UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option - Right to Acquire (2) | (3) | 01/25/2009 | Common Stock | 4,520 | $ 36.1719 | D | |
Stock Option - Right to Acquire (2) | (4) | 01/27/2010 | Common Stock | 6,720 | $ 43.7812 | D | |
Stock Option - Right to Acquire (2) | (5) | 01/23/2011 | Common Stock | 5,158 | $ 77.5625 | D | |
Stock Option - Right to Acquire (2) | (6) | 01/28/2012 | Common Stock | 10,914 | $ 53.745 | D | |
Stock Option - Right to Acquire (2) | (7) | 01/27/2013 | Common Stock | 5,644 | $ 36.065 | D | |
Stock Option - Right to Acquire (2) | (8) | 01/26/2014 | Common Stock | 2,652 | $ 59.85 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hayward Christopher B C/O MERRILL LYNCH & CO., INC. 4 WORLD FINANCIAL CENTER NEW YORK, NY 10080 |
VP & Finance Director |
Christopher B. Hayward (By Pia K. Thompson, as agent) | 06/04/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This total includes 34,304 Restricted Shares granted under the Merrill Lynch & Co., Inc. Long-Term Incentive Compensation Plan. These shares are subject to vesting and restricted periods. Transactions under these plans are exempt under the provisions of Rule 16b-3. |
(2) | These stock options were granted under the Merrill Lynch & Co., Inc. Long-Term Incentive Compensation Plan (the "Plan"). Transactions under this Plan are exempt under the provisions of Rule 16b-3. |
(3) | All stock options became exercisable after 1/25/2004. |
(4) | All stock options became exercisable on 1/27/2005. |
(5) | All stock options became exercisable on 8/1/2001. |
(6) | All stock options became exercisable on 8/1/2002. |
(7) | All stock options became exercisable after 1/27/2007. |
(8) | 1,989 stock options became exercisable after 1/26/2007. 663 stock options will become exercisable after 1/26/2008. |
Remarks: All reported positions have been rounded down to the nearest whole number. |