-----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, T35YNvf8BG8jTzWExdD6VHejwZctr+0yXbsb+XdGGlAXGotNXn0653KhTkToWwpB jhmYnaz519Uko9931OAe2Q== 0001209191-09-054654.txt : 20091130 0001209191-09-054654.hdr.sgml : 20091130 20091130164653 ACCESSION NUMBER: 0001209191-09-054654 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091125 FILED AS OF DATE: 20091130 DATE AS OF CHANGE: 20091130 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: 091212565 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 2009-11-25 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) 2009-11-25 4 S 0 2400 229.06 D 318415.6 D Shares of Common Stock (par value $0.01 per share) 2009-11-25 4 S 0 4700 229.9979 D 313715.6 D Shares of Common Stock (par value $0.01 per share) 2009-11-25 4 S 0 1400 230.806 D 312315.6 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 $228.43 to $229.34. 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. 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 $229.43 to $230.39. 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 $230.47 to $231.1234. 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 2009-11-30 -----END PRIVACY-ENHANCED MESSAGE-----