-----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, HMvbgffU37SpnRWWlDYhXMmZBX3XKCmZ/WVlo4QzCftLxIQ1JFssopwH1kvoVoj8 tiAw/lzShBkCiKCyrjxjMQ== 0000903423-09-000182.txt : 20090302 0000903423-09-000182.hdr.sgml : 20090302 20090302115835 ACCESSION NUMBER: 0000903423-09-000182 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20090302 DATE AS OF CHANGE: 20090302 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-82091 FILM NUMBER: 09646058 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANK OF AMERICA CORP /DE/ CENTRAL INDEX KEY: 0000070858 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 560906609 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A 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 COMPANY: FORMER CONFORMED NAME: BANKAMERICA CORP/DE/ DATE OF NAME CHANGE: 19981022 FORMER COMPANY: FORMER CONFORMED NAME: NATIONSBANK CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: NCNB CORP DATE OF NAME CHANGE: 19920107 SC 13D/A 1 blackrock-13da.htm

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13D/A

Under the Securities Exchange Act of 1934

(Amendment No. 5)*

 

BlackRock, Inc.

(Name of Issuer)

 

Common Stock, $0.01 par value

(Title of Class of Securities)

 

US09247X1019

(CUSIP Number)

 

Bank of America Corporation

Bank of America Corporate Center

100 North Tryon Street

Charlotte, North Carolina 28255

 

Merrill Lynch & Co., Inc.

4 World Financial Center

250 Vesey Street

New York, New York 10080

Telephone 212-449-1000

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

February 27, 2009

(Date of Event which Requires Filing of this Statement)

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o

 

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.

 

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

 

 

 

 



 

 

 

CUSIP No. US09247X1019

13D/A

 

1

NAMES OF REPORTING PERSONS

Bank of America Corporation

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) x

(b) o

3

SEC USE ONLY

4

SOURCE OF FUNDS

OO

5

CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)               x

6

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH

7

SOLE VOTING POWER

--0--

8

SHARED VOTING POWER

2,354,727

9

SOLE DISPOSITIVE POWER

--0--

10

SHARED DISPOSITIVE POWER

2,354,727

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,354,727

12

CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES                                        o

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

4.9%*

14

TYPE OF REPORTING PERSON

HC

 

_________________________

* Based on 47,999,572 Shares of BlackRock outstanding as of February 27, 2009.

 

 

 

2

 

 

 



 

 

CUSIP No. US09247X1019

13D/A

 

1

NAMES OF REPORTING PERSONS

Merrill Lynch & Co., Inc. (“ML&Co”)

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) x

(b) o

3

SEC USE ONLY

4

SOURCE OF FUNDS

OO

5

CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)               x

6

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH

7

SOLE VOTING POWER

--0--

8

SHARED VOTING POWER

2,331,024**

9

SOLE DISPOSITIVE POWER

--0--

10

SHARED DISPOSITIVE POWER

2,331,024

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,331,024

12

CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES                                        o

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

4.9%*

14

TYPE OF REPORTING PERSON

CO

 

 

 

_________________________

** Includes 2 Shares held by First Republic Investment Management, Inc., a subsidiary of ML&Co.

* Based on 47,999,572 Shares of BlackRock outstanding as of February 27, 2009.

 

 

3

 

 

 



 

 

CUSIP No. US09247X1019

13D/A

 

1

NAMES OF REPORTING PERSONS

Merrill Lynch Group, Inc. (“ML Group”)

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) x

(b) o

3

SEC USE ONLY

4

SOURCE OF FUNDS

OO

5

CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)               x

6

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH

7

SOLE VOTING POWER

--0--

8

SHARED VOTING POWER

2,330,082

9

SOLE DISPOSITIVE POWER

--0--

10

SHARED DISPOSITIVE POWER

2,330,082

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,330,082

12

CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES                                        o

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

4.9%*

14

TYPE OF REPORTING PERSON

CO

 

 

_________________________

* Based on 47,999,572 Shares of BlackRock outstanding as of February 27, 2009.

 

 

4

 

 

 



 

 

CUSIP No. US09247X1019

13D/A

 

1

NAMES OF REPORTING PERSONS

Merrill Lynch, Pierce, Fenner & Smith Incorporated (“MLPF&S”)

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) x

(b) o

3

SEC USE ONLY

4

SOURCE OF FUNDS

OO

5

CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)               x

6

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH

7

SOLE VOTING POWER

--0--

8

SHARED VOTING POWER

940

9

SOLE DISPOSITIVE POWER

--0--

10

SHARED DISPOSITIVE POWER

940

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

940

12

CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES                                        o

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

Less than 1%*

14

TYPE OF REPORTING PERSON

BD, IA, CO

 

 

_________________________

* Based on 47,999,572 Shares of BlackRock outstanding as of February 27, 2009.

