FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
BlackRock Inc. [ BLK ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/23/2008 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 12/23/2008 | S | 500 | D | $129.32 | 52,273,817(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 300 | D | $129.29 | 52,273,517(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 300 | D | $129.28 | 52,273,217(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 200 | D | $129.26 | 52,273,017(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 300 | D | $129.25 | 52,272,717(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 300 | D | $129.245 | 52,272,417(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 1,000 | D | $129.24 | 52,271,417(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 100 | D | $129.23 | 52,271,317(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 200 | D | $129.22 | 52,271,117(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 1,100 | D | $129.21 | 52,270,017(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 100 | D | $129.2 | 52,269,917(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 100 | D | $129.1875 | 52,269,817(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 123 | D | $129.18 | 52,269,694(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 600 | D | $129.17 | 52,269,094(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 300 | D | $129.165 | 52,268,794(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 1,000 | D | $129.16 | 52,267,794(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 100 | D | $129.155 | 52,267,694(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 551 | D | $129.15 | 52,267,143(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 1,123 | D | $129.14 | 52,266,020(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 100 | D | $129.135 | 52,265,920(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 349 | D | $129.13 | 52,265,571(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 1,300 | D | $129.12 | 52,264,271(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 400 | D | $129.11 | 52,263,871(2)(3) | I | See footnote | ||
Common Stock | 12/23/2008 | S | 654 | D | $129.1 | 52,263,217(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 100 | D | $129.09 | 52,263,117(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 1,100 | D | $129.06 | 52,262,017(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 100 | D | $129.055 | 52,261,917(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 800 | D | $129.05 | 52,261,117(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 900 | D | $129.04 | 52,260,217(2)(3) | I | See footnote(1) | ||
Common Stock | 12/23/2008 | S | 700 | D | $129.03 | 52,259,517(2)(3) | I | See footnote(1) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. This statement is being filed by Merrill Lynch & Co., Inc. ("ML&Co"), Merrill Lynch Investment Managers, L.P. ("MLIM"), Merrill Lynch Group, Inc. ("ML Group"), Princeton Services, Inc. ("Princeton Services"), Merrill Lynch, Pierce, Fenner & Smith Incorporated ("MLPF&S") and Merrill Lynch Bank & Trust Co., FSB ("MLBT-FSB") (collectively, the "Reporting Persons"). Princeton Services is the general partner of MLIM and is a wholly-owned subsidiary of ML Group, which is a wholly-owned subsidiary of ML&Co. MLBT-FSB is a wholly-owned subsidiary of ML&Co. MLPF&S is a wholly-owned subsidiary of ML&Co. |
2. On December 23, 2008, MLIM sold a total of 200,000 shares of Common Stock, par value $0.01 per share (the "Common Stock") of BlackRock Inc. ("BlackRock") held by it pursuant to Rule 144 of the Securities and Exchange Act of 1934, as amended, after which ML&Co indirectly through its wholly-owned subsidiaries beneficially owned 52,196,417 shares of Common Stock of BlackRock and MLIM and Princeton Services each beneficially owned zero shares of Common Stock of BlackRock. |
3. In addition, on December 23, 2008, each of the following transactions were effected, each of which is exempt from Section 16 of the Exchange Act pursuant to Rule 16a-13 or otherwise: ML&Co contributed all of the Shares held by it to ML Group, MLIM transferred all the shares of Common Stock (other than the 200,000 shares of Common Stock sold pursuant to Rule 144) and Preferred Stock held by it to ML Group and each of Fund Asset Management, L.P. and Princeton Administrators, L.P. (each of which is a wholly-owned direct or indirect subsidiary of ML&Co) transferred all of the shares of Common Stock held by it to ML Group. |
Merrill Lynch & Co., Inc. By: Jonathan Santelli, Assistant Secretary | 12/29/2008 | |
Merrill Lynch Investment Managers, L.P. By: Princeton Services, Inc., its General Partner. By: Jonathan Santelli, Vice President and Secretary | 12/29/2008 | |
Merrill Lynch Group, Inc. By: Jonathan Santelli, Authorized Person | 12/29/2008 | |
Princeton Services, Inc. By: Jonathan Santelli, Vice President and Secretary | 12/29/2008 | |
Merrill Lynch, Pierce, Fenner & Smith Inc. By: Jonathan Santelli, Assistant Secretary | 12/29/2008 | |
Merrill Lynch Bank & Trust Co., FSB By: Jonathan Santelli, Authorized Person | 12/29/2008 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |