FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
MERRILL LYNCH & CO INC [ MER ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/05/2003 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 11/05/2003 | M | 2,504 | A | $20.2969 | 101,444 | D | |||
Common Stock | 11/05/2003 | F | 861 | D | $59.05 | 100,583 | D | |||
Common Stock | 11/06/2003 | S | 5,000 | D | $59.65 | 95,705(1) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option - Right to Acquire(2) | $20.2969 | 11/05/2003 | M | 2,504 | (3) | 01/29/2007 | Common Stock | 2,504 | $0 | 0 | D | ||||
Stock Option - Right to Acquire(2) | $31 | (3) | 01/26/2008 | Common Stock | 4,188 | 4,188 | D | ||||||||
Stock Option - Right to Acquire(2) | $36.1719 | (4) | 01/25/2009 | Common Stock | 7,776 | 7,776 | D | ||||||||
Stock Option - Right to Acquire(2) | $36.1719 | (5) | 01/25/2009 | Common Stock | 10,040 | 10,040 | D | ||||||||
Stock Option - Right to Acquire(2) | $77.5625 | (6) | 01/23/2011 | Common Stock | 32,748 | 32,748 | D | ||||||||
Stock Option - Right to Acquire(2) | $53.745 | (7) | 01/28/2012 | Common Stock | 112,848 | 112,848 | D | ||||||||
Stock Option - Right to Acquire(2) | $36.065 | (8) | 01/27/2013 | Common Stock | 50,392 | 50,392 | D |
Explanation of Responses: |
1. This total also reflects the acquisition of shares of Merrill Lynch & Co., Inc. Common Stock as a result of dividend reinvestments and an allocation through various Merrill Lynch Plans which is exempt from the reporting requirements under the provisions of Rule 16b-3, Rule 16a-3 and/or Rule 16a-11. |
2. These stock options were granted under the Merrill Lynch & Co., Inc. Long-Term Incentive Compensation Plan. Transactions under this Plan are exempt under the provisions of Rule 16b-3. |
3. All stock options are exercisable. |
4. 1,944 stock options became exercisable after each of 1/25/01, 1/25/02 and 1/25/03. 1,944 stock options are exercisable after 1/25/04. |
5. These performance-based stock options became exercisable at a rate of 1% of the award for each increment of $20 million of Cumulative Economic Profit of the Issuer (determined annually on each anniversary of the award). 1,742 stock options became exercisable on 1/25/00 and 8,298 stock options became exercisable on 1/25/01. |
6. All stock options became exercisable after 7/31/01. |
7. All stock options became exercisable after 7/31/02. |
8. 12,598 stock options are exercisable after each of 1/27/04, 1/27/05, 1/27/06 and 1/27/07. |
Remarks: |
All reported positions have been rounded down to the nearest whole number. |
Gregory J. Fleming (by Michael A. LaMaina, as agent) | 11/07/2003 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |