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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Shedlin Gary BLACKROCK, INC. 55 EAST 52ND STREET NEW YORK, NY 10055 |
CFO & Senior Managing Director |
/s/ Daniel R. Waltcher as Attorney-in-Fact for Gary Shedlin | 07/08/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Restricted Stock Units granted under the BlackRock, Inc. 1999 Stock Award and Incentive Plan approved by the Management Development and Compensation Committee of the Board of Directors on May 29, 2013. The vesting for this award of Restricted Stock Units is 25% on November 30, 2013, 7% on January 31, 2014, 22% on February 28, 2014, 7% on November 30, 2014, 7% on January 31, 2015, 11% on February 28, 2015, 7% on November 30, 2015 and 14% on January 31, 2016. The Restricted Stock Units were awarded in connection with the Reporting Person's decision to join BlackRock and the resulting forfeiture of deferred compensation awards granted by his former employer. The vesting schedule of the Restricted Stock Units mirrors the schedule on which the forfeited awards would have vested had the Reporting Person remained with his prior employer. Each Restricted Stock Unit is payable solely by delivery of an equal number of shares of Common Stock. |