SEC Form 4 · accession 0000769993-16-001867
GOLDMAN SACHS GROUP INC · GS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael S Sherwood
Officer — Vice Chairman
Period of report
Nov 11, 2016
Accepted (ET)
Nov 15, 2016 · 5:47 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 11, 2016 | M | 201,224 | $199.84 | A | 438,582 | D | |
| Common Stock, par value $0.01 per shareF2 | Nov 11, 2016 | F | 200,311 | $201.5667 | D | 238,271 | D | |
| Common Stock, par value $0.01 per shareF3 | Nov 11, 2016 | S | 546 | $201.5665 | D | 237,725 | D | |
| Common Stock, par value $0.01 per shareF4 | Nov 11, 2016 | S | 367 | $203.6918 | D | 237,358 | D | |
| Common Stock, par value $0.01 per shareF5 | holding | — | — | — | 124,620 | 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) | $199.84 | Nov 11, 2016 | M | 201,224 | D | Jan 25, 2010 | Nov 25, 2016 | Common Stock, par value $0.01 per share | 201,224 | 0 | D |
Explanation of responses
- F1Reflects the exercise by the Reporting Person of Stock Options granted in December 2006 and scheduled to expire in November 2016.
- 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 $201.5665 per share, at prices ranging from $201.53 to $201.611 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 $203.6918 per share, at prices ranging from $203.67 to $203.73 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.
- F5Held by spouse.