SEC Form 4 · accession 0000769993-17-000097
GOLDMAN SACHS GROUP INC · GS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A Johnson
Director
Period of report
Jan 19, 2017
Accepted (ET)
Jan 23, 2017 · 2:03 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 | Jan 19, 2017 | M | 11,600 | $204.16 | A | 11,600 | D | |
| Common Stock, par value $0.01 per shareF2 | Jan 19, 2017 | S | 11,600 | $233.9865 | D | 0 | D |
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) | $204.16 | Jan 19, 2017 | M | 11,600 | D | Jan 25, 2011 | Nov 24, 2017 | Common Stock, par value $0.01 per share | 11,600 | 0 | D |
| Restricted Stock UnitsF3 | — | Jan 19, 2017 | A | 2,595 | A | — | — | Common Stock, par value $0.01 per share | 2,595 | 42,312 | D |
Explanation of responses
- F1Reflects the exercise by the Reporting Person of Stock Options granted in December 2007 and scheduled to expire in November 2017.
- F2Reflects a weighted average sale price of $233.9865 per share, at prices ranging from $233.65 to $234.195 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.
- F3Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.