SEC Form 4 · accession 0000769993-17-000076
GOLDMAN SACHS GROUP INC · GS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Harvey M Schwartz
Officer — President and Co-COO; CFO
Period of report
Jan 19, 2017
Accepted (ET)
Jan 20, 2017 · 2:16 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 shareF1 | Jan 19, 2017 | S | 25,000 | $233.9887 | D | 251,256 | D | |
| Common Stock, par value $0.01 per shareF2 | holding | — | — | — | 30,000 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects a weighted average sale price of $233.9887 per share, at prices ranging from $233.65 to $234.53 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. This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person, without any additional action taken by the Reporting Person.
- F2Held through a trust, the sole trustee of which is an immediate family member of the Reporting Person and the sole beneficiary of which is an immediate family member of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares.