SEC Form 4 · accession 0000769993-17-000747
GOLDMAN SACHS GROUP INC · GS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Gnodde
Officer — Vice Chairman
Period of report
Nov 20, 2017
Accepted (ET)
Nov 22, 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 | Nov 20, 2017 | M | 36,920 | $204.16 | A | 232,073 | D | |
| Common Stock, par value $0.01 per shareF2 | Nov 20, 2017 | F | 34,083 | $238.78 | D | 197,990 | D | |
| Common Stock, par value $0.01 per share | Nov 20, 2017 | S | 2,837 | $238.683 | D | 195,153 | D | |
| Common Stock, par value $0.01 per share | Nov 21, 2017 | M | 36,920 | $204.16 | A | 232,073 | D | |
| Common Stock, par value $0.01 per shareF2 | Nov 21, 2017 | F | 34,039 | $239.42 | D | 198,034 | D | |
| Common Stock, par value $0.01 per share | Nov 21, 2017 | S | 2,881 | $239.2826 | D | 195,153 | 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 | Nov 20, 2017 | M | 36,920 | D | Jan 25, 2011 | Nov 24, 2017 | Common Stock, par value $0.01 per share | 36,920 | 36,920 | D |
| Nonqualified Stock Options (right to buy) | $204.16 | Nov 21, 2017 | M | 36,920 | D | Jan 25, 2011 | Nov 24, 2017 | Common Stock, par value $0.01 per share | 36,920 | 0 | 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. This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person, without any additional action taken by the Reporting Person.
- 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.