0000769993-15-000833.txt : 20150721 0000769993-15-000833.hdr.sgml : 20150721 20150721140402 ACCESSION NUMBER: 0000769993-15-000833 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150717 FILED AS OF DATE: 20150721 DATE AS OF CHANGE: 20150721 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC CENTRAL INDEX KEY: 0000886982 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 134019460 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 FORMER COMPANY: FORMER CONFORMED NAME: GOLDMAN SACHS GROUP INC/ DATE OF NAME CHANGE: 20010104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHWARTZ HARVEY M CENTRAL INDEX KEY: 0001566418 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14965 FILM NUMBER: 15997526 MAIL ADDRESS: STREET 1: C/O GOLDMAN, SACHS & CO. STREET 2: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 4 1 ownershipdoc07202015015846.xml X0306 4 2015-07-17-04:00 false 0000886982 GOLDMAN SACHS GROUP INC GS 0001566418 SCHWARTZ HARVEY M C/O GOLDMAN, SACHS & CO. 200 WEST STREET NEW YORK NY 10282 false true false false Executive Vice President - CFO Common Stock, par value $0.01 per share 2015-07-17-04:00 4 M false 120318 78.78 A 360650 D Common Stock, par value $0.01 per share 2015-07-17-04:00 4 F false 86992 211.18 D 273658 D Common Stock, par value $0.01 per share 2015-07-17-04:00 4 S false 12200 210.2653 D 261458 D Common Stock, par value $0.01 per share 2015-07-17-04:00 4 S false 13168 211.2979 D 248290 D Common Stock, par value $0.01 per share 2015-07-17-04:00 4 S false 7958 212.3303 D 240332 D Common Stock, par value $0.01 per share 30000 I See footnote Nonqualified Stock Options (right to buy) 78.78 2015-07-17-04:00 4 M false 120318 0 D 2018-12-31-05:00 Common Stock, par value $0.01 per share 120318 0 D 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 1 above. Reflects a weighted average sale price of $210.2653 per share, at prices ranging from $209.81 to $210.80 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 $211.2979 per share, at prices ranging from $210.81 to $211.79 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 $212.3303 per share, at prices ranging from $211.825 to $212.78 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 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. One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012. /s/ Beverly L. O'Toole, Attorney-in-fact 2015-07-21-04:00