-----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, UkHeZWB6hF4rWosMWcniz0L0L6WfX5IikTLrE59fkYLJTzlxR1Sa9HvAAA/n/ygn yu0dmf7sB04gACPTEiZY1g== 0000947871-07-000208.txt : 20070213 0000947871-07-000208.hdr.sgml : 20070213 20070213085724 ACCESSION NUMBER: 0000947871-07-000208 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20070212 ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20070212 DATE AS OF CHANGE: 20070213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MERRILL LYNCH PIERCE FENNER & SMITH INC CENTRAL INDEX KEY: 0000728612 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-15299 FILM NUMBER: 07606078 BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 2126702273 MAIL ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 8-K 1 f8k_021207-market.txt MARKET 2000 UNITED STATES 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): December 31, 2006 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Initial Depositor (Exact name of Registrant as specified in its charter) Market 2000+ HOLDRS (SM) Trust [Issuer with respect to the receipts] DELAWARE 001-16087 13-5674085 (State or other Commission File Number (I.R.S. Employer jurisdiction of Identification No.) incorporation) ______________ 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) ______________ Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2.): [ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) [ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) [ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) [ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) Item 8.01. Other Events The merger of BellSouth Corporation (NYSE Ticker: "BLS") and AT&T Inc. (NYSE Ticker: "T"), two of the constituents of the Market 2001+ HOLDRS Trust, was consummated on December 29, 2006. Effective January 3, 2007, BellSouth Corporation will no longer be an underlying constituent of the Market 2001+ HOLDRS Trust. For the 5 shares of BellSouth Corporation per 100 shares round lot of Market 2001+ HOLDRS, The Bank of New York received 6.625 shares of AT&T Inc. Effective January 3, 2007, creations and cancellations of Market 2001+ HOLDRS Trust require 11.560304 shares of AT&T Inc. The quantity of shares of JDS Uniphase Corporation (NASDAQ ticker "JDSU" ) represented by each 100 share round lot of Market 2000+ HOLDRS decreased from 2 to 0.25 shares due to the 1 for 8 reverse stock split of JDS Uniphase Corporation. Effective October 18, 2006, due to the reverse stock split, deposits of JDS Uniphase Corporation, for creation of Market 2000+ HOLDRS decreased to 0.25 instead of 2, per round lot of 100 Market 2000+ HOLDRS. Further, effective November 14, 2006, JDS Uniphase Corp. changed its NASDAQ Ticker symbol from "JDSUD" to "JDSU." Effective November 24, 2006, as a result of the spin-off of Idearc Inc. (NYSE ticker "IAR WI") from Verizon Communications Inc. (NYSE ticker "VZ"), a component of the Market 2000+ HOLDRSSM Trust, Idearc Inc. will be added as an underlying security of the Trust. For every share held of Verizon Communications Inc. holders received 0.05 shares of Idearc Inc. For the 4 shares of Verizon Communications Inc. per 100 share round lot of Market 2000+ HOLDRS, The Bank of New York received 0.2 shares of Idearc Inc. Creations/cancellations of Market 2000+ HOLDRS require 0.2 shares of Idearc. Inc. Effective December 1, 2006, due to the 1 for 10 reverse stock split of Nortel Networks Corp. New. (NYSE ticker Symbol "NT") the quantity of shares of Nortel Networks Corp. New (Ticker Symbol "NT") represented by each 100 share round lot of Market 2000+ HOLDRS decreased from 2 to 0.2 shares. Effective December 1, 2006 Nortel Networks Corp. New begin trading under NYSE ticker "NT." Further, due to the reverse stock split, deposits of Nortel Networks Corp. New for creation of Market 2000+ HOLDRS decreased to 0.2 NT, instead of 2 "NT," per round lot of 100 Market 2000+ HOLDRS. On November 30, 2006 the merger of