0000769993-17-000745.txt : 20171122 0000769993-17-000745.hdr.sgml : 20171122 20171122134800 ACCESSION NUMBER: 0000769993-17-000745 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171120 FILED AS OF DATE: 20171122 DATE AS OF CHANGE: 20171122 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BLANKFEIN LLOYD C CENTRAL INDEX KEY: 0001180587 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14965 FILM NUMBER: 171219453 MAIL ADDRESS: STREET 1: C/O GOLDMAN SACHS & CO. LLC STREET 2: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC CENTRAL INDEX KEY: 0000886982 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 134019460 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 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 COMPANY: FORMER CONFORMED NAME: GOLDMAN SACHS GROUP INC/ DATE OF NAME CHANGE: 20010104 4 1 ownershipdoc11132017034104.xml X0306 4 2017-11-20-05:00 false 0000886982 GOLDMAN SACHS GROUP INC GS 0001180587 BLANKFEIN LLOYD C C/O GOLDMAN SACHS & CO. LLC 200 WEST STREET NEW YORK NY 10282 true true false false Chairman of the Board and CEO Common Stock, par value $0.01 per share 2017-11-20-05:00 4 M false 161052 204.16 A 1392706 D Common Stock, par value $0.01 per share 2017-11-20-05:00 4 F false 150736 238.78 D 1241970 D Common Stock, par value $0.01 per share 2017-11-20-05:00 4 S false 6553 237.8282 D 1235417 D Common Stock, par value $0.01 per share 2017-11-20-05:00 4 S false 3763 238.2927 D 1231654 D Common Stock, par value $0.01 per share 2017-11-21-05:00 4 M false 161052 204.16 A 1392706 D Common Stock, par value $0.01 per share 2017-11-21-05:00 4 F false 150574 239.42 D 1242132 D Common Stock, par value $0.01 per share 2017-11-21-05:00 4 S false 7843 238.6492 D 1234289 D Common Stock, par value $0.01 per share 2017-11-21-05:00 4 S false 2635 239.1047 D 1231654 D Common Stock, par value $0.01 per share 391332 I See footnote Common Stock, par value $0.01 per share 675224 I See footnote Nonqualified Stock Options (right to buy) 204.16 2017-11-20-05:00 4 M false 161052 0 D 2011-01-25-05:00 2017-11-24-05:00 Common Stock, par value $0.01 per share 161052 161052 D Nonqualified Stock Options (right to buy) 204.16 2017-11-21-05:00 4 M false 161052 0 D 2011-01-25-05:00 2017-11-24-05:00 Common Stock, par value $0.01 per share 161052 0 D Reflects the exercise by the Reporting Person of Stock Options granted in December 2007 and scheduled to expire in November 2017. This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person, without any additional action taken by the Reporting Person. Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above. Reflects a weighted average sale price of $237.8282 per share, at prices ranging from $237.15 to $238.14 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. Reflects a weighted average sale price of $238.2927 per share, at prices ranging from $238.15 to $238.57 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. Reflects a weighted average sale price of $238.6492 per share, at prices ranging from $237.99 to $238.97 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. Reflects a weighted average sale price of $239.1047 per share, at prices ranging from $238.99 to $239.28 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. 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. As trustee of grantor retained annuity trusts. /s/ Beverly L. O'Toole, Attorney-in-fact 2017-11-22-05:00