SEC Form 4 · accession 0000769993-18-000209
GOLDMAN SACHS GROUP INC · GS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R. Martin Chavez
Officer — Executive Vice President - CFO
Period of report
Feb 7, 2018
Accepted (ET)
Feb 9, 2018 · 2:01 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 shareF2 | Feb 7, 2018 | S | 1,575 | $257.4576 | D | 85,543 | D | |
| Common Stock, par value $0.01 per shareF3 | Feb 7, 2018 | S | 1,800 | $258.3761 | D | 83,743 | D | |
| Common Stock, par value $0.01 per shareF4 | Feb 7, 2018 | S | 3,958 | $259.4384 | D | 79,785 | D | |
| Common Stock, par value $0.01 per shareF5 | Feb 7, 2018 | S | 2,656 | $260.4378 | D | 77,129 | D | |
| Common Stock, par value $0.01 per shareF6 | Feb 7, 2018 | S | 300 | $261.27 | D | 76,829 | D | |
| Common Stock, par value $0.01 per shareF7,F10 | Feb 7, 2018 | S | 540 | $257.3872 | D | 1,000 | I | See footnote |
| Common Stock, par value $0.01 per shareF8,F10 | Feb 7, 2018 | S | 500 | $259.264 | D | 500 | I | See footnote |
| Common Stock, par value $0.01 per shareF9,F10 | Feb 7, 2018 | S | 500 | $260.432 | D | 0 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This 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.
- F10Held 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.
- F2Reflects a weighted average sale price of $257.4576 per share, at prices ranging from $256.90 and $257.85 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F3Reflects a weighted average sale price of $258.3761 per share, at prices ranging from $257.90 and $258.82 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F4Reflects a weighted average sale price of $259.4384 per share, at prices ranging from $258.98 and $259.96 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F5Reflects a weighted average sale price of $260.4378 per share, at prices ranging from $260.00 and $260.99 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F6Reflects a weighted average sale price of $261.27 per share, at prices ranging from $261.06 and $261.44 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F7Reflects a weighted average sale price of $257.3872 per share, at prices ranging from $257.02 and $257.93 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F8Reflects a weighted average sale price of $259.264 per share, at prices ranging from $258.86 and $259.63 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F9Reflects a weighted average sale price of $260.432 per share, at prices ranging from $260.11 and $260.75 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.