-----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, GWRbv4XmKUrrY8ewe0o+mQtaYcjATOHNZRKdHCynIo1WSIvpMw5iridTk3X8G0lW doUrOcpZb8F85hWdcZLUZw== 0001209191-06-054277.txt : 20061010 0001209191-06-054277.hdr.sgml : 20061009 20061010160521 ACCESSION NUMBER: 0001209191-06-054277 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060929 FILED AS OF DATE: 20061010 DATE AS OF CHANGE: 20061010 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FUND ASSET MANAGEMENT LP CENTRAL INDEX KEY: 0001113314 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 333-134916 FILM NUMBER: 061137908 BUSINESS ADDRESS: STREET 1: 800 SCUDDERS MILL RD CITY: PLAINSBORO STATE: NJ ZIP: 08536 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MERRILL LYNCH INVESTMENT MANAGERS LP CENTRAL INDEX KEY: 0001138755 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 333-134916 FILM NUMBER: 061137909 BUSINESS ADDRESS: STREET 1: PO BOX 9011 CITY: PRINCETON STATE: NJ ZIP: 08543-9011 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PRINCETON ADMINISTRATORS LP CENTRAL INDEX KEY: 0000921325 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 333-134916 FILM NUMBER: 061137911 BUSINESS ADDRESS: STREET 1: MERRILL LYNCH ASSET MANAGEMENT STREET 2: 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 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 333-134916 FILM NUMBER: 061137905 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: Princeton Services, Inc. CENTRAL INDEX KEY: 0001377809 STATE OF INCORPORATION: DE FISCAL YEAR END: 1229 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 333-134916 FILM NUMBER: 061137906 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 333-134916 FILM NUMBER: 061137907 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 & 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 333-134916 FILM NUMBER: 061137910 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 3 1 bny25782_ml3.xml MAIN DOCUMENT DESCRIPTION X0202 3 2006-09-29 0 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 0001113314 FUND ASSET MANAGEMENT LP C/O MERRILL LYNCH & CO., INC. 4 WORLD FINANCIAL CENTER, 250 VESEY ST. NEW YORK NY 10080 0 0 1 0 0000921325 PRINCETON ADMINISTRATORS 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 Common Stock, par value $0.01 per share 52397248 I See footnotes Preferred Stock (see Remarks) 12604918 I See footnotes This statement is being filed by Merrill Lynch & Co., Inc. ("ML&Co."), Merrill Lynch Investment Managers, L.P. ("MLIM LP"), Fund Asset Management, L.P. ("FAM LP"), Princeton Administrators, L.P. ("Princeton Administrators"), Merrill Lynch Group, Inc. ("ML Group"), Princeton Services, Inc. ("Princeton Services"), and Merrill Lynch, Pierce, Fenner & Smith Incorporated ("MLPF&S") (collectively, the "Reporting Persons"). On September 29, 2006, the Reporting Persons acquired an aggregate of 52,395,082 shares of Common Stock, par value $0.01 per share (the "Common Stock"), and 12,604,918 shares of non-voting Series A Convertible Participating Preferred Stock, par value $0.01 per share (the "Preferred Stock"), pursuant to the closing of the contribution of the Merrill Lynch Investment Managers asset management business to BlackRock, Inc. (formerly New BlackRock, Inc. and New Boise, Inc.) (the "Issuer") in accordance with the Transaction Agreement and Plan of Merger, by and among ML&Co., BlackRock, Inc. (now BlackRock Holdco 2, Inc.), the Issuer, and Boise Merger Sub, Inc., dated as of February 15, 2006 (the "Transaction Agreement"). MLPF&S beneficially owns an aggregate of 2,166 Shares, which it acquired in ordinary course trading activity. As a result of the Transaction Agreement and other agreements executed in connection therewith and pursuant thereto, the Reporting Persons constitute a "group", within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, that beneficially owns more than 10% of the outstanding shares of both the Common Stock and the Preferred Stock. The shares of Common Stock and Preferred Stock are held directly by the Reporting Persons as follows: ML&Co. - 33,610,625 shares of Common Stock; MLIM LP - 2,832,559 shares of Common Stock and 12,604,218 shares of Preferred Stock; FAM LP - 15,945,223 shares of Common Stock; Princeton Administrators - 6,675 shares of Common Stock; and MLPF&S - 2,166 shares of Common Stock. Princeton Services is the general partner of each of MLIM LP, FAM LP, and Princeton Administrators, and is a wholly-owned subsidiary of ML Group, which is a wholly-owned subsidiary of ML&Co. MLPF&S is a wholly-owned subsidiary of ML&Co. Series A Convertible Participating Preferred Stock, par value $0.01 per share Jonathan Santelli, Assistant Secretary of Merrill Lynch & Co., Inc. 2006-10-10 Jonathan Santelli, Vice President and Secretary of Princeton Services, Inc., which is General Partner of Merrill Lynch Investment Managers, L.P. 2006-10-10 Jonathan Santelli, Vice President and Secretary of Princeton Services, Inc., which is General Partner of Fund Asset Management, L.P. 2006-10-10 Jonathan Santelli, Vice President and Secretary of Princeton Services, Inc., which is General Partner of Princeton Administrators, L.P. 2006-10-10 Jonathan Santelli, Authorized Person of Merrill Lynch Group, Inc. 2006-10-10 Jonathan Santelli, Vice President and Secretary of Princeton Services, Inc. 2006-10-10 Jonathan Santelli, Assistant Secretary of Merrill Lynch, Pierce, Fenner & Smith Incorporated 2006-10-10 -----END PRIVACY-ENHANCED MESSAGE-----