SEC Form 4 · accession 0000769993-17-000072
GOLDMAN SACHS GROUP INC · GS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John F.W. Rogers
Officer — EVP-Chief of Staff & Secretary
Period of report
Jan 19, 2017
Accepted (ET)
Jan 20, 2017 · 2:13 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000886982
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Year-End Restricted Stock UnitsF1 | — | Jan 19, 2017 | A | 22,039 | A | — | — | Common Stock, par value $0.01 per share | 22,039 | 22,039 | D |
Explanation of responses
- F1Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.