Filing Details

Accession Number:
0000769993-14-000408
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-07-24 17:04:53
Reporting Period:
2014-07-22
Filing Date:
2014-07-24
Accepted Time:
2014-07-24 17:04:53
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
1566418 M Harvey Schwartz C/O Goldman, Sachs &Amp; Co.
200 West Street
New York NY 10282
Executive Vice President - Cfo 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 Disposition 2014-07-22 9,936 $175.00 204,246 No 4 S Direct
Common Stock, Par Value $0.01 Per Share Acquisiton 2014-07-23 91,285 $78.78 295,531 No 4 M Direct
Common Stock, Par Value $0.01 Per Share Disposition 2014-07-23 69,109 $175.02 226,422 No 4 F Direct
Common Stock, Par Value $0.01 Per Share Disposition 2014-07-23 2,500 $175.13 223,922 No 4 S Direct
Common Stock, Par Value $0.01 Per Share Disposition 2014-07-23 11,800 $176.48 212,122 No 4 S Direct
Common Stock, Par Value $0.01 Per Share Disposition 2014-07-23 7,876 $176.90 204,246 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S 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 Nonqualified Stock Options (right to buy) Disposition 2014-07-23 91,285 $0.00 91,285 $78.78
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
211,603 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 30,000 Indirect See footnote
Footnotes
  1. This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.
  2. 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.
  3. 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 2 above.
  4. Reflects a weighted average sale price of $175.1274 per share, at prices ranging from $174.7900 to $175.6300 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.
  5. Reflects a weighted average sale price of $176.4775 per share, at prices ranging from $175.7900 to $176.7800 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.
  6. Reflects a weighted average sale price of $176.9022 per share, at prices ranging from $176.7900 to $177.1300 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.
  7. Held through a trust, the sole trustee of which is an immediate family member of the Reporting Person and the sole beneficiary of which is an immediate family member of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares.
  8. One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012.