-----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, D8NfbVFVBV4clq8HHhXG3X9dXu4NQkaSKGPH8wtCp1dPpKCko12t76lGCGWohS1z RmFOOmxYDlM2Z/F6Ev/1ig== 0000947871-02-002111.txt : 20021031 0000947871-02-002111.hdr.sgml : 20021031 20021031171201 ACCESSION NUMBER: 0000947871-02-002111 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20021031 ITEM INFORMATION: Other events ITEM INFORMATION: Financial statements and exhibits FILED AS OF DATE: 20021031 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UTILITIES HOLDERS SM TRUST CENTRAL INDEX KEY: 0001113670 STANDARD INDUSTRIAL CLASSIFICATION: ASSET-BACKED SECURITIES [6189] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-15963 FILM NUMBER: 02805445 BUSINESS ADDRESS: STREET 1: BANK OF NEW YORK STREET 2: 101 BARCLAY ST 22W CITY: NEW YORK STATE: NY ZIP: 10028 BUSINESS PHONE: 2128152213 MAIL ADDRESS: STREET 1: BANK OF NEW YORK STREET 2: 101 BARCLAY ST 22W CITY: NEW YORK STATE: NY ZIP: 10028 8-K 1 f8k-utilities_103002.txt FORM 8-K DATED 10/31/02 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ______________ FORM 8-K Current Report Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 30, 2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Initial Depositor (Exact name of registrant as specified in its charter) Utilities HOLDRS (SM) Trust [Issuer with respect to the receipts] DELAWARE (State or other jurisdiction of incorporation) 333-36490 Commission File Number 13-5674085 (I.R.S. Employer Identification No.) 250 Vesey Street New York, New York 10281 (Address of principal executive offices and zip code) (212) 449-1000 (Registrant's telephone number, including area code) Item 5. Other Events Effective October 1, 2002, Reliant Energy, Inc. changed its name to Centerpoint Energy, Inc. As of October 4, 2002, as a result of the spin-off of Reliant Resources, Inc. from Reliant Energy, Inc. (now known as Centerpoint Energy, Inc.), Reliant Resources, Inc. will be included in Utilities HOLDRS. As of October 4, 2002 10.251839 shares of Reliant Resources, Inc. will be included in each round-lot of 100 Utilities HOLDRS. 2 Item 7. Financial Statements, Pro Forma Financial Information and Exhibits (c) Exhibits 99.1 Utilities HOLDRS Trust Prospectus Supplement dated September 30, 2002 to Prospectus dated January 29, 2002. 3 SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Date: October 31, 2002 By: /s/ MITCHELL M. COX ------------------- Name: Mitchell M. Cox Title: Attorney-in-Fact 4 EXHIBIT INDEX Number and Description of Exhibit - --------------------------------- (99.1) Utilities HOLDRS Trust Prospectus Supplement dated September 30, 2002 to Prospectus dated January 29, 2002. 5 EX-99.1 3 ex99-1utitlities_103002.txt PROSPECTUS SUPP. TO FORM 8-K EXHIBIT 99.1 PROSPECTUS SUPPLEMENT REGISTRATION NO. 333-36490 (To Prospectus dated January 29, 2002) [UTILITIES HOLDRS (SM) LOGO] 1,000,000,000 Depositary Receipts Utilities HOLDRS (SM) Trust This prospectus supplement supplements information contained in the prospectus dated January 29, 2002 relating to the sale of up to 1,000,000,000 depositary receipts by the Utilities HOLDRS (SM) Trust. The share amounts specified in the table on page 10 of the base prospectus shall be replaced with the following: Share Primary Name of Company Ticker Amounts Trading Market ------------------------------------- ------ ------- -------------- American Electric Power Company, Inc. AEP 14 NYSE Centerpoint Energy, Inc. (1) (2) CNP 13 NYSE Consolidated Edison, Inc. ED 9 NYSE Dominion Resources, Inc. D 11 NYSE Duke Energy Corporation DUK 30 NYSE Dynegy, Inc. DYN 12 NYSE Edison International EIX 15 NYSE El Paso Corporation EP 10 NYSE Entergy Corporation ETR 10 NYSE Exelon Corporation EXC 15 NYSE FirstEnergy Corporation FE 10 NYSE FPL Group, Inc. FPL 8 NYSE Mirant Corporation MIR 11.5308 NYSE PG&E Corporation PCG 17 NYSE Progress Energy, Inc. PGN 7 NYSE Public Service Enterprise Group Incorporated PEG 10 NYSE The Southern Company SO 29 NYSE Texas Utilities Company TXU 12 NYSE The Williams Companies, Inc. WMB 20 NYSE _______________ (1) Effective October 1, 2002, Reliant Energy, Inc., a component of Utilities HOLDRS, changed its name to Centerpoint Energy, Inc. (2) As of October 4, 2002, as a result of the spin-off of Reliant Resources, Inc. from Reliant Energy, Inc. (now known as Centerpoint Energy, Inc.), Reliant Resources, Inc. will be included in Utilities HOLDRS. As of October 4, 2002, 10.251839 shares of Reliant Resources, Inc. will be included in each round-lot of 100 Utilities HOLDRS. The share amounts listed in the table above reflect all previous stock splits, dividends and business combination transactions. The date of this prospectus supplement is September 30, 2002. -----END PRIVACY-ENHANCED MESSAGE-----