-----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, JvXTlhgivXdqHO62EWp700V87gzJVidx2vUctXrh+zQB5rhZU8QwVHDDA9Z5vM1L znmPigjCGEhEUOGzzlU2Wg== 0000950142-07-002026.txt : 20070821 0000950142-07-002026.hdr.sgml : 20070821 20070821172706 ACCESSION NUMBER: 0000950142-07-002026 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20061219 FILED AS OF DATE: 20070821 DATE AS OF CHANGE: 20070821 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DELPHI CORP CENTRAL INDEX KEY: 0001072342 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] IRS NUMBER: 383430473 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5725 DELPHI DRIVE CITY: TROY STATE: MI ZIP: 48098 BUSINESS PHONE: 248-813-2000 MAIL ADDRESS: STREET 1: 5725 DELPHI DRIVE CITY: TROY STATE: MI ZIP: 48098 FORMER COMPANY: FORMER CONFORMED NAME: DELPHI AUTOMOTIVE SYSTEMS CORP DATE OF NAME CHANGE: 19981020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MERRILL LYNCH INTERNATIONAL CENTRAL INDEX KEY: 0001062577 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14787 FILM NUMBER: 071071566 BUSINESS ADDRESS: STREET 1: 20 FARRINGDON RD STREET 2: EC1M 3NH CITY: LONDON ENGLAND ECIM STATE: A1 MAIL ADDRESS: STREET 1: 250 VESY ST WORLD FINANCIAL CENTER STREET 2: NORTH TOWER 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10281 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MERRILL LYNCH BANK & TRUST CO FSB CENTRAL INDEX KEY: 0001106135 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14787 FILM NUMBER: 071071567 BUSINESS ADDRESS: STREET 1: C/O MERRILL LYNCH STREET 2: 300 DANDSON AVE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 7323561395 MAIL ADDRESS: STREET 1: C/O MERRILL LYNCH WORLD FIN. CTR N. TWR STREET 2: 250 VESSEY ST. 12TH FL CITY: NEW YORK STATE: NY ZIP: 10281 FORMER NAME: FORMER CONFORMED NAME: MERRILL LYNCH TRUST CO FSB DATE OF NAME CHANGE: 20000210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MERRILL LYNCH FINANCIAL MARKETS, INC CENTRAL INDEX KEY: 0001383079 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14787 FILM NUMBER: 071071568 BUSINESS ADDRESS: STREET 1: OFFICE OF GENERAL COUNSEL STREET 2: 4804 DEER LAKE DR. E., 4TH FLOOR CITY: JACKSONVILLE STATE: FL ZIP: 32246 BUSINESS PHONE: 904-218-7922 MAIL ADDRESS: STREET 1: OFFICE OF GENERAL COUNSEL STREET 2: 4804 DEER LAKE DR. E., 4TH FLOOR CITY: JACKSONVILLE STATE: FL ZIP: 32246 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MERRILL LYNCH PIERCE FENNER & SMITH INC CENTRAL INDEX KEY: 0000728612 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14787 FILM NUMBER: 071071569 BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 2126702273 MAIL ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MERRILL LYNCH & CO INC CENTRAL INDEX KEY: 0000065100 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1229 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14787 FILM NUMBER: 071071570 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 4 1 form4-delphi_121906bex.xml AMENDED FORM 3 X0202 4 2006-12-19 0 0001072342 DELPHI CORP DPHIQ.PK 0000065100 MERRILL LYNCH & CO INC 4 WORLD FINANCIAL CENTER, 250 VESEY ST. NORTH TOWER, 12TH FLOOR NEW YORK NY 10080 0 0 1 0 0000728612 MERRILL LYNCH PIERCE FENNER & SMITH INC 4 WORLD FINANCIAL CENTER, 250 VESEY ST. NORTH TOWER, 12TH FLOOR NEW YORK NY 10080 0 0 1 0 0001383079 MERRILL LYNCH FINANCIAL MARKETS, INC 4 WORLD FINANCIAL CENTER, 250 VESEY ST. NORTH TOWER, 12TH FLOOR NEW YORK NY 10080 0 0 1 0 0001106135 MERRILL LYNCH BANK & TRUST CO FSB 4 WORLD FINANCIAL CENTER, 250 VESEY ST. NORTH TOWER, 12TH FLOOR NEW YORK NY 10080 0 0 1 0 0001062577 MERRILL LYNCH INTERNATIONAL 4 WORLD FINANCIAL CENTER, 250 VESEY ST. NORTH TOWER 12TH FLOOR NEW YORK NY 10080 0 0 1 0 Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-10 4 P 0 75 2.03 A 1459355 I See footnotes Common Stock 2007-05-10 4 S 0 75 1.98 D 1459280 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-14 4 P 0 156 2.35 A 1459436 I See footnotes Common Stock 2007-05-14 4 S 0 156 2.31 D 1459280 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-16 4 P 0 500 2.09 A 1459780 I See footnotes Common Stock 2007-05-17 4 S 0 500 1.98 D 1459280 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-21 4 P 0 350 2.20 A 1459630 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-21 4 P 0 100 2.20 