-----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, Ej7LgwG0V8Lyqa2knW2jGLAetRTJtR99+aQwhuPon+p3yhzly5mOU6lxf4PJaIxf 7jf99HsZkMVyjxLK1nTqzQ== 0000947871-04-001930.txt : 20040809 0000947871-04-001930.hdr.sgml : 20040809 20040806212826 ACCESSION NUMBER: 0000947871-04-001930 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20040630 ITEM INFORMATION: Other events ITEM INFORMATION: Financial statements and exhibits FILED AS OF DATE: 20040809 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: 04959345 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_080404-utilities.txt FORM 8K 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): June 30, 2004 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 Exelon Corporation (NYSE:EXC) announced a 2-for-1 stock split on its common stock payable on May 5, 2004 to shareholders of record as of April 19, 2004. Effective May 11, 2004 the share amount of Exelon Corporation represented by a round lot of 100 Utilities HOLDRS was 30. Item 7. Financial Statements, Pro Forma Financial Information and Exhibits (c) Exhibits 99.1 Utilities HOLDRS Trust Prospectus Supplement dated June 30, 2004 to Prospectus dated July 14, 2003. 2 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: August 6, 2004 By: /s/ MITCHELL M. COX ------------------------------------- Name: Mitchell M. Cox Title: Attorney-in-Fact 3 EXHIBIT INDEX Number and Description of Exhibit (99.1) Utilities HOLDRS Trust Prospectus Supplement dated June 30, 2004 to Prospectus dated July 14, 2003. 4 EX-99.1 2 ex99-1_080404.txt PROSPECTUS SUPPLEMENT [UTILITIES HOLDRS LOGO] PROSPECTUS SUPPLEMENT EXHIBIT 99.1 (To Prospectus dated July 14, 2003) REGISTRATION NO. 333-36490 1,000,000,000 Depositary Receipts Utilities HOLDRS (SM) Trust This prospectus supplement supplements information contained in the prospectus dated July 14, 2003 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 in the "Highlights of Utilities HOLDERS" section of the base prospectus shall be replaced with the following: Primary Share Trading Name of Company Ticker Amounts Market --------------------------------------------- ------ ------- ------- American Electric Power Company, Inc. AEP 14 NYSE Centerpoint Energy, Inc. 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(1) EXC 30 NYSE FirstEnergy Corporation FE 10 NYSE FPL Group, Inc. FPL 8 NYSE PG&E Corporation PCG 17 NYSE Progress Energy, Inc. PGN 7 NYSE Public Service Enterprise Group Incorporated PEG 10 NYSE Reliant Resources, Inc. RRI 10.2518 NYSE The Southern Company SO 29 NYSE Texas Genco Holdings, Inc. TGN 0.65 NYSE Texas Utilities Company TXU 12 NYSE The Williams Companies, Inc. WMB 20 NYSE _________________ (1) Exelon Corporation (NYSE:EXC) announced a 2-for-1 stock split on its common stock payable on May 5, 2004 to shareholders of record as of April 19, 2004. Effective May 11, 2004 the share amount of Exelon Corporation represented by a round lot of 100 Utilities HOLDRS was 30. 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 June 30, 2004. -----END PRIVACY-ENHANCED MESSAGE-----