0001181431-11-050162.txt : 20110921 0001181431-11-050162.hdr.sgml : 20110921 20110921215517 ACCESSION NUMBER: 0001181431-11-050162 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110920 FILED AS OF DATE: 20110921 DATE AS OF CHANGE: 20110921 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BARCLAYS BANK PLC /ENG/ CENTRAL INDEX KEY: 0000312070 STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL BANKS, NEC [6029] STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33099 FILM NUMBER: 111102197 BUSINESS ADDRESS: STREET 1: 1 CHURCHILL PLACE STREET 2: E14 5HP CITY: LONDON ENGLAND STATE: X0 ZIP: E14 5HP BUSINESS PHONE: 2124124000 MAIL ADDRESS: STREET 1: 1 CHURCHILL PLACE STREET 2: E14 5HP CITY: LONDON ENGLAND STATE: X0 ZIP: E14 5HP FORMER NAME: FORMER CONFORMED NAME: BARCLAYS BANK INTERNATIONAL LTD DATE OF NAME CHANGE: 19850313 4 1 rrd322462.xml FORM 4 X0304 4 2011-09-20 0 0001364742 BlackRock Inc. BLK 0000312070 BARCLAYS BANK PLC /ENG/ 1 CHURCHILL PLACE LONDON X0 E14 5HP UNITED KINGDOM 1 0 0 0 Common Stock,par value $0.01 per share(the Common Stock) 2011-09-20 4 J 0 100 157.90 A 3031651 I By Subsidiary Common Stock 2011-09-21 4 J 0 35 154.27 A 3031651 I By Subsidiary Pursuant to the Stockholder Agreement, dated as of December 1, 2009, as amended from time to time, among Barclays Bank PLC, a public company organized under the laws of England and Wales (the "Reporting Person"), Barclays BR Holdings S.a r.l., a societe a responsabilite limitee organized under the laws of Luxembourg ("BR Holdings"), Lapis (Gers Investments) LP, a Delaware limited partnership ("Lapis"), and BlackRock, Inc. (the "Issuer"), the Reporting Person has the right to designate, and has designated, two members to the board of directors of the Issuer. The Reporting Person and its subsidiaries disclaims its possible status as director of the Issuer by deputization. This transaction reflects a transaction executed by a wholly-owned subsidiary of the Reporting Person in the ordinary course of market making in ETFs. The Reporting Person disclaims any pecuniary interest in these securities. However, in connection with the transactions reported on this form, the Reporting Person has agreed to voluntarily remit appropriate profits, if any, to the Issuer. The Reporting Person disclaims that the transactions reported on this Form are subject to reporting under Section 16(a) or disgorgement under Section 16(b), and this report shall not be deemed an admission that those sections apply to these transactions. This Form 4 is being filed by the Reporting Person, which owns shares of the Common Stock and shares of the Series B Convertible Participating Preferred Stock, par value $0.01 per share, indirectly through its wholly-owned subsidiaries BR Holdings and Lapis. /s/ Richard Konefal 2011-09-21