0001341004-11-001779.txt : 20110916 0001341004-11-001779.hdr.sgml : 20110916 20110916171546 ACCESSION NUMBER: 0001341004-11-001779 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110916 ITEM INFORMATION: Unregistered Sales of Equity Securities FILED AS OF DATE: 20110916 DATE AS OF CHANGE: 20110916 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-33099 FILM NUMBER: 111095933 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 8-K 1 form8-k.htm form8-k.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
_________________________
 
FORM 8-K
_________________________

CURRENT REPORT
Pursuant to Section 13 or 15(d) of
the Securities Exchange Act of 1934
 
Date of Report (Date of earliest event reported): September 16, 2011 (September 13, 2011)
_________________________
 
BlackRock, Inc.
(Exact name of registrant as specified in its charter)
_________________________

DELAWARE
001-33099
32-0174431
(State or other jurisdiction
of incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)

55 East 52nd Street, New York, New York
10055
(Address of principal executive offices)
(Zip Code)

Registrant’s telephone number, including area code:  (212) 810-5300

(Former name or former address, if changed since last report.)
_________________________

 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

[  ]
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
   
[  ]
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
   
[  ]
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
   
[  ]
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 

 
 
 

Item 3.02   Unregistered Sales of Equity Securities.

On September 13, 2011, BlackRock, Inc. (the "Company") entered into an exchange agreement (the "Exchange Agreement") by and between the Company and Kuwait Investment Authority ("KIA") pursuant to which the Company agreed to issue 2,860,188 shares of common stock of the Company, par value $0.01 per share, to KIA in exchange for an equal number of shares of the Company's Series B Convertible Participating Preferred Stock, par value $0.01 per share, in a transaction exempt from registration pursuant to Section 3(a)(9) of the Securities Act of 1933, as amended.  The transaction is expected to close on or about September 20, 2011.
 
 

 
 
 

SIGNATURES
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 
 
BlackRock, Inc.
 
 (Registrant)
     
 
By: 
/s/ Daniel R. Waltcher
   
Daniel R. Waltcher
   
Managing Director and
Deputy General Counsel

Date:  September 16, 2011