SEC Form 4 · accession 0000769993-15-000665
GOLDMAN SACHS GROUP INC · GS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory K Palm
Officer — Executive VP - General Counsel
Period of report
May 18, 2015
Accepted (ET)
May 20, 2015 · 9:26 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 | May 18, 2015 | M | 1,226 | $131.64 | A | 909,720 | D | |
| Common Stock, par value $0.01 per shareF2 | May 18, 2015 | S | 1,226 | $205.0538 | D | 908,494 | D | |
| Common Stock, par value $0.01 per share | May 19, 2015 | M | 14,326 | $131.64 | A | 922,820 | D | |
| Common Stock, par value $0.01 per shareF3 | May 19, 2015 | S | 14,326 | $205.002 | D | 908,494 | D | |
| Common Stock, par value $0.01 per shareF4 | holding | — | — | — | 81,906 | I | See footnote | |
| Common Stock, par value $0.01 per shareF5 | holding | — | — | — | 12,096 | 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 | May 18, 2015 | M | 1,226 | D | Jan 2, 2009 | Nov 27, 2015 | Common Stock, par value $0.01 per share | 1,226 | 45,429 | D |
| Nonqualified Stock Options (right to buy) | $131.64 | May 19, 2015 | M | 14,326 | D | Jan 2, 2009 | Nov 27, 2015 | Common Stock, par value $0.01 per share | 14,326 | 31,103 | 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 $205.0538 per share, at prices ranging from $205.00 to $205.13 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 $205.002 per share, at prices ranging from $205.00 to $205.02 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 through a limited liability company.
- F5Held through a trust, the sole trustee of which is the Reporting Person's spouse and the sole beneficiaries of which are immediate family members of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares.