-----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, TysXnW1rqDSxGqyMsrxaHidf072qoy0z+29BYFEkIHx53k6VQlhBAvUkGGpcS9KA 0TuF6M2aHLdXbl3oOS4oMg== 0000728612-04-000016.txt : 20040224 0000728612-04-000016.hdr.sgml : 20040224 20040224140125 ACCESSION NUMBER: 0000728612-04-000016 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040224 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DELTA AIR LINES INC /DE/ CENTRAL INDEX KEY: 0000027904 STANDARD INDUSTRIAL CLASSIFICATION: AIR TRANSPORTATION, SCHEDULED [4512] IRS NUMBER: 580218548 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-12283 FILM NUMBER: 04624338 BUSINESS ADDRESS: STREET 1: HARTSFIELD ATLANTA INTL AIRPORT STREET 2: 1030 DELTA BLVD CITY: ATLANTA STATE: GA ZIP: 30354-1989 BUSINESS PHONE: 4047152600 MAIL ADDRESS: STREET 1: P.O. BOX 20706 STREET 2: DEPT 981 CITY: ATLANTA STATE: GA ZIP: 30320-6001 FORMER COMPANY: FORMER CONFORMED NAME: DELTA AIR CORP DATE OF NAME CHANGE: 19660908 FILED BY: COMPANY 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: SC 13G BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER FL 12 CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 2124496202 MAIL ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER FL 12 CITY: NEW YORK STATE: NY ZIP: 10080 SC 13G 1 delta_13g.txt DELTA AIR LINES 12/31/2003 13G -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0145 UNITED STATES Expires: December 31, 2005 SECURITIES AND EXCHANGE COMMISSION Estimated average burden Washington, D.C. 20549 hours per response .....11 -------------------------- SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) DELTA AIR LINES INCORPORATED - ----------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - ----------------------------------------------------------------------------- (Title of Class of Securities) 247361108 - ----------------------------------------------------------------------------- (CUSIP Number) DECEMBER 31, 2003 - ----------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 247361108 13G _____________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) MERRILL LYNCH & CO., INC. (MERRILL LYNCH) _____________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [ ] _____________________________________________________________________________ 3. SEC USE ONLY _____________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware _____________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES Disclaimed (See #9 below) _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY Disclaimed (See #9 below) _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING Disclaimed (See #9 below) _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH Disclaimed (See #9 below) _____________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Merrill Lynch & Co. disclaims beneficial ownership in all shares of Delta Air Lines, Inc. held by Merrill Lynch, Pierce, Fenner and Smith and Merrill Lynch Professional Clearing Corp. _____________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] _____________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Disclaimed (See #9 above) _____________________________________________________________________________ 12. TYPE OF REPORTING PERSON* HC, CO _____________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 247361108 13G _____________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) MERRILL LYNCH PEIRCE FENNER & SMITH, INC. (MLPF&S) _____________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] _____________________________________________________________________________ 3. SEC USE ONLY _____________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware _____________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 6,848,457 _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 0 _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING 6,848,457 _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 0 _____________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON MLPFS holds 920,857 shares of common stock and 59,276 option contracts which could be converted into 5,927,600 shares of common stock, together totaling 6,848,457 shares of common stock representing 5.55% of the companies outstanding shares. ML Pro holds 2,864 option contracts which could be converted into 286,400 shares of common stock representing .23% of the companies outstanding shares. Together Merrill Lynch holds 7,134,857 shares of common stock representing 5.78% of the companies outstanding shares. _____________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] _____________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) MLPFS holds 920,857 shares of common stock and 59,276 option contracts which could be converted into 5,927,600 shares of common stock, together totaling 6,848,457 shares of common stock representing 5.55% of the companies outstanding shares. ML Pro holds 2,864 option contracts which could be converted into 286,400 shares of common stock representing .23% of the companies outstanding shares. Together Merrill Lynch holds 7,134,857 shares of common stock representing 5.78% of the companies outstanding shares. _____________________________________________________________________________ 12. TYPE OF REPORTING PERSON* BD, CO _____________________________________________________________________________ CUSIP No. 247361108 13G _____________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) MERRILL LYNCH PROFESSIONAL CLEARING CORP. (ML PRO) _____________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] _____________________________________________________________________________ 3. SEC USE ONLY _____________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware _____________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 286,400 _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 0 _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING 286,400 _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 0 _____________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON MLPFS holds 920,857 shares of common stock and 59,276 option contracts which could be converted into 5,927,600 shares of common stock, together totaling 6,848,457 shares of common stock representing 5.55% of the companies outstanding shares. ML Pro holds 2,864 option contracts which could be converted into 286,400 shares of common stock representing .23% of the companies outstanding shares. Together Merrill Lynch holds 7,134,857 shares of common stock representing 5.78% of the companies outstanding shares. _____________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] _____________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) MLPFS holds 920,857 shares of common stock and 59,276 option contracts which could be converted into 5,927,600 shares of common stock, together totaling 6,848,457 shares of common stock representing 5.55% of the companies outstanding shares. ML Pro holds 2,864 option contracts which could be converted into 286,400 shares of common stock representing .23% of the companies outstanding shares. Together Merrill Lynch holds 7,134,857 shares of common stock representing 5.78% of the companies outstanding shares. _____________________________________________________________________________ 12. TYPE OF REPORTING PERSON* BD, CO _____________________________________________________________________________ CUSIP No. 247361108 13G _____________________________________________________________________________ Item 1(a). Name of Issuer: DELTA AIR LINES INC. _____________________________________________________________________________ Item 1(b). Address of Issuer's Principal Executive Offices: HARTSFIELD ATLANTA INTL AIRPORT 1030 DELTA BLVD ATLANTA, GA 30354-1989 _____________________________________________________________________________ Item 2(a). Name of Person Filing: MERRILL LYNCH & CO. INC. MERRILL LYNCH PIERCE FENNER & SMITH INC. MERRILL LYNCH PROFESSIONAL CLEARING CORP. ___________________________________________________________________________ Item 2(b). Address of Principal Business Office, or if None, Residence: MERRILL LYNCH & CO., INC. 4 WORLD FINANCIAL CENTER NEW YORK, NEW YORK 10080 MERRILL LYNCH PIERCE FENNER & SMITH INC. 4 WORLD FINANCIAL CENTER NEW YORK, NEW YORK 10080 MERRILL LYNCH PROFESSIONAL CLEARING CORP. 4 WORLD FINANCIAL CENTER NEW YORK, NEW YORK 10080 __________________________________________________________________________ Item 2(c). Citizenship: SEE ITEM 4 OF COVER PAGES _____________________________________________________________________________ Item 2(d). Title of Class of Securities: COMMON STOCK _____________________________________________________________________________ Item 2(e). CUSIP Number: 247361108 _____________________________________________________________________________ Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (a) [X] Broker or dealer registered under Section 15 of the Exchange Act. (b) [_] Bank as defined in Section 3(a)(6) of the Exchange Act. (c) [_] Insurance company as defined in Section 3(a)19) of the Exchange Act. (d) [ ] Investment company registered under Section 8 of the Investment Company Act. (e) [_] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E) (f) [_] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F) (g) [_] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G) (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act (j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). CUSIP No. 247361108 13G Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: SEE ITEM 9 OF COVER PAGES (b) Percent of class: SEE ITEM 11 OF COVER PAGES (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: SEE ITEM 5 OF COVER PAGES (ii) Shared power to vote or to direct the vote: SEE ITEM 6 OF COVER PAGES (iii) Sole power to dispose or to direct the disposition of: SEE ITEM 7 OF COVER PAGES (iv) Shared power to dispose or to direct the disposition of SEE ITEM 8 OF COVER PAGES _____________________________________________________________________________ Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following [ ] _____________________________________________________________________________ Item 6. Ownership of More Than Five Percent on Behalf of Another Person. NOT APPLICABLE _____________________________________________________________________________ Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. NOT APPLICABLE _____________________________________________________________________________ Item 8. Identification and Classification of Members of the Group. Although Merrill Lynch & Co., MLPF&S and ML PRO are affiliates and have determined to file jointly, the reporting persons are of the view that their affiliation does not cause them to be acting as a group within the meaning of Rule 13d-5 under the Securities Exchange Act of 1934 (the "1934 Act"). _____________________________________________________________________________ Item 9. Notice of Dissolution of Group. NOT APPLICABLE _____________________________________________________________________________ CUSIP No. 247361108 13G Item 10. Certifications. