0000769993-11-000387.txt : 20110413
0000769993-11-000387.hdr.sgml : 20110413
20110413180310
ACCESSION NUMBER: 0000769993-11-000387
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20110404
FILED AS OF DATE: 20110413
DATE AS OF CHANGE: 20110413
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Rogers John F.W.
CENTRAL INDEX KEY: 0001517277
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-14965
FILM NUMBER: 11757910
MAIL ADDRESS:
STREET 1: C/O GOLDMAN, SACHS & CO.
STREET 2: 200 WEST STREET
CITY: NEW YORK
STATE: NY
ZIP: 10282
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
3
1
rogers3_ex.xml
X0203
3
2011-04-04
0
0000886982
GOLDMAN SACHS GROUP INC
GS
0001517277
Rogers John F.W.
C/O GOLDMAN, SACHS & CO.
200 WEST STREET
NEW YORK
NY
10282
0
1
0
0
EVP-Chief of Staff & Secretary
Common Stock, par value $0.01 per share
103950
D
Common Stock, par value $0.01 per share
21113
I
See footnote
Restricted Stock Units
Common Stock, par value $0.01 per share
91668
D
Nonqualified Stock Options (right to buy)
Common Stock, par value $0.01 per share
444503
D
Certain of these shares cannot be transferred before dates ranging from January 2014 to January 2015.
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.
These Restricted Stock Units ("RSUs") either are vested or will vest upon the earlier of (a) dates ranging from December 31,
2011 to December 31, 2012 and (b) the Reporting Person's retirement. These RSUs will generally convert into shares of the
Issuer's common stock on dates ranging from January 2012 to January 2014. Substantially all of the common stock that will
be delivered pursuant to these RSUs cannot be transferred before dates ranging from January 2014 to January 2016.
The exercise prices for the stock options range from $78.78 to $204.16, with varying expiration dates from November 25, 2011
to December 31, 2018. All of these stock options either are vested or will vest upon the earlier of (a) December 31, 2011
and (b) the Reporting Person's retirement, and all either are exercisable or will become exercisable in January 2012. If
certain of the stock options are exercised, the underlying shares of common stock cannot be transferred before dates ranging
from January 2013 to January 2014.
/s/ Beverly L. O'Toole, Attorney-in-fact
2011-04-13
EX-24
2
rogerspoa.txt
POWER OF ATTORNEY
-----------------
The undersigned does hereby appoint Bruce A. Albert, Yvette Kosic, Kevin P.
Treanor, Anthony DeRose, Rachel Parrish, Kenneth L. Josselyn, Beverly L. O'Toole
and Benjamin J. Rader (and any other employee of The Goldman Sachs Group, Inc.
(the "Company") or one of its affiliates designated in writing by one of the
attorneys-in-fact) his lawful attorneys, and each of them his true and lawful
attorney, with power to act without the other, and with full power of
substitution and resubstitution, to prepare, execute and file, or cause to be
prepared, executed and filed, with the U.S. Securities and Exchange Commission
(the "SEC") for him and in his name in connection with certain transactions in
common stock, par value $.01 per share (the "Common Stock") of the Company:
1. the Initial Statement of Beneficial Ownership of Securities on
Form 3, any Statement of Changes in Beneficial Ownership on Form
4 and any Annual Statement of Changes in Beneficial Ownership on
Form 5, or any similar or successor form, which may be required
to be filed by him pursuant to Section 16 of the Securities
Exchange Act of 1934, as amended;
2. one or more Forms 144, or amendments to Form 144, relating to any
sales orders (including in connection with the exercise of
options to purchase Common Stock), orally or electronically, to
sell shares of Common Stock to the public from time to time in
accordance with Rule 144 under the Securities Act of 1933, as
amended; and
3. any and all instruments necessary or incidental to any action
listed above, including communications to the SEC, the New York
Stock Exchange and state securities law authorities.
The undersigned hereby grants unto said attorneys and each of them full
power and authority to do and perform in the name and on behalf of the
undersigned, and in any and all capacities, every act and thing whatsoever
required or necessary to be done in and about the premises, as fully and to all
intents and purposes as the undersigned might or could do in person, hereby
ratifying and approving the act of said attorneys and each of them.
This power of attorney shall not be affected by the subsequent disability
or incompetence of the principal. This power of attorney shall remain in full
force and effect until either revoked in writing by the undersigned or until
such time as the person or persons to whom power of attorney has been hereby
granted cease(s) to be an employee of the Company or one of its affiliates.
IN WITNESS thereof the undersigned hereunto signed his name this 31st day
of March, 2011.
/s/ John F.W. Rogers
------------------------
John F.W. Rogers