-----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, Oqp647akbk6QnPOJ/uvexKLrqwOxipE9N/IPOxWNcbHzDh15xuofHu9GwRGhoXkc 0xsUAVq6EH8Y4pTuTKNtVw== 0001209191-10-042846.txt : 20100817 0001209191-10-042846.hdr.sgml : 20100817 20100817120800 ACCESSION NUMBER: 0001209191-10-042846 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100813 FILED AS OF DATE: 20100817 DATE AS OF CHANGE: 20100817 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LIBBEY INC CENTRAL INDEX KEY: 0000902274 STANDARD INDUSTRIAL CLASSIFICATION: GLASS, GLASSWARE, PRESSED OR BLOWN [3220] IRS NUMBER: 341559357 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 300 MADISON AVE STREET 2: PO BOX 10060 CITY: TOLEDO STATE: OH ZIP: 43604 BUSINESS PHONE: 4193252100 MAIL ADDRESS: STREET 1: PO BOX 10060 CITY: TOLEDO STATE: OH ZIP: 43699-0060 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BANK OF AMERICA CORP /DE/ CENTRAL INDEX KEY: 0000070858 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12084 FILM NUMBER: 101022360 BUSINESS ADDRESS: STREET 1: BANK OF AMERICA CORPORATE CENTER STREET 2: 100 N TRYON ST CITY: CHARLOTTE STATE: NC ZIP: 28255 BUSINESS PHONE: 7043868486 MAIL ADDRESS: STREET 1: BANK OF AMERICA CORPORATE CENTER STREET 2: 100 N TRYON ST CITY: CHARLOTTE STATE: NC ZIP: 28255 FORMER NAME: FORMER CONFORMED NAME: BANKAMERICA CORP/DE/ DATE OF NAME CHANGE: 19981022 FORMER NAME: FORMER CONFORMED NAME: NATIONSBANK CORP DATE OF NAME CHANGE: 19920703 FORMER NAME: FORMER CONFORMED NAME: NCNB CORP DATE OF NAME CHANGE: 19920107 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: 001-12084 FILM NUMBER: 101022359 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 FORMER NAME: FORMER CONFORMED NAME: MERRILL LYNCH PIERCE FENNER & SMITH INC DATE OF NAME CHANGE: 19920929 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Merrill Lynch PCG, Inc. CENTRAL INDEX KEY: 0001412246 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12084 FILM NUMBER: 101022358 BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 212-449-3117 MAIL ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER CITY: NEW YORK STATE: NY ZIP: 10080 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2010-08-13 0 0000902274 LIBBEY INC LBY 0000070858 BANK OF AMERICA CORP /DE/ 100 N. TRYON CHARLOTTE NC 28255 0 0 1 0 0000728612 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. ONE BRYANT PARK NEW YORK NY 10036 0 0 1 0 0001412246 Merrill Lynch PCG, Inc. ONE BRYANT PARK NEW YORK NY 10036 0 0 1 0 Common Stock 2010-08-13 4 X 0 2168362 0.01 A 3188618 I See Footnote Series I Warrant 0.01 2010-08-13 4 X 0 2168362 0.00 D 2019-10-28 Common Stock 1298494 1298494 I See Footnote As the ultimate holding company of both Merrill Lynch, Pierce, Fenner & Smith, Inc. and Merrill Lynch PCG, Inc., Bank of America Corporation may be deemed to beneficially own the shares held by each entity. The beneficial ownership of Bank of America Corporation comprises the following ownerships of each entity: (a) 3,101,507 shares of common stock owned by Merrill Lynch PCG, Inc.; (b) 1,298,494 shares of Common Stock issuable upon exercise of the remaining shares under the Series I Warrant the Issuer issued to Merrill Lynch PCG, Inc. on October 28, 2009; (c) 485,309 shares of Common Stock issuable upon exercise of a warrant the Issuer issued to MLPCG on June 16, 2006; and (d) 87,111 shares of Common Stock owned by Merrill Lynch, Pierce, Fenner & Smith, Inc. Due to contractual limitations under the Series I Warrant held by Merrill Lynch PCG, Inc., 1,298,494 shares held under the Series I Warrant are not currently exercisable. Bank of America Corporation, By:/s/ Angelina L. Richardson. Title: Vice President 2010-08-17 Merrill Lynch, Pierce, Fenner & Smith Inc., By:/s/ Lawrence Emerson, Title: Attorney-In-Fact 2010-08-17 Merrill Lynch PCG Inc., By:/s/ Gerard M. Haugh. Title: Vice President 2010-08-17 -----END PRIVACY-ENHANCED MESSAGE-----