GOLDMAN SACHS GROUP INC Depositary Shares, Each Representing 1/1,000th Interest in a Share of 5.50% Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series J Depositary Shares, Each Representing 1/1,000th Interest in a Share of 6.375% Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series K 5.793% Fixed-to-Floating Rate Normal Automatic Preferred Enhanced Capital Securities of Goldman Sachs Capital II NY false 0000886982 0000886982 2020-09-04 2020-09-04 0000886982 us-gaap:CommonStockMember 2020-09-04 2020-09-04 0000886982 gs:DepositarySharesEachRepresenting11000thInterestInAShareOfFloatingRateNonCumulativePreferredStockSeriesA6Member 2020-09-04 2020-09-04 0000886982 gs:DepositarySharesEachRepresenting11000thInterestInAShareOfFloatingRateNonCumulativePreferredStockSeriesC1Member 2020-09-04 2020-09-04 0000886982 gs:DepositarySharesEachRepresenting11000thInterestInAShareOfFloatingRateNonCumulativePreferredStockSeriesD2Member 2020-09-04 2020-09-04 0000886982 gs:DepositarySharesEachRepresenting11000thInterestInAShareOf5.50FixedToFloatingRateNonCumulativePreferredStockSeriesJ3Member 2020-09-04 2020-09-04 0000886982 gs:DepositarySharesEachRepresenting11000thInterestInAShareOf6.375FixedToFloatingRateNonCumulativePreferredStockSeriesK4Member 2020-09-04 2020-09-04 0000886982 gs:DepositarySharesEachRepresenting11000thInterestInAShareOf6.30NonCumulativePreferredStockSeriesN5Member 2020-09-04 2020-09-04 0000886982 gs:M5.793FixedToFloatingRateNormalAutomaticPreferredEnhancedCapitalSecuritiesOfGoldmanSachsCapitalIiMember 2020-09-04 2020-09-04 0000886982 gs:FloatingRateNormalAutomaticPreferredEnhancedCapitalSecuritiesOfGoldmanSachsCapitalIiiMember 2020-09-04 2020-09-04 0000886982 gs:SerieseMediumTermNotesIndexLinkedNotesDue2028OfGsFinanceCorpMember 2020-09-04 2020-09-04

 

 

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):

September 4, 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, N.Y.

  

 

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 8.01

Other Events.

On September 4, 2020, The Goldman Sachs Group, Inc. (Group Inc. and, together with its consolidated subsidiaries, the firm) issued a statement about its stress capital buffer (SCB). A copy of Group Inc.’s statement is attached as Exhibit 99.1 to this Report on Form 8-K and is incorporated herein by reference.

 

Item 9.01

Financial Statements and Exhibits.

(d) Exhibits.

 

99.1    Statement of Group Inc. dated September 4, 2020.
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: September 4, 2020     By:  

/s/ Karen P. Seymour

    Name:   Karen P. Seymour
    Title:   Executive Vice President and General Counsel