根據2024年10月1日提交給證券交易委員會的文件
登記 第333-137708號
登記 第333-169329號
登記 第333-197764號
登記 編號333-225372
登記 編號333-279595
美國
證券交易委員會
華盛頓特區 20549
發帖生效修訂案編號1
1-4482
表格 S-8
登記聲明書編號。 333-137708
適時修正編號 1。
1-4482
表格 S-8
登記聲明書編號。 333-169329
適時修正編號 1。
1-4482
表格 S-8
登記聲明書編號。 333-197764
後生效修訂第1號
1-4482
表格 S-8
登記聲明書編號。 333-225372
後生效修訂第1號
1-4482
表格 S-8
登記聲明書編號。 333-279595
根據
1933年證券法
通信, Inc.
(依其章程所指定之註冊人的確切名稱)
| 特拉華州 | 99-1116001 | |
| (依據所在地或其他管轄區) 的註冊地或組織地點) |
(國稅局雇主識別號碼) 識別號碼) | |
| 50 哈德遜碼頭, 紐約州紐約市 |
10001 | |
| （總部地址） | （郵政編碼） | |
BlackRock, Inc. 第三次修訂和重新制定的1999年股票獎勵和激勵計劃
BlackRock公司員工股票購買計劃的二次修訂和重新簽署
BlackRock公司自願延期薪酬計劃的修訂和重新簽署
(計劃的完整標題)
Christopher J. Meade先生
首席法律官和總法律顧問
通信, Inc.
50 哈德遜碼頭
紐約，紐約 10001
(服務代理人的姓名和地址)
(212) 810-5800
(含區號的服務代理人電話號碼)
備份：
Laura Kaufmann Belkhayat, Esq.
斯凱登、艾普斯、斯萊特、米格爾&佛隆律師事務所
曼哈頓西一號
紐約州紐約市10001
(212) 735-3000
請打勾表示申報人是一家大型快速文件提交者，加速提交者， 非加速文件提交者，還是一家較小的報告公司，或一家新興成長企業。有關“大型快速文件提交者”，“加速文件提交者”，“較小的報告公司”提交人为一家小型报告公司或新兴成长型公司，根据规则中“大型加速报告公司”、“加速报告公司”、“小型报告公司”和“新兴成长型公司”的定义所述。 12b-2 根據1934年修訂版證券交易法（請勾選其中一項）：
| 大型加速文件提交者 | ☒ | 加速檔案提交者 | ☐ | |||
| 非加速歸檔人 | ☐ | 較小報告公司 | ☐ | |||
| 新興成長企業 | ☐ | |||||
如果是新興成長型公司，請打勾表示公司已選擇不使用延長過渡期，遵守根據證券法第7(a)(2)(B)條款提供的任何新的或修改的財務會計準則。 ☐
解釋說明
本生效後修正案（「生效後修訂」）根據《1933 年證券法》第 414 條提交， 經修訂後（「證券法」），由德拉華州一家公司（以下簡稱「繼承註冊人」）的貝萊德股份有限公司（前稱為貝萊德融資有限公司）的繼任註冊人（以前名稱為「證券法」） BlackRock, Inc.) 是一家特拉華州公司（「前任註冊人」），以反映根據特拉華州一般公司法（「DGCL」）第 251 (g) 條的控股公司重組（ 「重組」）。本生效後修訂有關以下表格上的登記聲明 S-8 （統稱為「註冊聲明」），由前任人提交 證券交易委員會（「委員會」）註冊人：
| • | 登記 第 333-137708 號 最初涵蓋 (i) 的綜合 除其他計劃之外，可根據經修訂和重新訂的貝萊德公司自願延期賠償計劃（修訂和重新定義的「VDCP」）之前計劃之下發行 102,000,000 美元的延期賠償義務，以及 (ii) 總共 15,346,520 股普通股（以及通過股息、股分拆、重資本化或任何其他類似的方式發行有關該等股份的額外普通股數量 交易）其中 896,090 股可根據第二次修訂及重新訂的貝萊德股份有限公司僱員股票購買計劃（如修訂及重新定義，「ESPP」）之前計劃可發行，及 10,419,243 股可發行 根據第三次修訂及重訂的一九九九年股票獎勵計劃及獎勵計劃的先前計劃（修訂及重新說明，「一九九九年計劃」，以及「股票計劃」合併為「股票計劃」）；股票計劃指 在本生效後修正案中，與《VDCP》一起稱為「計劃」）； |
| • | 登記 第三三三至 169329 號 最初覆蓋 10 萬股 可根據前身發行的普通股（以及可以通過股息、股份拆分、重資本化或任何其他類似交易方式發行該等股份的額外普通股數量） 根據一九九九年計劃的規劃； |
| • | 登記 第三三至一七七六四號 原本涵蓋 7,500 萬股 可根據前身發行的普通股（以及可以通過股息、股份拆分、重資本化或任何其他類似交易方式發行該等股份的額外普通股數量） 根據一九九九年計劃的規劃； |
| • | 登記 第 333-225372 號 原本涵蓋 7,000,000 股份 可根據前身發行的普通股（以及可以通過股息、股份拆分、重資本化或任何其他類似交易方式發行該等股份的額外普通股數量） 規劃一九九九年計劃；及 |
| • | 登記 第三三三至二七九五九五十五號 原本涵蓋 8,027,190 股股 根據 1999 年計劃發行的普通股（以及可以通過股息、股份拆分、重資本化或任何其他類似交易方式發行該等股份的額外普通股數量）。 |
該重組已於 2024 年 10 月 1 日根據日期為 2024 年 1 月 12 日的交易協議完成（截至 在繼任註冊人、前任註冊人、Banana Merger Sub, Inc.，特拉華州公司以及該公司的直接全資附屬公司之間，不時修訂、重新修訂或補充「交易協議」） 繼承註冊人（下稱「合併子公司」）及其他人（根據該等合併子公司與前任註冊人合併並合併成為前任註冊人）的其他方，而前任註冊人仍存在為該公司的直接全資附屬公司 繼承註冊人（「合併」）。繼承註冊人將其名稱從「貝萊德融資公司」更改為「貝萊德股份有限公司」，而前任註冊人將其名稱從「貝萊德股份有限公司」更改為 「貝萊德金融股份有限公司」
根據交易協議的條款，前任註冊人的每股普通股份 合併生效時間前的未償還（「合併生效時間」）已自動轉換為一個有效發行，全額支付和 不可評估 共用份額 繼任註冊人的股票，具有與前任註冊人的普通股相同的名稱、權利、權力和偏好，以及資格、限制和限制相同。繼任註冊人採用組織 文件與前任註冊人的文件主要相同，並承擔前任註冊人的某些義務，包括前任註冊人在其所有員工福利計劃下的權利和義務， 協議及安排、股權激勵計劃及子計劃及相關協議，包括有關根據本計劃分配的未償還獎勵及延遲補償義務的義務，在每個情況下， 允許繼承註冊人在重組之前，按照與前任註冊人相同的條款及細則提供及出售登記聲明中列出的證券。
根據《證券法》第414條(d)段，繼任登記人特此明確採納本登記聲明作為其自己的登記聲明，但根據本修正案進行了修正，適用於《證券法》及《1934年證券交易法》及其修訂（以下簡稱“交易法”）。在提交原始登記聲明時已支付登記費用。
出於本後效修正案及登記聲明的目的，(i) 在合併生效前的任何時間，對“公司”的參考意味著前任登記人，對“普通股”的參考意味著前任登記人的普通股，每股面值$0.01；(ii) 在合併生效時及其後，對“公司”的參考意味著繼任登記人，對“普通股”的參考意味著繼任登記人的普通股，每股面值$0.01。本後效修正案不反映根據任何計劃可發行的股份數量的增加。
第一部分 在第10(a)節所需的信息*
| * | 根據《證券法》第428(b)(1)條的規定，以及第一部分的引言註釋，本後效修正案省略了第一部分所需的資訊。 表格S-8。 包含第一部分中所指定資訊的文件已經或將會根據第428(b)條的要求，送交受登記聲明覆蓋的計劃中的參與者，這些計劃由本後效修正案所採納。 |
第二部分 在登記聲明中所需的信息
| 項目3。 | 文件的引用。 |
本公司向委員會提交的以下文件在此引用並成為本文件的一部分：
| (a) | 公司於2023年12月31日結束的財政年度提交給委員會的年度報告，即基本報表2023 Form 10-K； Form 10-K 截至2023年12月31日的年度報告，於2024年2月23日提交給委員會； |
| (b) | 本公司的季度報告於 如果通過參照納入 截至2024年3月31日和2024年6月30日的季度，於 2024年5月7日 和 2024年8月6日； |
| (c) | the Company’s Current Reports on Form 8-K filed with the Commission on 一月 12, 2024 (僅針對第3.02項與第8.01項), March 6, 2024, 2024年3月14日, March 15, 2024, 三月 28，2024, 2024年5月17日, 2024年5月31日, 七月 1，2024 （僅針對項目8.01） 2024年7月17日, 七月 18，2024, 七月 26，2024, 九月 2024年13日 和 2024年10月1日; |
| (d) | 該公司的最終代理聲明於 四月 4，2024; 及 |
| (e) | 該公司普通股的描述載於其前任的註冊聲明中， 貝萊德Holdco 2, Inc.（前身為貝萊德, Inc.） 表格8-A，於1999年9月15日提交， 並由該公司普通股的描述更新 展示品4.12 至表格10-Q 截至2022年3月31日的季度和 展品99.1 關於公司在 表格中的最新報告 8-K, 於2024年10月1日向委員會提交的報告，包括為更新該描述而提交的任何未來修訂或報告。 |
在所有板塊法案第13(a)、13(c)、14或15(d)條款下，於提交一份後效修訂前的文件所涵蓋的所有文件均應被視為被引用並納入登記聲明中，並自該等文件提交之日起成為本文件的一部分，該文件表明所有提供的證券已售出或註銷所有仍未售出的證券。
任何包含在本文所納入或被視為被引用的文件中的聲明，應被視為在登記聲明方面因本文件中或任何其他隨後提交的文件中包含的聲明而被修改或取代，該文件也必然被引用或被視為被引用在本文中。任何如此修改或取代的聲明，除非已如此修改或取代，否則不應被視為構成登記聲明的一部分。
| 持有有利益的金额：请参见所附的封面页上的第9项回答。因此，本修订案构成了报告人的退出申报。 | 證券說明。 |
根據VDCP，公司為一小部分管理層及高薪僱員（“合格僱員”）提供機會，以簽訂延遲指定百分比的自願年終績效獎金補償的協議。公司在此類協議下的義務（“VDCP義務”）是未資助和無擔保的一般義務，將在未來支付由公司為參加的合格僱員（每位為“參與者”）所設立和維護的賬戶（“遞延補償賬戶”）的價值，並調整以反映在延遲期間的績效，無論是正面還是負面，針對特定的跟蹤投資（“投資基金”），這些投資基金在VDCP下可用且由參與者選擇。可用的投資基金由公司最高級別的全球人力資源專業人士（“計劃經理”）單獨決定。
2
The VDCP is administered by the Management Development & Compensation Committee (the “Committee”) of the Company’s Board of Directors. The amount of compensation to be deferred by each Participant will be determined in accordance with the VDCP based on elections by the Participant. A Participant may elect to defer between 1% and 100% of the Participant’s annual performance bonus, in increments of at least 1%. The Participants under the VDCP must specify a deferral period (the “Deferral Period”) commencing on the date on which the portion of the Participant’s discretionary annual performance bonus would have otherwise been paid and ending, at the election of the Participant on (A) the date specified by the Participant in the applicable deferral election form (a “Specified Date”) or (B) the earlier of either the date of the Participant’s separation from service or a Specified Date. Any Specified Date must generally be no later than 10 years following the commencement of the Deferral Period and may be limited to the dates made available by the Plan Manager in the deferral election form.
Subject to the terms of the VDCP, the amounts deferred by Participants will be used to make tracking investments in the Investment Funds. The VDCP Obligations to each Participant will equal the balance in the Participant’s Deferred Compensation Account. Each Participant’s Deferred Compensation Account will be adjusted to reflect deferrals by the Participant, distributions, if any, and the investment performance of the Investment Funds, including any appreciation or depreciation.
The VDCP Obligations will be distributed by the Company in accordance with the terms of the VDCP, including upon the Participant’s death or a change in control of the company. Upon the written request of the Participant and a determination by the Plan Manager that a Participant has suffered an unforeseeable emergency, the Plan Manager may direct the Company to pay such Participant an amount necessary to meet the emergency plus amounts necessary to pay taxes reasonably anticipated as a result of the distribution, after taking into account the extent that such hardship is or maybe relieved through reimbursement or compensation by insurance or otherwise or by liquidation of the Participant’s assets (to the extent the liquidation of such assets would not itself cause severe financial hardship).
A Participant’s right or the right of any other person to the VDCP Obligations cannot be assigned or transferred in any manner or be subject to alienation, anticipation, sale, pledge, encumbrance or other legal process. The Committee may at any time amend or terminate the VDCP, except that no such amendment or termination may act to reduce a Participant’s Deferred Compensation Account as it existed as of the day before the effective date of such amendment or termination.
| Item 5. | Interests of Named Experts and Counsel. |
Not applicable.
| Item 6. | Indemnification of Directors and Officers. |
The Company’s amended and restated certificate of incorporation provides that, to the fullest extent permitted by the DGCL, none of the Company’s directors will be liable to the Company or its stockholders for monetary damages for the breach of his or her fiduciary duty as a director. Under the DGCL, this provision does not eliminate or limit the liability of any director or officer if a judgment or other final adjudication establishes that his or her acts or omissions constituted a breach of his or her duty of loyalty to the Company or the Company’s stockholders or were in bad faith or involved intentional misconduct or a knowing violation of law or that he or she derived an improper personal benefit from any transaction or that such director’s acts violated Section 174 of the DGCL or an officer in any action by or in the right of the Company.
As a result of this provision, the Company and the Company’s stockholders may be unable to obtain monetary damages from a director for breach of his or her duty of care. Although stockholders may continue to seek injunctive or other equitable relief for an alleged breach of fiduciary duty by a director, stockholders may not have any effective remedy against the challenged conduct if equitable remedies are unavailable.
The Company’s amended and restated bylaws provide that the Company will indemnify, to the fullest extent permitted by the DGCL, any person who was or is a party to any threatened, pending, or completed action, suit or proceeding (whether civil, criminal, administrative or investigative) because he or she is or was a director or officer of the Company’s, or is or was serving at the Company’s request as a director or officer of the Company or another corporation, partnership, joint venture, trust or other enterprise. The Company’s amended and restated bylaws provide that indemnification will be from and against expenses, liabilities, losses, attorneys’ fees, judgments, fines, ERISA excise taxes or penalties and amounts paid or to be paid in settlement by the director or officer.
3
| Item 7. | Exemption from Registration Claimed. |
Not applicable.
| Item 8. | Exhibits. |
See the Index of Exhibits, which is incorporated herein by reference.
| Item 9. | Undertakings. |
| (a) | The undersigned registrant hereby undertakes: |
| (1) | To file, during any period in which offers or sales are being made, a post-effective amendment to the Registration Statement: |
| (i) | To include any prospectus required by section 10(a)(3) of the Securities Act; |
| (ii) | To reflect in the prospectus any facts or events arising after the effective date of the Registration Statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the Registration Statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than a 20% change in the maximum aggregate offering price set forth in the “Calculation of Filing Fee Tables” or “Calculation of Registration Fee” table, as applicable, in the effective Registration Statement; |
| (iii) | To include any material information with respect to the plan of distribution not previously disclosed in the Registration Statement or any material change to such information in the Registration Statement; |
provided, however, that paragraphs (a)(1)(i) and (a)(1)(ii) of this section do not apply if the information required to be included in a post-effective amendment by those paragraphs is contained in reports filed with or furnished to the Commission by the undersigned Registrant pursuant to section 13 or section 15(d) of the Exchange Act that are incorporated by reference in the Registration Statement.
