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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Helios Strategic I | NYSE:HSA | NYSE | Ordinary Share |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 6.59 | 0.00 | 01:00:00 |
As filed with the U.S. Securities and Exchange Commission on September 6, 2013
File Nos. 333-179904 and 811-22649
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-1A
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933 | x | |
Post-Effective Amendment No. 20 | x | |
and/or |
REGISTRATION STATEMENT
UNDER
THE INVESTMENT COMPANY ACT OF 1940 | x | |
Amendment No. 20 | x |
(Check appropriate box or boxes)
iShares U.S. ETF Trust
(Exact Name of Registrant as Specified in Charter)
c/o State Street Bank and Trust Company
200 Clarendon Street
Boston, MA 02116
(Address of Principal Executive Office)(Zip Code)
Registrants Telephone Number, including Area Code: (415) 670-2000
The Corporation Trust Company
1209 Orange Street
Wilmington, DE 19801
(Name and Address of Agent for Service)
With Copies to:
MARGERY K. NEALE, ESQ. | BENJAMIN J. HASKIN, ESQ. | EDWARD BAER, ESQ. | ||
WILLKIE FARR & GALLAGHER LLP |
WILLKIE FARR & GALLAGHER LLP |
BLACKROCK FUND ADVISORS |
||
787 SEVENTH AVENUE | 1875 K STREET, N.W. | 400 HOWARD STREET | ||
NEW YORK, NY 10019-6099 | WASHINGTON, D.C. 20006-1238 | SAN FRANCISCO, CA 94105 |
It is proposed that this filing will become effective (check appropriate box):
¨ Immediately upon filing pursuant to paragraph (b) |
¨ On (date) pursuant to paragraph (b) |
|
¨ 60 days after filing pursuant to paragraph (a)(1) |
¨ On (date) pursuant to paragraph (a)(1) |
|
x 75 days after filing pursuant to paragraph (a)(2) |
¨ On (date) pursuant to paragraph (a)(2) |
If appropriate, check the following box:
¨ | The post-effective amendment designates a new effective date for a previously filed post-effective amendment |
2013 Prospectus |
|
► | iShares Core Allocation Conservative ETF | ____ | ____________ |
► | iShares Core Allocation Moderate ETF | ____ | ____________ |
► | iShares Core Allocation Moderate Growth ETF | ____ | ____________ |
► | iShares Core Allocation Growth ETF | ____ | ____________ |
|
S-1 |
|
S-5 |
|
S-9 |
|
S-13 |
|
1 |
|
1 |
|
1 |
|
7 |
|
12 |
|
12 |
|
13 |
|
15 |
|
19 |
|
20 |
|
20 |
Ticker: _____ | Stock Exchange: _______ |
1 Year | 3 Years | |
$___ | $___ |
Ticker: _____ | Stock Exchange: _______ |
1 Year | 3 Years | |
$___ | $___ |
Ticker: ____ | Stock Exchange: _______ |
1 Year | 3 Years | |
$___ | $___ |
Ticker: ____ | Stock Exchange: _______ |
1 Year | 3 Years | |
$___ | $___ |
Note: The above chart is for illustrative purposes and represents the actual allocation percentages of the Funds as of ________, 2013, which are subject to change. |
■ | Lower levels of liquidity and market efficiency; |
■ | Greater securities price volatility; |
■ | Exchange rate fluctuations and exchange controls; |
■ | Less availability of public information about issuers; |
■ | Limitations on foreign ownership of securities; |
■ | Imposition of withholding or other taxes; |
■ | Imposition of restrictions on the expatriation of the funds or other assets of an Underlying Fund; |
■ | Higher transaction and custody costs and delays in settlement procedures; |
■ | Difficulties in enforcing contractual obligations; |
■ | Lower levels of regulation of the securities market; |
■ | Weaker accounting, disclosure and reporting requirements; and |
■ | Legal principles related to corporate governance, directors’ fiduciary duties and liabilities and stockholders’ rights in markets in which the Underlying Funds may invest may differ and/or may not be as extensive or protective as those that apply in the United States. |
■ | The risk of delays in settling portfolio transactions and the risk of loss arising out of the system of share registration and custody used in Russia; |
■ | Risks in connection with the maintenance of a Fund’s portfolio securities and cash with foreign sub-custodians and securities depositories, including the risk that appropriate sub-custody arrangements will not be available to the Fund; |
■ | The risk that a Fund’s ownership rights in portfolio securities could be lost through fraud or negligence as a result of the fact that ownership in shares of Russian companies is recorded by the companies themselves and by registrars, rather than by a central registration system; and |
■ | The risk that a Fund may not be able to pursue claims on behalf of its shareholders because of the system of share registration and custody, and because Russian banking institutions and registrars are not guaranteed by the government. |
• | where a non-resident investor has made any investment, directly or indirectly, in an FII which has invested in India; |
• | investment by the non-resident investor in a fund or a fund pooling vehicle, which do not result in participation in control and management of the fund; |
• | where a non-resident investor along with its associates, does not have more than 26% share in total capital of the company. |
• | creates rights, or obligations, which are not ordinarily created between persons dealing at arm's length; |
• | results, directly or indirectly, in the misuse, or abuse, of the provisions of IT Act; |
• | lacks commercial substance; or |
• | is entered into, or carried out, by means, or in a manner, which are not ordinarily employed for bona fide purposes. |
Underlying Funds | Conservative | Moderate |
Moderate
Growth |
Growth | |||||
iShares Core Long-Term U.S. Bond ETF | ____% | ____% | ____% | ____% | |||||
iShares Core MSCI EAFE ETF | ____% | ____% | ____% | ____% | |||||
iShares Core MSCI Emerging Markets ETF | ____% | ____% | ____% | ____% | |||||
iShares Core MSCI Total International Stock ETF | ____% | ____% | ____% | ____% | |||||
iShares Core S&P 500 ETF | ____% | ____% | ____% | ____% | |||||
iShares Core S&P Mid-Cap ETF | ____% | ____% | ____% | ____% | |||||
iShares Core S&P Small-Cap ETF | ____% | ____% | ____% | ____% | |||||
