0000769993-18-000588.txt : 20181228 0000769993-18-000588.hdr.sgml : 20181228 20181228140405 ACCESSION NUMBER: 0000769993-18-000588 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181226 FILED AS OF DATE: 20181228 DATE AS OF CHANGE: 20181228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PALM GREGORY K CENTRAL INDEX KEY: 0001090346 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14965 FILM NUMBER: 181257066 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 ownershipdoc12172018103100.xml X0306 4 2018-12-26-05:00 false 0000886982 GOLDMAN SACHS GROUP INC GS 0001090346 PALM GREGORY K C/O GOLDMAN SACHS & CO. LLC 200 WEST STREET NEW YORK NY 10282 false true false false Executive VP - General Counsel Common Stock, par value $0.01 per share 2018-12-26-05:00 4 M false 34956 78.78 A 981871 D Common Stock, par value $0.01 per share 2018-12-26-05:00 4 F false 26811 156.99 D 955060 D Common Stock, par value $0.01 per share 2018-12-26-05:00 4 S false 8145 157.1171 D 946915 D Common Stock, par value $0.01 per share 2018-12-27-05:00 4 M false 34956 78.78 A 981871 D Common Stock, par value $0.01 per share 2018-12-27-05:00 4 F false 26650 160.12 D 955221 D Common Stock, par value $0.01 per share 2018-12-27-05:00 4 S false 8306 159.68 D 946915 D Common Stock, par value $0.01 per share 71281 I See footnote Common Stock, par value $0.01 per share 15726 I See footnote Nonqualified Stock Options (right to buy) 78.78 2018-12-26-05:00 4 M false 34956 0 D 2018-12-31-05:00 Common Stock, par value $0.01 per share 34956 34956 D Nonqualified Stock Options (right to buy) 78.78 2018-12-27-05:00 4 M false 34956 0 D 2018-12-31-05:00 Common Stock, par value $0.01 per share 34956 0 D This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person in November 2017, without any additional action taken by the Reporting Person. Reflects the exercise by the Reporting Person of Stock Options granted in December 2008 and scheduled to expire in December 2018. 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 Stock Options described in footnote 2 above. Reflects a weighted average sale price of $157.1171 per share, at prices ranging from $156.9910 and $157.2050 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 a limited liability company. Held through a trust, 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. One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012. /s/ Beverly L. O'Toole, Attorney-in-fact 2018-12-28-05:00