FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
GOLDMAN SACHS GROUP INC [ GS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/26/2012 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, par value $0.01 per share | 11/26/2012 | M(1) | 22,945 | A | $78.87 | 1,809,253 | D | |||
Common Stock, par value $0.01 per share | 11/26/2012 | S | 11,285 | D | $119.1782(2) | 1,797,968 | D | |||
Common Stock, par value $0.01 per share | 11/26/2012 | S | 9,803 | D | $120.3096(3) | 1,788,165 | D | |||
Common Stock, par value $0.01 per share | 11/26/2012 | S | 1,857 | D | $120.6781(4) | 1,786,308 | D | |||
Common Stock, par value $0.01 per share | 11/27/2012 | M(1) | 22,945 | A | $78.87 | 1,809,253 | D | |||
Common Stock, par value $0.01 per share | 11/27/2012 | S | 4,616 | D | $119.0084(5) | 1,804,637 | D | |||
Common Stock, par value $0.01 per share | 11/27/2012 | S | 7,807 | D | $119.9511(6) | 1,796,830 | D | |||
Common Stock, par value $0.01 per share | 11/27/2012 | S | 10,522 | D | $120.7728(7) | 1,786,308 | D | |||
Common Stock, par value $0.01 per share | 11/28/2012 | M(1) | 22,944 | A | $78.87 | 1,809,252 | D | |||
Common Stock, par value $0.01 per share | 11/28/2012 | S | 10,344 | D | $117.1231(8) | 1,798,908 | D | |||
Common Stock, par value $0.01 per share | 11/28/2012 | S | 7,494 | D | $118.1186(9) | 1,791,414 | D | |||
Common Stock, par value $0.01 per share | 11/28/2012 | S | 5,106 | D | $119.014(10) | 1,786,308 | D | |||
Common Stock, par value $0.01 per share | 342,331 | I | See footnote(11) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Nonqualified Stock Options (right to buy) | $78.87 | 11/26/2012 | M | 22,945 | 01/02/2006 | 11/30/2012 | Common Stock, par value $0.01 per share | 22,945 | $0 | 45,889 | D | ||||
Nonqualified Stock Options (right to buy) | $78.87 | 11/27/2012 | M | 22,945 | 01/02/2006 | 11/30/2012 | Common Stock, par value $0.01 per share | 22,945 | $0 | 22,944 | D | ||||
Nonqualified Stock Options (right to buy | $78.87 | 11/28/2012 | M | 22,944 | 01/02/2006 | 11/30/2012 | Common Stock, par value $0.01 per share | 22,944 | $0 | 0 | D |
Explanation of Responses: |
1. Reflects the exercise by the Reporting Person of Stock Options granted in December 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. |
2. 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. |
3. 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. |
4. 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. |
5. 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. |
6. 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. |
7. 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. |
8. 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. |
9. 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. |
10. 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. |
11. 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. |
Remarks: |
/s/ Beverly L. O'Toole, Attorney-in-fact | 11/28/2012 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |