|
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 |
|
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| 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) |
||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Employee Stock Option (Right to Buy) | $ 167.76 | 08/31/2015 | M | 61,949 | 01/31/2007 | 01/31/2017 | Common Stock | 61,949 (6) | $ 0 | 148,160 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| KAPITO ROBERT BLACKROCK INC. 55 EAST 52ND STREET NEW YORK, NY 10055 |
X | President | ||
| /s/ Daniel R. Waltcher as Attorney-in-Fact for Robert Kapito | 09/02/2015 | |
| **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) | Includes (i) 7,981 Restricted Stock Units vesting on 1/31/16, (ii) 14,182 Restricted Stock Units vesting in installments on 1/31/16 and 1/31/17, (iv) 8,928 shares of Restricted Stock vesting in installments on 1/31/16, 1/31/17 and 1/31/18, (v) 26,213 Restricted Stock Units awarded on 1/20/12 that will vest in whole or in part only on the satisfaction of one or more previously-disclosed Common Stock price targets, but which may not vest before 1/31/16 and will expire on 1/31/18 to the extent not then vested, (vi) 29,583 Restricted Stock Units awarded on 1/18/13 that will vest in whole or in part only on the satisfaction of one or more previously-disclosed Common Stock price targets, but which may not vest before 1/31/17 and will expire on 1/31/19 to the extent not then vested and (vii) 19,201 Restricted Stock Units awarded on 1/17/14 that will vest in whole or in part only on the satisfaction of one or more previously-disclosed Common Stock price targets, but which may not vest before 1/31/18 and will expire on 1/31/20 to the extent not then vested. Each Restricted Stock Unit is payable solely by delivery of an equal number of shares of Common Stock. |
| (2) | This transaction was executed in multiple trades at prices ranging from $302.1800 to $303.1400. The price represents the weighted average purchase price of these trades. The reporting person hereby undertakes to provide upon request to the SEC staff, the issue, or a security holder of the issuer, full information regarding the shares purchased at each separate price. |
| (3) | This transaction was executed in multiple trades at prices ranging from $303.1750 to $304.1350. The price represents the weighted average purchase price of these trades. The reporting person hereby undertakes to provide upon request to the SEC staff, the issue, or a security holder of the issuer, full information regarding the shares purchased at each separate price. |
| (4) | This transaction was executed in multiple trades at prices ranging from $304.2000 to $305.1800. The price represents the weighted average purchase price of these trades. The reporting person hereby undertakes to provide upon request to the SEC staff, the issue, or a security holder of the issuer, full information regarding the shares purchased at each separate price. |
| (5) | This transaction was executed in multiple trades at prices ranging from $305.2100 to $305.7100. The price represents the weighted average purchase price of these trades. The reporting person hereby undertakes to provide upon request to the SEC staff, the issue, or a security holder of the issuer, full information regarding the shares purchased at each separate price. |
| (6) | Relates to a portion of a long-term plan option award of 210,109 options granted on 1/31/07 with an expiration date of 1/31/17. |