iShares Core S&P Total U.S. Stock Market ETF | ____% | ____% | ____% | ____% | |||||
iShares Core Short-Term U.S. Bond ETF | ____% | ____% | ____% | ____% | |||||
iShares Core Total U.S. Bond Market ETF | ____% | ____% | ____% | ____% |
* | As a percentage of the net asset value per Creation Unit, inclusive, in the case of redemptions, of the standard redemption transaction fee. |
|
Call: |
1-800-iShares
or 1-800-474-2737 (toll free)
Monday through Friday, 8:30 a.m. to 6:30 p.m. (Eastern time) |
Email: | iSharesETFs@blackrock.com |
Write: |
c/o
BlackRock Investments, LLC
525 Washington Boulevard, Suite 1405, Jersey City, NJ 07310 |
Fund | Ticker | Stock Exchange | ||
iShares Core Allocation Conservative ETF | ____ | ____________ | ||
iShares Core Allocation Moderate ETF | ____ | ____________ | ||
iShares Core Allocation Moderate Growth ETF | ____ | ____________ | ||
iShares Core Allocation Growth ETF | ____ | ____________ |
• | iShares Core Allocation Conservative ETF |
• | iShares Core Allocation Moderate ETF |
• | iShares Core Allocation Moderate Growth ETF |
• | iShares Core Allocation Growth ETF |
• | Each Fund generally supports the board’s nominees in the election of directors and generally supports proposals that strengthen the independence of boards of directors; |
• | Each Fund generally does not support proposals on social issues that lack a demonstrable economic benefit to the issuer and the Fund investing in such issuer; and |
• | Each Fund generally votes against anti-takeover proposals and proposals that would create additional barriers or costs to corporate transactions that are likely to deliver a premium to shareholders. |
1. | Concentrate its investments in a particular industry, as that term is used in the Investment Company Act. |
2. | Borrow money, except as permitted under the Investment Company Act. |
3. | Issue senior securities to the extent such issuance would violate the Investment Company Act. |
4. | Purchase or hold real estate, except the Fund may purchase and hold securities or other instruments that are secured by, or linked to, real estate or interests therein, securities of real estate investment trusts, mortgage-related securities and securities of issuers engaged in the real estate business, and the Fund may purchase and hold real estate as a result of the ownership of securities or other instruments. |
5. | Underwrite securities issued by others, except to the extent that the sale of portfolio securities by the Fund may be deemed to be an underwriting or as otherwise permitted by applicable law. |
6. | Purchase or sell commodities or commodity contracts, except as permitted by the Investment Company Act. |
7. | Make loans to the extent prohibited by the Investment Company Act. |
• | Make short sales of securities or maintain a short position, except to the extent permitted by the Fund’s Prospectus and Statement of Additional Information, as amended from time to time, and applicable law. |
• | The frequency of trades and quotes for the security; |
• | The number of dealers wishing to purchase or sell the security and the number of other potential purchasers; |
• | Dealer undertakings to make a market in the security; and |
• | The nature of the security and the nature of the marketplace in which it trades ( e.g. , the time needed to dispose of the security, the method of soliciting offers and the mechanics of transfer). |
Name (Age) | Position |
Principal
Occupation(s)
During the Past 5 Years |
Other
Directorships
Held by Trustee |
|||
Robert
S. Kapito
1
(56) |
Trustee
(since 2011). |
President and Director, BlackRock, Inc. (since 2006); Vice Chairman of BlackRock, Inc. and Head of BlackRock’s Portfolio Management Group (since its formation in 1998) and BlackRock’s predecessor entities (since 1988); Trustee, University of Pennsylvania (since 2009); President of Board of Directors, Hope & Heroes Children’s Cancer Fund (since 2002); President of the Board of Directors, Periwinkle Theatre for Youth (since 1983). | Director of iShares, Inc. (since 2009); Trustee of iShares Trust (since 2009); Director of iShares MSCI Russia Capped ETF, Inc. (since 2010); Director of BlackRock, Inc. (since 2006). |
Name (Age) | Position |
Principal
Occupation(s)
During the Past 5 Years |
Other
Directorships
Held by Trustee |
|||
Michael
Latham
2
(47) |
Trustee
(since 2011); President (since 2011). |
Chairman of iShares, BlackRock (since 2011); Global Chief Executive Officer of iShares, BlackRock (2010-2011); Managing Director, BlackRock (since 2009); Head of Americas iShares, Barclays Global Investors (“BGI”) (2007-2009); Director and Chief Financial Officer of Barclays Global Investors International, Inc. (2005-2009); Chief Operating Officer of the Intermediary Investor and Exchange-Traded Products Business of BGI (2003-2007). | Director of iShares, Inc. (since 2010); Trustee of iShares Trust (since 2010); Director of iShares MSCI Russia Capped ETF, Inc. (since 2010). |
1 | Robert S. Kapito is deemed to be an “interested person” (as defined in the 1940 Act) of the Trust due to his affiliations with BlackRock, Inc. |
2 | Michael Latham is deemed to be an “interested person” (as defined in the 1940 Act) of the Trust due to his affiliations with BlackRock, Inc. and its affiliates. |
Name (Age) | Position |
Principal
Occupation(s)
During the Past 5 Years |
Other
Directorships
Held by Trustee |
|||
Robert
H. Silver
(58) |
Trustee
(since 2011); Independent Chairman (since 2012). |
President and Co-Founder of The Bravitas Group, Inc. (since 2006); Director and Vice Chairman of the YMCA of Greater NYC (2001-2011); Broadway Producer (2006-2011); Co-Founder and Vice President of Parentgiving Inc. (since 2008); Director and Member of the Audit and Compensation Committee of EPAM Systems, Inc. (2006-2009); President and Chief Operating Officer of UBS Financial Services Inc. (formerly Paine Webber Inc.) (2003-2005) and various executive positions with UBS and its affiliates (1988-2005); CPA and Audit Manager of KPMG, LLP (formerly Peat Marwick Mitchell) (1977-1983). | Director of iShares, Inc. (since 2007); Trustee of iShares Trust (since 2007); Director of iShares MSCI Russia Capped ETF, Inc. (since 2010); Independent Chairman of iShares, Inc., iShares Trust and of iShares MSCI Russia Capped ETF, Inc. (since 2012). | |||
