0000844779-17-000341.txt : 20170928
0000844779-17-000341.hdr.sgml : 20170928
20170928130639
ACCESSION NUMBER: 0000844779-17-000341
CONFORMED SUBMISSION TYPE: NSAR-B
PUBLIC DOCUMENT COUNT: 11
CONFORMED PERIOD OF REPORT: 20170731
FILED AS OF DATE: 20170928
DATE AS OF CHANGE: 20170928
EFFECTIVENESS DATE: 20170928
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: BLACKROCK MUNIYIELD INVESTMENT QUALITY FUND
CENTRAL INDEX KEY: 0000891188
IRS NUMBER: 223196058
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: NSAR-B
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-07156
FILM NUMBER: 171106659
BUSINESS ADDRESS:
STREET 1: 100 BELLEVUE PARKWAY
CITY: WILMINGTON
STATE: DE
ZIP: 19809
BUSINESS PHONE: 800-441-7762
MAIL ADDRESS:
STREET 1: 100 BELLEVUE PARKWAY
CITY: WILMINGTON
STATE: DE
ZIP: 19809
FORMER COMPANY:
FORMER CONFORMED NAME: BLACKROCK MUNIYIELD INSURED INVESTMENT FUND
DATE OF NAME CHANGE: 20080926
FORMER COMPANY:
FORMER CONFORMED NAME: BLACKROCK MUNIYIELD FLORIDA INSURED FUND
DATE OF NAME CHANGE: 20070611
FORMER COMPANY:
FORMER CONFORMED NAME: MUNIYIELD FLORIDA INSURED FUND /NJ/
DATE OF NAME CHANGE: 19921217
NSAR-B
1
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PAGE 2
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022 C000002 7982
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022 C000003 12285
022 D000003 3491
022 A000004 CITIGROUP GLOBAL MARKETS INC
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022 B000005 56-0906609
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022 C000006 8635
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022 A000007 WELLS FARGO BANK NA
022 B000007 94-1347393
022 C000007 3357
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022 A000008 BARCLAYS CAPITAL INC.
022 B000008 13-3299429
022 C000008 5090
022 D000008 4810
022 A000009 MORGAN STANLEY & CO INC
PAGE 3
022 B000009 13-2655998
022 C000009 3606
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022 A000010 J.P. MORGAN SECURITIES LLC
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PAGE 4
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PAGE 5
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PAGE 6
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PAGE 8
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SIGNATURE NEAL J. ANDREWS
TITLE CFO
EX-99.77B ACCT LTTR
2
77bMYI5.txt
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
TO THE SHAREHOLDERS AND BOARD OF DIRECTORS OF BLACKROCK MUNIHOLDINGS CALIFORNIA
QUALITY FUND, INC., BLACKROCK MUNIHOLDINGS NEW JERSEY QUALITY FUND, INC., AND
BLACKROCK MUNIYIELD MICHIGAN QUALITY FUND, INC.; AND TO THE SHAREHOLDERS AND
BOARD OF TRUSTEES OF BLACKROCK MUNIYIELD INVESTMENT QUALITY FUND AND BLACKROCK
MUNIYIELD PENNSYLVANIA QUALITY FUND:
In planning and performing our audits of the financial statements of BlackRock
MuniHoldings California Quality Fund, Inc., BlackRock MuniHoldings New Jersey
Quality Fund, Inc., BlackRock MuniYield Michigan Quality Fund, Inc., BlackRock
MuniYield Investment Quality Fund and BlackRock MuniYield Pennsylvania Quality
Fund (collectively, the "Funds"), as of and for the year ended July 31, 2017,
in accordance with the standards of the Public Company Accounting Oversight
Board (United States), we considered the Funds' internal control over financial
reporting, including controls over safeguarding securities, as a basis for
designing our auditing procedures for the purpose of expressing our opinion on
the financial statements and to comply with the requirements of Form N-SAR, but
not for the purpose of expressing an opinion on the effectiveness of the Funds'
internal control over financial reporting. Accordingly, we express no such
opinion.
The management of the Funds is responsible for establishing and maintaining
effective internal control over financial reporting. In fulfilling this
responsibility, estimates and judgments by management are required to assess
the expected benefits and related costs of controls. A fund's internal control
over financial reporting is a process designed to provide reasonable assurance
regarding the reliability of financial reporting and the preparation of
financial statements for external purposes in accordance with generally
accepted accounting principles. A fund's internal control over financial
reporting includes those policies and procedures that (1) pertain to the
maintenance of records that, in reasonable detail, accurately and fairly
reflect the transactions and dispositions of the assets of the fund;
(2) provide reasonable assurance that transactions are recorded as necessary to
permit preparation of financial statements in accordance with generally
accepted accounting principles, and that receipts and expenditures of the fund
are being made only in accordance with authorizations of management and
directors/trustees of the fund; and (3) provide reasonable assurance regarding
prevention or timely detection of unauthorized acquisition, use, or disposition
of a fund's assets that could have a material effect on the financial
statements.
Because of its inherent limitations, internal control over financial reporting
may not prevent or detect misstatements. Also, projections of any evaluation of
effectiveness to future periods are subject to the risk that controls may
become inadequate because of changes in conditions or that the degree of
compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting exists when the
design or operation of a control does not allow management or employees, in the
normal course of performing their assigned functions, to prevent or detect
misstatements on a timely basis. A material weakness is a deficiency, or a
combination of deficiencies, in internal control over financial reporting, such
that there is a reasonable possibility that a material misstatement of the
Funds' annual or interim financial statements will not be prevented or detected
on a timely basis.
Our consideration of the Funds' internal control over financial reporting was
for the limited purpose described in the first paragraph and would not
necessarily disclose all deficiencies in internal control that might be
material weaknesses under standards established by the Public Company
Accounting Oversight Board (United States). However, we noted no deficiencies
in the Funds' internal control over financial reporting and its operation,
including controls for safeguarding securities, that we consider to be a
material weakness, as defined above, as of July 31, 2017.
