SEC Form 4 · accession 0000769993-16-001823
GOLDMAN SACHS GROUP INC · GS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan M Cohen
Officer — EVP, Global Head of Compliance
Period of report
Nov 9, 2016
Accepted (ET)
Nov 14, 2016 · 2:29 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 | Nov 9, 2016 | S | 500 | $185.75 | D | 60,944 | D | |
| Common Stock, par value $0.01 per shareF2 | Nov 9, 2016 | S | 585 | $187.0005 | D | 60,359 | D | |
| Common Stock, par value $0.01 per shareF3 | Nov 9, 2016 | S | 1,265 | $187.9185 | D | 59,094 | D | |
| Common Stock, par value $0.01 per share | Nov 9, 2016 | S | 100 | $188.81 | D | 58,994 | D | |
| Common Stock, par value $0.01 per shareF4 | Nov 9, 2016 | S | 300 | $190.6333 | D | 58,694 | D | |
| Common Stock, par value $0.01 per shareF5 | Nov 9, 2016 | S | 805 | $191.696 | D | 57,889 | D | |
| Common Stock, par value $0.01 per shareF6 | Nov 9, 2016 | S | 1,340 | $192.5952 | D | 56,549 | D | |
| Common Stock, par value $0.01 per shareF7 | Nov 9, 2016 | S | 105 | $193.4495 | D | 56,444 | D | |
| Common Stock, par value $0.01 per shareF8 | holding | — | — | — | 9,084 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects a weighted average sale price of $185.75 per share, at prices ranging from $185.38 to $186.18 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.
- F2Reflects a weighted average sale price of $187.0005 per share, at prices ranging from $186.49 to $187.41 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 $187.9185 per share, at prices ranging from $187.49 to $188.33 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 $190.6333 per share, at prices ranging from $190.2 to $191.19 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 $191.6960 per share, at prices ranging from $191.29 to $192.25 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 $192.5952 per share, at prices ranging from $192.3 to $193.02 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.
- F7Reflects a weighted average sale price of $193.4495 per share, at prices ranging from $193.44 to $193.45 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.
- F8Held through a trust, the sole trustee of which is the Reporting Person's spouse and the sole beneficiary of which is an immediate family member of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares.