SEC Form 4 · accession 0000769993-17-000147
GOLDMAN SACHS GROUP INC · GS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sarah G Smith
Officer — Principal Accounting Officer
Period of report
Jan 24, 2017
Accepted (ET)
Jan 26, 2017 · 2:15 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 | 32,039 | — | A | 45,114 | D | |
| Common Stock, par value $0.01 per shareF2 | Jan 24, 2017 | F | 17,133 | $232.67 | D | 27,981 | D | |
| Common Stock, par value $0.01 per shareF3 | holding | — | — | — | 27,212 | 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 | 32,039 | D | — | — | Common Stock, par value $0.01 per share | 32,039 | 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.
- F3Held 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.