-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, N3JyOvJCP0LSL664CX9MSbXW0P7maT7lfj1l0c2COGAUIF0YsC1hnunb4i+gIFN1 rC0+qAai5T8K6WQm6cUSWQ== 0001209191-09-050023.txt : 20091028 0001209191-09-050023.hdr.sgml : 20091028 20091028164445 ACCESSION NUMBER: 0001209191-09-050023 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091026 FILED AS OF DATE: 20091028 DATE AS OF CHANGE: 20091028 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KAPITO ROBERT CENTRAL INDEX KEY: 0001059246 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33099 FILM NUMBER: 091142169 MAIL ADDRESS: STREET 1: 100 BELLEVUE PARKWAY CITY: WILMINGTON STATE: DE ZIP: 19809 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BlackRock Inc. CENTRAL INDEX KEY: 0001364742 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 320174431 STATE OF INCORPORATION: DE FISCAL YEAR END: 0226 BUSINESS ADDRESS: STREET 1: 40 EAST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-810-5300 MAIL ADDRESS: STREET 1: 40 EAST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: BlackRock, Inc. DATE OF NAME CHANGE: 20060929 FORMER COMPANY: FORMER CONFORMED NAME: New BlackRock, Inc. DATE OF NAME CHANGE: 20060601 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2009-10-26 0 0001364742 BlackRock Inc. BLK 0001059246 KAPITO ROBERT BLACKROCK INC. 40 EAST 52ND STREET NEW YORK NY 10022 1 1 0 0 President Shares of Common Stock (par value $0.01 per share) 2009-10-26 4 S 0 700 227.9129 D 328615.6 D Shares of Common Stock (par value $0.01 per share) 2009-10-26 4 S 0 1200 228.5834 D 327415.6 D Shares of Common Stock (par value $0.01 per share) 2009-10-26 4 S 0 2300 229.7143 D 325115.6 D Shares of Common Stock (par value $0.01 per share) 2009-10-26 4 S 0 2500 230.7392 D 322615.6 D Shares of Common Stock (par value $0.01 per share) 2009-10-26 4 S 0 1200 231.8383 D 321415.6 D Shares of Common Stock (par value $0.01 per share) 2009-10-26 4 S 0 600 232.5742 D 320815.6 D Shares of Common Stock (par value $0.01 per share) 500000 I By Trust Shares of Common Stock (par value $0.01 per share) 142340 I By Robert S. Kapito-Ellen R. Kapito Family Trust These sales are made pursuant to a pre-arranged sales plan entered into by Robert Kapito with Goldman, Sachs & Co. on April 22, 2009 pursuant to Rule 10b5-1 of the Securities Exchange Act of 1934. Pursuant to this plan, Mr. Kapito will sell a small portion of his BlackRock, Inc. shares during a twelve-month period beginning in May 2009 if certain price thresholds are met. Mr. Kapito is utilizing Rule 10b5-1 in order to diversify his holdings and make planned sales over a period of time. This transaction was executed in multiple trades at prices ranging from $227.15 to $228.10. The price reported represents the weighted average sale price of these trades. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price. Includes (i) 10,542 Restricted Stock Units granted under the Incentive Plan vesting on 1/31/10, (ii) 21,160 Restricted Stock Units vesting in equal installments on 1/31/10 and 1/31/11 and (iii) 40,308 Restricted Stock Units vesting in equal installments on 1/31/10, 1/31/11 and 1/31/12. Each Restricted Stock Unit is payable solely by delivery of an equal number of shares of Common Stock. This transaction was executed in multiple trades at prices ranging from $228.15 to $229.14. The price reported represents the weighted average sale price of these trades. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price. This transaction was executed in multiple trades at prices ranging from $229.22 to $230.20. The price reported represents the weighted average sale price of these trades. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price. This transaction was executed in multiple trades at prices ranging from $230.36 to $231.17. The price reported represents the weighted average sale price of these trades. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price. This transaction was executed in multiple trades at prices ranging from $231.36 to $232.25. The price reported represents the weighted average sale price of these trades. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price. This transaction was executed in multiple trades at prices ranging from $232.455 to $232.77. The price reported represents the weighted average sale price of these trades. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price. /s/ Daniel R. Waltcher as Attorney-in-Fact for Robert Kapito 2009-10-28 -----END PRIVACY-ENHANCED MESSAGE-----