-----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, IJBB2TLFCXS0mdDKcrtuE/E95XADDwUfhKfDlha9XxkIvGQgna5czojzyN31LqEq /k+dFIkWsANqOeElxL+ugw== 0001005477-00-001298.txt : 20000215 0001005477-00-001298.hdr.sgml : 20000215 ACCESSION NUMBER: 0001005477-00-001298 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 GROUP MEMBERS: GENERAL ELECTRIC COMPANY GROUP MEMBERS: GENERAL ELECTRIC INVESTMENT CORPORATION GROUP MEMBERS: TRUSTEES OF GENERAL ELECTRIC PENSION TRUST SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BLACKROCK INC /NY CENTRAL INDEX KEY: 0001060021 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-FACILITIES SUPPORT MANAGEMENT SERVICES [8744] IRS NUMBER: 510380803 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-57573 FILM NUMBER: 541391 BUSINESS ADDRESS: STREET 1: 345 PARK AVENUE 29TH FLOOR STREET 2: 212-754-5534 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 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 BUSINESS ADDRESS: STREET 1: 3003 SUMMER STREET STREET 2: P O BOX 7900 CITY: STAMFORD STATE: CT ZIP: 06904-7900 BUSINESS PHONE: 2033262300 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ---------- SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. __)(1) Blackrock, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 09247X101 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 1999 - -------------------------------------------------------------------------------- (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) |_| Rule 13d-1 (c) |_| Rule 13d-1 (d) - ---------- (1) 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 disclosures provided in a prior cover page. The information required on 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 SCHEDULE 13G Page 2 of 15 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. 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* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION State of New York - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER None -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 851,911 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON None WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 851,911 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 851,911 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.47% (10.21% if aggregated with the shares beneficially owned by General Electric Investment Corporation and GE Asset Management Incorporated) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* EP - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 09247X101 SCHEDULE 13G Page 3 of 15 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) General Electric Investment Corporation, as Investment Manager of GEPT (as defined below) and as Investment Adviser to certain other entities and accounts I.R.S. #22-2152310 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION State of Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER None -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 851,911 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON None WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 851,911 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 851,911 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.47% (10.21% if aggregated with the shares beneficially owned by GE Asset Management Incorporated) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IA, CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 09247X101 SCHEDULE 13G Page 4 of 15 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) GE Asset Management Incorporated (formerly, GE Investment Management Incorporated), as Investment Adviser to certain entities and accounts I.R.S. #06-1238874 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION State of Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 66,764 -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY None OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 66,764 WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER None - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON None - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.74% (10.21% if aggregated with the shares beneficially owned by General Electric Investment Corporation) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IA, CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 09247X101 SCHEDULE 13G Page 5 of 15 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) General Electric Company I.R.S. #14-0689340 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION State of New York - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY Disclaimed (see 9 below) OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 0 WITH -------------------------------------------------------------- 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 BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* Disclaimed (see 9 above) |X| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Not applicable (see 9 above) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INTRODUCTORY NOTE: This Statement on Schedule 13G is filed on behalf of General Electric Company, a New York corporation ("GE"), General Electric Investment Corporation, a Delaware corporation and a wholly owned subsidiary