Lucent Technologies Inc. (NYSE ticker "LU"), a constituent of the Market 2001+ HOLDRS Trust, and Alcatel (NYSE ticker "ALA") became effective. Immediately following the merger, Alcatel S.A. changed its name to Alcatel-Lucent (NYSE ticker "ALU"). As a result Alcatel-Lucent will replace Lucent Technologies Inc. as an underlying security of the Market 2001+ HOLDRS Trust. For each share of Lucent Technologies Inc. held, shareholders received 0.1952 shares of Alcatel-Lucent. For the 4 shares of Lucent Technologies Inc. per 100 shares round lot of Market 2001+ HOLDRS, The Bank of New York received 0.7808 shares of Alcatel-Lucent. Effective December 1, 2006, creations of Market 2001+ HOLDRS require 0.7808 shares of Alcatel-Lucent per 100 share round lot of Market 2001+ HOLDRS. Item 9.01. Financial Statements and Exhibits (c) Exhibits 99.1 Market 2000+ HOLDRS Trust Prospectus Supplement dated December 31, 2006 to Prospectus dated February 17, 2006. 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: February 12, 2007 By: /s/ Satyanarayan R. Chada ______________________________ Name: Satyanarayan R. Chada Title: Managing Director EXHIBIT INDEX Number and Description of Exhibit (99.1) Market 2000+ HOLDRS Trust Prospectus Supplement dated December 31, 2006 to Prospectus dated February 17, 2006. EX-99 2 ex99_021207-market.txt MARKET 2000 PROSPECTUS SUPPLEMENT EXHIBIT 99.1 (To Prospectus dated February 17, 2006) REGISTRATION NO. 333-37980 [GRAPHIC OMITTED][GRAPHIC OMITTED] 1,000,000,000 Depositary Receipts Market 2000+ HOLDRS (SM) Trust This prospectus supplement supplements information contained in the prospectus dated February 17, 2006 relating to the sale of up to 1,000,000,000 depositary receipts by the Market 2000+ HOLDRS (SM) Trust. The share amounts specified in the table in the "Highlights of Market 2000+ HOLDRS" section of the base prospectus shall be replaced with the following:
Primary Share Trading Name of Company (1) Ticker Amounts Market --------------------------------------- ---------- -------------- --------- Agere Systems Inc. AGR 0.110136986 NYSE Alcatel-Lucent (2) ALU 0.7808 NYSE American International Group, Inc. AIG 2 NYSE Astrazeneca p.l.c. * AZN 4 NYSE AT&T Inc. T 4.935304 NYSE AVAYA Inc. AV 0.3333 NYSE BellSouth Corporation BLS 5 NYSE BP p.l.c. * BP 3 NYSE Bristol-Myers Squibb Company BMY 3 NYSE BT Group p.l.c. BT 2 NYSE CBS Corporation Class B "New" CBS 1.5 NYSE Cisco Systems, Inc. CSCO 3 NASDAQ Citigroup Inc. C 3 NYSE Comcast Corporation CMCSA 1.941 NASDAQ The Coca-Cola Company KO 3 NYSE Dell Inc. DELL 5 NASDAQ Deutsche Telekom AG * DT 5 NYSE Eli Lilly and Company LLY 2 NYSE EMC Corporation EMC 2 NYSE Exxon Mobil Corporation XOM 4 NYSE France Telecom * FTE 2 NYSE General Electric Company GE 3 NYSE GlaxoSmithKline p.1.c. GSK 3 NYSE Hewlett-Packard Company HPQ 4 NYSE Home Depot, Inc. HD 4 NYSE Idearc Inc. (3) IAR 0.2 NYSE Intel Corporation INTC 2 NASDAQ International Business Machines Corporation IBM 2 NYSE JDS Uniphase Corporation (4) JDSU 0.25 NASDAQ Johnson & Johnson JNJ 4 NYSE LM Ericsson Telephone Company * ERIC 0.9 NASDAQ McDATA Corporation MCDTA 0.073613802 NASDAQ Medco Health Solutions MHS 0.3618 NYSE Merck & Co., Inc. MRK 3 NYSE Microsoft Corporation MSFT 6 NASDAQ Morgan Stanley MWD 2 NYSE - ---------------------------------------------------------------------------------------------- (continued on following page) Primary Share Trading Name of Company Ticker Amounts Market Nippon Telegraph and Telephone Corporation NTT 3 NYSE * Nokia Corp. * NOK 4 NYSE Nortel Networks Corporation (5) NT 0.2 NYSE Novartis AG * NVS 5 NYSE Oracle Corporation ORCL 4 NASDAQ Pfizer Inc. PFE 4 NYSE Qwest Communications International Inc. Q 4 NYSE Sony Corporation * SNE 2 NYSE Sun Microsystems, Inc. SUNW 4 NASDAQ Syngenta AG SYT 1.038608908 NYSE Texas Instruments Incorporated TXN 3 NYSE The St. Paul Travelers Companies, Inc. STA 0.17158726 NYSE Time Warner Inc. TWX 6 NYSE TOTAL S.A. * TOT 4 NYSE Toyota Motor Corporation * TM 2 NYSE Verizon Communications VZ 4 NYSE Viacom Inc. Class B "New" VIA.B 1.5 NYSE Vodafone Group Plc* VOD 4.375 NYSE Wal-Mart Stores Inc. WMT 4 NYSE Zimmer Holdings, Inc. ZMH 0.3 NYSE __________________________________________ - ----------------------------------------------------------------------------------------------
