-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Vi1+0EnU8cjXHuPIGSkXGgkHzbjf+3zcbRmAlFuDrYPoSkVlMUK7I6Aq9RzpdMI+ IgVCf2ZhfjS7V+m8T8mpeg== 0000728612-09-000141.txt : 20090528 0000728612-09-000141.hdr.sgml : 20090528 20090528121914 ACCESSION NUMBER: 0000728612-09-000141 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090528 DATE AS OF CHANGE: 20090528 EFFECTIVENESS DATE: 20090528 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MERRILL LYNCH & CO., INC. CENTRAL INDEX KEY: 0000065100 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 132740599 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-03554 FILM NUMBER: 09856591 BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CTR CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 2124491000 MAIL ADDRESS: STREET 1: 4 WORLD FINANCIAL CTR CITY: NEW YORK STATE: NY ZIP: 10080 FORMER COMPANY: FORMER CONFORMED NAME: MERRILL LYNCH & CO INC DATE OF NAME CHANGE: 19920703 13F-HR/A 1 mer13fhra1.txt MERRILL LYNCH & CO., INC 13F-HR/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2009 Check here if Amendment [ X ]; Amendment Number:__1____ This Amendment (Check only one.): [ ] is a restatement. [X ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: MERRILL LYNCH AND CO., INC. Address: 4 World Financial Center New York, NY 10080 13F File Number: 028-03554 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Lawrence Emerson Title: Attorney-In-Fact Phone: (212) 670-2756 Signature, Place and Date of Signing: ______________________________________________________________________ /s/ Lawrence Emerson New York, NY May 28, 2009 Merrill Lynch& Co., Inc. (ML&Co.) is the parent holding company of a number of operating subsidiaries, some of which are or may be institutional investment managers for purposes of the reporting requirements under Section 13(f) of the Securities Exchange Act of 1934 and the rules promulgated thereunder. ML&Co. itself does not in fact exercise, and therefore disclaims, investment discretion with respect to Section 13(f) positions over which Managed Account Advisors, LLC in fact exercises investment discretion. Section 13(f) securities positions managed by Managed Account Advisors, LLC are reported on Form 13F filed by Managed Account Advisors, LLC. Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [X] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager IQ Investment Advisors LLC FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 5 Form 13F Information Table Entry Total: 6 Form 13F Information Table Value Total: $ 21,420(thousands) List of Other Included Managers: No. 13F File Number Name 2 028-00962 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED 6 028-07178 MERRILL LYNCH INTERNATIONAL 10 028-05437 MERRILL LYNCH BANK & TRUST COMPANY, FSB 12 028-11545 MERRILL LYNCH PROFESSIONAL CLEARING CORPORATION 18 028-12624 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. MERRILL LYNCH AND CO., INC. FORM 13F INFORMATION TABLE December 31, 2008
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VALUE SHARES/ SH/PRN INVSTMT OTHR VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x1000) PRN AMT PUT/CALLDSCRETN MGRS SOLE SHARED OTHER TYCO INTL LTD NAMEN-A COM H89128104 20234 1034442SH SOLE 2 1034442 0 0 TYCO INTL LTD NAMEN-A OPTIONS H89128104 387 198CALL SOLE 12 198 0 0 TYCO INTL LTD NAMEN-A OPTIONS H89128104 262 134PUT SOLE 12 134 0 0 TYCO INTL LTD NAMEN-A COM H89128104 162 8280SH DEFINED 10 8280 0 0 TYCO INTL LTD NAMEN-A COM H89128104 247 12639SH SOLE 6 12639 0 0 TYCO INTL LTD NAMEN-A COM H89128104 128 6555SH SOLE 18 6555 0 0
-----END PRIVACY-ENHANCED MESSAGE-----