SEC Form 4 · accession 0000769993-15-000561
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
Apr 20, 2015
Accepted (ET)
Apr 21, 2015 · 4:16 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 20, 2015 | M | 75,392 | $131.64 | A | 266,264 | D | |
| Common Stock, par value $0.01 per shareF2 | Apr 20, 2015 | S | 75,392 | $199.2153 | D | 190,872 | D | |
| Common Stock, par value $0.01 per shareF3 | 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 | Apr 20, 2015 | M | 75,392 | D | Jan 2, 2009 | Nov 27, 2015 | Common Stock, par value $0.01 per share | 75,392 | 0 | 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. 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 $199.2153 per share, at prices ranging from $199.00 to $199.57 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.
- F3Held by spouse.