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FORM 4
[ X ] Check this box if no
longer subject to Section 16.
Form 4 or Form5 obligations
may continue.See Instruction
1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
OMB APPROVAL
OMB Number: 3235-0287
Expires: February 28, 2011
Estimatedaverage burden
hours per response... 0.5
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the
Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
1. Name and Address of Reporting Person *
THAIN JOHN A
2. Issuer Name and Ticker or Trading Symbol
MERRILL LYNCH & CO., INC. [ MER ]
5. Relationship of Reporting Person(s) to
Issuer(Check all applicable)
__ X __ Director _____ 10% Owner
__ X __ Officer (give title below) _____ Other (specify
below)
Chairman & CEO
(Last) (First) (Middle)
C/O MERRILL LYNCH & CO., INC., 4
WORLD FINANCIAL CENTER
3. Date of Earliest Transaction (MM/DD/YYYY)
1/1/2009
(Street)
NEW YORK, NY 10080
(City) (State) (Zip)
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
6. Individual or Joint/Group Filing (Check
Applicable Line)
_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans.
Date
2A. Deemed
Execution
Date, if any
3. Trans.
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 1/1/2009 D 747268 D $0 (1)
0 D
Common Stock 1/1/2009 D 250000 D $0 (1)
0 I By GRAT
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of
Derivate
Security
(Instr. 3)
2. Conversion
or Exercise
Price of
Derivative
Security
3. Trans.
Date
3A. Deemed
Execution
Date, ifany
4. Trans.
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
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
Formof
Derivative
Security:
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
Buy)
$60.43 1/1/2009 D 42815 (2) 2/3/2017
Common
Stock
42815 (2) 0 D
Stock Option
(Right to
Buy)
$60.43 1/1/2009 D 1800000 (3) 12/1/2017
Common
Stock
1800000 (3) 0 D
Explanation of Responses:
( 1) Disposed of pursuant to merger agreement between issuer and Bank of America Corporation ("BAC") in exchange for 0.8595 of a
common share of BAC for each share of issuer common stock, as set forth in the merger agreement. The closing price of BAC common
stockon December 31, 2008 was $14.08. These transactions are exempt under Rule 16b-3.
( 2) These options,which provided for vesting in three equal installments beginning February 3, 2008, were assumed by BAC in the merger
and replaced with options to purchase 36,797 shares of BAC common stock with an exercise price of $70.31 per share.
( 3) These options,which provided for 100% vesting upon the completion of the merger between the issuerand a subsidiary of BAC, were
assumed by BAC in the merger and replaced with options to purchase 1,547,100 shares of BAC common stockwith an exercise price
of $70.31 per share.
Remarks:
All reported positions have been rounded down to the nearest whole number.
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
THAIN JOHN A
C/O MERRILL LYNCH & CO., INC.
4 WORLD FINANCIAL CENTER
NEW YORK, NY 10080
X Chairman & CEO
Signatures
John A. Thain (By Pia K. Thompson, as agent) 1/5/2009
** 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 control number.

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Merrill Lynch_Sec Filings_Beneficial Ownership Reports

  • 1. FORM 4 [ X ] Check this box if no longer subject to Section 16. Form 4 or Form5 obligations may continue.See Instruction 1(b). UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES OMB APPROVAL OMB Number: 3235-0287 Expires: February 28, 2011 Estimatedaverage burden hours per response... 0.5 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person * THAIN JOHN A 2. Issuer Name and Ticker or Trading Symbol MERRILL LYNCH & CO., INC. [ MER ] 5. Relationship of Reporting Person(s) to Issuer(Check all applicable) __ X __ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) Chairman & CEO (Last) (First) (Middle) C/O MERRILL LYNCH & CO., INC., 4 WORLD FINANCIAL CENTER 3. Date of Earliest Transaction (MM/DD/YYYY) 1/1/2009 (Street) NEW YORK, NY 10080 (City) (State) (Zip) 4. If Amendment, Date Original Filed (MM/DD/YYYY) 6. Individual or Joint/Group Filing (Check Applicable Line) _ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. 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 1/1/2009 D 747268 D $0 (1) 0 D Common Stock 1/1/2009 D 250000 D $0 (1) 0 I By GRAT Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) 1. Title of Derivate Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, ifany 4. Trans. 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 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 Formof Derivative Security: 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 Buy) $60.43 1/1/2009 D 42815 (2) 2/3/2017 Common Stock 42815 (2) 0 D Stock Option (Right to Buy) $60.43 1/1/2009 D 1800000 (3) 12/1/2017 Common Stock 1800000 (3) 0 D Explanation of Responses: ( 1) Disposed of pursuant to merger agreement between issuer and Bank of America Corporation ("BAC") in exchange for 0.8595 of a common share of BAC for each share of issuer common stock, as set forth in the merger agreement. The closing price of BAC common stockon December 31, 2008 was $14.08. These transactions are exempt under Rule 16b-3. ( 2) These options,which provided for vesting in three equal installments beginning February 3, 2008, were assumed by BAC in the merger and replaced with options to purchase 36,797 shares of BAC common stock with an exercise price of $70.31 per share. ( 3) These options,which provided for 100% vesting upon the completion of the merger between the issuerand a subsidiary of BAC, were
  • 2. assumed by BAC in the merger and replaced with options to purchase 1,547,100 shares of BAC common stockwith an exercise price of $70.31 per share. Remarks: All reported positions have been rounded down to the nearest whole number. Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other THAIN JOHN A C/O MERRILL LYNCH & CO., INC. 4 WORLD FINANCIAL CENTER NEW YORK, NY 10080 X Chairman & CEO Signatures John A. Thain (By Pia K. Thompson, as agent) 1/5/2009 ** 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 control number.