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): June 10, 2003
Merrill Lynch & Co., Inc.
(Exact name of Registrant as specified in its charter)
| Delaware | 1-7182 | 13-2740599 | ||
| (State or other jurisdiction of incorporation) |
(Commission File Number) |
(I.R.S.Employer Identification No.) | ||
4 World Financial Center, New York, New York 10080
(Address of principal executive offices) (Zip Code)
Registrant’s telephone number, including area code: (212) 449-1000
(Former name or former address, if changed since last report.)
Item 5. Other Events
Exhibits are filed herewith in connection with the Registration Statements on Form S-3 (File Nos. 333-97937 and 333-105098) filed by Merrill Lynch & Co., Inc. (“ML&Co.”) with the Securities and Exchange Commission covering Senior Debt Securities issuable under the Warrant Agreement dated as of June 10, 2003 between ML&Co. and JPMorgan Chase Bank as Warrant Agent (the “Warrant Agreement”). ML&Co. will issue 1,408,350 Interest Rate Call Warrants Linked to the Five Year Constant Maturity U.S. Treasury Yield Expiring June 3, 2005, under the Warrant Agreement. The exhibits consist of the form of the Warrant Agreement (including a form of Warrant) and an opinion of counsel relating thereto.
Item 7. Financial Statements, Pro Forma Financial Information and Exhibits
| EXHIBITS | ||
| (4) |
Instruments defining the rights of security holders, including indentures. | |
| Form of Warrant Agreement dated as of June 10, 2003, including a form of the Warrant. | ||
| (5) & (23) |
Opinion re: legality; consent of counsel. | |
| Opinion of Sidley Austin Brown & Wood LLP relating to the Interest Rate Call Warrants Linked to the Five Year Constant Maturity U.S. Treasury Yield Expiring June 3, 2005 (including consent for inclusion of such opinion in this report and in Merrill Lynch & Co., Inc.’s Registration Statements relating to such Warrants). | ||
2
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereto duly authorized.
| MERRILL LYNCH & CO., INC. | ||
| (Registrant) | ||
| By: |
/S/ JOHN C. STOMBER | |
| John C. Stomber | ||
| Senior Vice President | ||
| and | ||
| Treasurer | ||
Date: June 10, 2003
3
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
MERRILL LYNCH & CO., INC.
EXHIBITS TO CURRENT REPORT ON
FORM 8-K DATED JUNE 10, 2003
Commission File Number 1-7182
Exhibit Index
| Exhibit No. |
Description | Page | ||
| (4) |
Instruments defining the rights of security holders, including indentures. | |||
| Form of Warrant Agreement dated as of June 10, 2003, including a form of the Warrant. |
||||
| (5) & (23) |
Opinion re: legality; consent of counsel. | |||
| Opinion of Sidley Austin Brown & Wood LLP relating to the Interest Rate Call Warrants Linked to the Five Year Constant Maturity U.S. Treasury Yield Expiring June 3, 2005 (including consent for inclusion of such opinion in this report and in Merrill Lynch & Co., Inc.’s Registration Statements relating to such Warrants). |
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