-----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, AtXGXUzVRx5Uh2GOKFQFREHd1KbWtkboL1gnzKb8cIk4E4DgWuIfClpOfJI9Xcgu ZTAqSYVfbqJR+qOLXdvTDQ== 0001209191-08-067668.txt : 20081230 0001209191-08-067668.hdr.sgml : 20081230 20081230094138 ACCESSION NUMBER: 0001209191-08-067668 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081223 FILED AS OF DATE: 20081230 DATE AS OF CHANGE: 20081230 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MERRILL LYNCH INVESTMENT MANAGERS LP CENTRAL INDEX KEY: 0001138755 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33099 FILM NUMBER: 081274339 BUSINESS ADDRESS: STREET 1: PO BOX 9011 CITY: PRINCETON STATE: NJ ZIP: 08543-9011 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: 1231 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: MERRILL LYNCH & CO INC CENTRAL INDEX KEY: 0000065100 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33099 FILM NUMBER: 081274340 BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CTR CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 2124491000 MAIL ADDRESS: STREET 1: 4 WORLD FINANCIAL CTR CITY: NEW YORK STATE: NY ZIP: 10080 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MERRILL LYNCH PIERCE FENNER & SMITH INC CENTRAL INDEX KEY: 0000728612 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33099 FILM NUMBER: 081274336 BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 2126702273 MAIL ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MERRILL LYNCH BANK & TRUST CO FSB CENTRAL INDEX KEY: 0001106135 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33099 FILM NUMBER: 081274335 BUSINESS ADDRESS: STREET 1: C/O MERRILL LYNCH STREET 2: 300 DANDSON AVE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 7323561395 MAIL ADDRESS: STREET 1: C/O MERRILL LYNCH WORLD FIN. CTR N. TWR STREET 2: 250 VESSEY ST. 12TH FL CITY: NEW YORK STATE: NY ZIP: 10281 FORMER NAME: FORMER CONFORMED NAME: MERRILL LYNCH TRUST CO FSB DATE OF NAME CHANGE: 20000210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Princeton Services, Inc. CENTRAL INDEX KEY: 0001377809 STATE OF INCORPORATION: DE FISCAL YEAR END: 1229 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33099 FILM NUMBER: 081274337 BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 212-449-4371 MAIL ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER CITY: NEW YORK STATE: NY ZIP: 10080 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Merrill Lynch Group, Inc. CENTRAL INDEX KEY: 0001377846 STATE OF INCORPORATION: DE FISCAL YEAR END: 1229 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33099 FILM NUMBER: 081274338 BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 212-449-4371 MAIL ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER CITY: NEW YORK STATE: NY ZIP: 10080 4 1 c78752_4x0.xml MAIN DOCUMENT DESCRIPTION X0303 4 2008-12-23 0001364742 BlackRock Inc. BLK 0000065100 MERRILL LYNCH & CO INC 4 WORLD FINANCIAL CENTER 250 VESEY STREET NEW YORK NY 10080 0 0 1 0 0001138755 MERRILL LYNCH INVESTMENT MANAGERS LP C/O MERRILL LYNCH & CO., INC. 4 WORLD FINANCIAL CENTER, 250 VESEY ST. NEW YORK NY 10080 0 0 1 0 0001377846 Merrill Lynch Group, Inc. C/O MERRILL LYNCH & CO., INC. 4 WORLD FINANCIAL CENTER, 250 VESEY ST. NEW YORK NY 10080 0 0 1 0 0001377809 Princeton Services, Inc. C/O MERRILL LYNCH & CO., INC. 4 WORLD FINANCIAL CENTER, 250 VESEY ST. NEW YORK NY 10080 0 0 1 0 0000728612 MERRILL LYNCH PIERCE FENNER & SMITH INC C/O MERRILL LYNCH & CO., INC. 4 WORLD FINANCIAL CENTER, 250 VESEY ST. NEW YORK NY 10080 0 0 1 0 0001106135 MERRILL LYNCH BANK & TRUST CO FSB C/O MERRILL LYNCH & CO., INC. 4 WORLD FINANCIAL CENTER, 250 VESEY ST. NEW YORK NY 10080 0 0 1 0 Common Stock 2008-12-23 4 S 0 800 129.02 D 52258717 I See footnote Common Stock 2008-12-23 4 S 0 300 129.01 D 52258417 I See footnote Common Stock 2008-12-23 4 S 0 13100 129 D 52245317 I See footnote Common Stock 2008-12-23 4 S 0 300 128.99 D 52245017 I See footnote Common Stock 2008-12-23 4 S 0 40 128.97 D 52244977 I See footnote Common Stock 2008-12-23 4 S 0 260 128.95 D 52244717 I See footnote Common Stock 2008-12-23 4 S 0 100 128.93 D 52244617 I See footnote Common Stock 2008-12-23 4 S 0 200 128.92 D 52244417 I See footnote Common Stock 2008-12-23 4 S 0 1200 128.91 D 52243217 I See footnote Common Stock 2008-12-23 4 S 0 100 128.89 D 52243117 I See footnote Common Stock 2008-12-23 4 S 0 200 128.88 D 52242917 I See footnote Common Stock 2008-12-23 4 S 0 400 128.86 D 52242517 I See footnote Common Stock 2008-12-23 4 S 0 127 128.85 D 52242390 I See footnote Common Stock 2008-12-23 4 S 0 100 128.84 D 52242290 I See footnote Common Stock 2008-12-23 4 S 0 200 128.81 D 52242090 I See footnote Common Stock 2008-12-23 4 S 0 500 128.8 D 52241590 I See footnote Common Stock 2008-12-23 4 S 0 200 128.79 D 52241390 I See footnote Common Stock 2008-12-23 4 S 0 1000 128.78 D 52240390 I See footnote Common Stock 2008-12-23 4 S 0 700 128.77 D 52239690 I See footnote Common Stock 2008-12-23 4 S 0 100 128.75 D 52239590 I See footnote Common Stock 2008-12-23 4 S 0 40 128.74 D 52239550 I See footnote Common Stock 2008-12-23 4 S 0 100 128.73 D 52239450 I See footnote Common Stock 2008-12-23 4 S 0 1560 128.72 D 52237890 I See footnote Common Stock 2008-12-23 4 S 0 600 128.71 D 52237290 I See footnote Common Stock 2008-12-23 4 S 0 100 128.69 D 52237190 I See footnote Common Stock 2008-12-23 4 S 0 600 128.68 D 52236590 I See footnote Common Stock 2008-12-23 4 S 0 600 128.65 D 52235990 I See footnote Common Stock 2008-12-23 4 S 0 500 128.64 D 52235490 I See footnote Common Stock 2008-12-23 4 S 0 200 128.62 D 52235290 I See footnote Common Stock 2008-12-23 4 S 0 980 128.61 D 52234310 I See footnote 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. 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. 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 2008-12-29 Merrill Lynch Investment Managers, L.P. By: Princeton Services, Inc., its General Partner. By: Jonathan Santelli, Vice President and Secretary 2008-12-29 Merrill Lynch Group, Inc. By: Jonathan Santelli, Authorized Person 2008-12-29 Princeton Services, Inc. By: Jonathan Santelli, Vice President and Secretary 2008-12-29 Merrill Lynch, Pierce, Fenner & Smith Inc. By: Jonathan Santelli, Assistant Secretary 2008-12-29 Merrill Lynch Bank & Trust Co., FSB By: Jonathan Santelli, Authorized Person 2008-12-29 -----END PRIVACY-ENHANCED MESSAGE-----