0000769993-16-001896.txt : 20161117 0000769993-16-001896.hdr.sgml : 20161117 20161117173202 ACCESSION NUMBER: 0000769993-16-001896 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161115 FILED AS OF DATE: 20161117 DATE AS OF CHANGE: 20161117 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: SMITH SARAH G CENTRAL INDEX KEY: 0001090335 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14965 FILM NUMBER: 162005886 MAIL ADDRESS: STREET 1: C/O GOLDMAN SACHS & CO. STREET 2: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 4 1 ownershipdoc11142016082306.xml X0306 4 2016-11-15-05:00 false 0000886982 GOLDMAN SACHS GROUP INC GS 0001090335 SMITH SARAH G C/O GOLDMAN, SACHS & CO. 200 WEST STREET NEW YORK NY 10282 false true false false Principal Accounting Officer Common Stock, par value $0.01 per share 2016-11-15-05:00 4 M false 9028 199.84 A 22103 D Common Stock, par value $0.01 per share 2016-11-15-05:00 4 F false 8850 209.18 D 13253 D Common Stock, par value $0.01 per share 2016-11-15-05:00 4 S false 178 206.5087 D 13075 D Common Stock, par value $0.01 per share 2016-11-16-05:00 4 M false 9028 199.84 A 22103 D Common Stock, par value $0.01 per share 2016-11-16-05:00 4 F false 8814 211.19 D 13289 D Common Stock, par value $0.01 per share 2016-11-16-05:00 4 S false 79 205.786 D 13210 D Common Stock, par value $0.01 per share 2016-11-16-05:00 4 S false 127 206.4154 D 13083 D Common Stock, par value $0.01 per share 2016-11-16-05:00 4 S false 8 207.66 D 13075 D Common Stock, par value $0.01 per share 27212 I See footnote Nonqualified Stock Options (right to buy) 199.84 2016-11-15-05:00 4 M false 9028 0 D 2010-01-25-05:00 2016-11-25-05:00 Common Stock, par value $0.01 per share 9028 18056 D Nonqualified Stock Options (right to buy) 199.84 2016-11-16-05:00 4 M false 9028 0 D 2010-01-25-05:00 2016-11-25-05:00 Common Stock, par value $0.01 per share 9028 9028 D Reflects the exercise by the Reporting Person of Stock Options granted in December 2006 and scheduled to expire in November 2016. 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 $206.5087 per share, at prices ranging from $206.43 to $206.57 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 $205.786 per share, at prices ranging from $205.15 to $206.14 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 $206.4154 per share, at prices ranging from $206.15 to $206.92 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. 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. /s/ Beverly L. O'Toole, Attorney-in-fact 2016-11-17-05:00