George
G.C. Parker
(74) |
Trustee
(since 2011). |
Dean Witter Distinguished Professor of Finance, Emeritus, Stanford University Graduate School of Business (Professor since 1973; Emeritus since 2006). | Director of iShares, Inc. (since 2002); Trustee of iShares Trust (since 2000); Director of iShares MSCI Russia Capped ETF, Inc. (since 2010); Director of Tejon Ranch Company (since 1999); Director of Threshold Pharmaceuticals (since 2004); Director of Colony Financial, Inc. (since 2009); Director of First Republic Bank (since 2010). |
Name (Age) | Position |
Principal
Occupation(s)
During the Past 5 Years |
Other
Directorships
Held by Trustee |
|||
John
E. Martinez
(52) |
Trustee
(since 2011); Securities Lending Committee Chair (since 2012). |
Director of FirstREX Agreement Corp. (formerly EquityRock, Inc.) (since 2005). | Director of iShares, Inc. (since 2003); Trustee of iShares Trust (since 2003); Director of iShares MSCI Russia Capped ETF, Inc. (since 2010). | |||
Cecilia
H. Herbert
(64) |
Trustee
(since 2011); Nominating and Governance Committee Chair and Equity Plus Committee Chair (since 2012). |
Director (since 1998) and President (2007-2011) of the Board of Directors, Catholic Charities CYO; Trustee (2002-2011) and Chair of the Finance and Investment Committee (2006-2010) the Thacher School; Member (since 1994) and Chair (1994-2005) of the Investment Committee, Archdiocese of San Francisco; Trustee and Member of the Investment Committee, WNET, the New York public broadcasting company (since 2011). | Director of iShares, Inc. (since 2005); Trustee of iShares Trust (since 2005); Director of iShares MSCI Russia Capped ETF, Inc. (since 2010); Director of Forward Funds (34 portfolios) (since 2009). | |||
Charles
A. Hurty
(69) |
Trustee
(since 2011); Audit Committee Chair (since 2011). |
Retired; Partner, KPMG LLP (1968-2001). | Director of iShares, Inc. (since 2005); Trustee of iShares Trust (since 2005); Director of iShares MSCI Russia Capped ETF, Inc. (since 2010); Director of GMAM Absolute Return Strategy Fund (1 portfolio) (since 2002); Director of SkyBridge Alternative Investments Multi-Adviser Hedge Fund Portfolios LLC (2 portfolios) (since 2002). | |||
John
E. Kerrigan
(58) |
Trustee
(since 2011); Fixed Income Plus Committee Chair (since 2012). |
Chief Investment Officer, Santa Clara University (since 2002). | Director of iShares, Inc. (since 2005); Trustee of iShares Trust (since 2005); Director of iShares MSCI Russia Capped ETF, Inc. (since 2010) | |||
Madhav
V. Rajan
(49) |
Trustee
(since 2011); 15(c) Committee Chair (since 2012). |
Robert K. Jaedicke Professor of Accounting and Senior Associate Dean for Academic Affairs and Head of MBA Program, Stanford University Graduate School of Business (since 2001); Professor of Law (by courtesy), Stanford Law School (since 2005); Visiting Professor, University of Chicago (2007-2008). |
Director
of iShares, Inc. (since 2011);
Trustee of iShares Trust (since 2011); Director of iShares MSCI Russia Capped ETF, Inc. (since 2011). |
Name (Age) | Position |
Principal
Occupation(s)
During the Past 5 Years |
||
Jack
Gee
(53) |
Treasurer
and Chief Financial Officer
(since 2011). |
Managing Director, BlackRock (since 2009); Senior Director of Fund Administration of Intermediary Investor Business, BGI (2009); Director of Fund Administration of Intermediary Investor Business, BGI (2004-2009). | ||
Eilleen
M. Clavere
(61) |
Secretary
(since 2011). |
Director of Global Fund Administration, BlackRock (since 2009); Director of Legal Administration of Intermediary Investor Business, BGI (2006-2009); Legal Counsel and Vice President of Atlas Funds, Atlas Advisers, Inc. and Atlas Securities, Inc. (2005-2006); Counsel of Kirkpatrick & Lockhart LLP (2001-2005). | ||
Edward
B. Baer
(44) |
Vice
President and Chief Legal Officer
(since 2012). |
Managing Director of Legal & Compliance, BlackRock (since 2006); Director of Legal & Compliance, BlackRock (2004-2006). | ||
Scott
Radell
(44) |
Executive
Vice President
(since 2012). |
Managing Director, BlackRock (since 2009); Head of Portfolio Solutions, BlackRock (since 2009); Head of Portfolio Solutions, BGI (2007-2009); Credit Portfolio Manager, BGI (2005-2007); Credit Research Analyst, BGI (2003-2005). | ||
Amy
Schioldager
(50) |
Executive
Vice President
(since 2011). |
Senior Managing Director, BlackRock (since 2009); Global Head of Index Equity, BGI (2008-2009); Global Head of U.S. Indexing, BGI (2006-2008); Head of Domestic Equity Portfolio Management, BGI (2001-2006). | ||
Ira
P. Shapiro
(50) |
Vice
President
(since 2011). |
Managing Director, BlackRock (since 2009); Head of Strategic Product Initiatives for iShares (since 2012); Chief Legal Officer, Exchange-Traded Fund Complex (2007-2012); Associate General Counsel, BGI (2004-2009). |
Name of Trustee | Fund |
Dollar
Range of Equity
Securities in the Fund |
Aggregate
Dollar Range
of Equity Securities in all Registered Investment Companies Overseen by Trustee in Family of Investment Companies |
|||
Robert S. Kapito | None | None | None | |||
Michael Latham | iShares California AMT-Free Muni Bond ETF | Over $100,000 | Over $100,000 | |||
iShares Micro-Cap ETF | Over $100,000 | |||||
iShares MSCI ACWI ex U.S. ETF | Over $100,000 | |||||
iShares MSCI EAFE Small-Cap ETF | Over $100,000 | |||||
iShares MSCI EAFE Value ETF | Over $100,000 | |||||
iShares MSCI Emerging Markets ETF | Over $100,000 | |||||
iShares Russell 1000 Value ETF | Over $100,000 | |||||
iShares Russell 2000 ETF | Over $100,000 | |||||
iShares Russell 2000 Value ETF | Over $100,000 | |||||
iShares Russell 3000 Value ETF | Over $100,000 | |||||
iShares Short-Term National AMT-Free Muni Bond ETF | Over $100,000 | |||||
Robert H. Silver | iShares 1-3 Year Credit Bond ETF | $10,001-$50,000 | Over $100,000 | |||
iShares 1-3 Year Treasury Bond ETF | $10,001-$50,000 | |||||
iShares Core MSCI EAFE ETF | Over $100,000 | |||||
iShares Core MSCI Emerging Markets ETF | Over $100,000 | |||||
iShares Core MSCI Total International Stock ETF | Over $100,000 | |||||
iShares Core S&P 500 ETF | Over $100,000 | |||||
iShares Core S&P Total U.S. Stock Market ETF | Over $100,000 | |||||
iShares Core Total U.S. Bond Market ETF | $10,001-$50,000 | |||||
iShares High Dividend ETF | Over $100,000 |
Name of Trustee | Fund |
Dollar
Range of Equity
Securities in the Fund |
Aggregate
Dollar Range
of Equity Securities in all Registered Investment Companies Overseen by Trustee in Family of Investment Companies |
|||
iShares iBoxx $ Investment Grade Corporate Bond ETF | Over $100,000 | |||||
iShares International Treasury Bond ETF | $1-$10,000 | |||||
iShares J.P. Morgan USD Emerging Markets Bond ETF | $1-$10,000 | |||||
iShares MSCI ACWI ex U.S. ETF | Over $100,000 | |||||
iShares MSCI BRIC ETF | $10,001-$50,000 | |||||
iShares MSCI Emerging Markets ETF | $10,001-$50,000 | |||||
iShares Russell 1000 Growth ETF | Over $100,000 | |||||
iShares Russell 1000 Value ETF | Over $100,000 | |||||
iShares Russell 2000 ETF | $10,001-$50,000 | |||||
iShares Russell 2000 Growth ETF | Over $100,000 | |||||
iShares Russell 2000 Value ETF | Over $100,000 | |||||
iShares Russell 3000 ETF | Over $100,000 | |||||
iShares Russell Mid-Cap Growth ETF | $1-$10,000 | |||||
iShares Russell Mid-Cap Value ETF | $1-$10,000 | |||||
iShares Select Dividend ETF | $10,001-$50,000 | |||||
iShares U.S. Broker-Dealers ETF | Over $100,000 | |||||
iShares U.S. Financial Services ETF | $10,001-$50,000 | |||||
iShares U.S. Regional Banks ETF | $50,001-$100,000 | |||||
iShares U.S. Preferred Stock ETF | Over $100,000 | |||||
George G.C. Parker | iShares California AMT-Free Muni Bond ETF | Over $100,000 | Over $100,000 | |||
iShares Core S&P 500 ETF | Over $100,000 | |||||
iShares Core Total U.S. Bond Market ETF | $10,001-$50,000 | |||||
iShares iBoxx $ Investment Grade Corporate Bond ETF | Over $100,000 | |||||
iShares MSCI EAFE ETF | Over $100,000 | |||||
iShares S&P 100 ETF | Over $100,000 | |||||
iShares Select Dividend ETF | Over $100,000 | |||||
John E. Martinez | iShares Core MSCI Emerging Markets ETF | $50,001-$100,000 | Over $100,000 | |||
iShares Core S&P 500 ETF | Over $100,000 | |||||
iShares Emerging Markets Infrastructure ETF | Over $100,000 | |||||
iShares Global Consumer Staples ETF | Over $100,000 | |||||
iShares MSCI All Country Asia ex Japan ETF | Over $100,000 | |||||
iShares MSCI EAFE ETF | Over $100,000 | |||||
iShares Russell 1000 ETF | Over $100,000 |
Name of Trustee | Fund |
Dollar
Range of Equity
Securities in the Fund |
Aggregate
Dollar Range
of Equity Securities in all Registered Investment Companies Overseen by Trustee in Family of Investment Companies |
|||
iShares Russell 1000 Value ETF | Over $100,000 | |||||
iShares Russell 2000 ETF | Over $100,000 | |||||
iShares TIPS Bond ETF | Over $100,000 | |||||
Cecilia H. Herbert | iShares China Large-Cap ETF | Over $100,000 | Over $100,000 | |||
iShares Core MSCI Total International Stock ETF | $10,001-$50,000 | |||||
iShares iBoxx $ High Yield Corporate Bond ETF | $10,001-$50,000 | |||||
iShares International Select Dividend ETF | $1-$10,000 | |||||
iShares MSCI EAFE ETF | $10,001-$50,000 | |||||
iShares MSCI Emerging Markets ETF | $1-$10,000 | |||||
iShares MSCI Japan ETF | $1-$10,000 | |||||
iShares National AMT-Free Muni Bond ETF | $10,001-$50,000 | |||||
iShares U.S. Preferred Stock ETF | $10,001-$50,000 | |||||
Charles A. Hurty | iShares China Large-Cap ETF | $10,001-$50,000 | Over $100,000 | |||
iShares Core MSCI Emerging Markets ETF | $10,001-$50,000 | |||||
iShares Core S&P 500 ETF | $10,001-$50,000 | |||||
iShares Global Energy ETF | $10,001-$50,000 | |||||
iShares Global Tech ETF | $10,001-$50,000 | |||||
iShares High Dividend ETF | $10,001-$50,000 | |||||
iShares MSCI EAFE ETF | $10,001-$50,000 | |||||
iShares MSCI Japan ETF | $10,001-$50,000 | |||||
iShares North American Tech-Multimedia Networking ETF | $1-$10,000 | |||||
iShares U.S. Energy ETF | $10,001-$50,000 | |||||
iShares U.S. Financials ETF | $1-$10,000 | |||||
iShares U.S. Technology ETF | $10,001-$50,000 | |||||
John E. Kerrigan | iShares MSCI ACWI ex U.S. ETF |
$10,001-$50,000
|
$50,001-$100,000 | |||
iShares Short-Term National AMT-Free Muni Bond ETF |
$50,001-$100,000
|
|||||
Madhav V. Rajan | iShares Core MSCI Emerging Markets ETF | $50,001-$100,000 | Over $100,000 | |||
iShares Core S&P 500 ETF | $50,001-$100,000 | |||||
iShares High Dividend ETF | $50,001-$100,000 | |||||
iShares iBoxx $ Investment Grade Corporate Bond ETF | $50,001-$100,000 | |||||
iShares Select Dividend ETF | $50,001-$100,000 |
Name of Trustee |
iShares
Core
Allocation Conservative ETF |
iShares
Core
Allocation Moderate ETF |
iShares
Core
Allocation Moderate Growth ETF |
iShares
Core
Allocation Growth ETF |
||||
Independent Trustees: | ||||||||
Robert H. Silver | $_____ | $_____ | $_____ | $_____ | ||||
George G.C. Parker | _____ | _____ | _____ | _____ | ||||
John E. Kerrigan | _____ | _____ | _____ | _____ | ||||
Charles A. Hurty | _____ | _____ | _____ | _____ | ||||
Cecilia H. Herbert | _____ | _____ | _____ | _____ | ||||
John E. Martinez | _____ | _____ | _____ | _____ | ||||
Madhav V. Rajan | _____ | _____ | _____ | _____ | ||||
Interested Trustees: | ||||||||
Robert S. Kapito | $ 0 | $ 0 | $ 0 | $ 0 | ||||
Michael Latham | 0 | 0 | 0 | 0 |
Name of Trustee |
Pension
or
Retirement Benefits Accrued As Part of Trust Expenses 1 |
Estimated
Annual
Benefits Upon Retirement 1 |
Total
Compensation From the Funds and Fund Complex 2 |
|||
Independent Trustees: | ||||||
Robert H. Silver | Not Applicable | Not Applicable | $ 289,835 | |||
George G.C. Parker | Not Applicable | Not Applicable | 260,165 | |||
