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) 10/05/2006 | ||||||||||||||||||||||||||
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 | 11/07/2006 | P | 200(1)(2) | A | $145.64 | 52,395,682(3) | D | |||
Common Stock | 11/07/2006 | S | 300(1)(2) | D | $145.52 | 52,395,382(3) | D | |||
Common Stock | 11/07/2006 | S | 300(1)(2) | D | $145.6 | 52,395,082(3) | D | |||
Common Stock | 11/20/2006 | P | 10(1)(2) | A | $147.25 | 52,395,092(3) | D | |||
Common Stock | 11/20/2006 | P | 10(1)(2) | A | $147.25 | 52,395,102(3) | D | |||
Common Stock | 11/27/2006 | S | 10(1)(2) | D | $149.1 | 52,395,092(3) | D | |||
Common Stock | 12/29/2006 | S | 10(1)(2) | D | $151.9 | 52,395,082(3) | D | |||
Common Stock | 01/04/2007 | P | 100(1)(2) | A | $156.26 | 52,395,182(3) | D | |||
Common Stock | 01/08/2007 | S | 100(1)(2) | D | $157.96 | 52,395,082(3) | D | |||
Common Stock | 01/09/2007 | P | 50(1)(2) | A | $160.1 | 52,395,132(3) | D | |||
Common Stock | 01/10/2007 | P | 10(1)(2) | A | $160.41 | 52,395,142(3) | D | |||
Common Stock | 01/10/2007 | P | 100(1)(2) | A | $160 | 52,395,242(3) | D | |||
Common Stock | 01/10/2007 | S | 50(1)(2) | D | $163.84 | 52,395,192(3) | D | |||
Common Stock | 01/11/2007 | S | 100(1)(2) | D | $167.1 | 52,395,092(3) | D | |||
Common Stock | 01/11/2007 | S | 10(1)(2) | D | $168.14 | 52,395,082(3) | D | |||
Common Stock | 01/16/2007 | P | 2,000(1)(2) | A | $170.44 | 52,397,082(3) | D | |||
Common Stock | 01/16/2007 | S | 2,000(1)(2) | D | $170.97 | 52,395,082(3) | D | |||
Common Stock | 01/24/2007 | P | 10(1)(2) | A | $170.4 | 52,395,092(3) | D | |||
Common Stock | 01/24/2007 | S | 100(1)(2) | D | $171.76 | 52,394,992(3) | D | |||
Common Stock | 01/25/2007 | P | 100(1)(2) | A | $170.59 | 52,395,092(3) | D | |||
Common Stock | 01/25/2007 | S | 10(1)(2) | D | $170.12 | 52,395,082(3) | D | |||
Common Stock | 02/27/2007 | P | 200(1)(2) | A | $163.16 | 52,395,282(3) | D | |||
Common Stock | 02/28/2007 | S | 100(1)(2) | D | $159.92 | 52,395,182(3) | D | |||
Common Stock | 02/28/2007 | S | 100(1)(2) | D | $159.93 | 52,395,082(3) | D | |||
Common Stock | 03/02/2007 | P | 100(1)(2) | A | $158 | 52,395,182(3) | D | |||
Common Stock | 03/02/2007 | P | 100(1)(2) | A | $158.14 | 52,395,282(3) | D | |||
Common Stock | 03/02/2007 | P | 300(1)(2) | A | $158.14 | 52,395,582(3) | D | |||
Common Stock | 03/06/2007 | P | 100(1)(2) | A | $154 | 52,395,682(3) | D | |||
Common Stock | 03/07/2007 | S | 400(1)(2) | D | $155.12 | 52,395,282(3) | D | |||
Common Stock | 03/07/2007 | S | 100(1)(2) | D | $155.12 | 52,395,182(3) | D |
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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Explanation of Responses: |
1. This transaction reflects a transaction executed Merrill Lynch, Pierce, Fenner & Smith Incorporated ("MLPFS"), a wholly-owned subsidiary of Merrill Lynch & Co., Inc. (MLCO), to correct errors made in connection with trades in Issuer's common stock. |
2. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. In connection with all of the transactions reported on this form, the Reporting Person has agreed to voluntarily remit appropriate profits, if any, to BLK. The Reporting Person disclaims that the transactions reported on this Form are 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 these transactions. |
3. Merrill Lynch & Co., Inc. (MLCO) directly or indirectly through its wholly-owned subsidiaries, Merrill Lynch Investment Managers, L.P., Fund Asset Management, L.P. and Princeton Administrators, L.P. owns 52,395,082 shares of the Issuer's Common Stock. |
Merrill Lynch & Co., Inc. By: Richard B. Alsop, Vice President | 01/15/2008 | |
Merrill Lynch Investment Managers, L.P. By Princeton Services Inc., Its General Partner By: Carlos M. Morales, Senior Vice President | 01/15/2008 | |
Merrill Lynch, Pierce, Fenner & Smith., Inc. By: Carlos M. Morales, Senior Vice President | 01/15/2008 | |
Fund Asset Management, L.P. By Princeton Services Inc., Its General Partner By: Carlos M. Morales, Senior Vice President | 01/15/2008 | |
Princeton Administrators, L.P. By Princeton Services Inc., Its General Partner By: Carlos M. Morales, Senior Vice President | 01/15/2008 | |
** 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. |