 

5

 

 

 



 

 

This Amendment No. 5 is being filed with respect to the shares of Common Stock (the “Shares”) of BlackRock, Inc. (“BlackRock”) to amend and supplement the original statement on Schedule 13D filed by the ML Reporting Persons with the Securities and Exchange Commission on October 10, 2006 (the “Original 13D”), as amended by Amendment No. 1 dated July, 22, 2008, Amendment No. 2 dated September 25, 2008, Amendment No. 3 dated December 24, 2008 and Amendment No. 4 dated December 29, 2008 (the “Fourth Amendment” and together with all prior amendments and the Original Schedule 13D, the “Schedule 13D”). Capitalized terms used but not otherwise defined herein shall have the meaning ascribed to them in the Schedule 13D.

Item 2.

Identity and Background

Item 2 of the Schedule 13D is hereby amended and supplemented by inserting the following paragraphs:

Upon the consummation of the merger on January 1, 2009 (the “Merger”) contemplated by the Merger Agreement by and between Bank of America Corporation (“BAC”) and ML&Co, dated September 15, 2008, ML&Co became a wholly-owned subsidiary of BAC, and BAC became the ultimate parent and controlling entity of ML&Co, ML Group, and MLPF&S (together, the “ML Reporting Persons” and with BAC, the “Reporting Persons”). Therefore, BAC, as of such date, beneficially owns those Shares of BlackRock beneficially owned prior to such date by the ML Reporting Persons on the terms described in the Schedule 13D.

BAC, a Delaware corporation, is a bank holding company registered under the Bank Holding Company Act of 1956, as amended and engages in the general banking and financial services businesses through its subsidiaries. The principal address of Bank of America is Bank of America Corporate Center, 100 North Tryon Street, Charlotte, North Carolina 28255.

The name, business address and present principal occupation or employment of each executive officer and director of BAC is set forth on Schedule VII attached hereto. To the knowledge of BAC, each of the persons listed on Schedule VII is a citizen of the United States.

Other than as previously disclosed, during the last five years, neither BAC nor any of the persons listed on Schedule VII have been convicted in a criminal proceeding (excluding traffic violations or judicial misdemeanors) or was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction as a result of which such person was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws, or finding any violation with respect to such laws.

The Reporting Persons have entered into a Joint Filing Agreement, dated as of March 2, 2009, a copy of which is attached hereto as Exhibit 7.01.

 

Item 5.

Interest in Securities of the Issuer

Item 5 of the Schedule 13D is hereby supplemented by the following:

 

(a)

As of February 27, 2009, the Reporting Persons may be deemed to beneficially own an aggregate of 2,354,727 Shares and 62,469,918 shares of Series B Preferred Stock. Accordingly, based on 47,999,572 Shares outstanding as of February 27, 2009, the Reporting Persons may be deemed to beneficially own 4.9% of the outstanding Shares of BlackRock.

 

 

6

 

 

 



 

 

 

    None of the directors and executive officers of the Reporting Persons, including the persons listed on Schedule VII, beneficially owns any Shares.
  (b) Each of the Reporting Persons shares the power to vote or direct the vote and to dispose or direct the disposition of Shares beneficially owned by such Reporting Person.

 

(c)

To the knowledge of the Reporting Persons, except as set forth in Schedule VIII hereto, no transactions in the Shares have been effected by the Reporting Persons, or, to their knowledge, any of their directors and executive officers, including the persons listed on Schedule VII, since the ML Reporting Persons filed the Fourth Amendment.

 

(d)

Not applicable.

 

(e)

As of February 27, 2009, the Reporting Persons ceased to be the beneficial owner of more than five percent of the outstanding Shares of BlackRock.