This report is intended solely for the information and use of management and
the Board of Directors/Trustees of BlackRock MuniHoldings California Quality
Fund, Inc., BlackRock MuniHoldings New Jersey Quality Fund, Inc., BlackRock
MuniYield Investment Quality Fund., BlackRock MuniYield Michigan Quality Fund,
Inc., & BlackRock MuniYield Pennsylvania Quality Fund., and the Securities and
Exchange Commission and is not intended to be and should not be used by anyone
other than these specified parties.
/s/ Deloitte & Touche LLP
Boston, Massachusetts
September 25, 2017
EX-99.77O RULE 10F-3
3
77o1.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES NATIONAL MUNI BOND ETF (ISHMUNI)
ISHARES NEW YORK MUNI BOND ETF (ISHNY)
BlackRock Municipal Income Investment Quality Trust (BAF)
BlackRock Allocation Target Shares : Series E Portfolio (BATSE)
BlackRock Municipal Income Investment Trust (BBF)
BlackRock Municipal Bond Trust (BBK)
BlackRock Investment Quality Municipal Trust (BKN)
BlackRock Strategic Municipal Trust (BSD)
BlackRock Long-Term Municipal Advantage Trust (BTA)
BlackRock MuniYield Investment Quality Fund (MFT)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
-------------------------------------
Date of 08-03-2016
Offering Commencement:
------------------------ -----------
Security Type: BND/MUNI
-------------------------------------
-------------------------------------------------------------------------------
Issuer The City of New York General Obligation Bonds,
Series 2017-A-1
--------------------------- --------------------------------------------------
Selling Underwriter GOLDMAN SACHS & CO.
--------------------------- --------------------------------------------------
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
--------------------------- --------------------------------------------------
List of Underwriter(s) Goldman Sachs & Co, Merrill Lynch, Pierce,
Fenner & Smith Incorporated, Citigroup Global
Markets Inc., Jefferies & Company, Inc., J.P.
Morgan Securities LLC, Loop Capital Markets, LLC,
Ramirez & Co.,Inc, RBC Capital Markets, Siebert
Brandford Shank & Co., L.L.C., Wells Fargo
Securities, LLC, Barclays Bank PLC, BNY Mellon
Capital Markets, LLC, Drexel Hamilton, LLC,
Fidelity Capital Markets, Janney Montgomery Scott
LLC, Mizuho Securities USA Inc, Morgan Stanley &
Co. LLC, Oppenheimer & Co, Raymond James &
Associates, Inc., Roosevelt & Cross, Inc, Stifel,
Nicolaus & Company, Inc., TD Securities (USA)
LLC, U.S. Bancorp Investments,Inc, Academy
Securities, Inc., Blaylock Beal Van, LLC, FTN
Financial Securities Corp., Hilltop Securities,
PNC Capital Markets LLC, Rice Financial Products
Company, Stern Brothers & Co., The Williams
Capital Group, L.P
-------------------------------------------------------------------------------
TRANSACTION DETAILS
-------------------------------
Date of Purchase 08-03-2016
-------------------------------
------------------------------------------------------------------------------
Purchase Price/Share
(PER SHARE / % OF PAR) $122.202
(2.47)
$111.370
(2.69) Total Commission, Spread or Profit 0.441%
------------------------------------------------------------------------------
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
-------------------------------------------------------------------------------
1. Aggregate Principal Amount Purchased (a+b) $ 24,485,000
----------------------------------------------------------------- ------------
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 17,320,000
----------------------------------------------------------------- ------------
b. Other BlackRock Clients $ 7,165,000
----------------------------------------------------------------- ------------
2. Aggregate Principal Amount of Offering $800,000,000
----------------------------------------------------------------- ------------
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.03061
-------------------------------------------------------------------------------
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types
(see Definitions):
[_] U.S. Registered Public [Issuer must have 3 years of continuous
Offering...................... operations]
[_] Eligible Rule 144A Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Municipal Securities
[_] Eligible Foreign Offering..... [Issuer must have 3 years of continuous
operations]
[_] Government Securities [Issuer must have 3 years of continuous
Offering...................... operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase
all of the securities being offered, except those purchased by
others pursuant to a rights offering, if the underwriters purchased
any of the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in,
[_] NO or benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 08-09-2016
---------------------------------------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 08-09-2016
---------------------------------------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a)the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b)the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c)financial statements, prepared and audited as
required or permitted by the appropriate foreign
financial regulatory authority in such country,
for the two years prior to the offering, were
made available to the public and prospective
purchasers in connection with the offering; and
(d)if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under the
laws of any foreign country, it (1) has a class
of securities registered pursuant to section
12(b) or 12(g) of the Securities Exchange Act of
1934 or is required to file reports pursuant to
section 15(d) of that act, and (2) has filed all
the material required to be filed pursuant to
section 13(a) or 15(d) of that act for a period
of at least 12 months immediately preceding the
sale of securities (or for such shorter period
that the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a)are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b)are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c)either
(1)are subject to no greater than moderate
credit risk; or
(2)if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a)the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b)the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c)the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
4
77o5.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
BlackRock Municipal 2030 Target Term Trust (BTT2)
BlackRock Municipal Income Investment Quality Trust (BAF)
BlackRock Allocation Target Shares : Series E Portfolio (BATSE)
BlackRock Municipal Income Investment Trust (BBF)
BlackRock New Jersey Municipal Bond Trust (BLJ)
BlackRock New Jersey Municipal Income Trust (BNJ)
BlackRock National Municipal Fund of Blackrock Municipal Bond Fund, Inc.
