8-K: Current report filing
Published on April 13, 2004
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): April 13, 2004
- --------------------------------------------------------------------------------
Merrill Lynch & Co., Inc.
- --------------------------------------------------------------------------------
(Exact Name of Registrant as Specified in its Charter)
Delaware 1-7182 13-2740599
- --------------------------------------------------------------------------------
(State or Other (Commission (I.R.S. Employer
Jurisdiction of File Number) Identification No.)
Incorporation)
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 7. Financial Statements, Pro Forma Financial Information and Exhibits
------------------------------------------------------------------
(c) Exhibits
--------
99.1 Press release dated April 13, 2004 issued by Merrill Lynch & Co., Inc.
99.2 Preliminary Unaudited Earnings Summary for the three months ended
March 26, 2004 and supplemental quarterly data.
99.3 Unaudited Consolidated Annual Earnings Statements for the full years
ended the last Friday in December 1999, 2000, 2001, 2002 and 2003;
Unaudited Consolidated Quarterly Earnings summaries for the quarterly
periods in 2001, 2002 and 2003; Unaudited Preliminary Segment Data for
the full years ended the last Friday in 2001, 2002 and 2003; Unaudited
Consolidated Balance Sheets as of the last Friday in December 1999,
2000, 2001, 2002 and 2003; and supplemental yearly and quarterly data.
Item 12. Results of Operations and Financial Condition
---------------------------------------------
On April 13, 2004, Merrill Lynch & Co., Inc. (Merrill Lynch) announced its
results of operations for the three months ended March 26, 2004. A copy of the
related press release is filed as Exhibit 99.1 to this Form 8-K and is
incorporated herein by reference. A Preliminary Unaudited Earnings Summary for
the three months ended March 26, 2004 and supplemental quarterly data for
Merrill Lynch are filed as Exhibit 99.2 to this Form 8-K and are incorporated
herein by reference. Unaudited Consolidated Annual Earnings Statements for the
full years ended the last Friday in December 1999, 2000, 2001, 2002 and 2003;
Unaudited Consolidated Quarterly Earnings summaries for the quarterly periods in
2001, 2002 and 2003; Unaudited Preliminary Segment Data for the full years ended
the last Friday in December 2001, 2002 and 2003; Unaudited Consolidated Balance
Sheets as of the last Friday in December 1999, 2000, 2001, 2002 and 2003; and
supplemental yearly and quarterly data have been restated primarily due to the
adoption of Statement of Financial Accounting Standard No. 123, Accounting for
Stock-Based Compensation, and are filed as Exhibit 99.3 to this Form 8-K and are
incorporated herein by reference.
This information furnished under this Item 12, including Exhibits 99.1, 99.2 and
99.3 shall be considered "filed" for purposes of the Securities Exchange Act of
1934, as amended.
2
SIGNATURES
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 hereunto duly authorized.
MERRILL LYNCH & CO., INC.
--------------------------------------------
(Registrant)
By: /s/ Ahmass L. Fakahany
----------------------------------
Ahmass L. Fakahany
Executive Vice President and
Chief Financial Officer
By: /s/ John J. Fosina
----------------------------------
John J. Fosina
Controller
Principal Accounting Officer
Date: April 13, 2004
3
Exhibit Index
-------------
Exhibit No. Description Page
- ----------- ----------- ----
99.1 Press release dated April 13, 2004 issued by Merrill 5-11
Lynch & Co., Inc.
99.2 Preliminary Unaudited Earnings Summary for the three 12-16
months ended March 26, 2004 and supplemental quarterly
data.
99.3 Unaudited Consolidated Annual Earnings Statements for 17-24
the full years ended the last Friday in December 1999,
2000, 2001, 2002 and 2003; Unaudited Consolidated
Quarterly Earnings summaries for the quarterly periods
in 2001, 2002 and 2003; Unaudited Preliminary Segment
Data for the full years ended the last Friday in 2001,
2002 and 2003; Unaudited Consolidated Balance Sheets as
of the last Friday in December 1999, 2000, 2001, 2002
and 2003; and supplemental yearly and quarterly data.
4