A 1459730 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-21 4 P 0 100 2.22 A 1459830 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-21 4 P 0 100 2.23 A 1459930 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-21 4 P 0 400 2.24 A 1460330 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-21 4 P 0 400 2.24 A 1460730 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-22 4 P 0 900 2.17 A 1461630 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-22 4 P 0 100 2.17 A 1461730 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-22 4 S 0 100 2.16 D 1461630 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-22 4 S 0 350 2.16 D 1461280 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-23 4 S 0 500 2.18 D 1460780 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-23 4 P 0 2000 2.14 A 1462780 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-23 4 S 0 500 2.18 D 1462280 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-25 4 S 0 500 2.40 D 1461780 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-25 4 S 0 1500 2.40 D 1460280 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-31 4 P 0 500 2.69 A 1460780 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-31 4 P 0 500 2.70 A 1461280 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-31 4 P 0 500 2.73 A 1461780 I See footnotes Common Stock, par value $0.01 per share (the "Common Stock") 2007-05-31 4 P 0 1000 2.73 A 1462780 I See footnotes This statement is being filed by Merrill Lynch & Co., Inc. ("ML&Co."), Merrill Lynch, Pierce, Fenner & Smith Incorporated ("MLPF&S"), Merrill Lynch Financial Markets, Inc. ("MLFM"), Merrill Lynch Bank & Trust Co., FSB ("MLTFSB") and Merrill Lynch International ("MLI") (collectively, the "Reporting Persons"). This statement reflects the purchases and sales made by MLPF&S between May 10, 2007 and May 31, 2007. This is one of three Statements on Beneficial Ownership being filed on August 21, 2007 to report all the purchases and sales listed on Exhibit A hereto. All of these purchases and sales were made by MLPF&S's error correction section to correct errors made in connection with trades made on behalf of clients. In connection with all of the transactions listed on Exhibit A hereto, the Reporting Persons have agreed to voluntarily remit appropriate profits, if any, to Delphi Corporation. The Reporting Persons disclaim that the transactions on Exhibit A are subject to reporting under Section 16(a) or disgorgement under Section 16(b), and this report shall not be deemed an admission that those sections apply to these transactions. Form 2 of 3 Form 4's /s/ Cara Londin, Assistant Secretary of Merrill Lynch & Co., Inc. 2007-08-21 /s/ Cara Londin, Assistant Secretary of Merrill Lynch, Pierce, Fenner & Smith Incorporated 2007-08-21 /s/ Cara Londin, Attorney-in-Fact 2007-08-21 /s/ Cara Londin, Attorney-in-Fact 2007-08-21 /s/ Cara Londin, Attorney-in-Fact 2007-08-21 EX-99 2 ex99form4_121906.txt EXHIBIT 99 EXHIBIT A - ---------------------------------------------------------------------------- 1. 2. 3. TITLE OF TRANSACTION DATE TRANSACTION 4(i). 4(ii). SECURITY (MONTH/DAY/YEAR) CODE AMOUNT PRICE - ---------------------------------------------------------------------------- Common Stock 12/19/2006 P 1159 $2.55 - ---------------------------------------------------------------------------- Common Stock 12/20/2006 S 1159 $2.78 - ---------------------------------------------------------------------------- Common Stock 12/21/2006 P 10000 $3.70 - ---------------------------------------------------------------------------- Common Stock 12/21/2006 P 50000 $3.72 - ---------------------------------------------------------------------------- Common Stock 12/21/2006 P 200 $3.72 - ---------------------------------------------------------------------------- Common Stock 12/21/2006 P 19050 $3.72 - ---------------------------------------------------------------------------- Common Stock 12/21/2006 P 5000 $3.72 - ---------------------------------------------------------------------------- Common Stock 12/21/2006 P 10000 $3.74 - ---------------------------------------------------------------------------- Common Stock 12/21/2006 P 5000 $3.75 - ---------------------------------------------------------------------------- Common