| (2) | That, for the purpose of determining any liability under the Securities Act, each such post-effective amendment shall be deemed to be a new Registration Statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. |
| (3) | To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering. |
| (b) | The undersigned registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of the undersigned registrant’s annual report pursuant to section 13(a) or section 15(d) of the Exchange Act (and, where applicable, each filing of an employee benefit plan’s annual report pursuant to section 15(d) of the Exchange Act) that is incorporated by reference in the Registration Statement shall be deemed to be a new Registration Statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. |
| (c) | Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons of the undersigned registrant pursuant to the foregoing provisions, or otherwise, the undersigned registrant has been advised that in the opinion of the Commission such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the undersigned registrant of expenses incurred or paid by a director, officer or controlling person of the undersigned Registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the undersigned registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue. |
4
EXHIBIT INDEX
| * | Filed herewith. |
| (1) | Incorporated by reference to the Company’s Current Report on Form 8-K filed on October 1, 2024. |
| (2) | Incorporated by reference to the Company’s Registration Statement on Form S-8 (Registration No. 333-137708) filed on September 29, 2006. |
| (3) | Incorporated by reference to Annex B of the Company’s definitive Proxy Statement on Schedule 14A filed on April 4, 2024. |
| (4) | Incorporated by reference to the Company’s Annual Report on Form 10-K filed on February 26, 2016. |
5
Pursuant to the requirements of the Securities Act, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Post-Effective Amendment to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, on October 1, 2024.
| BlackRock, Inc. | ||
| Registrant | ||
| By: | /s/ Laurence D. Fink | |
| Name: Laurence D. Fink | ||
| Title: Chairman, Chief Executive Officer and Director | ||
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Laurence D. Fink, Robert S. Kapito, Martin S. Small, Philippe Matsumoto, Christopher J. Meade, Laura Hildner and R. Andrew Dickson III, his or her true and lawful attorney-in-fact and agent, each acting alone, with full power of substitution and resubstitution for him or her and his or her name, place and stead, in any and all capacities to sign the Registration Statement(s) on Form S-8 to be filed in connection with the offerings of securities of BlackRock, Inc. and any and all amendments (including post-effective amendments) to the Registration Statement(s), and any subsequent registration statement filed pursuant to Rule 462(b) under the Securities Act, as amended, and to file the same, with all exhibits thereto, and the other documents in connection therewith, with the Commission, granting unto said attorney-in-fact and agent, each acting alone, full power and authority to do and perform each and every act and thing requisite and necessary to be done in connection therewith, as fully to all intents and purposes as they might or could do in person, hereby ratifying and confirming all that said attorney-in-fact or his substitutes, each acting alone, may lawfully do or cause to be done by virtue thereof.
Pursuant to the requirements of the Securities Act, this Post-Effective Amendment has been signed by the following persons in the capacities and on the date indicated.
| Signature | Title | Date | ||
| /s/ Laurence D. Fink Laurence D. Fink |
Chairman, Chief Executive Officer and Director (Principal Executive Officer) |
October 1, 2024 | ||
| /s/ Martin S. Small Martin S. Small |
Senior Managing Director and Chief Financial Officer (Principal Financial Officer) |
October 1, 2024 | ||
| /s/ Marc D. Comerchero Marc D. Comerchero |
Managing Director and Chief Accounting Officer (Principal Accounting Officer) |
October 1, 2024 | ||
| /s/ Pamela Daley Pamela Daley |
Director |
October 1, 2024 | ||
| /s/ William E. Ford William E. Ford |
Director |
October 1, 2024 | ||
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| /s/ Fabrizio Freda Fabrizio Freda |
Director |
October 1, 2024 | ||
| /s/ Murry S. Gerber Murry S. Gerber |
Director |
October 1, 2024 | ||
| /s/ Margaret L. Johnson Margaret L. Johnson |
Director |
October 1, 2024 | ||
| /s/ Robert S. Kapito Robert S. Kapito |
Director |
October 1, 2024 | ||
| /s/ Cheryl D. Mills Cheryl D. Mills |
Director |
October 1, 2024 | ||
| /s/ Amin H. Nasser Amin H. Nasser |
Director |
October 1, 2024 | ||
| /s/ Gordon M. Nixon Gordon M. Nixon |
Director |
October 1, 2024 | ||
| /s/ Kristin Peck Kristin Peck |
Director |
October 1, 2024 | ||
| /s/ Charles H. Robbins Charles H. Robbins |
Director |
October 1, 2024 | ||
| /s/ Marco Antonio Slim Domit Marco Antonio Slim Domit |
Director |
October 1, 2024 | ||
| /s/ Hans E. Vestberg Hans E. Vestberg |
Director |
October 1, 2024 | ||
| /s/ Susan L. Wagner Susan L. Wagner |
Director |
October 1, 2024 | ||
| /s/ Mark Wilson Mark Wilson |
Director |
October 1, 2024 | ||
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