SEC Form 4 · accession 0000769993-16-001896
GOLDMAN SACHS GROUP INC · GS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sarah G Smith
Officer — Principal Accounting Officer
Period of report
Nov 15, 2016
Accepted (ET)
Nov 17, 2016 · 5:32 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 | 9,028 | $199.84 | A | 22,103 | D | |
| Common Stock, par value $0.01 per shareF2 | Nov 15, 2016 | F | 8,850 | $209.18 | D | 13,253 | D | |
| Common Stock, par value $0.01 per shareF3 | Nov 15, 2016 | S | 178 | $206.5087 | D | 13,075 | D | |
| Common Stock, par value $0.01 per share | Nov 16, 2016 | M | 9,028 | $199.84 | A | 22,103 | D | |
| Common Stock, par value $0.01 per shareF2 | Nov 16, 2016 | F | 8,814 | $211.19 | D | 13,289 | D | |
| Common Stock, par value $0.01 per shareF4 | Nov 16, 2016 | S | 79 | $205.786 | D | 13,210 | D | |
| Common Stock, par value $0.01 per shareF5 | Nov 16, 2016 | S | 127 | $206.4154 | D | 13,083 | D | |
| Common Stock, par value $0.01 per share | Nov 16, 2016 | S | 8 | $207.66 | D | 13,075 | D | |
| Common Stock, par value $0.01 per shareF6 | holding | — | — | — | 27,212 | 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 15, 2016 | M | 9,028 | D | Jan 25, 2010 | Nov 25, 2016 | Common Stock, par value $0.01 per share | 9,028 | 18,056 | D |
| Nonqualified Stock Options (right to buy) | $199.84 | Nov 16, 2016 | M | 9,028 | D | Jan 25, 2010 | Nov 25, 2016 | Common Stock, par value $0.01 per share | 9,028 | 9,028 | 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. This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.
- 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 $206.5087 per share, at prices ranging from $206.43 to $206.57 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 $205.786 per share, at prices ranging from $205.15 to $206.14 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.
- F5Reflects a weighted average sale price of $206.4154 per share, at prices ranging from $206.15 to $206.92 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.
- F6Held 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.