Stock 12/21/2006 P 72027 $3.75 - ---------------------------------------------------------------------------- Common Stock 12/21/2006 P 450 $3.76 - ---------------------------------------------------------------------------- Common Stock 12/21/2006 P 300 $3.76 - ---------------------------------------------------------------------------- Common Stock 12/21/2006 S 100000 $3.75 - ---------------------------------------------------------------------------- Common Stock 12/21/2006 S 5000 $3.67 - ---------------------------------------------------------------------------- Common Stock 12/21/2006 S 5000 $3.67 - ---------------------------------------------------------------------------- Common Stock 12/21/2006 S 200 $3.67 - ---------------------------------------------------------------------------- Common Stock 12/21/2006 S 61827 $3.67 - ---------------------------------------------------------------------------- Common Stock 12/22/2006 P 750 $3.70 - ---------------------------------------------------------------------------- Common Stock 12/26/2006 S 750 $3.56 - ---------------------------------------------------------------------------- Common Stock 12/27/2006 S 139 $3.91 - ---------------------------------------------------------------------------- Common Stock 12/28/2006 P 139 $3.78 - ---------------------------------------------------------------------------- Common Stock 1/3/2007 P 3000 $3.85 - ---------------------------------------------------------------------------- Common Stock 1/5/2007 S 170 $3.53 - ---------------------------------------------------------------------------- Common Stock 1/5/2007 S 2830 $3.53 - ---------------------------------------------------------------------------- Common Stock 1/12/2007 * P 284 $2.88 - ---------------------------------------------------------------------------- Common Stock 1/12/2007 * P 1000 $3.05 - ---------------------------------------------------------------------------- Common Stock 1/16/2007 * S 284 $3.07 - ---------------------------------------------------------------------------- Common Stock 1/16/2007 * S 1000 $2.97 - ---------------------------------------------------------------------------- Common Stock 1/31/2007 ** P 350 $2.79 - ---------------------------------------------------------------------------- Common Stock 2/2/2007 ** S 350 $2.65 - ---------------------------------------------------------------------------- Common Stock 2/22/2007 *** P 69 $2.66 - ---------------------------------------------------------------------------- Common Stock 2/22/2007 *** S 69 $2.65 - ---------------------------------------------------------------------------- Common Stock 4/2/2007 P 257 $2.93 - ---------------------------------------------------------------------------- Common Stock 4/2/2007 S 257 $2.84 - ---------------------------------------------------------------------------- Common Stock 5/10/2007 P 75 $2.03 - ---------------------------------------------------------------------------- Common Stock 5/10/2007 S 75 $1.98 - ---------------------------------------------------------------------------- Common Stock 5/14/2007 P 156 $2.35 - ---------------------------------------------------------------------------- Common Stock 5/14/2007 S 156 $2.31 - ---------------------------------------------------------------------------- Common Stock 5/16/2007 P 500 $2.09 - ---------------------------------------------------------------------------- Common Stock 5/17/2007 S 500 $1.98 - ---------------------------------------------------------------------------- Common Stock 5/21/2007 P 350 $2.20 - ---------------------------------------------------------------------------- Common Stock 5/21/2007 P 100 $2.20 - ---------------------------------------------------------------------------- Common Stock 5/21/2007 P 100 $2.22 - ---------------------------------------------------------------------------- Common Stock 5/21/2007 P 100 $2.23 - ---------------------------------------------------------------------------- Common Stock 5/21/2007 P 400 $2.24 - ---------------------------------------------------------------------------- Common Stock 5/21/2007 P 400 $2.24 - ---------------------------------------------------------------------------- Common Stock 5/22/2007 P 900 $2.17 - ---------------------------------------------------------------------------- Common Stock 5/22/2007 P 100 $2.17 - ---------------------------------------------------------------------------- Common Stock 5/22/2007 S 100 $2.16 - ---------------------------------------------------------------------------- Common Stock 5/22/2007 S 350 $2.16 - ---------------------------------------------------------------------------- Common Stock 5/23/2007 S 500 $2.18 - ---------------------------------------------------------------------------- Common Stock 5/23/2007 P 2000 $2.14 - ---------------------------------------------------------------------------- Common Stock 5/23/2007 S 500 $2.18 - ---------------------------------------------------------------------------- Common Stock 5/25/2007 S 500 $2.40 - ---------------------------------------------------------------------------- Common Stock 5/25/2007 S 1500 $2.40 - ---------------------------------------------------------------------------- Common Stock 5/31/2007 P 500 $2.69 - ---------------------------------------------------------------------------- Common Stock 5/31/2007 P 500 $2.70 - ---------------------------------------------------------------------------- Common Stock 5/31/2007 P 500 $2.73 - ---------------------------------------------------------------------------- Common Stock 5/31/2007 P 1000 $2.73 - ---------------------------------------------------------------------------- Common Stock 6/1/2007 S 500 $2.67 - ---------------------------------------------------------------------------- Common Stock 6/1/2007 S 500 $2.67 - ---------------------------------------------------------------------------- Common Stock 6/4/2007 S 1000 $2.77 - ---------------------------------------------------------------------------- Common Stock 6/4/2007 S 500 $2.77 - ---------------------------------------------------------------------------- Common Stock 6/11/2007 S 500 $2.68 - ---------------------------------------------------------------------------- Common Stock 6/11/2007 S 500 $2.68 - ---------------------------------------------------------------------------- Common Stock 6/22/2007 P 57 $2.67 - ---------------------------------------------------------------------------- Common Stock 6/22/2007 S 70 $2.67 - ---------------------------------------------------------------------------- Common Stock 6/25/2007 P 70 $2.72 - ---------------------------------------------------------------------------- Common Stock 6/28/2007 S 57 $2.43 - ---------------------------------------------------------------------------- Common Stock 7/23/2007 P 9500 $1.86 - ---------------------------------------------------------------------------- Common Stock 7/24/2007 P 506 $1.67 - ---------------------------------------------------------------------------- Common Stock 7/24/2007 P 500 $1.67 - ---------------------------------------------------------------------------- Common Stock 7/24/2007 S 506 $1.70 - ---------------------------------------------------------------------------- Common Stock 7/24/2007 S 500 $1.70 - ---------------------------------------------------------------------------- Common Stock 7/24/2007 S 500 $1.70 - ---------------------------------------------------------------------------- Common Stock 7/24/2007 S 9000 $1.67 - ---------------------------------------------------------------------------- Common Stock 7/26/2007 S 20000 $1.18 - ---------------------------------------------------------------------------- Common Stock 7/26/2007 P 20000 $1.25 - ---------------------------------------------------------------------------- Common Stock 8/2/2007 P 1000 $1.19 - ---------------------------------------------------------------------------- Common Stock 8/3/2007 S 500 $1.19 - ---------------------------------------------------------------------------- Common Stock 8/3/2007 S 500 $1.19 - ---------------------------------------------------------------------------- * These transactions were previously reported on a Form 4 filed by the Reporting Persons on January 30, 2007. ** These transactions were previously reported on a Form 4 filed by the Reporting Persons on February 12, 2007. *** These transactions were previously reported on a Form 4 filed by the Reporting Persons on March 12, 2007. -----END PRIVACY-ENHANCED MESSAGE-----