John E. Kerrigan | Not Applicable | Not Applicable | 265,510 | |||
Charles A. Hurty | Not Applicable | Not Applicable | 290,000 | |||
Cecilia H. Herbert | Not Applicable | Not Applicable | 273,010 | |||
John E. Martinez | Not Applicable | Not Applicable | 261,760 | |||
Madhav V. Rajan | Not Applicable | Not Applicable | 250,000 | |||
Name of Trustee |
Pension
or
Retirement Benefits Accrued As Part of Trust Expenses 1 |
Estimated
Annual
Benefits Upon Retirement 1 |
Total
Compensation From the Funds and Fund Complex 2 |
|||
Interested Trustees: | ||||||
Robert S. Kapito | Not Applicable | Not Applicable | $0 | |||
Michael Latham | Not Applicable | Not Applicable | 0 |
1 | No Trustee or officer is entitled to any pension or retirement benefits from the Trust. |
2 | Includes compensation for service on the Board of Trustees of iShares Trust and the Boards of Directors of iShares, Inc. and iShares MSCI Russia Capped ETF, Inc. |
Underlying Fund | Advisory Fee | |
iShares Core Long-Term U.S. Bond ETF | 0.12% | |
iShares Core MSCI EAFE ETF | 0.14% | |
iShares Core MSCI Emerging Markets ETF | 0.18% | |
iShares Core MSCI Total International Stock ETF | 0.16% | |
iShares Core S&P 500 ETF | 0.07% | |
iShares Core S&P Mid-Cap ETF | 0.14% | |
iShares Core S&P Small-Cap ETF | 0.14% | |
iShares Core S&P Total U.S. Stock Market ETF | 0.07% | |
iShares Core Short-Term U.S. Bond ETF | 0.12% | |
iShares Core Total U.S. Bond Market ETF | 0.08% |
Peter Christiansen | ||||
Types of Accounts | Number | Total Assets | ||
Registered Investment Companies | ___ | $___ | ||
Other Pooled Investment Vehicles | ___ | ___ | ||
Other Accounts | ___ | ___ | ||
Accounts with Incentive-Based Fee Arrangements | ___ | ___ |
Matt Goff | ||||
Types of Accounts | Number | Total Assets | ||
Registered Investment Companies | ___ | $___ | ||
Other Pooled Investment Vehicles | ___ | ___ | ||
Other Accounts | ___ | ___ | ||
Accounts with Incentive-Based Fee Arrangements | ___ | ___ |
Jennifer Hsui | ||||
Types of Accounts | Number | Total Assets | ||
Registered Investment Companies | ___ | $___ | ||
Other Pooled Investment Vehicles | ___ | ___ | ||
Other Accounts | ___ | ___ | ||
Accounts with Incentive-Based Fee Arrangements | ___ | ___ |
Greg Savage | ||||
Types of Accounts | Number | Total Assets | ||
Registered Investment Companies | ___ | $___ | ||
Other Pooled Investment Vehicles | ___ | ___ | ||
Other Accounts | ___ | ___ | ||
Accounts with Incentive-Based Fee Arrangements | ___ | ___ |
Joseph Wong | ||||
Types of Accounts | Number | Total Assets | ||
Registered Investment Companies | ___ | $___ | ||
Other Pooled Investment Vehicles | ___ | ___ | ||
Other Accounts | ___ | ___ | ||
Accounts with Incentive-Based Fee Arrangements | ___ | ___ |
Peter Christiansen | ||||
Types of Accounts |
Number
of Other
Accounts with Performance Fees Managed by Portfolio Manager |
Aggregate
of Total Assets |
||
Registered Investment Companies | ___ | $___ | ||
Other Pooled Investment Vehicles | ___ | ___ | ||
Other Accounts | ___ | ___ |
Matt Goff | ||||
Types of Accounts |
Number
of Other
Accounts with Performance Fees Managed by Portfolio Manager |
Aggregate
of Total Assets |
||
Registered Investment Companies | ___ | $___ | ||
Other Pooled Investment Vehicles | ___ | ___ | ||
Other Accounts | ___ | ___ |
Jennifer Hsui | ||||
Types of Accounts |
Number
of Other
Accounts with Performance Fees Managed by Portfolio Manager |
Aggregate
of Total Assets |
||
Registered Investment Companies | ___ | $___ | ||
Other Pooled Investment Vehicles | ___ | ___ | ||
Other Accounts | ___ | ___ |
Greg Savage | ||||
Types of Accounts |
Number
of Other
Accounts with Performance Fees Managed by Portfolio Manager |
Aggregate
of Total Assets |
||
Registered Investment Companies | ___ | $___ | ||
Other Pooled Investment Vehicles | ___ | ___ | ||
Other Accounts | ___ | ___ |
Joseph Wong | ||||
Types of Accounts |
Number
of Other
Accounts with Performance Fees Managed by Portfolio Manager |
Aggregate
of Total Assets |
||
Registered Investment Companies | ___ | $___ | ||
Other Pooled Investment Vehicles | ___ | ___ | ||
Other Accounts | ___ | ___ |
Fund |
Shares
Per
Creation Unit |
Value
Per
Creation Unit (U.S.$) |
||
iShares Core Allocation Conservative ETF | _______ | $_______ | ||
iShares Core Allocation Moderate ETF | _______ | _______ | ||
iShares Core Allocation Moderate Growth ETF | _______ | _______ | ||
iShares Core Allocation Growth ETF | _______ | _______ |
Fund |
Standard
Creation
Transaction Fee |
Maximum
Additional
Charge for Creations* |
||
iShares Core Allocation Conservative ETF | $____ | ____% | ||
iShares Core Allocation Moderate ETF | ____ | ____% | ||
iShares Core Allocation Moderate Growth ETF | ____ | ____% | ||
iShares Core Allocation Growth ETF | ____ | ____% |
Fund |
Standard
Redemption
Transaction Fee |
Maximum
Additional
Charge for Redemptions* |
||
iShares Core Allocation Conservative ETF | $____ | ____% | ||
iShares Core Allocation Moderate ETF | ____ | ____% | ||
iShares Core Allocation Moderate Growth ETF | ____ | ____% | ||
iShares Core Allocation Growth ETF | ____ | ____% |
iShares U.S. ETF Trust
File Nos. 333-179904 and 811-22649
Part C
Other Information
Item 28. Exhibits:
PEA # 20
Exhibit Number |
Description |
|
(a) | Agreement and Declaration of Trust, dated June 21, 2011, is incorporated herein by reference to Post-Effective Amendment No. 8, filed April 15, 2013 (PEA No. 8). | |
(a.1) | Certificate of Trust, dated June 21, 2011, is incorporated herein by reference to PEA No. 8. | |
(b) | By-Laws, dated June 21, 2011, are incorporated herein by reference to PEA No. 8. | |
(c) | Article II of the Agreement and Declaration of Trust is incorporated herein by reference to Exhibit (a) to PEA No. 8. | |
(d) | Investment Advisory Agreement, dated December 6, 2011, between the Trust and BlackRock Fund Advisors (BFA) is incorporated herein by reference to Pre-Effective Amendment No. 1, filed September 5, 2012 (PEA No. 1). | |
(d.1) | Schedule A to the Investment Advisory Agreement is incorporated herein by reference to PEA No. 8. | |
(d.2) | Form of Participation Agreement is incorporated herein by reference to Post-Effective Amendment No. 3, filed February 4, 2013 (PEA No. 3). | |
(d.3) | Sub-Advisory Agreement, dated June 21, 2012, between BFA and BlackRock Financial Management, Inc. is incorporated herein by reference to PEA No. 1. | |
(d.4) | Appendix A to the Sub-Advisory Agreement is incorporated herein by reference to PEA No. 3. | |
(e) | Distribution Agreement, dated February 3, 2012, between the Trust and BlackRock Investments, LLC (BRIL) is incorporated herein by reference to Post-Effective Amendment No. 17, filed August 22, 2013 (PEA No. 17). | |
(e.1) | Exhibit A to the Distribution Agreement is incorporated herein by reference to PEA No. 8. | |
(f) | Not applicable. | |
(g) | Service Module for Custodial Services, dated April 21, 2011, is incorporated herein by reference to PEA No. 8. | |
(h.1) | Master Services Agreement, dated April 21, 2011, between the Trust and State Street Bank and Trust Company (State Street) is incorporated herein by reference to PEA No. 8. | |
(h.2) | Exhibit A to the Master Services Agreement is incorporated herein by reference to PEA No. 8. | |
(h.3) | Service Module for Fund Administration and Accounting Services, dated April 21, 2011, is incorporated herein by reference to PEA No. 8. | |
(h.4) | Service Module for Transfer Agency Services, dated April 21, 2011, is incorporated herein by reference to PEA No. 8. | |
(h.5) | Amended and Restated Securities Lending Agency Agreement, dated December 6, 2011, among the Trust, iShares Trust, iShares, Inc., iShares MSCI Russia Capped ETF 1 , Inc., iShares U.S. ETF Company, Inc. and BlackRock Institutional Trust Company, N.A. (BTC) is incorporated herein by reference to PEA No. 1. | |
(h.6) | Schedule A to the Amended and Restated Securities Lending Agency Agreement is incorporated herein by reference to PEA No. 8. | |
(i) | Legal Opinion and Consent of Richards, Layton & Finger, P.A. is to be filed by amendment. | |
(j) | Not applicable. |
(k) | Not applicable. | |
(l) | Initial Capital Agreement is incorporated herein by reference to PEA No. 1. | |
(m) | Not applicable. | |
(n) | Not applicable. | |
(o) | Not applicable. | |
(p.1) | Code of Ethics for Fund Access Persons is incorporated herein by reference to PEA No. 1. | |
(p.2) | Advisory Employee Investment Transaction Policy for BlackRock Affiliated Companies is incorporated herein by reference to PEA No. 1. | |
(p.3) | Code of Ethics for BRIL is incorporated herein by reference to Post-Effective Amendment No. 4, filed February 22, 2013. | |
(q) | Powers of Attorney, each dated June 11, 2013, for Michael Latham, Charles A. Hurty, Cecilia H. Herbert, John E. Kerrigan, Robert H. Silver, George G.C. Parker, John E. Martinez, Madhav V. Rajan, Jack Gee and Robert S. Kapito are incorporated herein by reference to PEA No. 17. |
1 | Prior to July 1, 2013, iShares MSCI Russia Capped ETF, Inc. was known as iShare MSCI Russia Capped Index Fund, Inc. |
Item 29. Persons Controlled By or Under Common Control with Registrant:
None.
Item 30. Indemnification:
The Trust (also referred to in this section as the Fund) is organized as a Delaware statutory trust and is operated pursuant to an Agreement and Declaration of Trust (the Declaration of Trust) that permits the Trust to indemnify its trustees and officers under certain circumstances. Such indemnification, however, is subject to the limitations imposed by the Securities Act of 1933, as amended (the 1933 Act), and the Investment Company Act of 1940 (the 1940 Act). The Declaration of Trust provides that officers and trustees of the Trust shall be indemnified by the Trust against liabilities and expenses incurred or paid in connection with any claim, action, suit, or proceedings against them by reason of the fact that they each serve as an officer or trustee of the Trust or as an officer or trustee of another entity at the request of the entity. This indemnification is subject to the following conditions:
(a) no trustee or officer of the Trust is indemnified against any liability to the Trust or its security holders that was the result of any willful misfeasance, bad faith, gross negligence, or reckless disregard of the duties involved in the conduct of his office; and
(b) officers and trustees of the Trust are indemnified only for actions taken in good faith that the officers and trustees believed were in or not opposed to the best interests of the Trust.
The Declaration of Trust provides that if indemnification is not ordered by a court, indemnification may be authorized upon determination by shareholders, or by a majority vote of a quorum of the trustees who were not parties to the proceedings or, if this quorum is not obtainable, if directed by a quorum of disinterested trustees, or by independent legal counsel in a written opinion, that the persons to be indemnified have met the applicable standard.
The By-Laws provides that the Trust may purchase and maintain insurance on behalf of any Covered Person or employee of the Trust, including any Covered Person or employee of the Trust who is or was serving at the request of the Trust as a trustee, officer, or employee of a corporation, partnership, association, joint venture, trust, or other enterprise, against any liability asserted against and incurred by such Covered Person or employee in any such capacity or arising out of his or her status as such, whether or not the trustees would have the power to indemnify him or her against such liability. The Trust may not acquire or obtain a contract for insurance that protects or purports to protect any trustee or officer of the Trust against any liability to the Trust or its Shareholders to which such trustee or officer otherwise would be subject by reason of willful misfeasance, bad faith, gross negligence, or reckless disregard of the duties involved in the conduct of his or her office.
