SEC Form 4 · accession 0000769993-18-000049
GOLDMAN SACHS GROUP INC · GS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sarah G Smith
Officer — EVP, Global Head of Compliance
Period of report
Jan 18, 2018
Accepted (ET)
Jan 19, 2018 · 3:38 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 18, 2018 | A | 19,126 | $0.00 | A | 50,972 | D | |
| Common Stock, par value $0.01 per shareF2 | Jan 18, 2018 | F | 10,179 | $250.97 | D | 40,793 | D | |
| Common Stock, par value $0.01 per shareF3 | holding | — | — | — | 27,212 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares of the Issuer's common stock ("Restricted Shares") represent the equity-based component of the Reporting Person's 2017 year-end compensation. The Restricted Shares generally cannot be sold or transferred before January 2023. The Restricted Shares are also subject to a non-competition covenant which will lapse in three approximately equal installments on or about each of December 31, 2018, 2019 and 2020, subject to other terms and conditions of the award agreement.
- F2Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the grant of Restricted Shares 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.