Filing Details
- Accession Number:
- 0000769993-14-000573
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-10-21 16:30:55
- Reporting Period:
- 2014-10-17
- Filing Date:
- 2014-10-21
- Accepted Time:
- 2014-10-21 16:30:55
- 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 |
|---|---|---|---|---|---|---|---|
| 1090335 | G Sarah Smith | C/O Goldman, Sachs &Amp; Co. 200 West Street New York NY 10282 | Principal Accounting Officer | 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 | 2014-10-17 | 24,400 | $131.64 | 53,074 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2014-10-17 | 12,359 | $176.57 | 40,715 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2014-10-17 | 12,041 | $177.11 | 28,674 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2014-10-17 | 2,718 | $176.23 | 25,956 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2014-10-20 | 33,558 | $78.78 | 59,514 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2014-10-20 | 25,336 | $176.91 | 34,178 | No | 4 | F | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2014-10-20 | 3,600 | $177.14 | 30,578 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2014-10-20 | 4,622 | $177.64 | 25,956 | 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 | F | 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 | 2014-10-17 | 24,400 | $0.00 | 24,400 | $131.64 |
| Common Stock, Par Value $0.01 Per Share | Nonqualified Stock Options (right to buy) | Disposition | 2014-10-20 | 33,558 | $0.00 | 33,558 | $78.78 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2009-01-02 | 2015-11-27 | No | 4 | M | Direct |
| 33,557 | 2018-12-31 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, Par Value $0.01 Per Share | 14,224 | Indirect | See footnote |
Footnotes
- Reflects the exercise by the Reporting Person of Stock Options granted in December 2005 and scheduled to expire in November 2015. 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 $176.5732 per share, at prices ranging from $175.93 to $176.92 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 $177.1148 per share, at prices ranging from $176.93 to $177.44 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.
- This sale of shares was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.
- Reflects the exercise by the Reporting Person of Stock Options granted in December 2008 and scheduled to expire in December 2018. This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.
- Represents 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 5 above.
- Reflects a weighted average sale price of $177.1436 per share, at prices ranging from $176.45 to $177.44 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.
- Reflects a weighted average sale price of $177.6445 per share, at prices ranging from $177.465 to $177.93 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.
- Held through trusts, 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.
- One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012.
Billionaire Hedge Funds