 

Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer

Item 6 is hereby amended and supplemented by inserting the following paragraphs:

As previously disclosed by the ML Reporting Persons on the Schedule 13D, ML&Co and BlackRock entered into the Exchange Agreement on December 26, 2008 in connection with the anticipated merger of BAC and ML&Co. BlackRock and ML&Co agreed that the consummation of the Merger would have constituted a “Change of Control” under Section 3.5 of the Stockholders Agreement and would have given rise to certain rights and obligation of ML&Co and BlackRock, pursuant to which ML&Co’s significant voting interest in BlackRock would have been reduced. ML&Co and BlackRock negotiated and executed the Exchange Agreement as an amendment to Section 3.5 of the Stockholders Agreement, by which ML&Co, through the exchange of a substantial portion of its Shares and all of its Series A Preferred Stock for Series B Preferred Stock would be able to retain its economic interest while reducing its voting interest in BlackRock. The consummation of the transaction contemplated by the Exchange Agreement (the “ML&Co Exchange Transactions”) was conditioned on the occurrence of the Merger and the receipt of certain foreign regulatory approvals, as well as upon BlackRock and PNC simultaneously with the consummation of the ML&Co Exchange Transactions, consummating the PNC Exchange Transactions. The Merger was consummated on January 1, 2009 and all foreign regulatory approvals were received on February 26, 2009. The ML&Co Exchange Transactions subsequently closed on February 27, 2009, simultaneously with the closing of the PNC Exchange Transactions.

The foregoing description of the Exchange Agreement and Stockholders Agreement does not purport to be complete and is qualified in its entirety by reference to the Exchange Agreement and Stockholders Agreement, both of which were previously filed with the Schedule 13D.

Item 7. Materials to be Filed as Exhibits

7.01

Joint Filing Agreement, dated as of March 2, 2009, by and among the ML Reporting Persons and BAC.

 

 

7

 

 

 



 

 

SIGNATURE

After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this Amendment is true, complete and correct.

Date: March 2, 2009

BANK OF AMERICA CORPORATION

 

 

 

 

 

 

 

By:

Name:

 

/s/ Teresa Brenner

Teresa Brenner

 

 

Title:

 

Associate General Counsel

 

 

 

 

 

 

 

 

 

 

 

 

MERRILL LYNCH & CO., INC.

 

 

 

 

 

 

 

By:
Name:

 

/s/ Teresa Brenner

Teresa Brenner

 

 

Title:

 

Associate General Counsel

 

 

 

 

 

 

 

 

 

 

 

 

MERRILL LYNCH GROUP, INC.

 

 

 

 

 

 

 

By:

 

/s/ Teresa Brenner

 

 

Name:

 

Teresa Brenner

 

 

Title:

 

Associate General Counsel

 

 

 

 

 

 

 

 

 

 

 

 

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

 

 

 

 

 

 

 

By:

 

/s/ Teresa Brenner

 

 

Name:

 

Teresa Brenner

 

 

Title:

 

Authorized Person

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 



 

 

SCHEDULE VII

EXECUTIVE OFFICERS AND DIRECTORS OF BANK OF AMERICA CORPORATION

 

The following sets forth the name, business address, and present principal occupation of each executive officer and director of Bank of America Corporation.

 

 

Name

Position with Bank of America Corporation

Principal Occupation

Kenneth D. Lewis

Chairman, Chief Executive Officer, President and Director

Chairman, Chief Executive Officer and President of Bank of America Corporation

Amy Woods Brinkley

Chief Risk Officer

Chief Risk Officer of Bank of America Corporation

Barbara J. Desoer

President, Bank of America Mortgage, Home Equity and Insurance Services

President, Bank of America Mortgage, Home Equity and Insurance Services of Bank of America Corporation

Liam E. McGee

President, Bank of America Consumer and Small Business Bank

President, Bank of America Consumer and Small Business Bank of Bank of America Corporation

Brian T. Moynihan

President, Global Banking and Wealth Management

President, Global Banking and Wealth Management of Bank of America Corporation

Joe L. Price

Chief Financial Officer

Chief Financial Officer of Bank of America Corporation

Richard K. Struthers

President, Bank of America Global Card Services

President, Bank of America Global Card Services of Bank of America Corporation

William Barnet, III

Director

Chairman, President and Chief Executive Officer of The Barnet Company

Frank P. Bramble, Sr.

Director

Former Executive Officer of MBNA Corporation

Virgis W. Colbert

Director

Senior Advisor, MillerCoors Company

John T. Collins

Director

Chief Executive Officer of The Collins Group Inc.

Gary L. Countryman

Director

Chairman Emeritus of Liberty Mutual Group

Tommy R. Franks

Director

Retired General, United States Army

Charles K. Gifford

Director

Former Chairman of Bank of America Corporation

Monica C. Lozano

Director

Publisher and Chief Executive Officer of La Opinion

Walter E. Massey

Director

President Emeritus of Morehouse College

Thomas J. May

Director

Chairman, President and Chief Executive Officer of NSTAR

Patricia E. Mitchell

Director

President and Chief Executive Officer of The Paley Center for Media

 

 

 

9

 

 

 



 

 

 

Joseph W. Prueher

Director

Retired Admiral, United States Navy

Charles O. Rossotti

Director

Senor Advisor, The Carlyle Group

Thomas M. Ryan

Director

Chairman, President and Chief Executive Officer of CVS/Caremark Corporation

O. Temple Sloan, Jr.

Director

Chairman and Chief Executive Officer of General Parts International, Inc.

Meredith R. Spangler

Director

Trustee and Board Member

Robert L. Tillman

Director

Former Chairman and CEO Emeritus of Lowe’s Companies, Inc.

Jackie M. Ward

Director

Retired Chairman and CEO of Computer Generation Inc.

 

 

10

 

 

 



 

 

SCHEDULE VIII

The ML Reporting Persons executed the below trades in respect of the Shares since their filing of the Fourth Amendment on December 29, 2008.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Purchase (P) /

 

 

 

 

 

 

Description of Security

 

Sale (S)

 

Trade Date

 

Quantity

 

Price

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

4

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

8

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

8

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

8

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

9

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

9

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

10

 

 

 

121.3000

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

10

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

11

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

11

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

12

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

15

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

16

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

17

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

18

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

18

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

18

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

19

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

21

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

24

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

29

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

30

 

 

 

121.3200

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

32

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

36

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

36

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

38

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

49

 

 

 

123.8896

 

Common Stock

 

 

S

 

 

 

12/29/2008

 

 

 

100

 

 

 

121.7120

 

Common Stock

 

 

S

 

 

 

12/30/2008

 

 

 

105

 

 

 

126.0000

 

Common Stock

 

 

S

 

 

 

1/9/2009

 

 

 

6

 

 

 

128.7300

 

Common Stock

 

 

S

 

 

 

1/15/2009

 

 

 

100

 

 

 

117.1000

 

Common Stock

 

 

P

 

 

 

1/16/2009

 

 

 

100

 

 

 

118.2300

 

Common Stock

 

 

S

 

 

 

1/16/2009

 

 

 

200

 

 

 

115.0000

 

Common Stock

 

 

P

 

 

 

1/20/2009

 

 

 

11

 

 

 

107.9400

 

Common Stock

 

 

P

 

 

 

1/20/2009

 

 

 

35

 

 

 

107.9481

 

Common Stock

 

 

P

 

 

 

1/22/2009

 

 

 

1000

 

 

 

106.0499

 

Common Stock

 

 

S

 

 

 

1/26/2009

 

 

 

50

 

 

 

112.4200

 

Common Stock

 

 

S

 

 

 

1/26/2009

 

 

 

72

 

 

 

106.4100

 

Common Stock

 

 

S

 

 

 

1/27/2009

 

 

 

11

 

 

 

106.5600

 

Common Stock

 

 

S

 

 

 

1/27/2009

 

 

 

35

 

 

 

106.5100

 

Common Stock

 

 

S

 

 

 

1/27/2009

 

 

 

17

 

 

 

107.8400

 

 

 

 

1

 

 

 



 

 

 

Common Stock

 

 

S

 

 

 

1/27/2009

 

 

 

44

 

 

 

108.2700

 

Common Stock

 

 

S

 

 

 

1/28/2009

 

 

 

100

 

 

 

115.7900

 

Common Stock

 

 

S

 

 

 

1/28/2009

 

 

 

900

 

 

 

115.8240

 

Common Stock

 

 

S

 

 

 

1/28/2009

 

 

 

39

 

 

 

116.9100

 

Common Stock

 

 

S

 

 

 

1/28/2009

 

 

 

46

 

 

 

117.7200

 

Common Stock

 

 

S

 

 

 

1/28/2009

 

 

 

47

 

 

 

116.9100

 

Common Stock

 

 

S

 

 

 

1/29/2009

 

 

 

12

 

 

 

109.1500

 

Common Stock

 

 

S

 

 

 

2/2/2009

 

 

 

22

 

 

 

109.4600

 

Common Stock

 

 

S

 

 

 

2/2/2009

 

 

 

38

 

 

 

106.8900

 

Common Stock

 

 

S

 

 

 

2/6/2009

 

 

 

17

 

 

 

121.1700

 

Common Stock

 

 

S

 

 

 

2/9/2009

 

 

 

16

 

 

 

118.7300

 

Common Stock

 

 

S

 

 

 

2/9/2009

 

 

 

62

 

 

 

118.7007

 

Common Stock

 

 

S

 

 

 

2/9/2009

 

 

 

77

 

 

 

118.7007

 

Common Stock

 

 

S

 

 

 

