SEC Form 4 · accession 0000769993-15-000761
GOLDMAN SACHS GROUP INC · GS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary D Cohn
Officer — President and COO · Director
Period of report
Jun 18, 2015
Accepted (ET)
Jun 19, 2015 · 5:50 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 | Jun 18, 2015 | M | 22,317 | $131.64 | A | 638,171 | D | |
| Common Stock, par value $0.01 per share | Jun 18, 2015 | S | 22,317 | $215.00 | D | 615,854 | D | |
| Common Stock, par value $0.01 per share | Jun 19, 2015 | M | 1,846 | $131.64 | A | 617,700 | D | |
| Common Stock, par value $0.01 per share | Jun 19, 2015 | S | 1,846 | $215.00 | D | 615,854 | D | |
| Common Stock, par value $0.01 per shareF2 | holding | — | — | — | 187,030 | I | See footnote | |
| Common Stock, par value $0.01 per shareF3 | holding | — | — | — | 41,496 | I | See footnote | |
| Common Stock, par value $0.01 per shareF4 | holding | — | — | — | 20,567 | 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 | Jun 18, 2015 | M | 22,317 | D | Jan 2, 2009 | Nov 27, 2015 | Common Stock, par value $0.01 per share | 22,317 | 41,136 | D |
| Nonqualified Stock Options (right to buy) | $131.64 | Jun 19, 2015 | M | 1,846 | D | Jan 2, 2009 | Nov 27, 2015 | Common Stock, par value $0.01 per share | 1,846 | 39,290 | 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.
- F2Held through limited liability companies.
- F3Held through trusts, 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.
- F4As trustee of grantor retained annuity trusts.