-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, J4KsRKanRSuXY5DHjlwk7YXQbZ9RQepeg5u120vyTisKdZNJW+ES3GeqhYcEhBZE Qfw+nAxgJ4VzPSulZtie5Q== 0000950130-03-001119.txt : 20030214 0000950130-03-001119.hdr.sgml : 20030214 20030213214934 ACCESSION NUMBER: 0000950130-03-001119 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030214 GROUP MEMBERS: GE ASSET MANAGEMENT INCORPORATED GROUP MEMBERS: GENERAL ELECTRIC COMPANY FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRUSTEES OF GENERAL ELECTRIC PENSION TRUST CENTRAL INDEX KEY: 0000902967 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3003 SUMMER STREET STREET 2: P O BOX 7900 CITY: STAMFORD STATE: CT ZIP: 06904-7900 BUSINESS PHONE: 2033262300 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BLACKROCK INC /NY CENTRAL INDEX KEY: 0001060021 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 510380803 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-57573 FILM NUMBER: 03562370 BUSINESS ADDRESS: STREET 1: 345 PARK AVENUE 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10154 BUSINESS PHONE: 2127545560 MAIL ADDRESS: STREET 1: 345 PARK AVENUE 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10154 SC 13G/A 1 dsc13ga.htm AMENDMENT NO.4 TO SCHEDULE 13G Amendment No.4 to Schedule 13G
 
 

 

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 4)

Blackrock, Inc.


(Name of Issuer)

 

Common Stock


(Title of Class of Securities)

 

09247X101


(CUSIP Number)

 

December 31, 2002


(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

x

Rule 13d-1(b)

 

o

Rule 13d-1(c)

 

o

Rule 13d-1(d)

 

 

The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

 

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 


CUSIP No. 09247X101

 


 

 

1.

NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

 

 

 

Trustees of General Electric Pension Trust

 

I.R.S. # 14-6015763

 

 


 

 

2.

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 

 

(a)

o

 

 

(b)

x

 

 


 

 

3.

SEC USE ONLY

 

 

 

 


 

 

4.

CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

 

State of New York

 

 


 

 








NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:

5.

SOLE VOTING POWER

 

 

 

None

 

 

 


 

6.

SHARED VOTING POWER

 

 

 

505,500

 

 

 


 

7.

SOLE DISPOSITIVE POWER.

 

 

 

None

 

 

 


 

8.

SHARED DISPOSITIVE POWER.

 

 

 

505,500

 

 

 

 


 

9.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

 

505,500

 

 

 


 

10.

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

(SEE INSTRUCTIONS)

 

 

 

o

 

 

 


 

11.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

                  2.89%  (3.99%  if aggregated with the shares beneficially owned by the other Reporting Persons (as defined in the Introductory Note))

 

 

 


 

12.

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

 

 

EP

 

 

 


 

 

Page 2 of 9


CUSIP No. 09247X101

 


 

 

1.

NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

 

 

 

GE Asset Management Incorporated, as Investment Manager of GEPT (as defined below) and as Investment Adviser to certain other entities and accounts

 

I.R.S. #06-1238874

 

 


 

 

2.

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 

 

(a)

o

 

 

(b)

x

 

 


 

 

3.

SEC USE ONLY

 

 

 

 


 

 

4.

CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

 

State of Delaware

 

 


 

 








NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:

5.

SOLE VOTING POWER

 

 

 

192,460

 

 

 


 

6.

SHARED VOTING POWER

 

 

 

505,500

 

 

 


 

7.

SOLE DISPOSITIVE POWER.

 

 

 

192,460

 

 

 


 

8.

SHARED DISPOSITIVE POWER.

 

 

 

505,500

 

 

 

 


 

9.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

 

697,960

 

 

 


 

10.

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

(SEE INSTRUCTIONS)

 

 

 

o

 

 

 


 

11.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

 

          3.99%

 

 

 

 


 

12.

TYPE OF REPORTING PERSON *

 

 

 

IA, CO


 

 

Page 3 of 9


CUSIP NO. 09247X101

 


 

 

1.

NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

 

 

 

General Electric Company

 

I.R.S. #14-0689340

 

 


 

 

2.

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 

 

(a)

o

 

 

(b)

x

 

 


 

 

3.

SEC USE ONLY

 

 

 

 


 

 

4.

CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

 

State of New York

 

 


 

 








NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:

5.

SOLE VOTING POWER

 

 

 

0

 

 

 


 

6.

SHARED VOTING POWER

 

 

 

Disclaimed (see 9 below)

 

 

 


 

7.

SOLE DISPOSITIVE POWER.

 

 

 

0

 

 

 


 

8.

SHARED DISPOSITIVE POWER.

 

 

 

Disclaimed (see 9 below)

 

 

 

 


 

9.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

 

Beneficial ownership of all shares disclaimed by General Electric Company

 

 

 


 

10.

