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EX-99.1 - PROSPECTUS SUPPLEMENT - TELECOM HOLDRS TRUSTss130298_ex9901-telecom.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):  October 25, 2011

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

Telecom HOLDRS (SM) Trust
[Issuer with respect to the receipts]
 
 
DELAWARE
(State or other jurisdiction of
incorporation)
001-15651
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
 
Effective October 20, 2011, the 1-for-15 reverse stock split of Level 3 Communications, Inc., an underlying constituent of the Telecom HOLDRS Trust, became effective.  The quantity of shares of Level 3 Communications, Inc. represented by each 100 share round-lot of Telecom HOLDRS will decrease from 3 shares to 0.2 shares.  As a result, once the split has been effected by the Depository Trust Company, deposits of Level 3 Communications, Inc. for creations of Telecom HOLDRS will decrease from 3 shares to 0.2 shares per round-lot of 100 Telecom HOLDRS.  Also effective October 20, 2011, Level 3 Communications, Inc. will trade on the New York Stock Exchange and the CUSIP will change from 52729N100 to 52729N308.  The ticker of Level 3 Communications, Inc. will remain the same.
 
Item 9.01.
Financial Statements and Exhibits
 
 
(d)
Exhibits
 
 
99.1
Telecom HOLDRS Trust Prospectus Supplement dated October 25, 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:   October 25, 2011 By:  /s/ Liam B. O’Neil  
  Name: Liam B. O’Neil  
  Title: Managing Director  
         

 
 

 
 
 
 
 
 
 
 
 

 
    
EXHIBIT INDEX

Number and Description of Exhibit

(99.1)
Telecom HOLDRS Trust Prospectus Supplement dated October 25, 2011 to Prospectus dated March 15, 2011.