(BR-NATL)
BlackRock New Jersey Municipal Bond Fund of BlackRock Multi-State Municipal
(BR-NJMUNI)
BlackRock Strategic Municipal Trust (BSD)
BlackRock Long-Term Municipal Advantage Trust (BTA)
BlackRock MuniYield Investment Quality Fund (MFT)
BlackRock MuniHoldings Quality Fund II, Inc. (MUE)
BlackRock MuniHoldings New Jersey Quality Fund, Inc. (MUJ)
BlackRock MuniHoldings Quality Fund, Inc. (MUS)
BlackRock MuniVest Fund, Inc. (MVF)
BlackRock MuniYield New Jersey Fund, Inc. (MYJ)
BlackRock Municipal Bond Trust (BBK)
BlackRock Investment Quality Municipal Trust (BKN)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
-------------------------------------
Date of 10-21-2016
Offering Commencement:
------------------------ -----------
Security Type: BND/MUNI
-------------------------------------
-------------------------------------------------------------------------------
Issuer New Jersey Health Care Facilities Financing
Authority Revenue and Refunding Bonds RWJ
Barnabas Health Obligated Group Issue, Series
2016A
--------------------------- --------------------------------------------------
Selling Underwriter Citigroup Global Markets Inc
--------------------------- --------------------------------------------------
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
--------------------------- --------------------------------------------------
List of Underwriter(s) Citigroup Global Markets Inc.,
Duncan-Williams,Inc, Estrada Hinojosa & Company,
Estrada Hinojosa & Company, J.P. Morgan
Securities LLC, PNC Capital Markets LLC, Wells
Fargo Securities, LLC
-------------------------------------------------------------------------------
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TRANSACTION DETAILS
-------------------------------
Date of Purchase 10-21-2016
-------------------------------
-------------------------------------------------------------------------------
Purchase Price/Share
(PER SHARE / % OF PAR) $117.584
$113.875
$102.578 Total Commission, Spread or Profit 0.523%
-------------------------------------------------------------------------------
1. Aggregate Principal Amount Purchased (a+b) $ 64,725,000
----------------------------------------------------------------- ------------
a. US Registered Funds
(Appendix attached with individual Fund/Client
purchase) $ 53,745,000
----------------------------------------------------------------- ------------
b. Other BlackRock Clients $ 10,980,000
----------------------------------------------------------------- ------------
2. Aggregate Principal Amount of Offering $679,135,000
----------------------------------------------------------------- ------------
FUND RATIO
[Divide Sum of #1 by #2
]Must be less than 0.25 0.09531
-------------------------------------------------------------------------------
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types
(see Definitions):
[_] U.S. Registered Public [Issuer must have 3 years of continuous
Offering...................... operations]
[_] Eligible Rule 144A Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Municipal Securities
[_] Eligible Foreign Offering..... [Issuer must have 3 years of continuous
operations]
[_] Government Securities [Issuer must have 3 years of continuous
Offering...................... operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase
all of the securities being offered, except those purchased by
others pursuant to a rights offering, if the underwriters purchased
any of the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in,
[_] NO or benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 11-07-2016
---------------------------------------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 11-07-2016
---------------------------------------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a)the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b)the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c)financial statements, prepared and audited as
required or permitted by the appropriate foreign
financial regulatory authority in such country,
for the two years prior to the offering, were
made available to the public and prospective
purchasers in connection with the offering; and
(d)if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under the
laws of any foreign country, it (1) has a class
of securities registered pursuant to section
12(b) or 12(g) of the Securities Exchange Act of
1934 or is required to file reports pursuant to
section 15(d) of that act, and (2) has filed all
the material required to be filed pursuant to
section 13(a) or 15(d) of that act for a period
of at least 12 months immediately preceding the
sale of securities (or for such shorter period
that the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a)are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b)are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c)either
(1)are subject to no greater than moderate
credit risk; or
(2)if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a)the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b)the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c)the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
5
77o8.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES NATIONAL MUNI BOND ETF (ISHMUNI)
ISHARES NEW YORK MUNI BOND ETF (ISHNY)
BlackRock Municipal Income Investment Quality Trust (BAF)
BlackRock Allocation Target Shares : Series E Portfolio (BATSE)
BlackRock Municipal Income Investment Trust (BBF)
BlackRock Strategic Municipal Trust (BSD)
BlackRock Long-Term Municipal Advantage Trust (BTA)
BlackRock MuniYield Investment Quality Fund (MFT)
BlackRock New York Municipal Opportunities Fund of BlackRock Multi-State Mu
(BR-NYMO)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
----------------------------------------------
Date of 12-07-2016
Offering Commencement:
------------------------ --------------------
Security Type: BND/MUNI
----------------------------------------------
-------------------------------------------------------------------------------
Issuer The City of New York General Obligation Bonds
2017 Series-B Subseries B-1
--------------------------- --------------------------------------------------
Selling Underwriter Jefferies LLC
--------------------------- --------------------------------------------------
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
-------------------------------------------------------------------------------
List of Underwriter(s) Jefferies LLC, Merrill Lynch, Pierce, Fenner &
Smith Incorporated, Citigroup Global Markets
Inc., Goldman, Sachs & Co, J.P. Morgan Securities
LLC, Loop Capital Markets LLC, Ramirez & Company,
Inc, RBC Capital Markets, LLC, Wells Fargo
Securities, LLC, Siebert Cisneros Shank & Co.,
LLC, Barclays Capital Inc., BNY Mellon Capital
Markets, LLC, Drexel Hamilton, LLC, Fidelity
Capital Markets, Janney Montgomery Scott LLC,
Morgan Stanley & Co. LLC, Oppenheimer & Co,
Raymond James & Associates, Inc., Roosevelt &
Cross, Inc, Stifel, Nicolaus & Company, Inc., TD
Securities (USA) LLC, U.S. Bancorp
Investments,Inc, Academy Securities, Inc.,
Blaylock Beal Van, LLC, FTN Financial Securities
