8-K: Current report filing
Published on January 18, 2007
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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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): January 18, 2007
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Merrill Lynch & Co., Inc.
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(Exact Name of Registrant as Specified in its Charter)
Delaware 1-7182 13-2740599
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(State or Other (Commission (I.R.S. Employer
Jurisdiction of File Number) Identification No.)
Incorporation)
4 World Financial Center, New York, New York 10080
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(Address of Principal Executive Offices) (Zip Code)
Registrant's telephone number, including area code: (212) 449-1000
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(Former Name or Former Address, if Changed Since Last Report.)
Check the appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligation of the registrant under any of the
following provisions:
|_| Written communications pursuant to Rule 425 under the Securities Act (17
CFR 230.425)
|_| Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
|_| Pre-commencement communications pursuant to Rule 14d-2(b) under the
Exchange Act (17 CFR 240.14d-2(b))
|_| Pre-commencement communications pursuant to Rule 13e-4(c) under the
Exchange Act (17 CFR 240.13e-4(c))
Item 2.02. Results of Operations and Financial Condition.
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On January 18, 2007, Merrill Lynch & Co., Inc. (Merrill Lynch) announced its
results of operations for the three-month period and fiscal year ended December
29, 2006. 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, Reconciliation of "Non-GAAP" Measures and Segment Data for the
three-month period and fiscal year ended December 29, 2006 and supplemental
quarterly data for Merrill Lynch are filed as Exhibit 99.2 to this Form 8-K and
are incorporated herein by reference.
This information furnished under this Item 2.02, including Exhibits 99.1 and
99.2, shall be considered "filed" for purposes of the Securities Exchange Act of
1934, as amended.
Item 9.01. Financial Statements and Exhibits.
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(d) Exhibits
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99.1 Press release dated January 18, 2007 issued by Merrill Lynch & Co.,
Inc.
99.2 Preliminary Unaudited Earnings Summary, Reconciliation of "Non-GAAP"
Measures and Segment Data for the three-month period and fiscal year
ended December 29, 2006 and supplemental quarterly and annual data.
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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 hereunto duly authorized.
MERRILL LYNCH & CO., INC.
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(Registrant)
By: /s/ Jeffrey N. Edwards
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Jeffrey N. Edwards
Senior Vice President and
Chief Financial Officer
By: /s/ Laurence A. Tosi
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Laurence A. Tosi
Senior Vice President and Finance
Director Principal Accounting Officer
Date: January 18, 2007
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EXHIBIT INDEX
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Exhibit No. Description Page
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99.1 Press release dated January 18, 2007 issued by Merrill 5-12
Lynch & Co., Inc.
99.2 Preliminary Unaudited Earnings Summary, Reconciliation 13-20
of "Non-GAAP" Measures and Segment Data for the
three-month period and fiscal year ended December 29,
2006 and supplemental quarterly and annual data.
4