of GE ("GEIC"), GE Asset Management Incorporated (formerly, GE Investment Management Incorporated), a Delaware corporation and a wholly owned subsidiary of GE ("GEAM") and the Trustees of General Electric Pension Trust, a New York common law trust ("GEPT") (the "Schedule 13G"). GEIC is a registered investment adviser and acts as the Investment Manager of GEPT, and may be deemed to be the beneficial owner of 851,911 shares of Common Stock of Blackrock, Inc. (the "Issuer") owned by GEPT. GEAM is a registered investment adviser and acts as an Investment Adviser to certain entities and accounts, and may be deemed to be the beneficial owner of 66,764 shares of Common Stock of the Issuer owned by such entities or accounts. GEAM, GEPT and GEIC 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". Item 1(a) Name of Issuer Blackrock, Inc. Item 1(b) Address of Issuer's Principal Executive Office 345 Park Avenue, New York, New York 10154 Item 2(a) Name of Person Filing Trustees of General Electric Pension Trust (See Schedule II) General Electric Investment Corporation, as Investment Manager of GEPT. GE Asset Management Incorporated, as Investment Adviser to certain entities and accounts. General Electric Company Item 2(b) Address of Principal Business Office or, if none, Residence The address of the principal offices of GEPT, GEIC and GEAM is 3003 Summer Street Stamford, Connecticut 06904. The address of the principal offices of General Electric Company is 3135 Easton Turnpike, Fairfield, Connecticut 06431. Item 2(c) Citizenship General Electric Pension Trust - New York common law trust General Electric Investment Corporation - Delaware corporation Page 6 of 15 GE Asset Management Incorporated - Delaware corporation General Electric Company - New York corporation Item 2(d) Title of Class of Securities Common Stock Item 2(e) CUSIP Number 09247X101 Item 3 If this statement is filed pursuant to ss.ss.240.13d-1(b) or 240.13-2(b) or (c), check whether the person filing is a: (a) |_| Broker or Dealer registered under Section 15 of the Act (15 U.S.C.78o) (b) |_| Bank as defined in Section 3(a)(6) of the Act (15 U.S.C.78c) (c) |_| Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C.78c) (d) |_| Investment Company registered under Section 8 of the Investment Company Act of 1940 (U.S.C.80a-8) (e) |_| An Investment Adviser in accordance with ss.240.13-1(b)(1)(ii)(E) (f) |_| An Employee Benefit Plan or Endowment Fund in accordance with ss.240.13d-1(b)(1)(ii)(F) (g) |_| A Parent Holding Company or Control Person in accordance with ss.240.13d-1(b)(1)(ii)(G) (h) |_| A Savings Association as defined in Section 3(b) of the federal Deposit Insurance Act (U.S.C. 1813) (i) |_| A Church Plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3) (j) |X| Group, in accordance with ss.240.13d-1(b)(1)(ii)(J) Item 4 Ownership GEPT GEIC GEAM GE Page 7 of 15 (a) Amount beneficially owned 851,911 851,911 66,764 0 (b) Percent of class 9.47% 9.47% 0.74% disclaimed (c) No. of shares to which person has (i) sole power to vote or direct the vote None None 66,764 None (ii) shared power to vote or direct 851,911 851,911 None disclaimed (iii) sole power to dispose or to direct disposition None None 66,764 None (iv) shared power to dispose or to direct disposition 851,911 851,911 None 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: |_| Item 6 Ownership of More than Five Percent on Behalf of Another Person Not applicable Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company Not applicable Item 8 Identification and Classification of Members of the Group Not applicable Item 9 Notice of Dissolution of Group Not applicable Item 10 Certification Page 8 of 15 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 9 of 15 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, 2000 GENERAL ELECTRIC PENSION TRUST By: General Electric Investment Corporation, its Investment Manager By: /s/ Michael M. Pastore ----------------------------------- Name: Michael M. Pastore Title: Vice President Page 10 of 15 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, 2000 GENERAL ELECTRIC INVESTMENT CORPORATION By: /s/ Michael M. Pastore ----------------------------------- Name: Michael M. Pastore Title: Vice President Page 11 of 15 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, 2000 GE ASSET MANAGEMENT INCORPORATED By: /s/ Michael M. Pastore ----------------------------------- Name: Michael M. Pastore Title: Vice President Page 12 of 15 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, 2000 GENERAL ELECTRIC COMPANY By: /s/ John H. Myers ----------------------------------- Name: John H. Myers Title: Vice President Page 13 of 15 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, 2000 GENERAL ELECTRIC PENSION TRUST By: General Electric Investment Corporation, its Investment Manager By: /s/ Michael M. Pastore ----------------------------------- Name: Michael M. Pastore Title: Vice President GENERAL ELECTRIC INVESTMENT CORPORATION 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 14 of 15 Schedule II TRUSTEES OF GENERAL ELECTRIC PENSION TRUST 3003 Summer Street, P.O. Box 7900 Stamford, Connecticut 06904 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 15 of 15 -----END PRIVACY-ENHANCED MESSAGE-----