GOLDMAN SACHS GROUP INC Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate Non-Cumulative Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate Non-Cumulative Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate Non-Cumulative Depositary Shares, Each Representing 1/1,000th Interest in a Share of 5.50% Fixed-to-Floating Rate Depositary Shares, Each Representing 1/1,000th Interest in a Share of 6.375% Fixed-to-Floating Rate Depositary Shares, Each Representing 1/1,000th Interest in a Share of 6.30% Non-Cumulative Preferred 5.793% Fixed-to-Floating Rate Normal Automatic Preferred Enhanced Capital Securities of Goldman false 0000886982 0000886982 2019-08-23 2019-08-23 0000886982 us-gaap:CommonStockMember 2019-08-23 2019-08-23 0000886982 gs:SeriesAFloatingRatePreferredStockMember 2019-08-23 2019-08-23 0000886982 gs:SeriesCFloatingRatePreferredStockMember 2019-08-23 2019-08-23 0000886982 gs:SeriesDFloatingRatePreferredStockMember 2019-08-23 2019-08-23 0000886982 gs:SeriesJFivePointFiveZeroPercentageFixedToFloatingRatePreferredStockMember 2019-08-23 2019-08-23 0000886982 gs:SeriesKSixPointThreeSevenFivePercentageFixedToFloatingRatePreferredStockMember 2019-08-23 2019-08-23 0000886982 gs:SeriesNSixPointThreeZeroPercentagePreferredStockMember 2019-08-23 2019-08-23 0000886982 gs:FivePointSevenNineThreePercentageFixedToFloatingRateNormalApexMember 2019-08-23 2019-08-23 0000886982 gs:FloatingRateNormalApexMember 2019-08-23 2019-08-23 0000886982 gs:SeriesAMediumTermNotesIndexlinkedNotesDue2037OfGsFinanceCorpMember 2019-08-23 2019-08-23 0000886982 gs:SeriesBMediumTermNotesIndexlinkedNotesDue2037Member 2019-08-23 2019-08-23 0000886982 gs:SeriesEMediumTermNotesIndexlinkedNotesDue2028OfGsFinanceCorpMember 2019-08-23 2019-08-23

 

 

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):

August 23, 2019

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(s)

  

Name of each 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 A, Index-Linked Notes due 2037 of GS Finance Corp.

  

GCE

  

NYSE Arca

Medium-Term Notes, Series B, Index-Linked Notes due 2037

  

GSC

  

NYSE Arca

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 issuance of the following debt securities by The Goldman Sachs Group, Inc. (the “Company”) on August 23, 2019 pursuant to the Company’s automatic shelf registration statement on Form S-3 (File No. 333-219206) (as amended, the “Registration Statement”):

  • CAD1,000,000,000 Floating Rate Notes due 2022

(d) Exhibits.

The following exhibits are filed as part of this Current Report and Exhibits 4.1, 5.1 and 23.1 are incorporated by reference into the Registration Statement:

    

  4.1

    

Form of Floating Rate Notes due 2022.

             

    

  5.1

    

Opinion of Sullivan & Cromwell LLP.

             

    

23.1

    

Consent of Sullivan & Cromwell LLP (included as part of Exhibit 5.1).

             

    

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: August 23, 2019

  

 

By:

  

/s/ Matthew E. Tropp

  

 

Name:

  

Matthew E. Tropp

  

 

Title:

  

Assistant Secretary