SEC Form 4 · accession 0000769993-17-000799
GOLDMAN SACHS GROUP INC · GS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John F.W. Rogers
Officer — EVP-Chief of Staff & Secretary
Period of report
Dec 28, 2017
Accepted (ET)
Dec 29, 2017 · 6:04 am 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 | Dec 28, 2017 | M | 28,449 | — | A | 84,430 | D | |
| Common Stock, par value $0.01 per shareF2 | Dec 28, 2017 | F | 14,670 | $255.95 | D | 69,760 | D | |
| Common Stock, par value $0.01 per shareF3 | holding | — | — | — | 12,433 | 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 | — | Dec 28, 2017 | M | 28,449 | D | — | — | Common Stock, par value $0.01 per share | 28,449 | 0 | D |
Explanation of responses
- F1On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.
- 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.