Filing Details

Accession Number:
0001140361-11-029905
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-05-25 18:56:52
Reporting Period:
2011-05-23
Filing Date:
2011-05-25
Accepted Time:
2011-05-25 17:56:52
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1364742 Blackrock Inc. BLK Security Brokers, Dealers & Flotation Companies (6211) 320174431
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
312070 /Eng/ Plc Bank Barclays 1 Churchill Place
E14 5Hp
London England X0 E14 5HP
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.01 Per Share (The "Common Stock") Acquisiton 2011-05-23 2,356,750 $0.00 3,031,516 No 4 C Indirect By subsidiary
Common Stock Disposition 2011-05-23 2,356,750 $190.77 3,031,516 No 4 S Indirect By subsidiary
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect By subsidiary
No 4 S Indirect By subsidiary
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock, Par Value $0.01 Per Share Series B Convertible Participating Preferred Stock Disposition 2011-05-23 2,356,750 $0.00 2,356,750 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
32,178,505 No 4 C Indirect
Footnotes
  1. Barclays BR Holdings S.a r.l., a societe a responsabilite limitee organized under the laws of Luxembourg ("BR Holdings"), a wholly-owned subsidiary of Barclays Bank PLC, a public company organized under the laws of England and Wales (the "Reporting Person"), has previously entered into a transaction, which resulted in the transfer of 3,000,000 shares of Common Stock and 34,520,000 shares of the Series B Convertible Participating Preferred Stock, par value $0.01 per share ("Series B Preferred Stock"), of BlackRock, Inc. (the "Issuer") to Lapis (Gers Investments) LP, a Delaware limited partnership ("Lapis"), an indirect wholly-owned subsidiary of the Reporting Person. Following the transfer, BR Holdings held 31,516 shares of the Common Stock and 15,255 shares of the Series B Preferred Stock, and Lapis held 3,000,000 shares of the Common Stock and 34,520,000 shares of the Series B Preferred Stock.
  2. Pursuant to the Stockholder Agreement, dated as of December 1, 2009, as amended from time to time, among the Reporting Person, BR Holdings, Lapis and 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.
  3. Under the terms of the Series B Preferred Stock, the shares of Series B Preferred Stock are automatically converted into shares of the Common Stock upon any transfer to any person that is not an affiliate of the Reporting Person. Each share of Series B Preferred Stock converts into the Common Stock on a one-for-one basis.
  4. As shares of the Series B Preferred Stock are not convertible into shares of the Common Stock while owned by Reporting Person and its affiliates, the Reporting Person disclaims beneficial ownership of the shares of the Common Stock underlying the shares of the Series B Preferred Stock. The Series B Preferred Stock is a perpetual security.