECTION 15(d) OF THE ACT BY REGISTRANTS WHICH HAVE NOT REGISTERED SECURITIES PURSUANT TO SECTION 12 OF THE ACT.
No annual report, proxy statement, form of proxy or other proxy soliciting material has been sent to Certificateholders during the period covered by this Annual Report on Form 10-K and the registrant does not intend to furnish such materials to Certificateholders subsequent to the filing of this report.
INDEX TO EXHIBITS
EXHIBITS
99.1 Servicer's Annual Statement of Compliance for each of the following Series:
(i) Series 1999-1 (ii) Series 1999-2 (iii) Series 1999-3 (iv) Series 1999-4 (v) Series 2000-1 (vi) Series 2000-2 (vii) Series 2000-3 (viii) Series 2001-1 (ix) Series 2001-2 (x) Series 2001-3 (xi) Series 2001-4 (xii) Series 2002-1 (xiii) Series 2002-2 (xiv) Series 2002-3 (xv) Series 2002-4 (xvi) Series 2001-AD1 (xvii) Series 2001-C1 (xviii) Series 2001-C2 (xix) Series 2001-C3 (xx) Series 2002-C1 (xxi) Series 2001-FF1
99.2 Reports prepared by Servicer's certified independent accountants concerning their respective duties for the year ended December 31, 2002:
99.3 Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
(i) Series 1999-1 (ii) Series 1999-2 (iii) Series 1999-3 (iv) Series 1999-4 (v) Series 2000-1 (vi) Series 2000-2 (vii) Series 2000-3 (viii) Series 2001-1 (ix) Series 2001-2 (x) Series 2001-3 (xi) Series 2001-4 (xii) Series 2002-1 (xiii) Series 2002-2 (xiv) Series 2002-3 (xv) Series 2002-4 (xvi) Series 2001-AD1 (xvii) Series 2001-C1 (xviii) Series 2001-C2 (xix) Series 2001-C3 (xx) Series 2002-C1 (xxi) Series 2001-FF1