SEC Form 4 · accession 0000769993-15-000256
GOLDMAN SACHS GROUP INC · GS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael S Sherwood
Officer — Vice Chairman
Period of report
Feb 11, 2015
Accepted (ET)
Feb 13, 2015 · 2:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000886982
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per share | Feb 11, 2015 | M | 75,000 | $131.64 | A | 265,872 | D | |
| Common Stock, par value $0.01 per shareF2 | Feb 11, 2015 | S | 70,580 | $186.5474 | D | 195,292 | D | |
| Common Stock, par value $0.01 per shareF3 | Feb 11, 2015 | S | 4,420 | $187.0176 | D | 190,872 | D | |
| Common Stock, par value $0.01 per shareF4 | holding | — | — | — | 124,620 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Nonqualified Stock Options (right to buy) | $131.64 | Feb 11, 2015 | M | 75,000 | D | Jan 2, 2009 | Nov 27, 2015 | Common Stock, par value $0.01 per share | 75,000 | 145,392 | D |
Explanation of responses
- F1Reflects the exercise by the Reporting Person of Stock Options granted in December 2005 and scheduled to expire in November 2015.
- F2Reflects a weighted average sale price of $186.5474 per share, at prices ranging from $185.9900 to $186.9850 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F3Reflects a weighted average sale price of $187.0176 per share, at prices ranging from $186.9900 to $187.0800 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F4Held by spouse.