0000769993-20-000256.txt : 20200612
0000769993-20-000256.hdr.sgml : 20200612
20200612163036
ACCESSION NUMBER: 0000769993-20-000256
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200325
FILED AS OF DATE: 20200612
DATE AS OF CHANGE: 20200612
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: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35667
FILM NUMBER: 20960554
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: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35667
FILM NUMBER: 20960555
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: AMBARELLA INC
CENTRAL INDEX KEY: 0001280263
STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674]
IRS NUMBER: 980459628
FISCAL YEAR END: 0131
BUSINESS ADDRESS:
STREET 1: 3101 JAY STREET
CITY: SANTA CLARA
STATE: CA
ZIP: 95054
BUSINESS PHONE: 408-734-8888
MAIL ADDRESS:
STREET 1: 3101 JAY STREET
CITY: SANTA CLARA
STATE: CA
ZIP: 95054
4/A
1
ownershipdoc05042020121918.xml
X0306
4/A
2020-03-25-04:00
2020-04-07-04:00
true
0001280263
AMBARELLA INC
AMBA
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
Equity Swap
2020-03-25-04:00
4
S
true
66
D
2023-02-23-05:00
Common Shares
66
66
I
Through Subsidiary
Equity Swap
2020-03-25-04:00
4
S
true
430
D
2023-02-23-05:00
Common Shares
430
430
I
Through Subsidiary
Equity Swap
2020-03-25-04:00
4
S
true
37
D
2030-03-25-04:00
Common Shares
37
37
I
Through Subsidiary
Equity Swap
2020-03-26-04:00
4
S
true
900
D
2030-03-20-04:00
Common Shares
900
900
I
Through Subsidiary
The amount of profit recoverable by the Issuer from the reported transactions will be remitted to the Issuer.
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 27, 2020, the Reporting Persons ceased to be a greater than 10% beneficial owner of the Issuer's Common Shares.
Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 2/23/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $46.98 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $46.98 per share, in each case, based on a notional amount of 66 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
These equity swaps were omitted from the Reporting Persons' original Form 4 filed.
GS Group may be deemed to beneficially own indirectly the Common Shares by reason of Goldman Sachs' direct beneficial ownership.
Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 2/23/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $46.97 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $46.97 per share, in each case, based on a notional amount of 430 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 3/25/2030, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $44.80 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $44.80 per share, in each case, based on a notional amount of 37 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 3/20/2030, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $49.38 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $49.38 per share, in each case, based on a notional amount of 900 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
/s/ Jamison Yardley, Attorney-in-fact
2020-06-12-04:00
/s/ Jamison Yardley, Attorney-in-fact
2020-06-12-04:00