The Master Services Agreement provides that State Street will indemnify, defend and hold harmless the applicable Fund, its Affiliates, and its respective officers, directors, employees, agents and permitted successors and assigns from any and all damages, fines, penalties, deficiencies, losses, liabilities (including judgments and amounts reasonably paid in settlement) and expenses (including interest, court costs, reasonable fees and expenses of attorneys, accountants and other experts or other reasonable fees and expenses of litigation or other proceedings or of any claim, default or assessment) (Losses) arising from or in connection with any third party
claim or threatened third party claim to the extent that such Losses are based on or arising out of any of the following: (a) breach by State Street or any State Street Personnel of any of its data protection, information security or confidentiality obligations hereunder or under a Service Module to which such Fund is a signatory; (b) any claim of infringement or misappropriation of any Intellectual Property Right alleged to have occurred because of systems or other Intellectual Property provided by or on behalf of State Street or based upon the performance of the Services (collectively, the State Street Infringement Items), except to the extent that such infringement or misappropriation relates to or results from; (i) changes made by any Fund or by a third party at the direction of a Fund to the State Street Infringement Items; (ii) changes to the State Street Infringement Items recommended by State Street and not made due to a request from any Fund, provided that State Street has notified such Fund that failure to implement such recommendation would result in infringement within a reasonable amount of time for such Fund to so implement following such notification; (iii) any Funds combination of the State Street Infringement Items with products or services not provided or approved in writing by State Street, except to the extent such combination arises out of any Funds use of the State Street Infringement Items in a manner consistent with the applicable business requirements documentation; (iv) designs or specifications that in themselves infringe and that are provided by or at the direction of any Fund (except in the event of a knowing infringement by State Street); or (v) use by a Fund of any of the State Street Infringement Items in a manner that is not consistent with the applicable business requirements documentation or otherwise not permitted under the Master Services Agreement or any Service Module; (c) any claim or action by, on behalf of, or related to, any prospective, then-current or former employees of State Street, arising from or in connection with a Service Module to which a Fund is a signatory, including: (i) any claim arising under occupational health and safety, workers compensation, ERISA or other applicable Law; (ii) any claim arising from the interview or hiring practices, actions or omissions of employees of State Street; (iii) any claim relating to any violation by employees of State Street, or its respective officers, directors, employees, representatives or agents, of any Law or any common law protecting persons or members of protected classes or categories, such laws or regulations prohibiting discrimination or harassment on the basis of a protected characteristic; and (iv) any claim based on a theory that such Fund is an employer or joint employer of any such prospective, then-current or former employees of State Street; (d) the failure by State Street to obtain, maintain, or comply with any governmental approvals as required under the Master Services Agreement and/or a Service Module to which such Fund is a signatory or such other failures as otherwise agreed by the Parties from time to time; (e) claims by third parties arising from claims by governmental authorities against such Customer for fines, penalties, sanctions, late fees or other remedies to the extent arising from or in connection with State Streets failure to perform its responsibilities under the Master Services Agreement or any Service Module (except to the extent a Fund is not permitted as a matter of public policy to have such an indemnity for financial penalties arising from criminal actions); (f) claims by clients of State Street relating to services, products or systems provided by State Street or a Subcontractor to such client(s) in a shared or leveraged environment; (g) any claim initiated by an Affiliate or potential or actual Subcontractor of State Street asserting rights in connection with a Service Module to which such Fund is a signatory; or (h) other claims as otherwise agreed by the Parties from time to time.
The Distribution Agreement provides that BRIL agrees to indemnify and hold harmless the Trust, each of its trustees, officers, employees and each person, if any, who controls the Trust within the meaning of Section 15 of the 1933 Act (collectively, the Company Indemnified Parties ) from and against any and all losses to which the Company Indemnified Parties become subject, arising out of or based upon (i) any untrue statement or alleged untrue statement of a material fact contained in the Prospectus or the omission or alleged omission therefrom of a material fact required to be stated therein or necessary to make the statements therein not misleading, in reliance upon and in conformity with written information furnished to the Trust by BRIL about BRIL expressly for use therein; (ii) any breach of any representation, warranty or covenant made by BRIL in the Distribution Agreement; and (iii) the actions or omissions of any person acting under the supervision of BRIL in providing services under the Distribution Agreement; provided, however, that BRIL shall not be liable in any such case to the extent that any loss arises out of or is based upon (A) the Trusts own willful misfeasance, willful misconduct or gross negligence or the Trusts reckless disregard of its obligations under the Distribution Agreement or (B) the Trusts material breach of the Distribution Agreement.
The Authorized Participant Agreement provides that the Authorized Participant (the Participant) agrees to indemnify and hold harmless the Fund and its respective subsidiaries, affiliates, directors, officers, employees and agents, and each person, if any, who controls such persons within the meaning of Section 15 of the 1933 Act (each an Indemnified Party) from and against any loss, liability, cost and expense (including attorneys fees) incurred by such Indemnified Party as a result of (i) any breach by the Participant of any provision of the Authorized Participant Agreement that relates to the Participant; (ii) any failure on the part of the Participant to perform any of its obligations set forth in the Authorized Participant Agreement; (iii) any failure by the Participant to comply with applicable laws, including rules and regulations of self-regulatory organizations; or (iv) actions of such Indemnified Party in reliance upon any instructions issued in accordance with Annex II, III or IV (as each may be amended from time to time) of the Authorized Participant Agreement reasonably believed by the distributor and/or the transfer agent to be genuine and to have been given by the Participant.
The Amended and Restated Securities Lending Agency Agreement provides that BTC shall indemnify and hold harmless each client, Lender, its Board of Trustees and its agents and BFA and any investment adviser for the Funds from any and all loss, liability, costs, damages, actions, and claims (Loss) to the extent that any such Loss arises out of the material breach of this Agreement by or negligent acts or omissions or willful misconduct of BTC, its officers, directors or employees or any of its agents or subcustodians in connection with the securities lending activities undertaken pursuant to this Agreement, provided that BTCs indemnification obligation with respect to the acts or omissions of its subcustodians shall not exceed the indemnification provided by the applicable subcustodian to BTC.
Insofar as indemnification for liabilities arising under the 1940 Act may be permitted to directors, officers and controlling persons of the Trust pursuant to foregoing provisions, or otherwise, the Trust has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the 1940 Act and is, therefore, unenforceable. In the event that a claim for Fund expenses incurred or paid by a director, officer or controlling person of the Fund in the successful defense of any action, suit or proceeding is asserted by such director, officer or controlling person in connection with the securities being registered, the Trust will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question of whether such indemnification by it is against public policy as expressed in the 1940 Act and will be governed by the final adjudication of such issue.
Item 31. Business and Other Connections of the Investment Adviser:
The Trust is advised by BFA, an indirect wholly owned subsidiary of BlackRock, Inc., 400 Howard Street, San Francisco, CA 94105. BFAs business is that of a registered investment adviser to certain open-end, management investment companies and various other institutional investors.
The directors and officers of BFA consist primarily of persons who during the past two years have been active in the investment management business. To the knowledge of the Registrant, except as set forth below, none of the directors or executive officers of BFA is or has been at any time during the past two fiscal years engaged in any other business, profession, vocation or employment of a substantial nature. Information as to the executive officers and directors of BFA is included in its Form ADV initially filed with the SEC (File No. 801-22609) on November 15, 1984 and updated thereafter and is incorporated herein by reference.
BlackRock Financial Management, Inc., currently offers investment services to institutional investors such as pension and profit-sharing plans or trusts, insurance companies and banks. The list required by this Item 31 of officers and directors of BlackRock Financial Management, Inc., together with information as to any other business, profession, vocation or employment of a substantial nature engaged in by such officers and directors during the past two years, is incorporated by reference to Schedules A and D of Form ADV, filed by BlackRock Financial Management, Inc. pursuant to the Investment Advisers Act of 1940 (SEC File No. 801-48433).
