FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
BLACKROCK INC /NY [ BLK ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/31/2001 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Shares of Class A Common Stock (par value $0.01 per share) | 07/13/2001(1) | P | 500 | A | $39.7 | 1,614(2) | D | |||
Shares of Class A Common Stock (par value $0.01 per share) | 10/28/2004 | M | 1,667 | A | $14 | 4,299(3) | D | |||
Shares of Class A Common Stock (par value $0.01 per share) | 10/28/2004 | S | 1,667 | D | $72.49 | 2,632(3) | D | |||
Shares of Class A Common Stock (par value $0.01 per share) | 10/28/2004 | S | 1,000 | D | $72.24 | 1,632(3) | D | |||
Shares of Class A Common Stock (par value $0.01 per share) | 10/21/2005 | M | 3,333 | A | $14 | 5,168(4) | D | |||
Shares of Class A Common Stock (par value $0.01 per share) | 10/21/2005 | S | 3,333 | D | $90.41 | 1,835(4) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $37.36 | 10/15/2002 | A | 5,000 | 12/31/2006 | 10/15/2012 | Class A Common Stock | 5,000 | (5) | 5,000 | D | ||||
Employee Stock Option (right to buy) | $14 | 10/28/2004 | M | 1,667 | (6) | 10/01/2009 | Class A Common Stock | 1,667 | (5) | 3,333 | D | ||||
Employee Stock Option (right to buy) | $14 | 10/21/2005 | M | 3,333 | (6) | 10/01/2009 | Class A Common Stock | 3,333 | (5) | 0 | D |
Explanation of Responses: |
1. Through an oversight, the issuer did not identify the reporting person as Section 16 officer upon becoming the Principal Accounting Officer of the issuer on or around March 28, 2001. This Form 4 reflects all transactions that have occurred during the period in which the reporting person has been subject to Section 16 and is being filed in conjunction with a Form 3 that includes his current holdings. |
2. Includes 114 shares of Class A Common Stock acquired through July 13, 2001 under The PNC Financial Services Group, Inc. Incentive Savings Plan (the "ISP"). |
3. Includes 371 shares of Class A Common Stock acquired under the BlackRock, Inc. Employee Stock Purchase Plan (the "ESPP") through July 31, 2004. Also includes 761 shares of Class A Common Stock acquired through October 28, 2004 under the ISP. |
4. Includes 460 shares of Class A Common Stock acquired under the ESPP through July 31, 2005. Also includes 875 shares of Class A Common Stock acquired through October 21, 2005 under the ISP. |
5. Price is not applicable. |
6. Option became exercisable in three annual installments on 10/1/00, 10/1/01 and 10/1/02. |
Remarks: |
Harris Oliner as Attorney-in-Fact for Joseph Feliciani | 11/23/2005 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |