SEC Form 4 · accession 0000769993-16-001891

GOLDMAN SACHS GROUP INC · GS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Nov 15, 2016

Accepted (ET)

Nov 17, 2016 · 5:16 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 15, 2016	M	39,184	$199.84	A	804,109	D
Common Stock, par value $0.01 per share^F2	Nov 15, 2016	F	38,296	$210.99	D	765,813	D
Common Stock, par value $0.01 per share	Nov 15, 2016	S	888	$210.9888	D	764,925	D
Common Stock, par value $0.01 per share^F3	holding	—	—		—	123,186	I	See footnote
Common Stock, par value $0.01 per share^F4	holding	—	—		—	102,257	I	See footnote

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 15, 2016	M	39,184	D	Jan 25, 2010	Nov 25, 2016	Common Stock, par value $0.01 per share	39,184	0	D

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.
F3Held through a limited liability company.
F4Held 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.