(1) The merger of BellSouth Corporation (NYSE Ticker: "BLS") and AT&T Inc. (NYSE Ticker: "T"), two of the constituents of the Market 2001+ HOLDRS Trust, was consummated on December 29, 2006. Effective January 3, 2007, BellSouth Corporation will no longer be an underlying constituent of the Market 2001+ HOLDRS Trust. For the 5 shares of BellSouth Corporation per 100 shares round lot of Market 2001+ HOLDRS, The Bank of New York received 6.625 shares of AT&T Inc. Effective January 3, 2007, creations and cancellations of Market 2001+ HOLDRS Trust require 11.560304 shares of AT&T Inc. (2) On November 30, 2006 the merger of Lucent Technologies Inc. (NYSE ticker "LU"), a constituent of the Market 2001+ HOLDRS Trust, and Alcatel (NYSE ticker "ALA") became effective. Immediately following the merger, Alcatel S.A. changed its name to Alcatel-Lucent (NYSE ticker "ALU"). As a result Alcatel-Lucent will replace Lucent Technologies Inc. as an underlying security of the Market 2001+ HOLDRS Trust. For each share of Lucent Technologies Inc. held, shareholders received 0.1952 shares of Alcatel-Lucent. For the 4 shares of Lucent Technologies Inc. per 100 shares round lot of Market 2001+ HOLDRS, The Bank of New York received 0.7808 shares of Alcatel-Lucent. Effective December 1, 2006, creations of Market 2001+ HOLDRS require 0.7808 shares of Alcatel-Lucent per 100 share round lot of Market 2001+ HOLDRS. (3) Effective November 24, 2006, as a result of the spin-off of Idearc Inc. (NYSE ticker "IAR WI") from Verizon Communications Inc. (NYSE ticker "VZ"), a component of the Market 2000+ HOLDRSSM Trust, Idearc Inc. will be added as an underlying security of the Trust. For every share held of Verizon Communications Inc. holders received 0.05 shares of Idearc Inc. For the 4 shares of Verizon Communications Inc. per 100 share round lot of Market 2000+ HOLDRS, The Bank of New York received 0.2 shares of Idearc Inc. Creations/cancellations of Market 2000+ HOLDRS require 0.2 shares of Idearc. Inc. (4) The quantity of shares of JDS Uniphase Corporation (NASDAQ ticker "JDSU" ) represented by each 100 share round lot of Market 2000+ HOLDRS decreased from 2 to 0.25 shares due to the 1 for 8 reverse stock split of JDS Uniphase Corporation. Effective October 18, 2006, due to the reverse stock split, deposits of JDS Uniphase Corporation, for creation of Market 2000+ HOLDRS decreased to 0.25 instead of 2, per round lot of 100 Market 2000+ HOLDRS. Further, effective November 14, 2006, JDS Uniphase Corp. changed its NASDAQ Ticker symbol from "JDSUD" to "JDSU." (5) Effective December 1, 2006, due to the 1 for 10 reverse stock split of Nortel Networks Corp. New. (NYSE ticker Symbol "NT") the quantity of shares of Nortel Networks Corp. New (Ticker Symbol "NT") represented by each 100 share round lot of Market 2000+ HOLDRS decreased from 2 to 0.2 shares. Effective December 1, 2006 Nortel Networks Corp. New begin trading under NYSE ticker "NT." Further, due to the reverse stock split, deposits of Nortel Networks Corp. New for creation of Market 2000+ HOLDRS decreased to 0.2 NT, instead of 2 "NT," per round lot of 100 Market 2000+ HOLDRS. * The securities of these non-U.S. companies trade in the United States as American Depositary Receipts. Please see "Risk Factors" and "United States Federal Income Tax Consequences--Special considerations with respect to underlying securities of foreign issuers" for additional information relating to an investment in a non-U.S. company. 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 December 31, 2006. -----END PRIVACY-ENHANCED MESSAGE-----