Item 32. Principal Underwriters:
(a) | Furnish the name of each investment company (other than the Registrant) for which each principal underwriter currently distributing the securities of the Registrant also acts as a principal underwriter, distributor or investment adviser. |
BRIL, the distributor of certain funds, acts as the principal underwriter or placement agent, as applicable, for each of the following open-end registered investment companies including certain funds of the Registrant:
BBIF Government Securities Fund | BlackRock Multi-State Municipal Series Trust | |
BBIF Money Fund | BlackRock Municipal Bond Fund, Inc. | |
BBIF Tax-Exempt Fund | BlackRock Municipal Series Trust | |
BBIF Treasury Fund | BlackRock Natural Resources Trust | |
BIF Government Securities Fund | BlackRock Pacific Fund, Inc. | |
BIF Money Fund | BlackRock Series Fund, Inc. | |
BIF Multi-State Municipal Series Trust | BlackRock Series, Inc. | |
BIF Tax-Exempt Fund | BlackRock Value Opportunities Fund, Inc. | |
BIF Treasury Fund | BlackRock Variable Series Funds, Inc. | |
BlackRock Allocation Target Shares | BlackRock World Income Fund, Inc. | |
BlackRock Balanced Capital Fund, Inc. | FDP Series, Inc. | |
BlackRock Basic Value Fund, Inc. | Funds For Institution Series | |
BlackRock Bond Fund, Inc. | iShares, Inc. | |
BlackRock California Municipal Series Trust | iShares MSCI Russia Capped ETF, Inc. | |
BlackRock Capital Appreciation Fund, Inc. | iShares Trust | |
BlackRock Emerging Markets Fund, Inc. | Managed Account Series | |
BlackRock Equity Dividend Fund | Master Basic Value LLC | |
BlackRock EuroFund | Master Bond LLC | |
BlackRock Financial Institutions Series Trust | Master Focus Growth LLC | |
BlackRock Focus Growth Fund, Inc. | Master Government Securities LLC | |
BlackRock Funds | Master Institutional Money Market LLC | |
BlackRock Funds II | Master Investment Portfolio | |
BlackRock Funds III | Master Large Cap Series LLC | |
BlackRock Global Allocation Fund, Inc. | Master Money LLC | |
BlackRock Global SmallCap Fund, Inc. | Master Tax-Exempt LLC | |
BlackRock Index Funds, Inc. | Master Treasury LLC | |
BlackRock Large Cap Series Funds, Inc. | Master Value Opportunities LLC | |
BlackRock Latin America Fund, Inc. | Quantitative Master Series LLC | |
BlackRock Liquidity Funds | Ready Assets Prime Money Fund |
BlackRock Long-Horizon Equity Fund | Ready Assets U.S. Treasury Money Fund | |
BlackRock Master LLC | Ready Assets U.S.A. Government Money Fund | |
BlackRock Mid Cap Value Opportunities Series, Inc. | Retirement Series Trust |
BRIL also acts as the principal underwriter or placement agent, as applicable, for the following closed-end registered investment company:
BlackRock Alternatives Allocation FB Portfolio LLC
BlackRock Alternatives Allocation FB TEI Portfolio LLC
BlackRock Alternatives Allocation Portfolio LLC
BlackRock Alternatives Allocation TEI Portfolio LLC
BlackRock Fixed Income Value Opportunities
BlackRock Preferred Partners LLC
BRIL provides numerous financial services to BlackRock-advised funds and is the distributor of BlackRocks open-end funds. These services include coordinating and executing Authorized Participation Agreements, preparing, reviewing and providing advice with respect to all sales literature and responding to Financial Industry Regulatory Authority comments on marketing materials.
(b) | Set forth below is information concerning each director and officer of BRIL. The principal business address for each such person is 55 East 52 nd Street, New York, NY 10055. |
Name |
Position(s) and Office(s) with BRIL |
Position(s) and Office(s) with Registrant |
||
Laurence Fink | Chairman and Member, Board of Managers | None | ||
Robert Fairbairn | Chief Executive Officer and Senior Managing Director | None | ||
Anne Ackerley | Managing Director | None | ||
Matthew Mallow | General Counsel and Senior Managing Director | None | ||
Russell McGranahan | Secretary and Managing Director | None | ||
Saurabh Pathak | Chief Financial Officer and Director | None | ||
Brenda Sklar | Managing Director | None | ||
Sally George | Managing Director | None | ||
Francis Porcelli | Managing Director | None | ||
Lisa Hill | Managing Director | None | ||
Melissa Walker | Vice President and Assistant Secretary | None | ||
Robert Kapito | Member, Board of Managers | None | ||
Daniel Waltcher | Member, Board of Managers | None | ||
Chris Nugent | Director | None | ||
Joseph Craven | Managing Director | None |
(c) | Not applicable. |
Item 33. Location of Accounts and Records:
(a) | The Trust maintains accounts, books and other documents required by Section 31(a) of the 1940 Act and the rules there under (collectively, the Records) at the offices of State Street, 200 Clarendon Street, Boston, MA 02116. |
(b) | BFA maintains all Records relating to its services as investment adviser at 400 Howard Street, San Francisco, CA, 94105. |
(c) | BRIL maintains all Records relating to its services as distributor of certain Funds at 525 Washington Boulevard, Suite 1405, Jersey City, NJ 07310. |
(d) | State Street maintains all Records relating to its services as transfer agent, fund accountant and custodian at 200 Clarendon Street, Boston, MA 02116. |
Item 34. Management Services:
Not applicable.
Item 35. Undertakings:
Not applicable.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, and the Investment Company Act of 1940, as amended, the Registrant has duly caused this Post-Effective Amendment No. 20 to the Registration Statement to be signed on its behalf by the undersigned, duly authorized, in the City of San Francisco and the State of California on the 6 th day of September, 2013.
Pursuant to the requirements of the Securities Act of 1933, as amended, this Post-Effective Amendment No. 20 to the Registration Statement has been signed below by the following persons in the capacities and on the date indicated.
By: | ||
Michael Latham* | ||
President and Trustee | ||
Date: | September 6, 2013 | |
John E. Martinez* | ||
Trustee | ||
Date: | September 6, 2013 | |
George G. C. Parker* | ||
Trustee | ||
Date: | September 6, 2013 | |
Cecilia H. Herbert* | ||
Trustee | ||
Date: | September 6, 2013 | |
Charles A. Hurty* | ||
Trustee | ||
Date: | September 6, 2013 | |
John E. Kerrigan* | ||
Trustee | ||
Date: | September 6, 2013 | |
Robert H. Silver* | ||
Trustee | ||
Date: | September 6, 2013 |
* | Powers of Attorney, each dated June 11, 2013, for Michael Latham, Charles A. Hurty, Cecilia H. Herbert, John E. Kerrigan, Robert H. Silver, George G.C. Parker, John E. Martinez, Madhav V. Rajan and Robert S. Kapito are incorporated herein by reference to PEA No. 17. |
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