Filing Details
- Accession Number:
- 0000769993-17-000141
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-01-26 14:08:47
- Reporting Period:
- 2017-01-24
- Filing Date:
- 2017-01-26
- Accepted Time:
- 2017-01-26 14:08:47
- 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 |
|---|---|---|---|---|---|---|---|
| 1517276 | W Edith Cooper | C/O Goldman, Sachs &Amp; Co. 200 West Street New York NY 10282 | Evp, Global Head Of Hcm | 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 | 2017-01-24 | 22,981 | $0.00 | 41,966 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2017-01-24 | 11,313 | $232.67 | 30,653 | No | 4 | F | Direct | |
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2017-01-25 | 26,217 | $78.78 | 56,870 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2017-01-25 | 17,801 | $233.68 | 39,069 | No | 4 | F | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2017-01-25 | 2,900 | $235.30 | 36,169 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2017-01-25 | 4,000 | $236.17 | 32,169 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2017-01-25 | 1,516 | $236.90 | 30,653 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | 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 | Restricted Stock Units | Disposition | 2017-01-24 | 22,981 | $0.00 | 22,981 | $0.00 |
| Common Stock, Par Value $0.01 Per Share | Year-End Nonqualified Stock Options | Disposition | 2017-01-25 | 26,217 | $0.00 | 26,217 | $78.78 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 0 | 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 | 20,650 | Indirect | See footnote |
Footnotes
- On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.
- Represents 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.
- Reflects the exercise by the Reporting Person of Stock Options granted in December 2008 and scheduled to expire in December 2018.
- 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 3 above.
- Reflects a weighted average sale price of $235.2954 per share, at prices ranging from $234.5900 to $235.5350 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 $236.1704 per share, at prices ranging from $235.5900 to $236.5800 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 $236.8985 per share, at prices ranging from $236.6050 to $237.2100 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 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.
- One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012.
Billionaire Hedge Funds
