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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

 

PURSUANT TO SECTION 13 OR 15(d) OF THE

SECURITIES EXCHANGE ACT OF 1934

Date of Report (Date of earliest event reported):

October 14, 2020

 

The Goldman Sachs Group, Inc.

(Exact name of registrant as specified in its charter)

Delaware

No. 001-14965

No. 13-4019460

(State or other jurisdiction

of incorporation)

(Commission File Number)

(IRS Employer Identification No.)

200 West Street

New York, New York

10282

(Address of principal executive offices)

(Zip Code)

Registrant’s telephone number, including area code: (212) 902-1000

N/A

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class

Trading Symbol

Exchange

on which registered

Common stock, par value $.01 per share

GS

NYSE

Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate Non-Cumulative Preferred Stock, Series A

GS PrA

NYSE

Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate Non-Cumulative Preferred Stock, Series C

GS PrC

NYSE

Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate Non-Cumulative Preferred Stock, Series D

GS PrD

NYSE

Depositary Shares, Each Representing 1/1,000th Interest in a Share of 5.50% Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series J

GS PrJ

NYSE

Depositary Shares, Each Representing 1/1,000th Interest in a Share of 6.375% Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series K

GS PrK

NYSE

Depositary Shares, Each Representing 1/1,000th Interest in a Share of 6.30% Non-Cumulative Preferred Stock, Series N

GS PrN

NYSE

5.793% Fixed-to-Floating Rate Normal Automatic Preferred Enhanced Capital Securities of Goldman Sachs Capital II

GS/43PE

NYSE

Floating Rate Normal Automatic Preferred Enhanced Capital Securities of Goldman Sachs Capital III

GS/43PF

NYSE

Medium-Term Notes, Series E, Index-Linked Notes due 2028 of GS Finance Corp.

FRLG

NYSE Arca

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 under the Securities Act (17 CFR 230.405) or Rule 12b-2 under the Exchange Act (17 CFR 240.12b-2).

Emerging growth company

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐



Item 9.01.    Financial Statements and Exhibits.

Exhibits are filed herewith in connection with the offering by GS Finance Corp. (“GSFC”) and The Goldman Sachs Group, Inc. (“Goldman Sachs Group”) of GSFC’s Warrants, Series G, and guarantees of Goldman Sachs Group thereof pursuant to the Prospectus Supplement, dated October 14, 2020, to the Prospectus, dated July 1, 2020, which forms a part of the automatic shelf registration statement on Form S-3 of GSFC and Goldman Sachs Group (File No. 333-239610) (as amended, the “Registration Statement”).

(d) Exhibits.

The following exhibits are incorporated by reference into the Registration Statement as exhibits thereto and are filed as part of this Current Report:

1.1

Form of Distribution Agreement for Warrants, Series G, of GSFC, fully and unconditionally guaranteed by Goldman Sachs Group

4.1

Eighth Supplemental Indenture, dated October 14, 2020, among GSFC, as issuer, Goldman Sachs Group, as guarantor, and The Bank of New York Mellon, as trustee, with respect to GSFC’s warrants and Goldman Sachs Group’s related guarantees

4.2

Form of Warrant, Series G, of GSFC

4.3

Specimen Master Warrant No. 1, Series G, dated October 14, 2020, of GSFC

5.1

Opinion of Sidley Austin llp as to the legality of certain of GSFC’s Warrants, Series G and Goldman Sachs Group’s related Guarantees

8.1

Opinion of Sidley Austin llp as to certain federal tax matters

23.1

Consents of Sidley Austin llp (included in Exhibits 5.1 and 8.1)

101

Pursuant to Rule 406 of Regulation S-T, the cover page information is formatted in iXBRL (Inline eXtensible Business Reporting Language)

104

Cover Page Interactive Data File (formatted in iXBRL in Exhibit 101)


SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

THE GOLDMAN SACHS GROUP, INC.

(Registrant)

 

Date: October 14, 2020

By:

/s/ MATTHEW E. TROPP

 

Name:   Matthew E. Tropp

Title:   Assistant Secretary