SEC Form 4 · accession 0000769993-16-001147
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
Jan 26, 2016
Accepted (ET)
Jan 28, 2016 · 2:58 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 shareF1 | Jan 26, 2016 | M | 77,211 | — | A | 317,543 | D | |
| Common Stock, par value $0.01 per shareF2 | Jan 26, 2016 | F | 41,287 | $151.12 | D | 276,256 | D | |
| Common Stock, par value $0.01 per shareF3 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | Jan 26, 2016 | M | 77,211 | D | — | — | Common Stock, par value $0.01 per share | 77,211 | 0 | D |
Explanation of responses
- F1On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation.
- F2Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.
- F3Held 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.