SEC Form 4 · accession 0000769993-17-000422

GOLDMAN SACHS GROUP INC · GS

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

Reporting owner

Officer — EVP, Global Head of Compliance

Period of report

Feb 16, 2017

Accepted (ET)

Feb 21, 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	Feb 16, 2017	M	18,500	$78.78	A	77,135	D
Common Stock, par value $0.01 per share^F2	Feb 16, 2017	F	12,901	$250.20	D	64,234	D
Common Stock, par value $0.01 per share	Feb 16, 2017	S	5,599	$250.1605	D	58,635	D
Common Stock, par value $0.01 per share^F3	holding	—	—		—	9,084	I	See footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Nonqualified Stock Options (right to buy)^F4	$78.78	Feb 16, 2017	M	18,500	D	—	Dec 31, 2018	Common Stock, par value $0.01 per share	18,500	36,864	D

F1Reflects the exercise by the Reporting Person of Stock Options granted in December 2008 and scheduled to expire in December 2018.
F2Represents 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 1 above.
F3Held through a trust, the sole trustee of which is the Reporting Person's spouse and the sole beneficiary of which is an immediate family member of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares.
F4One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012.