Merrill Lynch & Co., Inc. STEP Income Securities linked to Freeport-McMoran C&G due 7/14/09 (FOA)

FINANCE: GENERAL FINANCE
SIC: NATIONAL COMMERCIAL BANKS
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BANK OF AMERICA CORPORATE CENTER CHARLOTTE, NC 28255

Merrill Lynch & Co. Inc., STEP Income Securities, issued at $10 per unit, due 7/14/2009 and linked to the price of Freeport-McMoran Copper & Gold Inc. (NYSE: FCX) common stock. The securities can not be redeemed prior to maturity and make no guarantee of the return of principal at maturity. Income distributions of 11.86% ($1.186) per annum will be paid quarterly on 10/14/08, 1/14/09, 4/14/09 and 7/14/2009. The starting (volume weighted average) price of Freeport-McMoran Copper & Gold stock is $116.8085. At maturity, the STEPs will pay a 5.00% step payment if the price level of Freeport-McMoran Copper & Gold common stock on the fifth business day prior to the maturity date is greater than or equal to the step level of $130.6620 (111.86% of the starting price). If the ending price at the maturity date is greater than or equal to the threshold price of $105.1277 (90% of the starting price), the payment at maturity will be $10.00. If the ending price at maturity is less than the threshold price, the maturity payment will be equal to the decline in the price of the stock less 10%. If the price of Freeport-McMoran Copper & Gold common stock has decreased during the term of the securities, the value of the common stock delivered at the maturity date will be be less, and possibly significantly less, than the original purchase price of the STEPs.

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

PRATCHER TYSON ANWAR

  • Director
0 2021-04-02 1

CORIO NORMA

  • Director
0 2021-04-02 1

THORNOCK TAI A. CHIEF ACCOUNTING OFFICER

  • Officer
0 2021-04-02 1

CHEE MENES

  • Director
0 2021-04-02 1

LORD ROBERT

  • Director
0 2021-04-02 1

WEST LANCE

  • Director
700,000 2021-04-02 1

PRAHM JEREMY CHIEF INVESTMENT OFFICER

  • Officer
0 2021-04-02 1

FLEMING GRAHAM PRESIDENT

  • Officer
0 2021-04-02 1

GERICKE JOHAN EVP, CHIEF FINANCIAL OFFICER

  • Officer
0 2021-04-02 1

COOK PATRICIA CHIEF EXECUTIVE OFFICER

  • Officer
  • Director
0 2021-04-02 1

VILLANI ANTHONY W. CHIEF LEGAL OFFICER

  • Officer
0 2021-04-02 1

BLACKSTONE TACTICAL OPPORTUNITIES FUND - U - NQ L.L.C.

BLACKSTONE TACTICAL OPPORTUNITIES FUND - T - NQ L.P.

BLACKSTONE TACTICAL OPPORTUNITIES FUND II - C - NQ L.P.

BTAS NQ HOLDINGS L.L.C.

BTAS ASSOCIATES-NQ L.L.C.

BLACKSTONE FAMILY TACTICAL OPPORTUNITIES INVESTMENT PARTNERSHIP SMD L.P.

BLACKSTONE FAMILY GP LLC

  • 10% Owner
25,100,875 2021-04-02 1

BTO URBAN HOLDINGS L.L.C.

BLACKSTONE TACTICAL OPPORTUNITIES FUND - S - NQ L.P.

BLACKSTONE TACTICAL OPPORTUNITIES FUND - NQ L.P.

BLACKSTONE TACTICAL OPPORTUNITIES FUND II - NQ L.P.

BLACKSTONE TACTICAL OPPORTUNITIES FUND - A (RA) - NQ L.P.

BLACKSTONE TACTICAL OPPORTUNITIES FUND - I - NQ L.P.

BLACKSTONE TACTICAL OPPORTUNITIES FUND - C - NQ L.P.

BLACKSTONE TACTICAL OPPORTUNITIES FUND - L - NQ L.P.

BLACKSTONE TACTICAL OPPORTUNITIES FUND - O - NQ L.P.

BLACKSTONE TACTICAL OPPORTUNITIES FUND - N - NQ L.P.

  • 10% Owner
25,100,875 2021-04-02 1

BLACKSTONE HOLDINGS III L.P.

BLACKSTONE HOLDINGS III GP L.P.

BLACKSTONE HOLDINGS III GP MANAGEMENT L.L.C.

BLACKSTONE GROUP INC

BLACKSTONE GROUP MANAGEMENT L.L.C.

SCHWARZMAN STEPHEN A

  • 10% Owner
25,100,875 2021-04-02 1

LIBMAN BRIAN L

LIBMAN FAMILY HOLDINGS, LLC

  • Director
  • 10% Owner
1,380,249 2021-04-02 1

BLACKSTONE TACTICAL OPPORTUNITIES ASSOCIATES - NQ L.L.C.

BTOA - NQ L.L.C.

BTO URBAN HOLDINGS II L.P.

BTO - NQ SIDE-BY-SIDE GP L.L.C.

BLACKSTONE FAMILY TACTICAL OPPORTUNITIES INVESTMENT PARTNERSHIP NQ - ESC L.P.

BLACKSTONE TACTICAL OPPORTUNITIES ASSOCIATES L.L.C.

BTOA L.L.C.

BLACKSTONE HOLDINGS II L.P.

BLACKSTONE HOLDINGS I/II GP L.L.C.

  • 10% Owner
25,100,875 2021-04-02 1

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
No current insider transactions

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

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