UNITED STATES
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
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Date of Report (Date of earliest event reported):
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April 25, 2007 |
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Merrill Lynch & Co., Inc.
(Exact Name of Registrant as Specified in its Charter)
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| Delaware
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1-7182
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13-2740599 |
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| (State or Other
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(Commission
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(I.R.S. Employer |
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File Number)
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Identification No.) |
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| 4 World Financial Center, New York, New York |
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10080 |
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(Zip Code) |
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| Registrant’s telephone number, including area code: |
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(212) 449-1000 |
(Former Name or Former Address, if Changed Since Last Report.)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the
filing obligation of the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
TABLE OF CONTENTS
Item 8.01 Other Events.
On April 25, 2007, Merrill Lynch and Co., Inc. (“Merrill Lynch”), through its subsidiary Merrill
Lynch Japan Finance Co., Ltd., agreed to purchase ¥350 billion (approximately U.S. $3.0 billion) in
perpetual convertible preferred shares from its investment banking client Resona Holdings, Inc.
(“Resona”), one of the largest banking companies in Japan, in a non-strategic capital markets
transaction that enabled Resona to raise funds to retire a previously issued series of preferred
stock.
Merrill Lynch intends to hold this investment for a substantial period of time and to utilize
appropriate risk management techniques to limit the impact of the securities on its financial
position and results of operations.
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