SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Merrill Lynch & Co., Inc. – ‘SC TO-I’ on 11/9/04 re: Merrill Lynch & Co., Inc.

On:  Tuesday, 11/9/04, at 4:46pm ET   ·   Accession #:  1193125-4-191389   ·   File #:  5-34312

Previous ‘SC TO-I’:  None   ·   Next:  ‘SC TO-I’ on 11/9/04   ·   Latest:  ‘SC TO-I/A’ on 2/24/09

  in   Show  &   Hints

  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

11/09/04  Merrill Lynch & Co., Inc.         SC TO-I                3:266K Merrill Lynch & Co., Inc.         RR Donnelley/FA

Tender-Offer Statement — Issuer Tender Offer   —   Schedule TO
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC TO-I     Schedule to                                         HTML     32K 
 2: EX-99.(A)(1)  Notice of Amendment                               HTML    150K 
 3: EX-99.(A)(5)  Press Release, Dated November 9, 2004             HTML     13K 


SC TO-I   —   Schedule to


This is an HTML Document rendered as filed.  [ Alternative Formats ]



  Schedule TO  

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 


 

SCHEDULE TO

(RULE 14d-100)

 

TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1)

OF THE SECURITIES EXCHANGE ACT OF 1934

 

MERRILL LYNCH & CO., INC.

(Name of Subject Company (Issuer))

 

MERRILL LYNCH & CO., INC. (ISSUER)

(Names of Filing Persons (Identifying Status as Offeror, Issuer or Other Person))

 

LIQUID YIELD OPTION NOTES DUE 2031

(Title of Class of Securities)

 

590188 A6 5

(CUSIP Number of Class of Securities)

 

RICHARD ALSOP, ESQ.

GENERAL COUNSEL

CORPORATE LAW

MERRILL LYNCH & CO., INC.

4 WORLD FINANCIAL CENTER

NEW YORK, NEW YORK 10080

TELEPHONE: (212) 449-1000

(Name, Address and Telephone Numbers of Person Authorized to Receive Notices

and Communications on Behalf of Filing Persons)

 

COPY TO:

 

NORMAN D. SLONAKER, ESQ.

SIDLEY AUSTIN BROWN & WOOD LLP

787 SEVENTH AVENUE

NEW YORK, NEW YORK 10019

TELEPHONE: (212) 839-5300

 


 

CALCULATION OF FILING FEE

 

TRANSACTION VALUATION1   AMOUNT OF FILING FEE2
$1,979,208,000   $250,765.65

 

¨   Check box if any part of the fee is offset as provided by Rule 0-11(a)(2) and identify the filing with which the offsetting fee was previously paid. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing.

 

Amount Previously Paid:                                                           

  Filing Party:                                                                                    

Form of Registration No.:                                                         

  Date Filed:                                                                                      

 

¨   Check the box if the filing relates solely to preliminary communications made before the commencement of a tender offer.

 

¨   Check the appropriate boxes below to designate any transactions to which the statement relates:

 

¨   third-party tender offer subject to Rule 14d-1.

 

x   issuer tender offer subject to Rule 13e-4.

 

¨   going-private transaction subject to Rule 13e-3.

 

¨   amendment to Schedule 13D under Rule 13d-2.

 

Check   the following box if the filing is a final amendment reporting the results of the tender offer: ¨

 


  Trademark of Merrill Lynch & Co., Inc.
1   The transaction value is based upon the original principal amount of the securities to be received by the acquiring person computed as of the latest practicable date prior to the date of filing.
2   The amount of the filing fee, calculated in accordance with Rule 0-11 of the Securities Exchange Act of 1934, as amended, equals $126.70 per $1,000,000 of the value of the transaction.

 



SCHEDULE TO

 

This Tender Offer Statement on Schedule TO relates to the notice by Merrill Lynch & Co., Inc., a Delaware corporation (the “Company”), of an amendment to the Company’s Liquid Yield Option Notes due 2031 (Zero Coupon—Senior) (the “LYONs”) and the related indenture to add December 10, 2004 as an additional date on which holders of the LYONs may require the Company to repurchase all or a portion of their LYONs for cash. The holder’s right to require the Company to repurchase their LYONs will be subject to the conditions set forth in the Notice of Amendment dated November 9, 2004. This Tender Offer Statement on Schedule TO is intended to satisfy the reporting requirements of Rule 13e-4 under the Securities Exchange Act of 1934, as amended.

 

The information in the Notice of Amendment, a copy of which is filed with this Schedule TO as an Exhibit (a)(1) hereto is incorporated herein by reference in answer to Items 1 through 11 in this Tender Offer Statement on Schedule TO, except as otherwise set forth below.

 

Item 3. Identity and Background of Filing Person

 

(A)   Name and address.

 

This is an issuer tender offer. The filing person and subject company is Merrill Lynch & Co., Inc., a Delaware corporation, with its principal executive offices located at 4 World Financial Center, New York, New York 10080; telephone number (212) 449-1000.

 

Pursuant to General Instruction C to Schedule TO, the following persons are the executive officers and directors of the Company:

 

Name


  

Position


E. Stanley O’Neal

   Chairman of the Board, Chief Executive Officer, President and Chief Operating Officer

Rosemary T. Berkery

   Executive Vice President, General Counsel

Robert C. Doll

   Senior Vice President

Ahmass L. Fakahany

   Executive Vice President, Chief Financial Officer

Gregory J. Fleming

   Executive Vice President

James P. Gorman

   Executive Vice President

Do Woo Kim

   Executive Vice President

Robert J. McCann

   Executive Vice President

Worley H. Clark

   Director

Jill K. Conway

   Director

Alberto Cribiore

   Director

John D. Finnegan

   Director

Heinz-Joachim Neubürger

   Director

David K. Newbigging

   Director

Aulana L. Peters

   Director

Joseph W. Prueher

   Director

Ann N. Reese

   Director

Charles O. Rossotti

   Director

 

The business address and telephone number of each of the above executive officers and directors of the Company is 4 World Financial Center, New York, New York 10080; telephone number is (212) 449-1000.

 

2


Item 12. Exhibits.

 

(a)(1)   

Notice of Amendment, dated November 9, 2004.

(a)(5)    Press Release, dated November 9, 2004, Merrill Lynch & Co., Inc. Announces Amendment of the LYONs and Additional Purchase Date.

 

 

Item 13. Information Required by Schedule 13e-3.

 

Not applicable.

 

3


SIGNATURE

 

After due 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: November 9, 2004

     

MERRILL LYNCH & CO., INC.

            By:  

/S/  JOHN LAWS


               

Name: John Laws

Title:   Assistant Treasurer

 

4


EXHIBIT INDEX

 

Exhibit
Number


  

Description


(a)(1)   

Notice of Amendment, dated November 9, 2004.

(a)(5)    Press Release, dated November 9, 2004, Merrill Lynch & Co., Inc. Announces Amendment of the LYONs and Additional Purchase Date.

 

5


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘SC TO-I’ Filing    Date    Other Filings
12/10/04424B3,  SC TO-I/A
Filed on:11/9/048-K,  SC TO-I,  T-3
 List all Filings 
Top
Filing Submission 0001193125-04-191389   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2018 Fran Finnegan & Company.  All Rights Reserved.
AboutPrivacyRedactionsHelp — Thu., Jan. 18, 12:33:43.0pm ET