Statement of Changes in Beneficial Ownership (4)
January 11 2023 - 4:42PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Baratta Joseph |
2. Issuer Name and Ticker or Trading Symbol
Blackstone Inc.
[
BX
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O BLACKSTONE INC., 345 PARK AVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/9/2023 |
(Street)
NEW YORK, NY 10154
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 1/9/2023 | | A(1) | | 9723 | A | $0.00 | 1207168 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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 |
Blackstone Holdings partnership units | (2) | 12/7/2022 | | G (3) |
V
| | 15000 | (2) | (2) | Common Stock | 15000 | $0.00 | 4491950 | I | See footnote (4) |
Blackstone Holdings partnership units | (2) | | | | | | | (2) | (2) | Common Stock | 2308058 | | 2308058 | D | |
Blackstone Holdings partnership units | (2) | | | | | | | (2) | (2) | Common Stock | 142237 | | 142237 | I | See footnote (5) |
Explanation of Responses: |
(1) | Granted under the Amended and Restated 2007 Equity Incentive Plan, these deferred restricted shares will vest ratably over a three-year period, with 3,241 shares vesting on January 1, 2024, 3,241 shares vesting on January 1, 2025, and 3,241 shares vesting on January 1, 2026, subject to the Reporting Person's continued employment with Blackstone. As these deferred restricted shares vest, the underlying shares will be delivered to the Reporting Person. Notwithstanding the foregoing, the shares may be delivered earlier upon a change in control of Blackstone. |
(2) | A "Blackstone Holdings partnership" unit collectively refers to one limited partner interest in each of Blackstone Holdings I L.P., Blackstone Holdings II L.P., Blackstone Holdings III L.P., Blackstone Holdings IV L.P. and Blackstone Holdings AI L.P. Subject to the minimum retained ownership requirements and transfer restrictions set forth in the partnership agreements of the Blackstone partnerships, the holder has the right, exercisable from time to time, to exchange each Blackstone Holdings partnership unit for one share of Common Stock of Blackstone Inc. The Blackstone Holdings partnership units have no expiration date and may not be exchanged other than pursuant to transactions or programs approved by Blackstone. |
(3) | The Reporting Person donated 15,000 Blackstone Holdings partnership units to a charitable foundation |
(4) | These securities are held by a limited liability company, of which the Reporting Person is the manager. |
(5) | These securities are held by a trust for the benefit of the Reporting Person's family, of which the Reporting Person is a trustee. |
Remarks: The Reporting Person disclaims beneficial ownership of the securities reported on this form except to the extent of his pecuniary interest. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Baratta Joseph C/O BLACKSTONE INC. 345 PARK AVE NEW YORK, NY 10154 | X |
|
|
|
Signatures
|
Tabea Hsi as Attorney-In-Fact | | 1/11/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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. |
Blackstone (NYSE:BX)
Historical Stock Chart
From Aug 2024 to Sep 2024
Blackstone (NYSE:BX)
Historical Stock Chart
From Sep 2023 to Sep 2024