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

(SEE INSTRUCTIONS)

 

 

 

x

Disclaimed (see 9 above)

 

 

 


 

11.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

 

Not applicable (see 9 above)

 

 

 

 


 

12.

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

 

 

CO


 

 

Page 4 of 9


 

INTRODUCTORY NOTE:  This Amendment No. 4 amends the Statement on Schedule 13G filed on behalf of General Electric Company, a New York corporation (“GE”), GE Asset Management Incorporated, a Delaware corporation and a wholly owned subsidiary of GE (“GEAM”), the Trustees of General Electric Pension Trust, a New York common law trust (“GEPT”), and certain other entities on February 14, 2000, as amended on May 9, 2000, as amended on February 14, 2001 and as amended on February 14, 2002 (as amended, the “Schedule 13G”).  This Amendment No. 4 is filed on behalf of GE, GEAM and GEPT (collectively, the “Reporting Persons”).  GEAM is a registered investment adviser and acts as Investment Manager of GEPT, and as Investment Adviser to certain other entities and accounts.  GEAM may be deemed to be the beneficial owner of 505,500 shares of Common Stock of Blackrock, Inc. (the “Issuer”) owned by GEPT and of 192,460 shares of Common Stock of the Issuer owned by such other entities and accounts.  GEAM and GEPT each expressly disclaim that they are members of a “group.”  GE disclaims beneficial ownership of all shares and expressly disclaims that it is a member of a “group.”

 

The Items from the Schedule 13G are hereby amended to read as follows:

 

 

Item 4

Ownership

 

 

 

 

GEPT

GEAM

GE

 

 

 

 

 

(a)

Amount beneficially owned

505,500

697,960

Disclaimed

 

 

 

 

 

(b)

Percent of class

2.89%

3.99%

Disclaimed

 

 

 

 

 

(c)

No. of shares to which person has

 

 

 

 

 

 

 

 

 

 

(i)

sole power to vote or direct the vote

None

192,460

None

 

 

 

 

 

 

 

(ii)

shared power to vote or direct the vote

505,500

505,500

Disclaimed

 

 

 

 

 

 

 

(iii)

sole power to dispose or to direct disposition

None

192,460

None

 

 

 

 

 

 

 

(iv)

shared power to dispose or to direct disposition

505,500

505,500

Disclaimed

 

 

 

Item 5

Ownership of Five Percent or Less of a Class

 

 

 

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following:

 

 

 

x

 

 

Item 10

Certification

 

 

 

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

 

Page 5 of 8


SIGNATURE

                    After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated:  February 14, 2003

 

GENERAL ELECTRIC PENSION TRUST

 

By: GE Asset Management Incorporated,

 

its Investment Manager

 

 

 

By:

/s/ Michael M. Pastore

 

 


 

 

Name: Michael M. Pastore

 

 

Title:  Vice President

 

 

 

 

 

GE ASSET MANAGEMENT INCORPORATED

 

 

 

By:

/s/ Michael M. Pastore

 

 


 

 

Name: Michael M. Pastore

 

 

Title:  Vice President

 

 

 

 

 

GENERAL ELECTRIC COMPANY

 

 

 

By:

/s/ John H. Myers

 

 


 

 

Name: John H. Myers

 

 

Title: Vice President

 

 

Page 6 of 8


Schedule I

JOINT FILING AGREEMENT

                    This will confirm the agreement by and between all the undersigned that the Schedule 13G on or about this date and any amendments thereto with respect to the beneficial ownership by the undersigned of shares of the Common Stock of Blackrock, Inc. is being filed on behalf of each of the undersigned.

Dated:  February 14, 2003

 

GENERAL ELECTRIC PENSION TRUST

 

By: GE Asset Management Incorporated,

 

its Investment Manager

 

 

 

By:

/s/ Michael M. Pastore

 

 


 

 

Name: Michael M. Pastore

 

 

Title:  Vice President

 

 

 

 

 

GE ASSET MANAGEMENT INCORPORATED

 

 

 

By:

/s/ Michael M. Pastore

 

 


 

 

Name: Michael M. Pastore

 

 

Title:  Vice President

 

 

 

 

 

GENERAL ELECTRIC COMPANY

 

 

 

By:

/s/ John H. Myers

 

 


 

 

Name: John H. Myers

 

 

Title: Vice President

 

 

Page 7 of 8


Schedule II

TRUSTEES OF GENERAL ELECTRIC PENSION TRUST

 

 

3003 Summer Street, P.O. Box 7900

Stamford, Connecticut 06905

 

 

The names of the Trustees of General Electric Pension Trust are as follows:

 

 

 

 

 

Eugene K. Bolton

 

 

Michael J. Cosgrove

 

 

Ralph R. Layman

 

 

Alan M. Lewis

 

 

Robert A. MacDougall

 

 

John H. Myers

 

 

Donald W. Torey

 

 

John J. Walker

 

 

Page 8 of 8

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