SEC Form 4 · accession 0000769993-15-000833
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
Jul 17, 2015
Accepted (ET)
Jul 21, 2015 · 2:04 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 | Jul 17, 2015 | M | 120,318 | $78.78 | A | 360,650 | D | |
| Common Stock, par value $0.01 per shareF2 | Jul 17, 2015 | F | 86,992 | $211.18 | D | 273,658 | D | |
| Common Stock, par value $0.01 per shareF3 | Jul 17, 2015 | S | 12,200 | $210.2653 | D | 261,458 | D | |
| Common Stock, par value $0.01 per shareF4 | Jul 17, 2015 | S | 13,168 | $211.2979 | D | 248,290 | D | |
| Common Stock, par value $0.01 per shareF5 | Jul 17, 2015 | S | 7,958 | $212.3303 | D | 240,332 | D | |
| Common Stock, par value $0.01 per shareF6 | 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)F7 | $78.78 | Jul 17, 2015 | M | 120,318 | D | — | Dec 31, 2018 | Common Stock, par value $0.01 per share | 120,318 | 0 | 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.
- F2Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.
- F3Reflects a weighted average sale price of $210.2653 per share, at prices ranging from $209.81 to $210.80 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 $211.2979 per share, at prices ranging from $210.81 to $211.79 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.
- F5Reflects a weighted average sale price of $212.3303 per share, at prices ranging from $211.825 to $212.78 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.
- F6Held 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.
- F7One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012.