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Section 1: 8-K (FORM 8-K)

Form 8-K

 

 

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): May 23, 2018

 

 

BLACKROCK, INC.

(Exact name of registrant as specified in its charter)

 

 

 

DELAWARE   001-33099   32-0174431
(State or other jurisdiction   (Commission   (IRS Employer
of incorporation)   File Number)   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))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company  ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐

 

 

 


Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

As further reported in Item 5.07 below, on May 23, 2018, BlackRock, Inc. (“BlackRock” or the “Company”) held its 2018 Annual Meeting of Shareholders (the “Annual Meeting”). At the Annual Meeting, the shareholders approved an amendment to the BlackRock, Inc. Second Amended and Restated 1999 Stock Award and Incentive Plan (the “Stock Plan”) to increase the number of shares of common stock authorized for issuance under the Stock Plan from 34,500,000 to 41,500,000 shares. The amendment to the Stock Plan was submitted to the shareholders to ensure the Stock Plan’s compliance with the New York Stock Exchange’s Corporate Governance Standards concerning shareholder approval of equity compensation plans and/or material revisions to such plans.

The material terms of the Stock Plan were described in BlackRock’s definitive proxy statement for the Annual Meeting, which was filed with the Securities and Exchange Commission on April 13, 2018. The description of the Stock Plan in the definitive proxy statement is incorporated by reference herein.

 

Item 5.07. Submission of Matters to a Vote of Security Holders.

The following are the voting results on each matter submitted to the Company’s shareholders at the Annual Meeting. All director nominees were elected (Item 1). The proposal to approve the compensation of the named executive officers as disclosed in the Company’s proxy statement, through an advisory, non-binding resolution, was approved (Item 2). Additionally, the proposal to approve an amendment to the Stock Plan was approved (Item 3). Further, the shareholders ratified the appointment of Deloitte LLP as the Company’s independent registered public accounting firm for the fiscal year 2018 (Item 4). In addition, the shareholder proposal regarding production of an annual report on certain trade association and lobbying expenditures was not approved (Item 5).

Below are detailed voting results on each matter voted on at the Annual Meeting. Such matters are described in detail in the Company’s definitive proxy statement for the Annual Meeting.

Item 1 – Election to the Company’s Board of Directors of the following 18 nominees:

 

     For    Against    Abstentions    Broker Non-Votes

Mathis Cabiallavetta

   131,981,645    287,307    301,962    10,112,641

Pamela Daley

   132,041,722    236,832    292,360    10,112,641

William S. Demchak

   131,812,896    458,941    299,077    10,112,641

Jessica P. Einhorn

   131,142,402    1,133,862    294,650    10,112,641

Laurence D. Fink

   130,731,315    1,241,007    598,592    10,112,641

William E. Ford

   131,465,991    789,758    315,165    10,112,641

Fabrizio Freda

   132,026,712    246,658    297,544    10,112,641

Murry S. Gerber

   129,272,550    2,987,131    311,233    10,112,641

Margaret L. Johnson

   132,076,976    198,962    294,976    10,112,641

Robert S. Kapito

   131,058,840    1,212,388    299,686    10,112,641

Sir Deryck Maughan

   131,518,218    750,861    301,835    10,112,641

Cheryl D. Mills

   130,997,066    1,280,502    293,346    10,112,641

Gordon M. Nixon

   130,747,223    1,523,496    300,195    10,112,641

Charles H. Robbins

   132,032,315    226,998    311,601    10,112,641

Ivan G. Seidenberg

   130,724,109    1,549,994    296,811    10,112,641

Marco Antonio Slim Domit

   129,923,134    2,338,805    308,975    10,112,641

Susan L. Wagner

   132,094,827    183,508    292,579    10,112,641

Mark Wilson

   132,070,211    201,394    299,309    10,112,641


Item 2 – Approval, in a non-binding advisory vote, of the compensation for named executive officers:

 

For   Against  

Abstentions

 

Broker Non-Votes

118,206,168   14,021,631   343,115   10,112,641

Item 3 – Approval of an amendment to the Stock Plan:

 

For   Against  

Abstentions

 

Broker Non-Votes

129,946,457   2,284,780   339,677   10,112,641

Item 4 – Ratification of the appointment of Deloitte LLP as the Company’s independent registered public accounting firm for the fiscal year 2018:

 

For   Against  

Abstentions

 

Broker Non-Votes

140,998,656   1,366,764   318,135   0

Item 5 – Shareholder proposal regarding production of an annual report on certain trade association and lobbying expenditures:

 

For   Against  

Abstentions

 

Broker Non-Votes

27,327,441   102,973,543   2,269,930   10,112,641


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/ R. Andrew Dickson III

  R. Andrew Dickson III
  Corporate Secretary

Date: May 24, 2018

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