EXHIBIT 3

 

NUMBER R-   SHARES

FLOATING RATE NON-CUMULATIVE PREFERRED STOCK, SERIES 5,

OF

MERRILL LYNCH & CO., INC.

INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE

CUSIP 59022 C 160

SEE REVERSE FOR CERTAIN DEFINITIONS

This certifies that THE BANK OF NEW YORK, as depositary, is the registered owner of              SHARES (            ) fully paid and non-assessable shares of Floating Rate Non-Cumulative Preferred Stock, Series 5, par value $1.00 per share, of Merrill Lynch & Co., Inc., a Delaware corporation (the “Corporation”), transferable upon the books of the Corporation by the holder hereof in person or by duly authorized attorney upon surrender of this Certificate properly endorsed.

This Certificate shall not be valid unless countersigned and registered by the Transfer Agent and Registrar.

Dated:

 

MERRILL LYNCH & CO., INC.
By:  

 

 

E. Stanley O’Neil

Chairman of the Board and

Chief Executive Officer

By:  

 

 

Judith A. Witterschein

Corporate Secretary

 

Countersigned and Registered:
THE BANK OF NEW YORK, Transfer
    Agent and Registrar
By  

 

  Authorized Officer

 

[REVERSE OF CERTIFICATE]

MERRILL LYNCH & CO., INC.

MERRILL LYNCH & CO., INC. WILL FURNISH WITHOUT CHARGE TO EACH STOCKHOLDER WHO SO REQUESTS A STATEMENT OF THE POWERS, DESIGNATIONS, PREFERENCES AND RELATIVE, PARTICIPATING, OPTIONAL OR OTHER SPECIAL RIGHTS OF EACH CLASS OF STOCK OR SERIES THEREOF WHICH MERRILL LYNCH & CO., INC. IS AUTHORIZED TO ISSUE AND THE QUALIFICATIONS, LIMITATIONS OR RESTRICTIONS OF SUCH PREFERENCES AND/OR RIGHTS. ANY SUCH REQUEST IS TO BE ADDRESSED TO THE SECRETARY OF MERRILL LYNCH & CO., INC. OR TO THE TRANSFER AGENT.

 

EXPLANATION OF ABBREVIATIONS

The following abbreviations when used in the form of ownership on the face of this certificate shall be construed as though they were written out in full according to applicable laws or regulations. Abbreviations in addition to those appearing below may be used.

 

Phrase Abbreviation

  

Equivalent

  

Phrase Abbreviation

  

Equivalent

JT TEN   As joint tenants, with right of survivorship and not as tenants in common   TEN BY ENT   As tenants by the entireties
TEN IN COM   As tenants in common   UNIF GIFT MIN ACT   Uniform Gifts to Minors Act

 

Word Abbreviation

   

Equivalent

   

Word

Abbreviation

   

Equivalent

    Word
Abbreviation		   

Equivalent

ADM    Administrator(s)    EST    Estate, of Estate of    PAR    Paragraph
   Administratrix    EX    Executor(s), Executrix    PL    Public Law
AGMT    Agreement    FBO    For the benefit of    TR    (As) trustee(s), for, of
ART    Article    FDN    Foundation    U    Under
CH    Chapter    GDN    Guardian(s)    UA    Under agreement
CUST    Custodian for    GDNSHP    Guardianship    UW    Under will of, Of will of,
DEC    Declaration    MIN    Minor(s)       Under last will & testament

 

For value received,                              hereby sell(s), assign(s) and transfer(s) unto PLEASE INSERT SOCIAL SECURITY OR OTHER IDENTIFYING NUMBER OF ASSIGNEE                                                                                                                                                                                                                                                                                             PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS INCLUDING POSTAL ZIP CODE OF ASSIGNEE                                                                                                                                                                                  Shares of the capital stock represented by the within Certificate, and do(es) hereby irrevocably constitute and appoint                              Attorney to transfer the said stock on the books of the within named Corporation with full power of substitution in the premises.

 

Dated                     

  
 

 

 

NOTICE: The signature to the assignment must correspond with the name as written upon the face of this Certificate in every particular, without alteration or enlargement or any change whatsoever.

SIGNATURE GUARANTEED

  

 

NOTICE: The signature(s) should be guaranteed by an eligible guarantor institution (banks, stockbrokers, savings and loan associations, and credit unions with membership in an approved signature guarantee medallion program), pursuant to Rule 17Ad-15 under the Securities Exchange Act of 1934.