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MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan NameMERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number 010

MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Stock bonus
  • ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).
  • U.S.-based plan that covers residents of Puerto Rico and is qualified under both Code section 401 and section 1165 of the Puerto Rico Code.

401k Sponsoring company profile

MERRILL LYNCH & CO., INC. has sponsored the creation of one or more 401k plans.

Company Name:MERRILL LYNCH & CO., INC.
Employer identification number (EIN):132740599
NAIC Classification:523110
NAIC Description:Investment Banking and Securities Dealing

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0102012-01-01SUSAN E. KELLY SUSAN E. KELLY2013-04-24
0102011-01-01SUSAN E. KELLY SUSAN E. KELLY2012-10-11
0102009-01-01SUSAN E. KELLY SUSAN E. KELLY2010-10-13

Plan Statistics for MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2012: MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-0135,170
Total number of active participants reported on line 7a of the Form 55002012-01-010
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-010
Total of all active and inactive participants2012-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-010
Number of participants with account balances2012-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-0139,837
Total number of active participants reported on line 7a of the Form 55002011-01-0129,946
Number of retired or separated participants receiving benefits2011-01-0172
Number of other retired or separated participants entitled to future benefits2011-01-015,092
Total of all active and inactive participants2011-01-0135,110
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-0160
Total participants2011-01-0135,170
Number of participants with account balances2011-01-0126,183
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-014
2009: MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-0157,827
Total number of active participants reported on line 7a of the Form 55002009-01-0137,045
Number of retired or separated participants receiving benefits2009-01-01134
Number of other retired or separated participants entitled to future benefits2009-01-0118,535
Total of all active and inactive participants2009-01-0155,714
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-01752
Total participants2009-01-0156,466
Number of participants with account balances2009-01-0144,514
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-01639

Financial Data on MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2012 : MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2012-08-31$92,425,200
Total unrealized appreciation/depreciation of assets2012-08-31$92,425,200
Total transfer of assets from this plan2012-08-31$93,998,348
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-08-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-08-31$0
Total income from all sources (including contributions)2012-08-31$30,268,760
Total loss/gain on sale of assets2012-08-31$-62,397,357
Total of all expenses incurred2012-08-31$5,524,157
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-08-31$5,524,157
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-08-31$0
Value of total assets at end of year2012-08-31$0
Value of total assets at beginning of year2012-08-31$69,253,745
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-08-31$0
Total interest from all sources2012-08-31$0
Total dividends received (eg from common stock, registered investment company shares)2012-08-31$239,257
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-08-31No
Was this plan covered by a fidelity bond2012-08-31Yes
Value of fidelity bond cover2012-08-31$300,000,000
If this is an individual account plan, was there a blackout period2012-08-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-08-31$0
Were there any nonexempt tranactions with any party-in-interest2012-08-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-08-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-08-31$10
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2012-08-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2012-08-31$0
Other income not declared elsewhere2012-08-31$1,660
Total non interest bearing cash at end of year2012-08-31$0
Total non interest bearing cash at beginning of year2012-08-31$33,163
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-08-31No
Value of net income/loss2012-08-31$24,744,603
Value of net assets at end of year (total assets less liabilities)2012-08-31$0
Value of net assets at beginning of year (total assets less liabilities)2012-08-31$69,253,745
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-08-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-08-31No
Were any leases to which the plan was party in default or uncollectible2012-08-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-08-31$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-08-31$147,617
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-08-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-08-31$347,330
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-08-31$347,330
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-08-31No
Was there a failure to transmit to the plan any participant contributions2012-08-31No
Has the plan failed to provide any benefit when due under the plan2012-08-31No
Assets. Invements in employer securities at end of year2012-08-31$0
Assets. Invements in employer securities at beginning of year2012-08-31$68,725,625
Income. Dividends from common stock2012-08-31$239,257
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-08-31$5,524,157
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32012-08-31No
Did the plan have assets held for investment2012-08-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-08-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-08-31Yes
Aggregate proceeds on sale of assets2012-08-31$96,304,075
Aggregate carrying amount (costs) on sale of assets2012-08-31$158,701,432
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-08-31No
Opinion of an independent qualified public accountant for this plan2012-08-31Unqualified
Accountancy firm name2012-08-31MORRIS, DAVIS, CHAN & TAN LLP
Accountancy firm EIN2012-08-31942214860
2011 : MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$-96,426,102
Total unrealized appreciation/depreciation of assets2011-12-31$-96,426,102
Total transfer of assets from this plan2011-12-31$1,984,053
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$-97,966,229
Total loss/gain on sale of assets2011-12-31$-2,069,830
Total of all expenses incurred2011-12-31$9,413,541
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$9,413,541
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$0
Value of total assets at end of year2011-12-31$69,253,745
Value of total assets at beginning of year2011-12-31$178,617,568
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$0
Total interest from all sources2011-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$509,474
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$290,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$10
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$47
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2011-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-12-31$0
Other income not declared elsewhere2011-12-31$20,229
Total non interest bearing cash at end of year2011-12-31$33,163
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-107,379,770
Value of net assets at end of year (total assets less liabilities)2011-12-31$69,253,745
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$178,617,568
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$147,617
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$969
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$347,330
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$919,855
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$919,855
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Assets. Invements in employer securities at end of year2011-12-31$68,725,625
Assets. Invements in employer securities at beginning of year2011-12-31$177,696,697
Income. Dividends from common stock2011-12-31$509,474
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$9,413,541
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31No
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Aggregate proceeds on sale of assets2011-12-31$6,628,148
Aggregate carrying amount (costs) on sale of assets2011-12-31$8,697,978
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Unqualified
Accountancy firm name2011-12-31MORRIS, DAVIS & CHAN LLP
Accountancy firm EIN2011-12-31942214860
2010 : MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$-19,680,396
Total unrealized appreciation/depreciation of assets2010-12-31$-19,680,396
Total transfer of assets from this plan2010-12-31$3,450,812
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$-21,793,296
Total loss/gain on sale of assets2010-12-31$-3,401,253
Total of all expenses incurred2010-12-31$19,121,484
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$19,121,484
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$0
Value of total assets at end of year2010-12-31$178,617,568
Value of total assets at beginning of year2010-12-31$222,983,160
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$0
Total interest from all sources2010-12-31$66,850
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$559,464
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$1,110
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$285,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$47
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2010-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2010-12-31$0
Other income not declared elsewhere2010-12-31$662,039
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$-40,914,780
Value of net assets at end of year (total assets less liabilities)2010-12-31$178,617,568
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$222,983,160
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$969
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$419,143
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$919,855
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$186,751
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$186,751
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$66,850
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Assets. Invements in employer securities at end of year2010-12-31$177,696,697
Assets. Invements in employer securities at beginning of year2010-12-31$222,377,266
Income. Dividends from common stock2010-12-31$558,354
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$19,121,484
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Aggregate proceeds on sale of assets2010-12-31$11,096,252
Aggregate carrying amount (costs) on sale of assets2010-12-31$14,497,505
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31No
Opinion of an independent qualified public accountant for this plan2010-12-31Unqualified
Accountancy firm name2010-12-31MORRIS, DAVIS & CHAN LLP
Accountancy firm EIN2010-12-31942214860
2009 : MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN

2012: MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingYes
2012-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2009: MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

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