SEC Form 4 · accession 0000769993-15-001029
GOLDMAN SACHS GROUP INC · GS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lloyd C Blankfein
Officer — Chairman of the Board and CEO · Director
Period of report
Nov 23, 2015
Accepted (ET)
Nov 25, 2015 · 6:43 pm EST
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 | Nov 23, 2015 | M | 1,750 | $131.64 | A | 1,395,104 | D | |
| Common Stock, par value $0.01 per shareF2 | Nov 23, 2015 | S | 626 | $189.1855 | D | 1,394,478 | D | |
| Common Stock, par value $0.01 per shareF3 | Nov 23, 2015 | S | 673 | $190.1417 | D | 1,393,805 | D | |
| Common Stock, par value $0.01 per shareF4 | Nov 23, 2015 | S | 451 | $190.8633 | D | 1,393,354 | D | |
| Common Stock, par value $0.01 per share | Nov 24, 2015 | M | 1,750 | $131.64 | A | 1,395,104 | D | |
| Common Stock, par value $0.01 per shareF5 | Nov 24, 2015 | S | 407 | $187.4163 | D | 1,394,697 | D | |
| Common Stock, par value $0.01 per shareF6 | Nov 24, 2015 | S | 787 | $188.2769 | D | 1,393,910 | D | |
| Common Stock, par value $0.01 per shareF7 | Nov 24, 2015 | S | 556 | $189.1098 | D | 1,393,354 | D | |
| Common Stock, par value $0.01 per share | Nov 25, 2015 | M | 1,750 | $131.64 | A | 1,395,104 | D | |
| Common Stock, par value $0.01 per shareF8 | Nov 25, 2015 | S | 854 | $188.8453 | D | 1,394,250 | D | |
| Common Stock, par value $0.01 per shareF9 | Nov 25, 2015 | S | 896 | $189.3815 | D | 1,393,354 | D | |
| Common Stock, par value $0.01 per shareF10 | holding | — | — | — | 342,331 | I | See footnote | |
| Common Stock, par value $0.01 per shareF11 | holding | — | — | — | 500,000 | 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) | $131.64 | Nov 23, 2015 | M | 1,750 | D | Jan 2, 2009 | Nov 27, 2015 | Common Stock, par value $0.01 per share | 1,750 | 3,500 | D |
| Nonqualified Stock Options (right to buy) | $131.64 | Nov 24, 2015 | M | 1,750 | D | Jan 2, 2009 | Nov 27, 2015 | Common Stock, par value $0.01 per share | 1,750 | 1,750 | D |
| Nonqualified Stock Options (right to buy) | $131.64 | Nov 25, 2015 | M | 1,750 | D | Jan 2, 2009 | Nov 27, 2015 | Common Stock, par value $0.01 per share | 1,750 | 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.
- F10Held 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.
- F11As trustee of grantor retained annuity trust.
- F2Reflects a weighted average sale price of $189.1855 per share, at prices ranging from $188.56 to $189.55 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 $190.1417 per share, at prices ranging from $189.56 to $190.55 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 $190.8633 per share, at prices ranging from $190.56 to $191.43 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 $187.4163 per share, at prices ranging from $186.80 to $187.79 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.
- F6Reflects a weighted average sale price of $188.2769 per share, at prices ranging from $187.80 to $188.79 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.
- F7Reflects a weighted average sale price of $189.1098 per share, at prices ranging from $188.80 to $189.75 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.
- F8Reflects a weighted average sale price of $188.8453 per share, at prices ranging from $188.1512 to $189.14 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.
- F9Reflects a weighted average sale price of $189.3815 per share, at prices ranging from $189.15 to $189.74 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.