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): May 14, 2007
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
Jurisdiction of
Incorporation)
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(Commission
File Number)
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(I.R.S. Employer
Identification No.) |
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| 4 World Financial Center, New York, New York
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10080 |
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| (Address of Principal Executive Offices)
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(Zip Code) |
Registrant’s telephone number, including area code: (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 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of
Certain Officers; Compensatory Arrangements of Certain Officers.
On
May 16, 2007, Merrill Lynch & Co. Inc. (“Merrill Lynch”) announced that Dow Kim, executive vice president and co-president of
the company’s Global Markets and Investment Banking group, has informed the company that he plans
to leave Merrill Lynch by the end of the year in order to establish a multi-strategy, private
investment firm. Merrill Lynch also announced it had appointed Ahmass Fakahany and Gregory Fleming
to the new positions of Co-Presidents and Co-Chief Operating Officers of Merrill Lynch, effective
immediately. Mr. Fakahany, 48, most recently served as the company’s vice chairman and chief
administrative officer and Mr. Fleming, 44, most recently served as the executive vice president
and co-president of the company’s Global Markets and Investment Banking group.
Messrs. Fakahany and Fleming will continue to report to Stan O’Neal, chairman and chief executive
officer of Merrill Lynch, and will be jointly responsible for oversight of all of the company’s
operating businesses and related support services.
A copy of the related press releases are filed as Exhibits 99.1 and 99.2 to this Form 8-K and are
incorporated herein by reference.
Item 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.
Effective
May 14, 2007, the Board of Directors of Merrill Lynch adopted
Restated By-Laws containing
amendments to Articles III, V and VI of Merrill Lynch’s By-Laws. The amendments provide
for two individuals to serve as Co-Presidents and Co-Chief Operating Officers of the Company.
* * *
A copy
of Merrill Lynch’s Restated By-Laws is attached as Exhibit 3.1. The amended By-Laws are available on
the Merrill Lynch Corporate Governance website at www.ir.ml.com.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
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3.1
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Restated By-Laws, dated as of May 14, 2007, of Merrill Lynch & Co.,
Inc. |
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99.1
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Press release dated May 16, 2007 issued by Merrill Lynch & Co., Inc. regarding
Dow Kim |
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99.2
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Press release dated May 16, 2007 issued by Merrill Lynch & Co., Inc. regarding
appointment of Ahmass Fakahany and Greg Fleming as Co-Presidents |
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