-----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, LKVsNyci7FIOG/zaMzbulMCt/1JOYas/WVFAEOVry6Y+TE6bfGqs0Dk+amRqTKW/ QOrZuRdrwreDztQ58qJg9Q== 0001140361-09-027439.txt : 20091124 0001140361-09-027439.hdr.sgml : 20091124 20091124183812 ACCESSION NUMBER: 0001140361-09-027439 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090813 FILED AS OF DATE: 20091124 DATE AS OF CHANGE: 20091124 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BlackRock Inc. CENTRAL INDEX KEY: 0001364742 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 320174431 STATE OF INCORPORATION: DE FISCAL YEAR END: 0226 BUSINESS ADDRESS: STREET 1: 40 EAST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-810-5300 MAIL ADDRESS: STREET 1: 40 EAST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: BlackRock, Inc. DATE OF NAME CHANGE: 20060929 FORMER COMPANY: FORMER CONFORMED NAME: New BlackRock, Inc. DATE OF NAME CHANGE: 20060601 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BANK OF AMERICA CORP /DE/ CENTRAL INDEX KEY: 0000070858 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33099 FILM NUMBER: 091205945 BUSINESS ADDRESS: STREET 1: BANK OF AMERICA CORPORATE CENTER STREET 2: 100 N TRYON ST CITY: CHARLOTTE STATE: NC ZIP: 28255 BUSINESS PHONE: 7043868486 MAIL ADDRESS: STREET 1: BANK OF AMERICA CORPORATE CENTER STREET 2: 100 N TRYON ST CITY: CHARLOTTE STATE: NC ZIP: 28255 FORMER NAME: FORMER CONFORMED NAME: BANKAMERICA CORP/DE/ DATE OF NAME CHANGE: 19981022 FORMER NAME: FORMER CONFORMED NAME: NATIONSBANK CORP DATE OF NAME CHANGE: 19920703 FORMER NAME: FORMER CONFORMED NAME: NCNB CORP DATE OF NAME CHANGE: 19920107 4 1 doc1.xml FORM 4 X0303 4 2009-08-13 0 0001364742 BlackRock Inc. BLK 0000070858 BANK OF AMERICA CORP /DE/ BANK OF AMERICA CORPORATE CENTER 100 N TRYON ST CHARLOTTE NC 28255 1 0 0 0 Common Stock 2009-08-13 4 S 0 13 202.00 D 2330663 I By Subsidiary Common Stock 2009-08-24 4 P 0 100 208.9584 A 2330763 I By Subsidiary Common Stock 2009-08-25 4 S 0 100 203.38 D 2330663 I By Subsidiary Common Stock 2009-09-02 4 P 0 25 192.71 A 2330688 I By Subsidiary Common Stock 2009-09-03 4 S 0 25 196.43 D 2330663 I By Subsidiary Common Stock 2009-09-03 4 S 0 75 196.77 D 2330588 I By Subsidiary Common Stock 2009-09-04 4 P 0 75 195.44 A 2330663 I By Subsidiary Common Stock 2009-09-16 4 S 0 100 205.99 D 2330563 I By Subsidiary Common Stock 2009-09-16 4 S 0 41 206.0004 D 2330522 I By Subsidiary Common Stock 2009-09-17 4 P 0 141 203.1975 A 2330663 I By Subsidiary Common Stock 2009-09-18 4 P 0 194 205.89 A 2330857 I By Subsidiary Common Stock 2009-09-23 4 S 0 194 216.4601 D 2330663 I By Subsidiary Common Stock 2009-09-23 4 P 0 75 217.94 A 2330738 I By Subsidiary Common Stock 2009-09-25 4 S 0 75 205.95 D 2330663 I By Subsidiary Common Stock 2009-10-02 4 P 0 100 207.74 A 2330763 I By Subsidiary Common Stock 2009-10-05 4 S 0 100 212.1407 D 2330663 I By Subsidiary Common Stock 2009-10-06 4 P 0 253 217.86 A 2330916 I By Subsidiary Common Stock 2009-10-06 4 P 0 747 217.83 A 2331663 I By Subsidiary Common Stock 2009-10-08 4 S 0 100 215 D 2331563 I By Subsidiary Common Stock 2009-10-08 4 S 0 647 214.8835 D 2330916 I By Subsidiary Common Stock 2009-10-08 4 S 0 100 214.88 D 2330816 I By Subsidiary Common Stock 2009-10-08 4 S 0 153 214.9189 D 2330663 I By Subsidiary Common Stock 2009-10-20 4 P 0 15 236.4 A 2330678 I By Subsidiary Common Stock 2009-10-21 4 S 0 15 236.86 D 2330663 I By Subsidiary Common Stock 2009-10-21 4 P 0 1 235.99 A 2330664 I By Subsidiary Common Stock 2009-10-22 4 S 0 1 232.57 D 2330663 I By Subsidiary Common Stock 2009-10-22 4 P 0 4 230 A 2330667 I By Subsidiary Common Stock 2009-10-23 4 S 0 4 233.78 D 2330663 I By Subsidiary Common Stock 2009-11-10 4 P 0 13 233.55 A 2330676 I By Subsidiary Common Stock 2009-11-13 4 P 0 25 232.93 A 2330701 I By Subsidiary Call Option (right to buy) 210.00 2009-09-24 4 P 0 1 5.7 A 2009-09-24 2009-10-17 Common Stock 100 1 I See Footnotes Call Option (right to buy) 210.00 2009-09-28 4 S 0 1 7.3 D 2009-09-24 2009-10-17 Common Stock 100 0 I See Footnotes This Form 4 is being filed by Bank of America Corporation ("BAC"), a Delaware corporation and bank holding company registered under the Bank Holding Company Act of 1956, on behalf of its subsidiaries. Transaction executed by the error correction section of Merrill Lynch, Pierce, Fenner & Smith Incorporated ("MLPFS"), a broker-dealer and subsidiary of BAC, to correct errors made in connection with trades made on behalf of clients of MLPFS. In connection with this transaction, BAC has agreed to voluntarily remit appropriate profits, if any, to BlackRock, Inc. BAC disclaims that such transaction is subject to reporting under Section 16(a) or disgorgement under Section 16(b), and this report shall not be deemed an admission that those sections apply to such transaction. Each of BAC, Merrill Lynch & Co., Inc. ("ML&Co."), MLPFS and Merrill Lynch Group, Inc. ("ML Group", and collectively the "Reporting Persons") disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. BAC owns the Common Stock indirectly through its wholly owned subsidiaries ML Group and MLPFS. Pursuant to the Second Amended and Restated Stockholder Agreement dated as of February 27, 2009, as may be amended from time to time, between ML&Co., ML Group and the Issuer, ML&Co. has the right to designate two members to the board of directors of the Issuer. Each of the Reporting Persons other than ML&Co. disclaims its possible status as director of the Issuer. This is the first of two filings on Form 4 by the reporting person. /s/Joanne P. Tsung 2009-11-24 -----END PRIVACY-ENHANCED MESSAGE-----