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable 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. MERRILL LYNCH & CO., INC Dated: February 24, 2004 By: /s/ Lawrence M. Egan, Jr. ---------------------------------------------- Name: Lawrence M. Egan, Jr. Title: Attorney-in-Fact* Assistant Secretary MERRILL LYNCH PIERCE FENNER & SMITH INC. Dated: February 24, 2004 By: /s/ Lawrence M. Egan, Jr. ---------------------------------------------- Name: Lawrence M. Egan, Jr. Title: Attorney-in-Fact** Assistant Secretary MERRILL LYNCH PROFESSIONAL CLEARING CORP. Dated: February 24, 2004 By: /s/ Thomas H. Patrick, Jr. ---------------------------------------------- Name: Thomas H. Patrick, Jr. Title: Senior Vice President and Director ____________________ * Executed pursuant to a Power of Attorney, dated November 17, 1995, a copy of which is attached hereto as Exhibit 1. ** Executed pursuant to a Power of Attorney, dated February 25, 1995, a copy of which is attached hereto as Exhibit 2. Schedule 13G Exhibit 1 Power of Attorney The undersigned, Merrill Lynch & Co., Inc. (the "Corporation"), a corporation duly organized under the laws of Delaware, with its principal place of business at World Financial Center, North Tower, 2560 Vesey Street, New York, New York 10281 does hereby make, constitute and appoint Richard B. Alsop, Richard D. Kreuder, Andrea Lowenthal, Gregory T. Russo, or any individual from time to time elected or appointed as secretary or an assistant secretary of the Corporation, acting severally, each of whose address is Merrill Lynch & Co., Inc., World Financial Center, North Tower, 250 Vesey Street, New York, New York 10281, as its true and lawful attorneys- in-fact, for it and in its name, place and stead (i) to execute on behalf of the Corporation and cause to be filed and/or delivered, as required under Section 13(d) of the Securities Exchange Act of 1934 (the "Act") and the regulations thereunder, any number, as appropriate, of original, copies, or electronic filings of the Securities and Exchange Commission Schedule 13D or Schedule 13G Beneficial Ownership Reports (together with any amendments and joint filing agreements under Rule 13d-1(f)(1) of the Act, as may be required thereto) to be filed and/or delivered with respect to any equity security (as defined in Rule 13d-1(d) under the Act) beneficially owned by the undersigned and which must be reported by the undersigned pursuant to Section 13(d) of the Act and the regulations thereunder, (ii) to execute on behalf of the Corporation and cause to be filed and/or delivered, any number, as appropriate, of original, copies or electronic filings of any forms (including without limitation), Securities and Exchange Commission Forms 3, 4 and 5) required to be filed pursuant to Section 16(a) of the Act and the regulations thereunder, and (iii) generally to take such other actions and perform such other things necessary to effectuate the foregoing as fully in a all respects as if the undersigned could do if personally present. This Power of Attorney shall remain in effect until revoked, in writing, by the undersigned. IN WITNESS WHEREOF, the undersigned has executed this Power of Attorney, this 17th day of November 1995. MERRILL LYNCH & CO., INC. By: /s/ David H. Komansky _____________________________________________ Name: David H. Komansky Title: President and Chief Operating Officer Schedule 13G Exhibit 2 Power of Attorney The undersigned, Merrill Lynch, Pierce, Fenner & Smith Incorporated (the "Corporation"), a corporation duly organized under the laws of Delaware, with its principal place of business at World Financial Center, North Tower, 2560 Vesey Street, New York, New York 10281 does hereby make, constitute and appoint Richard B. Alsop, Richard D. Kreuder, Andrea Lowenthal, Gregory T. Russo, or any individual from time to time elected or appointed as secretary or an assistant secretary of the Corporation, acting severally, each of whose address is Merrill Lynch & Co., Inc., World Financial Center, North Tower, 250 Vesey Street, New York, New York 10281, as its true and lawful attorneys-in-fact, for it and in its name, place and stead (i) to execute on behalf of the Corporation and cause to be filed and/or delivered, as required under Section 13(d) of the Securities Exchange Act of 1934 (the "Act") and the regulations thereunder, any number, as appropriate, of original, copies, or electronic filings of the Securities and Exchange Commission Schedule 13D or Schedule 13G Beneficial Ownership Reports (together with any amendments and joint filing agreements under Rule 13d-1(f)(1) of the Act, as may be required thereto) to be filed and/or delivered with respect to any equity security (as defined in Rule 13d- 1(d) under the Act) beneficially owned by the undersigned and which must be reported by the undersigned pursuant to Section 13(d) of the Act and the regulations thereunder, (ii) to execute on behalf of the Corporation and cause to be filed and/or delivered, any number, as appropriate, of original, copies or electronic filings of any forms (including without limitation), Securities and Exchange Commission Forms 3, 4 and 5) required to be filed pursuant to Section 16(a) of the Act and the regulations thereunder, and (iii) generally to take such other actions and perform such other things necessary to effectuate the foregoing as fully in a all respects as if the undersigned could do if personally present. This Power of Attorney shall remain in effect until revoked, in writing, by the undersigned. IN WITNESS WHEREOF, the undersigned has executed this Power of Attorney, this 25th day of February 1995. MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED By: /s/ David H. Komansky __________________________________________________ Name: David H. Komansky Title: President and Chief Operating Officer -----END PRIVACY-ENHANCED MESSAGE-----