Attached files

file filename
EX-99.1 - PROSPECTUS SUPPLEMENT - BIOTECH HOLDRS TRUSTss128134_ex9901-biotech.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
______________

Date of Report (Date of earliest event reported):  September 26, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Initial Depositor
(Exact name of Registrant as specified in its charter)

Biotech HOLDRS (SM) Trust
[Issuer with respect to the receipts]
 
 
DELAWARE
(State or other jurisdiction of
incorporation)
001-15044
Commission File Number
13-5674085
(I.R.S. Employer
Identification No.)
______________

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.):
 
¨  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

On September 16, 2011, the merger of Alkermes, Inc. and Elan Drug Technologies to form Alkermes plc became effective.  As a result, Alkermes, Inc. will be replaced by Alkermes plc as an underlying constituent of the Biotech HOLDRS Trust.  In connection with the merger, Alkermes, Inc. shareholders will receive 1 share of Alkermes plc for each share of Alkermes, Inc.  The Bank of New York Mellon will receive 4 shares of Alkermes plc for the 4 shares of Alkermes, Inc. per 100 share round-lot of Biotech HOLDRS.  As a result, creations and cancellations of Biotech HOLDRS will require a deposit of 4 shares of Alkermes plc per 100 share round-lot of Biotech.

Item 9.01.
Financial Statements and Exhibits

 
(d)
Exhibits
 
 
99.1
Biotech HOLDRS Trust Prospectus Supplement dated September 26, 2011 to Prospectus dated March 15, 2011.


 
 
 
 
 
 

 


 
 

 
    
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:  September 26, 2011
By:
   /s/ Liam B. O’Neil  
   
Name:
Liam B. O’Neil
 
   
Title:
Managing Director
 
         
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 
   
EXHIBIT INDEX

Number and Description of Exhibit

(99.1)
Biotech HOLDRS Trust Prospectus Supplement dated September 26, 2011 to Prospectus dated March 15, 2011.