0001209191-12-007160.txt : 20120202
0001209191-12-007160.hdr.sgml : 20120202
20120202183310
ACCESSION NUMBER: 0001209191-12-007160
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120131
FILED AS OF DATE: 20120202
DATE AS OF CHANGE: 20120202
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: 12567424
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: 55 EAST 52ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10055
BUSINESS PHONE: 212-810-5300
MAIL ADDRESS:
STREET 1: 55 EAST 52ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10055
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
X0304
4
2012-01-31
0
0001364742
BlackRock Inc.
BLK
0001059246
KAPITO ROBERT
BLACKROCK INC.
55 EAST 52ND STREET
NEW YORK
NY
10055
1
1
0
0
President
Shares of Common Stock (par value $0.01 per share)
2011-02-10
5
G
0
E
240855
0.00
D
473107
I
By Grantor Retained Annuity Trusts
Shares of Common Stock (par value $0.01 per share)
2011-11-28
5
G
0
E
196991
0.00
D
192750.6
D
Shares of Common Stock (par value $0.01 per share)
2011-11-28
5
G
0
E
37771
0.00
D
154979.6
D
Shares of Common Stock (par value $0.01 per share)
2012-01-31
4
F
0
19097
183.22
D
135882.6
D
Shares of Common Stock (par value $0.01 per share)
2012-02-01
4
M
0
87500
37.36
A
223382.6
D
Shares of Common Stock (par value $0.01 per share)
2012-02-01
4
S
0
77082
183.3044
D
146300.6
D
Shares of Common Stock (par value $0.01 per share)
2012-02-01
4
S
0
10418
183.8998
D
135882.6
D
Shares of Common Stock (par value $0.01 per share)
2012-02-02
4
M
0
87500
37.36
A
223382.6
D
Shares of Common Stock (par value $0.01 per share)
2012-02-02
4
S
0
75380
183.1777
D
148002.6
D
Shares of Common Stock (par value $0.01 per share)
2012-02-02
4
S
0
12120
183.8316
D
135882.6
D
Employee Stock Option (right to buy)
37.36
2012-02-01
4
M
0
87500
0.00
D
2006-12-31
2012-10-15
Shares of Common Stock (par value $0.01 per share)
87500
87500
D
Employee Stock Option (right to buy)
37.36
2012-02-02
4
M
0
87500
0.00
D
2006-12-31
2012-10-15
Shares of Common Stock (par value $0.01 per share)
87500
0
D
Transaction conducted for estate planning purposes.
Represents transfer to the reporting person's Goldman 2008 Trust, for the benefit of family.
Reflects total indirect holdings in grantor retained annuity trusts (the "GRATs") as of February 2, 2012, which holdings give effect to transfers from the reporting person's direct holdings to the GRATs and from the GRATs to the reporting person's direct holdings, including the May 5, 2008 transfer of 500,000 shares of common stock ("Shares") from direct holdings to the GRATs, the February 26, 2010 transfer of 150,000 Shares from direct holdings to the GRATs, the February 9, 2011 transfer of 158,047 Shares from the GRATs to direct holdings, the February 25, 2011 transfer of 49,810 Shares from the GRATs to direct holdings, the April 27, 2011 transfer of 75,172 Shares from the GRATs to direct holdings, the April 29, 2011 transfer of 150,000 Shares from direct holdings to the GRATs and the November 28, 2011 transfer of 196,991 Shares from direct holdings to the GRATs.
Represents transfer to a grantor retained annuity trust, as described in footnote 3.
Includes (i) 9,235 shares of Restricted Stock vesting on 1/31/13, (ii) 23,486 shares of Restricted Stock vesting in equal installments on 1/31/13 and 1/31/14, (iii) 14,969 shares of Restricted Stock vesting on 1/31/14, (iv) 28,713 Restricted Stock Units vesting in installments on 1/31/13, 1/31/14 and 1/31/15 and (v) 26,213 Restricted Stock Units awarded on 1/20/12 that will vest in whole or in part only on the satisfaction of one or more previously-disclosed Common Stock price targets, but which may not vest before 1/31/16 and will expire on 1/31/18 to the extent not then vested. Each Restricted Stock Unit is payable solely by delivery of an equal number of shares of Common Stock.
Represents transfer to the reporting person's 2010 Family Trust Account, for the benefit of family.
Represents the withholding by BlackRock of Common Stock to satisfy tax obligation on the vesting of the reporting person's Restricted Stock Units and shares of Restricted Stock granted under the Amended and Restated BlackRock, Inc. 1999 Stock Award and Incentive Plan.
This transaction was executed in multiple trades at prices ranging from $182.73 to $183.72. 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 $183.73 to $184.34. 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 $182.59 to $183.58. 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 $183.59 to $184.33. 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
2012-02-02