Attached files
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| EX-99.1 - PROSPECTUS SUPPLEMENT - UTILITIES HOLDERS SM TRUST | ss93831_ex9901-utilities.htm |
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
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Date of Report (Date of earliest event reported): June 15, 2010
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]
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DELAWARE
(State or other jurisdiction of incorporation)
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001-15963
Commission File Number
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13-5674085
(I.R.S. Employer Identification No.)
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______________
One Bryant Park
New York, New York 10036
(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.):
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Item 8.01.
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Other Events
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On May 25, 2010, the 1-for-5 reverse stock split of Dynegy Inc., an underlying constituent of the Utilities HOLDRS Trust, became effective. As a result, the quantity of shares of Dynegy Inc. represented by each 100 share round-lot of Utilities HOLDRS will decrease from 12 shares to 2.4 shares. Starting May 26, 2010, deposits of shares of Dynegy Inc. for creations of Utilities HOLDRS will decrease from 12 shares to 2.4 shares per round-lot of 100 Utilities HOLDRS.
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Item 9.01.
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Financial Statements and Exhibits
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(d)
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Exhibits
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99.1
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Utilities HOLDRS Trust Prospectus Supplement dated June 15, 2010.
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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.
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MERRILL LYNCH, PIERCE, FENNER &
SMITH INCORPORATED
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| Date: June 15, 2010 | By: | /s/ Liam B. O’Neil | ||
| Name: |
Liam B. O’Neil
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| Title: |
Managing Director
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EXHIBIT INDEX
Number and Description of Exhibit
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(99.1)
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Utilities HOLDRS Trust Prospectus Supplement dated June 15, 2010.
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