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) | 01/29/2007 | Common Stock | 2,504 | $ 20.2969 | D | |
Stock Option - Right to Acquire (2) | (4) | 01/26/2008 | Common Stock | 4,188 | $ 31 | D | |
Stock Option - Right to Acquire (2) | (5) | 01/25/2009 | Common Stock | 7,776 | $ 36.1719 | D | |
Stock Option - Right to Acquire (2) | (6) | 01/25/2009 | Common Stock | 10,040 | $ 36.1719 | D | |
Stock Option - Right to Acquire (2) | (7) | 01/23/2011 | Common Stock | 32,748 | $ 77.5625 | D | |
Stock Option - Right to Acquire (2) | (8) | 01/28/2012 | Common Stock | 112,848 | $ 53.745 | D | |
Stock Option - Right to Acquire (2) | (9) | 01/27/2013 | Common Stock | 50,392 | $ 36.065 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FLEMING GREGORY J MERRILL LYNCH & CO., INC. 4 WORLD FINANCIAL CENTER NEW YORK, NY 10080 |
Co-Head of GMI |
Gregory J. Fleming (by Michael A. LaMaina, as agent) | 08/15/2003 | |
**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 73,488 Restricted Shares granted under the Merrill Lynch & Co., Inc. Long-Term Incentive Compensation Plan ("Plan") which are subject to vesting and restricted periods. Transactions under this Plan 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 ("Plan"). Transactions under this Plan are exempt under the provsions of Rule 16b-3. |
(3) | 1,252 stock options became exercisable after 1/27/01 and 1/27/02. |
(4) | 1,396 stock options became exercisable after 1/26/01, 1/26/02 and 1/26/03. |
(5) | 1,944 stock options became exercisable after 1/25/01, 1/25/02 and 1/25/03. 1,944 stock options are exercisable after 1/25/04. |
(6) | These performance-based stock options became exercisable at a rate of 1% of the award for each increment of $20 million of Cumulative Economic Profit of the Issuer (determined annually on each anniversary of the award). 1,742 stock options became exercisable on 1/25/00 and 8,298 stock options became exercisable on 1/25/01. |
(7) | All stock options became exercisable after 7/31/01. |
(8) | All stock options became exercisable after 7/31/02. |
(9) | 12,598 stock options are exercisable after 1/27/04, 1/27/05, 1/27/06 and 1/27/07. |
Remarks: All reported positions have been rounded down to the nearest whole number. Exhibit List: Exhibit 24 - Power of Attorney |