SEC Form 4 · accession 0000769993-15-000560
GOLDMAN SACHS GROUP INC · GS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Harvey M Schwartz
Officer — Executive Vice President - CFO
Period of report
Apr 17, 2015
Accepted (ET)
Apr 21, 2015 · 4:15 pm EDT
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 | Apr 17, 2015 | M | 91,285 | $78.78 | A | 331,617 | D | |
| Common Stock, par value $0.01 per shareF2 | Apr 17, 2015 | S | 21,697 | $196.2138 | D | 309,920 | D | |
| Common Stock, par value $0.01 per shareF3 | Apr 17, 2015 | S | 64,588 | $197.2582 | D | 245,332 | D | |
| Common Stock, par value $0.01 per shareF4 | Apr 17, 2015 | S | 5,000 | $197.9618 | D | 240,332 | D | |
| Common Stock, par value $0.01 per shareF5 | holding | — | — | — | 30,000 | 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)F6 | $78.78 | Apr 17, 2015 | M | 91,285 | D | — | Dec 31, 2018 | Common Stock, par value $0.01 per share | 91,285 | 120,318 | D |
Explanation of responses
- F1Reflects the exercise by the Reporting Person of Stock Options granted in December 2008 and scheduled to expire in December 2018. This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.
- F2Reflects a weighted average sale price of $196.2138 per share, at prices ranging from $195.745 to $196.74 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 $197.2582 per share, at prices ranging from $196.765 to $197.75 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.
- F4Reflects a weighted average sale price of $197.9618 per share, at prices ranging from $197.785 to $198.22 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.
- F5Held through a trust, the sole trustee of which is an immediate family member of the Reporting Person and the sole beneficiary of which is an immediate family member of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares.
- F6One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012.