SEC Form 4 · accession 0000769993-17-000141
GOLDMAN SACHS GROUP INC · GS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edith W Cooper
Officer — EVP, Global Head of HCM
Period of report
Jan 24, 2017
Accepted (ET)
Jan 26, 2017 · 2:08 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 24, 2017 | M | 22,981 | — | A | 41,966 | D | |
| Common Stock, par value $0.01 per shareF2 | Jan 24, 2017 | F | 11,313 | $232.67 | D | 30,653 | D | |
| Common Stock, par value $0.01 per share | Jan 25, 2017 | M | 26,217 | $78.78 | A | 56,870 | D | |
| Common Stock, par value $0.01 per shareF4 | Jan 25, 2017 | F | 17,801 | $233.68 | D | 39,069 | D | |
| Common Stock, par value $0.01 per shareF5 | Jan 25, 2017 | S | 2,900 | $235.2954 | D | 36,169 | D | |
| Common Stock, par value $0.01 per shareF6 | Jan 25, 2017 | S | 4,000 | $236.1704 | D | 32,169 | D | |
| Common Stock, par value $0.01 per shareF7 | Jan 25, 2017 | S | 1,516 | $236.8985 | D | 30,653 | D | |
| Common Stock, par value $0.01 per shareF8 | holding | — | — | — | 20,650 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | Jan 24, 2017 | M | 22,981 | D | — | — | Common Stock, par value $0.01 per share | 22,981 | 0 | D |
| Year-End Nonqualified Stock OptionsF9 | $78.78 | Jan 25, 2017 | M | 26,217 | D | — | Dec 31, 2018 | Common Stock, par value $0.01 per share | 26,217 | 0 | D |
Explanation of responses
- 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.
- F3Reflects the exercise by the Reporting Person of Stock Options granted in December 2008 and scheduled to expire in December 2018.
- F4Represents 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 3 above.
- F5Reflects a weighted average sale price of $235.2954 per share, at prices ranging from $234.5900 to $235.5350 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.
- F6Reflects a weighted average sale price of $236.1704 per share, at prices ranging from $235.5900 to $236.5800 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.
- F7Reflects a weighted average sale price of $236.8985 per share, at prices ranging from $236.6050 to $237.2100 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.
- F8Held through a trust, 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.
- F9One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012.