0001140361-11-020215.txt : 20110401
0001140361-11-020215.hdr.sgml : 20110401
20110401195147
ACCESSION NUMBER: 0001140361-11-020215
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20101124
FILED AS OF DATE: 20110401
DATE AS OF CHANGE: 20110401
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: 55 EAST 52ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10055
BUSINESS PHONE: 212-810-5300
MAIL ADDRESS:
STREET 1: 55 EAST 52ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10055
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: 11733193
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
2010-11-24
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
2011-02-10
4
S
0
64
199.37
D
586
I
By Subsidiary
Common Stock
2011-02-10
4
S
0
200
199.46
D
586
I
By Subsidiary
Common Stock
2011-02-10
4
S
0
62
199.5
D
586
I
By Subsidiary
Common Stock
2011-02-10
4
S
0
100
199.67
D
586
I
By Subsidiary
Common Stock
2011-02-10
4
P
0
426
200.9562
A
586
I
By Subsidiary
Common Stock
2011-02-10
4
P
0
10
200
A
586
I
By Subsidiary
Common Stock
2011-02-10
4
P
0
250
198.4352
A
586
I
By Subsidiary
Common Stock
2011-02-11
4
S
0
100
202.1825
D
586
I
By Subsidiary
Common Stock
2011-02-14
4
S
0
10
204.34
D
586
I
By Subsidiary
Common Stock
2011-02-14
4
P
0
20
205.23
A
586
I
By Subsidiary
Common Stock
2010-02-15
4
S
0
20
205.1
D
586
I
By Subsidiary
Common Stock
2011-02-17
4
S
0
250
204.45
D
586
I
By Subsidiary
Series B Convertible Participating Preferred Stock
Common Stock
13562878
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.
In addition to the shares of Common Stock reported herein, BAC is also the beneficial owner of 13,562,878 shares of Series B Convertible Participating Preferred Stock (the "Series B Preferred Stock"), as reported in Table II. The Series B Preferred Stock automatically converts into Common Stock on a 1-for-1 basis upon transfer to a third party and has no expiration date.
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. BAC owns the Series B Preferred Stock indirectly through its wholly owned subsidiary, ML Group.
Pursuant to the Third Amended and Restated Stockholder Agreement dated as of November 15, 2010, as may be amended from time to time, between ML&Co., ML Group and the Issuer, ML&Co. has the right to designate a member 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 third of three filings on Form 4 by the Reporting Persons
/s/ Beth Dorfman
2011-03-31