Corp., Hilltop Securities, PNC Capital
Markets LLC, Rice Financial Products Company,
Stern Brothers & Co., The Williams Capital Group,
L.P, PNC Capital Markets LLC
-------------------------------------------------------------------------------
TRANSACTION DETAILS
-------------------------------
Date of Purchase 12-07-2016
-------------------------------
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
-------------------------------------------------------------------------------
Purchase Price/Share $113.315
(PER SHARE / % OF PAR) $112.328
$110.998
$ 99.00 Total Commission, Spread or Profit 0.462%
-------------------------------------------------------------------------------
1. Aggregate Principal Amount Purchased (a+b) $ 11,105,000
----------------------------------------------------------------- ------------
a. US Registered Funds
(Appendix attached with individual Fund/Client
purchase) $ 10,000,000
----------------------------------------------------------------- ------------
b. Other BlackRock Clients $ 1,105,000
----------------------------------------------------------------- ------------
2. Aggregate Principal Amount of Offering $650,000,000
----------------------------------------------------------------- ------------
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.01708
-------------------------------------------------------------------------------
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public [Issuer must have 3 years of continuous
Offering...................... operations]
[_] Eligible Rule 144A Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Municipal Securities
[_] Eligible Foreign Offering..... [Issuer must have 3 years of continuous
operations]
[_] Government Securities [Issuer must have 3 years of continuous
Offering...................... operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase
all of the securities being offered, except those purchased by
others pursuant to a rights offering, if the underwriters purchased
any of the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or
[_] NO indirect participant in, or benefited directly or
indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 12-09-2016
---------------------------------------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 12-09-2016
---------------------------------------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a)the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b)the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c)financial statements, prepared and audited as
required or permitted by the appropriate foreign
financial regulatory authority in such country,
for the two years prior to the offering, were
made available to the public and prospective
purchasers in connection with the offering; and
(d)if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under the
laws of any foreign country, it (1) has a class
of securities registered pursuant to section
12(b) or 12(g) of the Securities Exchange Act of
1934 or is required to file reports pursuant to
section 15(d) of that act, and (2) has filed all
the material required to be filed pursuant to
section 13(a) or 15(d) of that act for a period
of at least 12 months immediately preceding the
sale of securities (or for such shorter period
that the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a)are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income
under certain provisions of the Internal
Revenue Code;
(b)are sufficiently liquid that they can be
sold at or near their carrying value
within a reasonably short period of time;
and
(c)either
(1)are subject to no greater than
moderate credit risk; or
(2)if the issuer of the municipal
securities, or the entity supplying
the revenues or other payments from
which the issue is to be paid, has
been in continuous operation for less
than three years, including the
operation of any predecessors, the
securities are subject to a minimal or
low amount of credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a)the securities are offered or sold in
transactions exempt from registration
under Section 4(2) of the Securities Act
of 1933, Rule 144A thereunder, or Rules
501-508 thereunder;
(b)the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to
include qualified institutional buyers, as
defined in Rule 144A ("QIBs"); and
(c)the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to
other QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States,
or by a person controlled or supervised by
and acting as an instrumentality of the
Government of the United States pursuant to
authority granted by the Congress of the
United States; or any certificate of deposit
for any of the foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
6
77o16.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES NATIONAL MUNI BOND ETF (ISHMUNI)
BlackRock Municipal Income Investment Quality Trust (BAF)
BlackRock Allocation Target Shares : Series E Portfolio (BATSE)
BlackRock Municipal Income Investment Trust (BBF)
BlackRock Strategic Municipal Trust (BSD)
BlackRock Long-Term Municipal Advantage Trust (BTA)
BlackRock MuniYield Investment Quality Fund (MFT)
BlackRock New York Municipal Income Trust II (BFY)
BlackRock New York Municipal Bond Trust (BQH)
BlackRock New York Municipal Opportunities Fund of BlackRock Multi-State Mu
(BR-NYMO)
BlackRock MuniHoldings New York Quality Fund, Inc. (MHN)
BlackRock MuniYield New York Quality Fund, Inc. (MYN)
BlackRock New York Municipal Income Trust II (BFY)
BlackRock Strategic Municipal Opportunities Fund of BlackRock Series Trust
(BR-SMO-IG)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
-------------------------------------
Date of 02-01-2017
Offering Commencement:
------------------------ -----------
Security Type: BND/MUNI
-------------------------------------
-------------------------------------------------------------------------------
Issuer New York City Municipal Water Finance Authority
Water and Sewer System Second General Resolution
Revenue Bonds 2017 Series DD
--------------------------- --------------------------------------------------
Selling Underwriter Barclays Capital Inc
--------------------------- --------------------------------------------------
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
--------------------------- --------------------------------------------------
List of Underwriter(s) Barclays Capital Inc., Raymond James &
Associates, Inc., Citigroup Global Markets Inc,
Siebert Cisneros Shank & Co., LLC, Merrill
Lynch,Pierce,Fenner & Smith Incorporated,
Fidelity Capital Markets, Goldman, Sachs & Co,
J.P. Morgan Securities LLC, Jefferies LLC,
Academy Securities, Inc, Loop Capital Markets
LLC, Ramirez & Company, Inc, Morgan Stanley & Co.
LLC, RBC Capital Markets, LLC, Roosevelt &
Cross,Inc, TD Securities (USA) LLC, U.S. Bancorp
Investments, Inc, Academy Securities, Inc, Wells
Fargo Securities, LLC, Blaylock Beal Van, LLC,
C Rice Financial Products Companabrera Capital
Markets, LLC, Mesirow Financial Inc., Mischler
Financial Group, Inc, PNC Capital Markets LLC,
Stifel,Nicolaus & Company,Incorporated, The
Williams Capital Group, L.P.
