0000769993-20-000238.txt : 20200519 0000769993-20-000238.hdr.sgml : 20200519 20200519114802 ACCESSION NUMBER: 0000769993-20-000238 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200519 DATE AS OF CHANGE: 20200519 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC CENTRAL INDEX KEY: 0000886982 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14273 FILM NUMBER: 20892531 BUSINESS ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 BUSINESS PHONE: 212-902-1000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 FORMER NAME: FORMER CONFORMED NAME: GOLDMAN SACHS GROUP INC/ DATE OF NAME CHANGE: 20010104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS & CO. LLC CENTRAL INDEX KEY: 0000769993 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14273 FILM NUMBER: 20892532 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 NAME: FORMER CONFORMED NAME: GOLDMAN SACHS & CO DATE OF NAME CHANGE: 19931102 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CORE LABORATORIES N V CENTRAL INDEX KEY: 0001000229 STANDARD INDUSTRIAL CLASSIFICATION: OIL, GAS FIELD SERVICES, NBC [1389] IRS NUMBER: 000000000 STATE OF INCORPORATION: P7 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: STRAWINSKYLAAN 913 STREET 2: TOWER A, LEVEL 9 CITY: 1077 XX AMSTERDAM STATE: P7 ZIP: 1077 XX BUSINESS PHONE: 3124203191 MAIL ADDRESS: STREET 1: 6316 WINDFERN CITY: HOUSTON STATE: TX ZIP: 77040 3 1 ownershipdoc04052020054610.xml X0206 3 2020-03-31-04:00 0 0001000229 CORE LABORATORIES N V CLB 0000886982 GOLDMAN SACHS GROUP INC 200 WEST STREET NEW YORK NY 10282 false false true false 0000769993 GOLDMAN SACHS & CO. LLC 200 WEST STREET NEW YORK NY 10282 false false true false Common Shares 4640224 I See footnotes Equity Swap Common Shares 476135 I See footnotes Equity Swap Common Shares 1222900 I See footnotes Equity Swap Common Shares 2084 I See footnotes Equity Swap Common Shares 17000 I See footnotes Equity Swap Common Shares 19000 I See footnotes Equity Swap Common Shares 19000 I See footnotes Equity Swap Common Shares 1134 I See footnotes Equity Swap Common Shares 6690 I See footnotes Equity Swap Common Shares 12000 I See footnotes Equity Swap Common Shares 11710 I See footnotes Equity Swap Common Shares 2041 I See footnotes Equity Swap Common Shares 12024 I See footnotes Equity Swap Common Shares 101239 I See footnotes Equity Swap Common Shares 5115 I See footnotes Equity Swap Common Shares 3524 I See footnotes Equity Swap Common Shares 6561 I See footnotes Equity Swap Common Shares 551 I See footnotes This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On March 31, 2020, the Reporting Persons experienced an increase in their beneficial ownership of Core Laboratories N.V. to above 10% of the outstanding Common Shares but did not experience an increase in their pecuniary interest in the Issuer. On April 1, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% of the outstanding Common Shares but did not experience a change in their pecuniary interest in the Issuer. GS Group may be deemed to beneficially own indirectly the Common Shares by reason of Goldman Sachs' direct beneficial ownership. Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 02/04/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $13.06 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares above $13.06 per share, in each case, based on a notional amount of 551 Common Shares and any additional costs and charges including any payments with respect to financial dividends. Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 09/14/2023 Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $12.00 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares above $12.00 per share, in each case, based on a notional amount of 6,561 Common Shares and any additional costs and charges including any payments with respect to financial dividends. Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 11/15/2023, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $20.29 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares above $20.29 per share, in each case, based on a notional amount of 3,524 Common Shares and any additional costs and charges including any payments with respect to financial dividends. Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 01/09/2025, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $13.52 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares above $13.52 per share, in each case, based on a notional amount of 5,115 Common Shares and any additional costs and charges including any payments with respect to financial dividends. Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 12/07/2023, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $13.52 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares above $13.52 per share, in each case, based on a notional amount of 101,239 Common Shares and any additional costs and charges including any payments with respect to financial dividends. Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 01/09/2025, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $10.94 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares above $10.94 per share, in each case, based on a notional amount of 12,024 Common Shares and any additional costs and charges including any payments with respect to financial dividends. Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 02/23/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $8.59 per share and the counterparty will pay Goldman Sachs any decrease in the price of the Common Shares below $8.59 per share, in each case, based on a notional amount of 2,041 Common Shares and any additional costs and charges including any payments with respect to financial dividends. Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 8/13/2029, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $19.08 per share and the counterparty will pay Goldman Sachs any decrease in the price of the Common Shares below $19.08 per share, in each case, based on a notional amount of 11,710 Common Shares and any additional costs and charges including any payments with respect to financial dividends. Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 06/23/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $9.80 per share and the counterparty will pay Goldman Sachs any decrease in the price of the Common Shares below $9.80 per share, in each case, based on a notional amount of 12,000 Common Shares and any additional costs and charges including any payments with respect to financial dividends. Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 02/26/2030, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $9.21 per share and the counterparty will pay Goldman Sachs any decrease in the price of the Common Shares below $9.21 per share, in each case, based on a notional amount of 6,690 Common Shares and any additional costs and charges including any payments with respect to financial dividends. Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 02/23/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $8.10 per share and the counterparty will pay Goldman Sachs any decrease in the price of the Common Shares below $8.10 per share, in each case, based on a notional amount of 1,134 Common Shares and any additional costs and charges including any payments with respect to financial dividends. Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 06/02/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $27.64 per share and the counterparty will pay Goldman Sachs any decrease in the price of the Common Shares below $27.64 per share, in each case, based on a notional amount of 19,000 Common Shares and any additional costs and charges including any payments with respect to financial dividends. Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 05/13/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $8.49 per share and the counterparty will pay Goldman Sachs any decrease in the price of the Common Shares below $8.49 per share, in each case, based on a notional amount of 19,000 Common Shares and any additional costs and charges including any payments with respect to financial dividends. Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 05/06/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $23.84 per share and the counterparty will pay Goldman Sachs any decrease in the price of the Common Shares below $23.84 per share, in each case, based on a notional amount of 17,000 Common Shares and any additional costs and charges including any payments with respect to financial dividends. Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 02/23/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $22.14 per share and the counterparty will pay Goldman Sachs any decrease in the price of the Common Shares below $22.14 per share, in each case, based on a notional amount of 2,084 Common Shares and any additional costs and charges including any payments with respect to financial dividends. Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 04/01/2030, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $10.34 per share and the counterparty will pay Goldman Sachs any decrease in the price of the Common Shares below $10.34 per share, in each case, based on a notional amount of 1,222,900 Common Shares and any additional costs and charges including any payments with respect to financial dividends. Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 02/20/2025, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $15.13 per share and the counterparty will pay Goldman Sachs any decrease in the price of the Common Shares below $15.13 per share, in each case, based on a notional amount of 476,135 Common Shares and any additional costs and charges including any payments with respect to financial dividends. /s/ Nathan R. Burby, Attorney-in-fact 2020-05-19-04:00 /s/ Nathan R. Burby, Attorney-in-fact 2020-05-19-04:00