0001140361-11-020203.txt : 20110401 0001140361-11-020203.hdr.sgml : 20110401 20110401184605 ACCESSION NUMBER: 0001140361-11-020203 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101110 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-33099 FILM NUMBER: 11733072 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/A 1 doc1.xml FORM 4/A X0303 4/A 2010-11-10 2011-02-22 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 2010-11-10 4 S 0 7 168.01 A 2330668 I By Subsidiary Common Stock 2010-11-15 4 P 0 200 173 A 586 I By Subsidiary Common Stock 2010-11-15 4 P 0 75 171.08 A 586 I By Subsidiary Common Stock 2010-11-15 4 S 0 100 71.73 D 586 I By Subsidiary Common Stock 2010-11-15 4 S 0 100 172.2145 D 586 I By Subsidiary Common Stock 2010-11-15 4 S 0 100 172.5441 D 586 I By Subsidiary Common Stock 2010-11-16 4 P 0 300 166.7491 A 586 I By Subsidiary Common Stock 2010-11-16 4 P 0 380 166.93 D 586 I By Subsidiary Common Stock 2010-11-16 4 S 0 45 166.63 D 586 I By Subsidiary Common Stock 2010-11-16 4 S 0 100 166.64 D 586 I By Subsidiary Common Stock 2010-11-16 4 S 0 155 166.66 D 586 I By Subsidiary Common Stock 2010-11-16 4 S 0 200 166.924 D 586 I By Subsidiary Common Stock 2010-11-16 4 S 0 200 170.7 D 586 I By Subsidiary Common Stock 2010-11-18 4 P 0 50 171.33 A 586 I By Subsidiary Common Stock 2010-11-18 4 S 0 100 171.33 D 586 I By Subsidiary Common Stock 2010-11-18 4 S 0 200 171.8341 D 586 I By Subsidiary Common Stock 2010-11-23 4 P 0 24 163.26 A 586 I By Subsidiary Common Stock 2010-11-23 4 P 0 100 166 A 586 I By Subsidiary Common Stock 2010-11-23 4 S 0 150 163.298 D 586 I By Subsidiary Common Stock 2010-11-23 4 S 0 100 163.34 D 586 I By Subsidiary Common Stock 2010-11-24 4 P 0 100 164.7169 A 586 I By Subsidiary Common Stock 2010-11-26 4 P 0 4 165.14 A 586 I By Subsidiary Common Stock 2010-11-29 4 P 0 100 162.9 A 586 I By Subsidiary Common Stock 2010-11-29 4 S 0 450 161.86 D 586 I By Subsidiary Common Stock 2010-11-29 4 S 0 4 162.3 D 586 I By Subsidiary Common Stock 2010-11-30 4 P 0 450 163.295 A 586 I By Subsidiary Common Stock 2010-11-30 4 P 0 1000 163.485 A 586 I By Subsidiary Common Stock 2010-11-30 4 S 0 100 162.9 D 586 I By Subsidiary Series B Convertible Participating Preferred Stock Common Stock 13562878 I See Footnotes. This amendment is being filed to correct the amount of securities beneficially owned following the transactions reported in Table I of the Form 4 filled on February 22, 2011. Other than as described in footnote 2, there are no other changes from the information originally reported. This amendment is being filed to include a transaction omitted from Table I of the Form 4 filed on February 22, 2011. The seven shares disposed of in this transaction were not reflected in the amounts of securities beneficially owned reported on such Form 4. To the extent that transactions are being amended pursuant to footnote 1, they have also been amended them to reflect the disposal of the seven shares. Other than as described in footnote 1, there are no other changes from the information originally reported. 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 the Issuer. 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 subsidiary 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 first of two filings on Form 4/A by the Reporting Persons. /s/ Beth Dorfman, Authorized Signatory for Bank of America 2011-03-31