-------------------------------------------------------------------------------
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TRANSACTION DETAILS
-------------------------------
Date of Purchase 02-01-2017
-------------------------------
-------------------------------------------------------------------------------
Purchase Price/Share $ 101.38
(PER SHARE / % OF PAR) $112.668
$115.733 Total Commission, Spread or Profit 0.483%
-------------------------------------------------------------------------------
1. Aggregate Principal Amount Purchased (a+b) $ 39,900,000
----------------------------------------------------------------- ------------
a. US Registered Funds
(Appendix attached with individual Fund/Client
purchase) $ 39,900,000
----------------------------------------------------------------- ------------
b. Other BlackRock Clients N/A
----------------------------------------------------------------- ------------
2. Aggregate Principal Amount of Offering $336,540,000
----------------------------------------------------------------- ------------
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.11856
-------------------------------------------------------------------------------
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public [Issuer must have 3 years of continuous
Offering...................... operations]
[_] Eligible Rule 144A Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Municipal Securities
[_] Eligible Foreign Offering..... [Issuer must have 3 years of continuous
operations]
[_] Government Securities [Issuer must have 3 years of continuous
Offering...................... operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase
all of the securities being offered, except those purchased by
others pursuant to a rights offering, if the underwriters purchased
any of the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in,
[_] NO or benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 02-14-2017
---------------------------------------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 02-14-2017
---------------------------------------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a)the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b)the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c)financial statements, prepared and audited as
required or permitted by the appropriate foreign
financial regulatory authority in such country,
for the two years prior to the offering, were
made available to the public and prospective
purchasers in connection with the offering; and
(d)if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under the
laws of any foreign country, it (1) has a class
of securities registered pursuant to section
12(b) or 12(g) of the Securities Exchange Act of
1934 or is required to file reports pursuant to
section 15(d) of that act, and (2) has filed all
the material required to be filed pursuant to
section 13(a) or 15(d) of that act for a period
of at least 12 months immediately preceding the
sale of securities (or for such shorter period
that the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a)are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b)are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c)either
(1)are subject to no greater than moderate
credit risk; or
(2)if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a)the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b)the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c)the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
7
77o19.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
BlackRock Municipal Income Investment Quality Trust (BAF)
BlackRock Allocation Target Shares : Series E Portfolio (BATSE)
BlackRock Municipal Income Investment Trust (BBF)
BlackRock Strategic Municipal Trust (BSD)
BlackRock Long-Term Municipal Advantage Trust (BTA)
BlackRock MuniYield Investment Quality Fund (MFT)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
-----------------------------------------------
Date of 03-03-2017
Offering Commencement:
------------------------ ---------------------
Security Type: BND/MUNI
-----------------------------------------------
-------------------------------------------------------------------------------
Issuer The Delaware Economic Development Authority
Refunding Revenue Bonds Series 2017
--------------------------- --------------------------------------------------
Selling Underwriter Wells Fargo Securities, LLC
--------------------------- --------------------------------------------------
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
--------------------------- --------------------------------------------------
List of Underwriter(s) Wells Fargo Securities, LLC, Morgan Stanley & Co.
LLC, PNC Capital Markets LLC
-------------------------------------------------------------------------------
TRANSACTION DETAILS
-----------------------------------------------
Date of Purchase 03-03-2017
-----------------------------------------------
-------------------------------------------------------------------------------
Purchase Price/Share
(PER SHARE / % OF PAR) $100.044 Total Commission, Spread or Profit 0.423%
-------------------------------------------------------------------------------
1. Aggregate Principal Amount Purchased (a+b) $ 7,095,000
------------------------------------------------------------------ -----------
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 6,000,000
------------------------------------------------------------------ -----------
b. Other BlackRock Clients $ 1,095,000
------------------------------------------------------------------ -----------
2. Aggregate Principal Amount of Offering $42,680,000
------------------------------------------------------------------ -----------
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.16624
-------------------------------------------------------------------------------
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public [Issuer must have 3 years of continuous
Offering...................... operations]
[_] Eligible Rule 144A Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Municipal Securities
[_] Eligible Foreign Offering..... [Issuer must have 3 years of continuous
operations]
[_] Government Securities [Issuer must have 3 years of continuous
Offering...................... operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase
all of the securities being offered, except those purchased by
others pursuant to a rights offering, if the underwriters purchased
any of the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in,
[_] NO or benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 03-27-2017
---------------------------------------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 03-27-2017
---------------------------------------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a)the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b)the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c)financial statements, prepared and audited as
required or permitted by the appropriate foreign
financial regulatory authority in such country,
for the two years prior to the offering, were
made available to the public and prospective
purchasers in connection with the offering; and
(d)if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under the
laws of any foreign country, it (1) has a class
of securities registered pursuant to section
12(b) or 12(g) of the Securities Exchange Act of
1934 or is required to file reports pursuant to
section 15(d) of that act, and (2) has filed all
the material required to be filed pursuant to
section 13(a) or 15(d) of that act for a period
of at least 12 months immediately preceding the
sale of securities (or for such shorter period
that the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a)are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b)are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c)either
(1)are subject to no greater than moderate
credit risk; or
(2)if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a)the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b)the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c)the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
8
77o23.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
BlackRock Municipal Income Investment Quality Trust (BAF)
BlackRock Allocation Target Shares : Series E Portfolio (BATSE)
BlackRock Municipal Income Investment Trust (BBF)
BlackRock National Municipal Fund of Blackrock Municipal Bond Fund, Inc.
