0000769993-12-000628.txt : 20121128 0000769993-12-000628.hdr.sgml : 20121128 20121128195919 ACCESSION NUMBER: 0000769993-12-000628 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121126 FILED AS OF DATE: 20121128 DATE AS OF CHANGE: 20121128 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHERWOOD MICHAEL S CENTRAL INDEX KEY: 0001428340 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14965 FILM NUMBER: 121230158 MAIL ADDRESS: STREET 1: C/O GOLDMAN, SACHS & CO. STREET 2: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 FORMER NAME: FORMER CONFORMED NAME: SHERWOOD MICHAEL S. DATE OF NAME CHANGE: 20080227 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 4 1 ownershipdoc11192012025555.xml X0306 4 2012-11-26-05:00 false 0000886982 GOLDMAN SACHS GROUP INC GS 0001428340 SHERWOOD MICHAEL S C/O GOLDMAN, SACHS & CO. 200 WEST STREET NEW YORK NY 10282 false true false false Vice Chairman Common Stock, par value $0.01 per share 2012-11-26-05:00 4 M false 4266 78.87 A 136597 D Common Stock, par value $0.01 per share 2012-11-26-05:00 4 S false 2098 119.1782 D 134499 D Common Stock, par value $0.01 per share 2012-11-26-05:00 4 S false 1823 120.3096 D 132676 D Common Stock, par value $0.01 per share 2012-11-26-05:00 4 S false 345 120.6781 D 132331 D Common Stock, par value $0.01 per share 2012-11-27-05:00 4 M false 4266 78.87 A 136597 D Common Stock, par value $0.01 per share 2012-11-27-05:00 4 S false 858 119.0084 D 135739 D Common Stock, par value $0.01 per share 2012-11-27-05:00 4 S false 1451 119.9511 D 134288 D Common Stock, par value $0.01 per share 2012-11-27-05:00 4 S false 1957 120.7728 D 132331 D Common Stock, par value $0.01 per share 2012-11-28-05:00 4 M false 4267 78.87 A 136598 D Common Stock, par value $0.01 per share 2012-11-28-05:00 4 S false 1923 117.1231 D 134675 D Common Stock, par value $0.01 per share 2012-11-28-05:00 4 S false 1394 118.1186 D 133281 D Common Stock, par value $0.01 per share 2012-11-28-05:00 4 S false 950 119.014 D 132331 D Common Stock, par value $0.01 per share 135164 I See footnote Common Stock, par value $0.01 per share 103850 I See footnote Nonqualified Stock Options (right to buy) 78.87 2012-11-26-05:00 4 M false 4266 0 D 2006-01-02-05:00 2012-11-30-05:00 Common Stock, par value $0.01 per share 4266 8533 D Nonqualified Stock Options (right to buy) 78.87 2012-11-27-05:00 4 M false 4266 0 D 2006-01-02-05:00 2012-11-30-05:00 Common Stock, par value $0.01 per share 4266 4267 D Nonqualified Stock Options (right to buy) 78.87 2012-11-28-05:00 4 M false 4267 0 D 2006-01-02-05:00 2012-11-30-05:00 Common Stock, par value $0.01 per share 4267 0 D Reflects the exercise by the Reporting Person of Stock Options granted in November 2002 and scheduled to expire in November 2012. This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person. Reflects a weighted average sale price of $119.1782 per share, at prices ranging from $118.5700 to $119.5400 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 $120.3096 per share, at prices ranging from $119.5700 to $120.5600 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 $120.6781 per share, at prices ranging from $120.5700 to $120.8400 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 $119.0084 per share, at prices ranging from $118.4400 to $119.4300 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 $119.9511 per share, at prices ranging from $119.4400 to $120.4300 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 $120.7728 per share, at prices ranging from $120.4400 to $121.2900 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 $117.1231 per share, at prices ranging from $116.6500 to $117.6400 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 $118.1186 per share, at prices ranging from $117.6500 to $118.6400 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 $119.014 per share, at prices ranging from $118.6500 to $119.2700 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 by spouse. Reported for informational purposes only. Held through a trust over which the Reporting Person has no investment control and the sole trustee of which is a third-party institution. In accordance with Rule 16a-8, the Reporting Person disclaims beneficial ownership of the shares held through this trust. /s/ Beverly L. O'Toole, Attorney-in-fact 2012-11-28-05:00