-----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, IwsENv4uS8UMjGAFN0dzCo5l0uCUXnXt3zhYGH1xYTU3+b2xMnE0vVMNzck2Xgzt IZHBGAHZ9o3gapQ4dEArUQ== 0000950123-02-006549.txt : 20020627 0000950123-02-006549.hdr.sgml : 20020627 20020627111048 ACCESSION NUMBER: 0000950123-02-006549 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020627 GROUP MEMBERS: MERRILL LYNCH GROUP INC GROUP MEMBERS: MERRILL LYNCH PEIRCE FENNER & SMITH INCORPORATED GROUP MEMBERS: ML IBK POSITIONS INC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MULTEX COM INC CENTRAL INDEX KEY: 0001061310 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-58363 FILM NUMBER: 02688466 BUSINESS ADDRESS: STREET 1: 100 WILLIAM ST STREET 2: 6TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10038 BUSINESS PHONE: 2128599800 MAIL ADDRESS: STREET 1: 33 MAIDEN LANE 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10038 FORMER COMPANY: FORMER CONFORMED NAME: MULTEX SYSTEMS INC DATE OF NAME CHANGE: 19980508 FILED BY: 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: SC 13G/A 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 SC 13G/A 1 y61880sc13gza.txt AMENDMENT NO. 1 TO SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. 1) MULTEX.COM, INC. (Name of Issuer) COMMON STOCK, $0.01 PAR VALUE (Title of Class of Securities) 625367 10 7 (CUSIP Number) JUNE 20, 2002 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: / / Rule 13d-1(b) /X/ Rule 13d-1(c) / / Rule 13d-1(d) SCHEDULE 13G - --------------------- --------------------- CUSIP NO. 625367 10 7 PAGE 2 OF 9 PAGES - --------------------- --------------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) ML IBK POSITIONS, INC. ("MLIBK") - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4. Delaware - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF 0 SHARES --------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY MLIBK owns 670,000 shares of Common Stock. EACH --------------------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON 0 WITH --------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER MLIBK owns 670,000 shares of Common Stock. - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 9. PERSON MLIBK owns 670,000 shares of Common Stock. - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES 10. CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 MLIBK owns 2.0% of the Common Stock. - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12. CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. - -------------------------------------------------------------------------------- SCHEDULE 13G - --------------------- --------------------- CUSIP NO. 625367 10 7 PAGE 3 OF 9 PAGES - --------------------- --------------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON MERRILL LYNCH GROUP, INC. ("MLG") - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / 2. (b) / / - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4. Delaware - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF 0 SHARES --------------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER OWNED BY 6. 670,000 shares of Common Stock held by MLIBK, a EACH wholly-owned subsidiary of MLG. REPORTING --------------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER WITH 0 - -------------------------------------------------------------------------------- SHARED DISPOSITIVE POWER 8. 670,000 shares of Common Stock held by MLIBK, a wholly-owned subsidiary of MLG. - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 9. PERSON 670,000 shares of Common Stock held by MLIBK, a wholly-owned subsidiary of MLG. - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES 10. CERTAIN SHARES* / / - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11. 2.0% of the Common Stock. - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12. CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. - -------------------------------------------------------------------------------- SCHEDULE 13G - --------------------- --------------------- CUSIP NO. 625367 10 7 PAGE 4 OF 9 PAGES - --------------------- --------------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 1. MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ("MLPFS") - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / 2. (b) / / - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4. Delaware - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 0 NUMBER OF ----------------------------------------------------------------- SHARES 6. SHARED VOTING POWER BENEFICIALLY MLPFS owns a Warrant convertible into 69,240 shares of OWNED BY Common Stock. EACH ----------------------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON 0 WITH ----------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER MLPFS owns a Warrant convertible into 69,240 shares of Common Stock. - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 9. PERSON MLPFS owns a Warrant convertible into 69,240 shares of Common Stock. - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES 10. CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.2% of the Common Stock. - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12. BD - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. - -------------------------------------------------------------------------------- SCHEDULE 13G - --------------------- --------------------- CUSIP NO. 625367 10 7 PAGE 5 OF 9 PAGES - --------------------- --------------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 1. MERRILL LYNCH & CO., INC. ("ML") - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4. Delaware - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 0 ------------------------------------------------------------------ SHARED VOTING POWER 670,000 shares of Common Stock held by MLIBK, a 6. wholly-owned subsidiary of MLG, which is a wholly-owned subsidiary of ML. Warrant convertible into 69,240 shares of NUMBER OF Common Stock held by MLPFS, a wholly-owned subsidiary of SHARES ML. BENEFICIALLY ------------------------------------------------------------------ OWNED BY 7. SOLE DISPOSITIVE POWER EACH 0 REPORTING ------------------------------------------------------------------ PERSON SHARED DISPOSITIVE POWER WITH 670,000 shares of Common Stock held by MLIBK, a 8. wholly-owned subsidiary of MLG, which is a wholly-owned subsidiary of ML. Warrant convertible into 69,240 shares of Common Stock held by MLPFS, a wholly-owned subsidiary of ML. - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9. 670,000 shares of Common Stock held by MLIBK, a wholly-owned subsidiary of MLG, which is a wholly-owned subsidiary of ML; Warrant convertible into 69,240 shares of Common Stock held by MLPFS, a wholly-owned subsidiary of ML. - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES 10. CERTAIN SHARES* / / - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.0% of Common Stock, all of which is held by MLIBK, a wholly-owned subsidiary of MLG, which is a wholly-owned subsidiary of ML. Including the Common Stock into 11. which the Warrant is convertible, and all of which is held by MLPFS, a wholly-owned subsidiary of ML, the Reporting Person additionally owns approximately 0.2% of the Common Stock. The aggregate percentage owned by the Reporting Person is therefore approximately 2.2% of the Common Stock. - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. - -------------------------------------------------------------------------------- ITEM 1(a). NAME OF ISSUER. Multex.com, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 100 William Street, 7th Floor New York, New York 10038 ITEM 2(a). NAME OF PERSONS FILING: This statement is filed by: (i) ML IBK Positions, Inc. ("MLIBK"), a Delaware corporation; (ii) Merrill Lynch Group, Inc. ("MLG"), a Delaware corporation; (iii) Merrill Lynch, Pierce, Fenner & Smith Incorporated ("MLPFS"), a Delaware corporation; and (iv) Merrill Lynch & Co., Inc. ("ML"), a Delaware corporation. ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The principal place of business for MLIBK, MLG, MLPFS and ML is 222 Broadway, 17th Floor, New York, New York 10038. ITEM 2(c). CITIZENSHIP: See Item 2(a). ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, par value $0.01 per share (the "Common Stock"). ITEM 2(e). CUSIP NUMBER: 625367 10 7 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: Not applicable. ITEM 4. OWNERSHIP: ML IBK Positions, Inc. (a) Amount beneficially owned: 670,000 shares Page 6 of 9 Pages (b) Percent of class: 2.0% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 0 (ii) Shared power to vote or to direct the vote: 670,000 shares (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or to direct the disposition of: 670,000 shares Merrill Lynch Group, Inc. (a) Amount beneficially owned: 670,000 shares (b) Percent of class: 2.0% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 0 (ii) Shared power to vote or to direct the vote: 670,000 shares (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or to direct the disposition of: 670,000 shares Merrill Lynch, Pierce, Fenner & Smith Incorporated (a) Amount beneficially owned: 69,240 shares (b) Percent of class: 0.2% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 0 (ii) Shared power to vote or to direct the vote: 69,240 shares (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or to direct the disposition of: 69,240 shares Merrill Lynch & Co., Inc. (a) Amount beneficially owned: 739,240 shares (b) Percent of class: 2.2% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 0 (ii) Shared power to vote or to direct the vote: 739,240 shares (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or to direct the disposition of: 739,240 shares ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X]. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. Page 7 of 9 Pages ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATIONS. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 8 of 9 Pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: June 27, 2002 ML IBK POSITIONS, INC. By: /s/ Curtis W. Cariddi ------------------------------- Name: Curtis W. Cariddi Title: Vice President MERRILL LYNCH GROUP, INC. By: /s/ Andrew J. Quigley ------------------------------- Name: Andrew J. Quigley Title: Secretary MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED By: /s/ Jonathan Santelli ------------------------------- Name: Jonathan Santelli Title: Assistant Secretary MERRILL LYNCH & CO., INC. By: /s/ Jonathan Santelli ------------------------------- Name: Jonathan Santelli Title: Assistant Secretary Page 9 of 9 Pages -----END PRIVACY-ENHANCED MESSAGE-----