(BR-NATL)
BlackRock Strategic Municipal Trust (BSD)
BlackRock Long-Term Municipal Advantage Trust (BTA)
BlackRock MuniYield Investment Quality Fund (MFT)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
-------------------------------------
Date of 04-19-2017
Offering Commencement:
------------------------ -----------
Security Type: BND/MUNI
-------------------------------------
-------------------------------------------------------------------------------
Issuer Geisinger Authority Montour County, Pennsylvania
Health System Revenue Bonds Series 2017-A1
--------------------------- --------------------------------------------------
Selling Underwriter J.P. Morgan Securities LLC
--------------------------- --------------------------------------------------
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
--------------------------- --------------------------------------------------
List of Underwriter(s) J.P. Morgan Securities LLC, Merrill Lynch,
Pierce, Fenner & Smith Incorporated, Jefferies &
Company, Inc, PNC Capital Markets LLC, Wells
Fargo Securities, LLC
-------------------------------------------------------------------------------
TRANSACTION DETAILS
-------------------------------
Date of Purchase 04-19-2017
-------------------------------
-------------------------------------------------------------------------------
Purchase Price/Share
(PER SHARE / % OF PAR) $112.842 Total Commission, Spread or Profit 0.510%
-------------------------------------------------------------------------------
1. Aggregate Principal Amount Purchased (a+b) $ 19,235,000
----------------------------------------------------------------- ------------
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 19,235,000
----------------------------------------------------------------- ------------
b. Other BlackRock Clients N/A
----------------------------------------------------------------- ------------
2. Aggregate Principal Amount of Offering $350,370,000
----------------------------------------------------------------- ------------
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.05489
-------------------------------------------------------------------------------
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public [Issuer must have 3 years of continuous
Offering...................... operations]
[_] Eligible Rule 144A Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Municipal Securities
[_] Eligible Foreign Offering..... [Issuer must have 3 years of continuous
operations]
[_] Government Securities [Issuer must have 3 years of continuous
Offering...................... operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase
all of the securities being offered, except those purchased by
others pursuant to a rights offering, if the underwriters purchased
any of the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in,
[_] NO or benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 04-28-2017
---------------------------------------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 04-28-2017
---------------------------------------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a)the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b)the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c)financial statements, prepared and audited as
required or permitted by the appropriate foreign
financial regulatory authority in such country,
for the two years prior to the offering, were
made available to the public and prospective
purchasers in connection with the offering; and
(d)if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under the
laws of any foreign country, it (1) has a class
of securities registered pursuant to section
12(b) or 12(g) of the Securities Exchange Act of
1934 or is required to file reports pursuant to
section 15(d) of that act, and (2) has filed all
the material required to be filed pursuant to
section 13(a) or 15(d) of that act for a period
of at least 12 months immediately preceding the
sale of securities (or for such shorter period
that the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a)are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b)are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c)either
(1)are subject to no greater than moderate
credit risk; or
(2)if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a)the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b)the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c)the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
9
77o28.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES NATIONAL MUNI BOND ETF (ISHMUNI)
ISHARES NEW YORK MUNI BOND ETF (ISHNY)
BlackRock National Municipal Fund of Blackrock Municipal Bond Fund, Inc.
(BR-NATL)
BlackRock Municipal Income Investment Quality Trust (BAF)
BlackRock Allocation Target Shares : Series E Portfolio (BATSE)
BlackRock Municipal Income Investment Trust (BBF)
BlackRock Strategic Municipal Trust (BSD)
BlackRock Long-Term Municipal Advantage Trust (BTA)
BlackRock MuniYield Investment Quality Fund (MFT)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
-------------------------------------
Date of 05-11-2017
Offering Commencement:
------------------------ -----------
Security Type: BND/MUNI
-------------------------------------
-------------------------------------------------------------------------------
Issuer Metropolitan Transportation Authority Dedicated
Tax Fund Green Bonds, Series 2017B-1
--------------------------- --------------------------------------------------
Selling Underwriter Samuel A. Ramirez & Company,Inc
--------------------------- --------------------------------------------------
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
--------------------------- --------------------------------------------------
List of Underwriter(s) Samuel A. Ramirez & Company,Inc., Academy
Securities,Inc., Alamo Capital, The Williams
Capital Group, LP, Merrill Lynch, Pierce,
Fenner & Smith Incorporated, Citigroup Global
Markets Inc, Goldman, Sachs & Co, J.P. Morgan
Securities LLC, Siebert Cisneros Shank & Co.,
Jefferies LLC, Loop Capital Markets LLC, Morgan
Stanley & Co., PNC Capital Markets LLC, RBC
Capital Markets, LLC, Barclays Capital Inc.,
Blaylock Beal Van, LLC, BNY Mellon Capital
Markets, LLC, Cabrera Capital Markets,LLC, Drexel
Hamilton, LLC, Fidelity Capital Markets, FTN
Financial Securities Corp., KeyBanc Capital
Markets Inc., Raymond James & Associates, Inc.,
Rice Financial Products Company, Stern Brothers &
Co., Stifel,Nicolaus & Company, Incorporated, TD
Securities (USA) LLC
-------------------------------------------------------------------------------
TRANSACTION DETAILS
-------------------------------
Date of Purchase 05-11-2017
-------------------------------
-------------------------------------------------------------------------------
Purchase Price/Share $117.497
(PER SHARE / % OF PAR) $117.203
$101.457
$115.544 Total Commission, Spread or Profit 0.467%
-------------------------------------------------------------------------------
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
-------------------------------------------------------------------------------
1. Aggregate Principal Amount Purchased (a+b) $ 30,210,000
----------------------------------------------------------------- ------------
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 20,250,000
----------------------------------------------------------------- ------------
b. Other BlackRock Clients $ 9,960,000
----------------------------------------------------------------- ------------
2. Aggregate Principal Amount of Offering $309,225,000
----------------------------------------------------------------- ------------
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.09770
-------------------------------------------------------------------------------
