-----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, UegcVO0jD+2X04+2xIwWC5UEvcZEQkAbVs8n9zbQsq8H6QF/RmrC67XS7c4R+wYr +8S8Vb/EDmmlahMNFXimtQ== 0001209191-08-067753.txt : 20081230 0001209191-08-067753.hdr.sgml : 20081230 20081230175836 ACCESSION NUMBER: 0001209191-08-067753 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081226 FILED AS OF DATE: 20081230 DATE AS OF CHANGE: 20081230 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 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: 081276614 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33099 FILM NUMBER: 081276615 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: 081276613 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: 081276612 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 4 1 c78855_4x0.xml MAIN DOCUMENT DESCRIPTION X0303 4 2008-12-26 0001364742 BlackRock Inc. BLK 0000065100 MERRILL LYNCH & CO INC 4 WORLD FINANCIAL CENTER NEW YORK NY 10080 1 0 1 0 0001377846 Merrill Lynch Group, Inc. 4 WORLD FINANCIAL CENTER NEW YORK NY 10080 1 0 1 0 0000728612 MERRILL LYNCH PIERCE FENNER & SMITH INC 4 WORLD FINANCIAL CENTER NEW YORK NY 10080 1 0 1 0 0001106135 MERRILL LYNCH BANK & TRUST CO FSB 4 WORLD FINANCIAL CENTER NEW YORK NY 10080 1 0 1 0 Common Stock 2008-12-26 4 D 0 49865000 D 2331450 D Series A Convertible Participating Preferred Stock 2008-12-26 4 D 0 12604918 D 0 D Series B Non-Voting Convertible Participating Pref. Stock 2008-12-26 4 A 0 62469918 A 62469918 D The disposition of the Common Stock and the Series A Convertible Participating Preferred Stock was effected pursuant to the Exchange Agreement, dated as of December 26, 2008, between Merrill Lynch & Co., Inc. and BlackRock, Inc., and the exercise of rights under Sections 3.5 of the Amended and Restated Stockholder Agreement, dated as of December 26, 2008, between Merrill Lynch & Co., Inc. and BlackRock, Inc., in exchange in each case for a number of shares of Series B Non-Voting Convertible Participating Preferred Stock, par value $.01 per share, of BlackRock, Inc. equal to the number of shares of Common Stock and Series A Convertible Participating Preferred Stock, respectively delivered in the transaction. The closing of such transaction is subject to certain non-U.S. regulatory approvals. Merrill Lynch & Co., Inc. owns the Common Stock and Series B Non-Voting Convertible Participating Preferred Stock indirectly through its wholly-owned subsidiaries, Merrill Lynch Group, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Merrill Lynch Bank & Trust Co., FSB. Up to 774 shares of Common Stock are held in discretionary client accounts as to which Merrill Lynch & Co., Inc. may be deemed not to have a pecuniary interest. Merrill Lynch & Co., Inc. By: Jonathan N. Santelli, Assistant Secretary 2008-12-30 Merrill Lynch Group, Inc. By: Jonathan N. Santelli, Authorized Person 2008-12-30 Merrill Lynch, Pierce, Fenner & Smith Incorporated By: Jonathan N. Santelli, Assistant Secretary 2008-12-30 Merrill Lynch Bank & Trust Co., FSB By: Jonathan N. Santelli, Authorized Person 2008-12-30 -----END PRIVACY-ENHANCED MESSAGE-----