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