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public [Issuer must have 3 years of continuous
Offering...................... operations]
[_] Eligible Rule 144A Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Municipal Securities
[_] Eligible Foreign Offering..... [Issuer must have 3 years of continuous
operations]
[_] Government Securities [Issuer must have 3 years of continuous
Offering...................... operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase
all of the securities being offered, except those purchased by
others pursuant to a rights offering, if the underwriters purchased
any of the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in,
[_] NO or benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 05-15-2017
---------------------------------------------
Global Syndicate Team Member
Approved by: Steven Delaura Date: 05-15-2017
---------------------------------------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a)the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b)the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c)financial statements, prepared and audited as
required or permitted by the appropriate foreign
financial regulatory authority in such country,
for the two years prior to the offering, were
made available to the public and prospective
purchasers in connection with the offering; and
(d)if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under the
laws of any foreign country, it (1) has a class
of securities registered pursuant to section
12(b) or 12(g) of the Securities Exchange Act of
1934 or is required to file reports pursuant to
section 15(d) of that act, and (2) has filed all
the material required to be filed pursuant to
section 13(a) or 15(d) of that act for a period
of at least 12 months immediately preceding the
sale of securities (or for such shorter period
that the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a)are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b)are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c)either
(1)are subject to no greater than moderate
credit risk; or
(2)if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a)the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b)the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c)the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
10
77o29.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES NATIONAL MUNI BOND ETF (ISHMUNI)
ISHARES SHORT-TERM NATIONAL MUNI BOND ETF (NAT0-5)
ISHARES NEW YORK MUNI BOND ETF (ISHNY)
BlackRock Muni New York Intermediate Duration Fund, Inc. (MNE)
BlackRock Muni Intermediate Duration Fund, Inc. (MUI)
BlackRock Strategic Municipal Opportunities Fund of BlackRock Series Trust
(BR-SMO-IG)
BlackRock Allocation Target Shares : Series E Portfolio (BATSE)
BlackRock Municipal Income Investment Quality Trust (BAF)
BlackRock Municipal Income Investment Trust (BBF)
BlackRock Municipal Income Trust (BFK)
BlackRock Municipal Income Trust II (BLE)
BlackRock Strategic Municipal Trust (BSD)
BlackRock Long-Term Municipal Advantage Trust (BTA)
BlackRock Municipal Income Quality Trust (BYM)
BlackRock MuniEnhanced Fund, Inc. (MEN)
BlackRock MuniYield Investment Quality Fund (MFT)
BlackRock MuniHoldings Fund, Inc. (MHD)
BlackRock MuniYield Quality Fund II, Inc. (MQT)
BlackRock MuniYield Quality Fund, Inc. (MQY)
BlackRock MuniHoldings Fund II, Inc. (MUH)
BlackRock MuniVest Fund II, Inc. (MVT)
BlackRock MuniYield Fund, Inc. (MYD)
BlackRock MuniYield Investment Fund (MYF)
BlackRock MuniYield Quality Fund III, Inc. (MYI)
BlackRock New York Municipal Opportunities Fund of BlackRock Multi-State Mu
(BR-NYMO)
BlackRock New York Municipal Income Trust II (BFY)
BlackRock New York Municipal Income Trust (BNY)
BlackRock New York Municipal Bond Trust (BQH)
BlackRock New York Municipal Income Quality Trust (BSE)
BlackRock MuniHoldings New York Quality Fund, Inc. (MHN)
BlackRock MuniYield New York Quality Fund, Inc. (MYN)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
-------------------------------------
Date of 05-24-2017
Offering Commencement:
------------------------ -----------
Security Type: BND/MUNI
-------------------------------------
-------------------------------------------------------------------------------
Issuer Hudson Yards Infrastructure Corporation econd Indenture
Revenue Bonds 2017 Series A
--------------------- --------------------------------------------------------
Selling Underwriter Goldman Sachs & Co.
--------------------- --------------------------------------------------------
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
-------------------------------------------------------------------------------
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
--------------------------- --------------------------------------------------
List of Underwriter(s) Goldman Sachs & Co., Samuel A. Ramirez &
Company,Inc., J.P. Morgan Securities LLC, ,Loop
Capital Markets LLC, ,Merrill Lynch,Pierce,Fenner
& Smith Incorporated, Citigroup Global Markets
Inc., Barclays Capital Inc., Citigroup Global
Markets Inc., Jefferies LLC, RBC Capital Markets,
Raymond James & Associates,Inc., Siebert Cisneros
Shank & Co.,L.L.C.,Wells Fargo Securities,LLC,
Academy Securities,Inc.,Blaylock Beal Van,LLC,
BNY Mellon Capital Markets,LLC, ,Cabrera Capital
Markets,LLC,Drexel Hamilton,LLC, Fidelity Capital
Markets,FTN Financial Capital Markets, Hilltop
Securities Inc., Janney Montgomery Scott LL,
Mesirow Financial Inc, Mischler Financial Group,
Morgan Stanley & Co. LLC, Oppenheimer & Co, PNC
Capital Markets LLC, Roosevelt & Cross,Inc, Rice
Financial Products Company, Stern Brothers & Co.,
Stifel Nicolaus & Company, Inc, TD Securities
(USA) LLC, U.S. Bancorp Investments, Inc, The
Williams Capital Group, LP
-------------------------------------------------------------------------------
TRANSACTION DETAILS
-------------------------------
Date of Purchase 05-24-2017
-------------------------------
-------------------------------------------------------------------------------
Purchase Price/Share $116.943
(PER SHARE / % OF PAR) $119.318
$123.504
$122.006
$ 122
$119.712
$ 118.49
$117.468
$116.915
$116.092
$115.819
$104.668
$115.547 Total Commission, Spread or Profit 0.461%
-------------------------------------------------------------------------------
1. Aggregate Principal Amount Purchased (a+b) $ 118,335,000
--------------------------------------------------------------- --------------
a. US Registered Funds
(Appendix attached with individual Fund/Client
purchase) $ 68,960,000
--------------------------------------------------------------- --------------
b. Other BlackRock Clients $ 49,375,000
--------------------------------------------------------------- --------------
2. Aggregate Principal Amount of Offering $2,108,465,000
--------------------------------------------------------------- --------------
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.05612
-------------------------------------------------------------------------------
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types
(see Definitions):
[_] U.S. Registered Public [Issuer must have 3 years of continuous
Offering...................... operations]
[_] Eligible Rule 144A Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Municipal Securities
[_] Eligible Foreign Offering..... [Issuer must have 3 years of continuous
operations]
[_] Government Securities [Issuer must have 3 years of continuous
Offering...................... operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase
all of the securities being offered, except those purchased by
others pursuant to a rights offering, if the underwriters purchased
any of the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in,
[_] NO or benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 05-30-2017
