MERRILL LYNCH & CO., INC. has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan 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) assets | 2012-08-31 | $92,425,200 |
| Total unrealized appreciation/depreciation of assets | 2012-08-31 | $92,425,200 |
| Total transfer of assets from this plan | 2012-08-31 | $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 assets | 2012-08-31 | $-62,397,357 |
| Total of all expenses incurred | 2012-08-31 | $5,524,157 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-08-31 | $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 year | 2012-08-31 | $0 |
| Value of total assets at beginning of year | 2012-08-31 | $69,253,745 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-08-31 | $0 |
| Total interest from all sources | 2012-08-31 | $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 year | 2012-08-31 | No |
| Was this plan covered by a fidelity bond | 2012-08-31 | Yes |
| Value of fidelity bond cover | 2012-08-31 | $300,000,000 |
| If this is an individual account plan, was there a blackout period | 2012-08-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2012-08-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2012-08-31 | No |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2012-08-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2012-08-31 | $10 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2012-08-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2012-08-31 | $0 |
| Other income not declared elsewhere | 2012-08-31 | $1,660 |
| Total non interest bearing cash at end of year | 2012-08-31 | $0 |
| Total non interest bearing cash at beginning of year | 2012-08-31 | $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 appraiser | 2012-08-31 | No |
| Value of net income/loss | 2012-08-31 | $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) | 2012-08-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2012-08-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2012-08-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2012-08-31 | $0 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2012-08-31 | $147,617 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2012-08-31 | $0 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2012-08-31 | $347,330 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2012-08-31 | $347,330 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2012-08-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2012-08-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2012-08-31 | No |
| Assets. Invements in employer securities at end of year | 2012-08-31 | $0 |
| Assets. Invements in employer securities at beginning of year | 2012-08-31 | $68,725,625 |
| Income. Dividends from common stock | 2012-08-31 | $239,257 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-08-31 | $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 2520.101-3 | 2012-08-31 | No |
| Did the plan have assets held for investment | 2012-08-31 | No |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-08-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2012-08-31 | Yes |
| Aggregate proceeds on sale of assets | 2012-08-31 | $96,304,075 |
| Aggregate carrying amount (costs) on sale of assets | 2012-08-31 | $158,701,432 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2012-08-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2012-08-31 | Unqualified |
| Accountancy firm name | 2012-08-31 | MORRIS, DAVIS, CHAN & TAN LLP |
| Accountancy firm EIN | 2012-08-31 | 942214860 |
| 2011 : MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2011-12-31 | $-96,426,102 |
| Total unrealized appreciation/depreciation of assets | 2011-12-31 | $-96,426,102 |
| Total transfer of assets from this plan | 2011-12-31 | $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 assets | 2011-12-31 | $-2,069,830 |
| Total of all expenses incurred | 2011-12-31 | $9,413,541 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-12-31 | $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 year | 2011-12-31 | $69,253,745 |
| Value of total assets at beginning of year | 2011-12-31 | $178,617,568 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-12-31 | $0 |
| Total interest from all sources | 2011-12-31 | $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 year | 2011-12-31 | No |
| Was this plan covered by a fidelity bond | 2011-12-31 | Yes |
| Value of fidelity bond cover | 2011-12-31 | $290,000,000 |
| If this is an individual account plan, was there a blackout period | 2011-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2011-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2011-12-31 | No |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2011-12-31 | $10 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2011-12-31 | $47 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2011-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2011-12-31 | $0 |
| Other income not declared elsewhere | 2011-12-31 | $20,229 |
| Total non interest bearing cash at end of year | 2011-12-31 | $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 appraiser | 2011-12-31 | No |
| Value of net income/loss | 2011-12-31 | $-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) | 2011-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2011-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2011-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2011-12-31 | $147,617 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2011-12-31 | $969 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2011-12-31 | $347,330 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2011-12-31 | $919,855 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2011-12-31 | $919,855 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2011-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2011-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2011-12-31 | No |
| Assets. Invements in employer securities at end of year | 2011-12-31 | $68,725,625 |
| Assets. Invements in employer securities at beginning of year | 2011-12-31 | $177,696,697 |
| Income. Dividends from common stock | 2011-12-31 | $509,474 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2011-12-31 | $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 2520.101-3 | 2011-12-31 | No |
| Did the plan have assets held for investment | 2011-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2011-12-31 | No |
| Aggregate proceeds on sale of assets | 2011-12-31 | $6,628,148 |
| Aggregate carrying amount (costs) on sale of assets | 2011-12-31 | $8,697,978 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2011-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2011-12-31 | Unqualified |
| Accountancy firm name | 2011-12-31 | MORRIS, DAVIS & CHAN LLP |
| Accountancy firm EIN | 2011-12-31 | 942214860 |
| 2010 : MERRILL LYNCH & CO., INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2010-12-31 | $-19,680,396 |
| Total unrealized appreciation/depreciation of assets | 2010-12-31 | $-19,680,396 |
| Total transfer of assets from this plan | 2010-12-31 | $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 assets | 2010-12-31 | $-3,401,253 |
| Total of all expenses incurred | 2010-12-31 | $19,121,484 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2010-12-31 | $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 year | 2010-12-31 | $178,617,568 |
| Value of total assets at beginning of year | 2010-12-31 | $222,983,160 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2010-12-31 | $0 |
| Total interest from all sources | 2010-12-31 | $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 year | 2010-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2010-12-31 | $1,110 |
| Was this plan covered by a fidelity bond | 2010-12-31 | Yes |
| Value of fidelity bond cover | 2010-12-31 | $285,000,000 |
| If this is an individual account plan, was there a blackout period | 2010-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2010-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2010-12-31 | No |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2010-12-31 | $47 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2010-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2010-12-31 | $0 |
| Other income not declared elsewhere | 2010-12-31 | $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 appraiser | 2010-12-31 | No |
| Value of net income/loss | 2010-12-31 | $-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) | 2010-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2010-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2010-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2010-12-31 | $969 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2010-12-31 | $419,143 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2010-12-31 | $919,855 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2010-12-31 | $186,751 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2010-12-31 | $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 assets | 2010-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2010-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2010-12-31 | No |
| Assets. Invements in employer securities at end of year | 2010-12-31 | $177,696,697 |
| Assets. Invements in employer securities at beginning of year | 2010-12-31 | $222,377,266 |
| Income. Dividends from common stock | 2010-12-31 | $558,354 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2010-12-31 | $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 2520.101-3 | 2010-12-31 | No |
| Did the plan have assets held for investment | 2010-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2010-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2010-12-31 | No |
| Aggregate proceeds on sale of assets | 2010-12-31 | $11,096,252 |
| Aggregate carrying amount (costs) on sale of assets | 2010-12-31 | $14,497,505 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2010-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2010-12-31 | Unqualified |
| Accountancy firm name | 2010-12-31 | MORRIS, DAVIS & CHAN LLP |
| Accountancy firm EIN | 2010-12-31 | 942214860 |
| 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 securities | 2009-12-31 | $0 |
