Filing Details
- Accession Number:
- 0000769993-12-000628
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-28 19:59:19
- Reporting Period:
- 2012-11-26
- Filing Date:
- 2012-11-28
- Accepted Time:
- 2012-11-28 19:59:19
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 886982 | Goldman Sachs Group Inc | GS | Security Brokers, Dealers & Flotation Companies (6211) | 134019460 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1428340 | S Michael Sherwood | C/O Goldman, Sachs &Amp; Co. 200 West Street New York NY 10282 | Vice Chairman | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2012-11-26 | 4,266 | $78.87 | 136,597 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-11-26 | 2,098 | $119.18 | 134,499 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-11-26 | 1,823 | $120.31 | 132,676 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-11-26 | 345 | $120.68 | 132,331 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2012-11-27 | 4,266 | $78.87 | 136,597 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-11-27 | 858 | $119.01 | 135,739 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-11-27 | 1,451 | $119.95 | 134,288 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-11-27 | 1,957 | $120.77 | 132,331 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2012-11-28 | 4,267 | $78.87 | 136,598 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-11-28 | 1,923 | $117.12 | 134,675 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-11-28 | 1,394 | $118.12 | 133,281 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-11-28 | 950 | $119.01 | 132,331 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.01 Per Share | Nonqualified Stock Options (right to buy) | Disposition | 2012-11-26 | 4,266 | $0.00 | 4,266 | $78.87 |
| Common Stock, Par Value $0.01 Per Share | Nonqualified Stock Options (right to buy) | Disposition | 2012-11-27 | 4,266 | $0.00 | 4,266 | $78.87 |
| Common Stock, Par Value $0.01 Per Share | Nonqualified Stock Options (right to buy) | Disposition | 2012-11-28 | 4,267 | $0.00 | 4,267 | $78.87 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 8,533 | 2006-01-02 | 2012-11-30 | No | 4 | M | Direct |
| 4,267 | 2006-01-02 | 2012-11-30 | No | 4 | M | Direct |
| 0 | 2006-01-02 | 2012-11-30 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, Par Value $0.01 Per Share | 135,164 | Indirect | See footnote |
| Common Stock, Par Value $0.01 Per Share | 103,850 | Indirect | See footnote |
Footnotes
- Reflects the exercise by the Reporting Person of Stock Options granted in November 2002 and scheduled to expire in November 2012. This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.
- Reflects a weighted average sale price of $119.1782 per share, at prices ranging from $118.5700 to $119.5400 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.
- Reflects a weighted average sale price of $120.3096 per share, at prices ranging from $119.5700 to $120.5600 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.
- Reflects a weighted average sale price of $120.6781 per share, at prices ranging from $120.5700 to $120.8400 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.
- Reflects a weighted average sale price of $119.0084 per share, at prices ranging from $118.4400 to $119.4300 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.
- Reflects a weighted average sale price of $119.9511 per share, at prices ranging from $119.4400 to $120.4300 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.
- Reflects a weighted average sale price of $120.7728 per share, at prices ranging from $120.4400 to $121.2900 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.
- Reflects a weighted average sale price of $117.1231 per share, at prices ranging from $116.6500 to $117.6400 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.
- Reflects a weighted average sale price of $118.1186 per share, at prices ranging from $117.6500 to $118.6400 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.
- Reflects a weighted average sale price of $119.014 per share, at prices ranging from $118.6500 to $119.2700 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.
- Held by spouse.
- Reported for informational purposes only. Held through a trust over which the Reporting Person has no investment control and the sole trustee of which is a third-party institution. In accordance with Rule 16a-8, the Reporting Person disclaims beneficial ownership of the shares held through this trust.
Billionaire Hedge Funds