---------------------------------------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 05-30-2017
---------------------------------------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a)the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b)the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c)financial statements, prepared and audited as
required or permitted by the appropriate foreign
financial regulatory authority in such country,
for the two years prior to the offering, were
made available to the public and prospective
purchasers in connection with the offering; and
(d)if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under the
laws of any foreign country, it (1) has a class
of securities registered pursuant to section
12(b) or 12(g) of the Securities Exchange Act of
1934 or is required to file reports pursuant to
section 15(d) of that act, and (2) has filed all
the material required to be filed pursuant to
section 13(a) or 15(d) of that act for a period
of at least 12 months immediately preceding the
sale of securities (or for such shorter period
that the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a)are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b)are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c)either
(1)are subject to no greater than moderate
credit risk; or
(2)if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a)the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b)the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c)the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
11
77o32.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES IBONDS DEC 2023 TERM MUNI BOND ETF (IMUN23)
ISHARES SHORT-TERM NATIONAL MUNI BOND ETF (NAT0-5)
ISHARES NATIONAL MUNI BOND ETF (ISHMUNI)
BlackRock New York Municipal Income Trust II (BFY)
BlackRock New York Municipal Income Trust (BNY)
BlackRock New York Municipal Bond Trust (BQH)
BlackRock New York Municipal Opportunities Fund of BlackRock Multi-State Mu
(BR-NYMO)
BlackRock New York Municipal Income Quality Trust (BSE)
BlackRock MuniHoldings New York Quality Fund, Inc. (MHN)
BlackRock MuniYield New York Quality Fund, Inc. (MYN)
BlackRock Muni Intermediate Duration Fund, Inc. (MUI)
BlackRock Municipal Income Investment Quality Trust (BAF)
BlackRock Allocation Target Shares : Series E Portfolio (BATSE)
BlackRock Municipal Income Investment Trust (BBF)
BlackRock Strategic Municipal Trust (BSD)
BlackRock Long-Term Municipal Advantage Trust (BTA)
BlackRock MuniYield Investment Quality Fund (MFT)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
-----------------------------------------------
Date of 07-13-2017
Offering Commencement:
------------------------ ---------------------
Security Type: BND/MUNI
-----------------------------------------------
-------------------------------------------------------------------------------
Issuer New York City Transitional Finance Authority
Building Aid Revenue Bonds
--------------------------- --------------------------------------------------
Selling Underwriter Merrill Lynch, Pierce, Fenner & Smith Incorporated
--------------------------- --------------------------------------------------
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
--------------------------- --------------------------------------------------
List of Underwriter(s) Merrill Lynch, Pierce, Fenner & Smith
Incorporated, Jefferies LLC, Ramirez & Co.,Inc.,
Barclays Capital Inc., BNY Mellon Capital
Markets, Citigroup Global Markets Inc, Drexel
Hamilton, LLC, Fidelity Capital Markets, Goldman
Sachs & Co. LLC, J.P. Morgan Securities LLC,
Janney Montgomery Scott LLC, Loop Capital Markets
LLC, Morgan Stanley & Co. LLC, Oppenheimer & Co.,
Raymond James & Associates, Inc., RBC Capital
Markets, Roosevelt & Cross, Inc., Siebert
Cisneros Shank & Co. ,LLC., Stifel, Nicolaus &
Company, Inc., TD Securities (USA) LLC, U.S.
Bancorp Investments Inc., Wells Fargo Securities,
Academy Securities, Blaylock Van, LLC, FTN
Financial Capital Markets, Hilltop Securities
Inc, PNC Capital Markets LLC, Rice Financial
Products Company, Stern Brothers & Co., Williams
Capital Group L.P.
-------------------------------------------------------------------------------
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TRANSACTION DETAILS
-----------------------------------------------
Date of Purchase 07-13-2017
-----------------------------------------------
------------------------------------------------------------------------------
Purchase Price/Share $118.769
(PER SHARE / % OF PAR) $117.147
$111.019
$120.699
$120.792
$119.241
$105.651 Total Commission, Spread or Profit Need
------------------------------------------------------------------------------
1. Aggregate Principal Amount Purchased (a+b) $ 66,425,000
-------------------------------------------------------------- --------------
a. US Registered Funds
(Appendix attached with individual Fund/Client
purchase) $ 24,350,000
-------------------------------------------------------------- --------------
b. Other BlackRock Clients $ 42,075,000
-------------------------------------------------------------- --------------
2. Aggregate Principal Amount of Offering $1,007,545,000
-------------------------------------------------------------- --------------
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.0659
------------------------------------------------------------------------------
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public [Issuer must have 3 years of continuous
Offering...................... operations]
[_] Eligible Rule 144A Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Municipal Securities
[_] Eligible Foreign Offering..... [Issuer must have 3 years of continuous
operations]
[_] Government Securities [Issuer must have 3 years of continuous
Offering...................... operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase
all of the securities being offered, except those purchased by
others pursuant to a rights offering, if the underwriters purchased
any of the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in,
[_] NO or benefited directly or indirectly from, the transaction.
Completed by: Alisha Khan Date: 07-18-2017
---------------------------------------------
Global Syndicate Team Member
Approved by: Date:
---------------------------------------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a)the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b)the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c)financial statements, prepared and audited as
required or permitted by the appropriate foreign
financial regulatory authority in such country,
for the two years prior to the offering, were
made available to the public and prospective
purchasers in connection with the offering; and
(d)if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under the
laws of any foreign country, it (1) has a class
of securities registered pursuant to section
12(b) or 12(g) of the Securities Exchange Act of
1934 or is required to file reports pursuant to
section 15(d) of that act, and (2) has filed all
the material required to be filed pursuant to
section 13(a) or 15(d) of that act for a period
of at least 12 months immediately preceding the
sale of securities (or for such shorter period
that the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a)are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in
section 103(c)(2) of Title 26) the interest
on which is excludable from gross income
under certain provisions of the Internal
Revenue Code;
(b)are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c)either
(1)are subject to no greater than moderate
credit risk; or
(2)if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a)the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b)the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c)the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.