2/9/2009

 

 

 

77

 

 

 

118.7300

 

Common Stock

 

 

S

 

 

 

2/9/2009

 

 

 

11

 

 

 

118.4994

 

Common Stock

 

 

S

 

 

 

2/9/2009

 

 

 

14

 

 

 

118.4994

 

Common Stock

 

 

S

 

 

 

2/9/2009

 

 

 

16

 

 

 

118.4994

 

Common Stock

 

 

S

 

 

 

2/9/2009

 

 

 

46

 

 

 

118.4994

 

Common Stock

 

 

S

 

 

 

2/9/2009

 

 

 

62

 

 

 

118.7300

 

Common Stock

 

 

S

 

 

 

2/9/2009

 

 

 

70

 

 

 

118.4994

 

Common Stock

 

 

P

 

 

 

2/11/2009

 

 

 

16

 

 

 

112.8300

 

Common Stock

 

 

S

 

 

 

2/11/2009

 

 

 

24

 

 

 

113.9500

 

Common Stock

 

 

P

 

 

 

2/12/2009

 

 

 

77

 

 

 

110.3800

 

Common Stock

 

 

P

 

 

 

2/12/2009

 

 

 

77

 

 

 

112.5700

 

Common Stock

 

 

P

 

 

 

2/12/2009

 

 

 

100

 

 

 

111.2050

 

Common Stock

 

 

S

 

 

 

2/12/2009

 

 

 

9

 

 

 

110.0000

 

Common Stock

 

 

S

 

 

 

2/12/2009

 

 

 

24

 

 

 

110.0000

 

Common Stock

 

 

P

 

 

 

2/17/2009

 

 

 

25

 

 

 

107.0000

 

Common Stock

 

 

S

 

 

 

2/17/2009

 

 

 

25

 

 

 

105.9400

 

Common Stock

 

 

S

 

 

 

2/17/2009

 

 

 

100

 

 

 

105.7620

 

Common Stock

 

 

S

 

 

 

2/19/2009

 

 

 

9

 

 

 

106.7900

 

Common Stock

 

 

S

 

 

 

2/20/2009

 

 

 

5

 

 

 

103.7600

 

Common Stock

 

 

S

 

 

 

2/24/2009

 

 

 

100

 

 

 

105.5500

 

Common Stock

 

 

S

 

 

 

2/24/2009

 

 

 

11

 

 

 

99.9000

 

Common Stock

 

 

S

 

 

 

2/24/2009

 

 

 

13

 

 

 

106.2100

 

Common Stock

 

 

S

 

 

 

2/24/2009

 

 

 

35

 

 

 

100.9800

 

Common Stock

 

 

S

 

 

 

2/24/2009

 

 

 

77

 

 

 

100.9800

 

Common Stock

 

 

S

 

 

 

2/26/2009

 

 

 

30

 

 

 

101.2700

 

Common Stock

 

 

S

 

 

 

2/26/2009

 

 

 

34

 

 

 

101.4200

 

 

 

 

2

 

 

 

 

EX-7.01 2 blackrock-13daex701.htm

 

 

Exhibit 7.01

 

JOINT FILING AGREEMENT

 

The undersigned hereby agree that the Amendment No. 5 to Statement on Schedule 13D filed herewith (and any amendments thereto), relating to the Common Stock, par value $0.01 per share, of BlackRock, Inc., is being filed jointly with the Securities and Exchange Commission pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, on behalf of each such person.

 

Dated: March 2, 2009

 

BANK OF AMERICA CORPORATION

 

 

 

 

 

 

 

By:

Name:

 

/s/ Teresa Brenner  

Teresa Brenner

 

 

Title:

 

Associate General Counsel

 

 

 

 

 

 

 

 

 

 

 

 

MERRILL LYNCH & CO., INC.

 

 

 

 

 

 

 

By:
Name:

 

/s/ Teresa Brenner

Teresa Brenner

 

 

Title:

 

Associate General Counsel

 

 

 

 

 

 

 

 

 

 

 

 

MERRILL LYNCH GROUP, INC.

 

 

 

 

 

 

 

By:

 

/s/ Teresa Brenner

 

 

Name:

 

Teresa Brenner

 

 

Title:

 

Associate General Counsel

 

 

 

 

 

 

 

 

 

 

 

 

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

 

 

 

 

 

 

 

By:

 

/s/ Teresa Brenner

 

 

Name:

 

Teresa Brenner

 

 

Title:

 

Authorized Person

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3

 

 

 

 

 

-----END PRIVACY-ENHANCED MESSAGE-----