SEC Form 4 · accession 0000769993-17-000131

GOLDMAN SACHS GROUP INC · GS

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

Reporting owner

Officer — Chairman of the Board and CEO · Director

Period of report

Jan 24, 2017

Accepted (ET)

Jan 26, 2017 · 2:00 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^F1	Jan 24, 2017	M	59,547	—	A	1,554,180	D
Common Stock, par value $0.01 per share^F2	Jan 24, 2017	F	31,841	$232.67	D	1,522,339	D
Common Stock, par value $0.01 per share^F3	holding	—	—		—	342,331	I	See footnote
Common Stock, par value $0.01 per share^F4	holding	—	—		—	433,540	I	See footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F1	—	Jan 24, 2017	M	59,547	D	—	—	Common Stock, par value $0.01 per share	59,547	0	D

F1On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.
F2Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.
F3Held 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.
F4As trustee of grantor retained annuity trusts.