Merrill Lynch & Co., Inc. Accel Return Notes Pfizer Inc. due 11/23/2004 (APP)

HEALTH CARE: BIOTECHNOLOGY & LIFE SCIENCES
SIC: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES
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4 WORLD FINANCIAL CTR NEW YORK, NY 10080

Merrill Lynch & Co. Inc. Accelerated Return Notes linked to Pfizer Inc. common stock due 11/23/2004, issued at $25 per unit. The notes will receive no payments before maturity and are not redeemable prior to maturity. At maturity the holder will receive a payment based on the percentage change in the price of Pfizer Inc. common stock, starting value $31.16 as of 9/17/2003.

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Funds Holding APP (via 13F filings)

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*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding APP BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

CHEN HERALD Y PRESIDENT & CFO

  • Officer
  • Director
25,000 2021-05-17 2

FOROUGHI ARASH ADAM CEO & CHAIRPERSON

  • Officer
  • Director
  • 10% Owner
100,000 2021-05-17 3

VIVAS EDUARDO

  • Director
11,089,121 2021-05-17 3

VALENZUELA VICTORIA CLO & CORP. SECRETARY

  • Officer
716,532 2021-05-04 2

SHIKIN VASILY CHIEF TECHNOLOGY OFFICER

  • Officer
3,844,600 2021-05-04 2

ARUTUNIAN ELENA CHIEF ACCOUNTING OFFICER

  • Officer
562,500 2021-05-04 2

JANSEN KATIE KIHORANY CHIEF MARKETING OFFICER

  • Officer
1,702,500 2021-05-04 2

KKR GROUP PARTNERSHIP L.P.

KKR GROUP HOLDINGS CORP.

KKR & CO. INC.

KKR MANAGEMENT LLP

KRAVIS HENRY R

ROBERTS GEORGE R

108,050,489 2021-04-19 2

GEORGIADIS MARY MARGARET HASTINGS

  • Director
209,600 2021-04-19 2

KKR DENALI HOLDINGS L.P.

KKR DENALI HOLDINGS GP LLC

KKR AMERICAS FUND XII L.P.

KKR ASSOCIATES AMERICAS XII L.P.

KKR AMERICAS XII LTD

108,050,489 2021-04-19 2

BILLINGS CRAIG SCOTT

  • Director
13,152 2021-04-19 2

KRYSTYNAK JOHN

  • 10% Owner
25,739,724 2021-04-19 2

KARAM ANDREW

  • 10% Owner
24,825,090 2021-04-19 2

SUN CATHY

  • Director
0 2021-04-14 1

OBERWAGER EDWARD

  • Director
0 2021-04-14 1

ANGEL PRIDE HOLDINGS LTD

  • 10% Owner
26,021,583 2021-04-14 1

HONTAI APP FUND LIMITED PARTNERSHIP

  • 10% Owner
26,167,242 2021-04-14 1

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
No current insider transactions

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin

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