8-K 1 d732824d8k.htm FORM 8-K Form 8-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

FORM 8-K

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934

Date of Report (Date of earliest event reported):

June 27, 2019

The Goldman Sachs Group, Inc.

(Exact name of registrant as specified in its charter)

 

Delaware

    

No. 001-14965

    

No. 13-4019460

(State or other jurisdiction
of incorporation)
    

(Commission

File Number)

     (IRS Employer
Identification No.)

200 West Street
New York, New York

    

10282

(Address of principal executive offices)      (Zip Code)

Registrant’s telephone number, including area code: (212) 902-1000

N/A

 

(Former name or former address, if changed since last report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

 

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

 

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

 

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

 

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class    Trading
Symbol(s)
   Name of each exchange
on which registered

Common stock, par value $.01 per share

   GS    NYSE
Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate
Non-Cumulative Preferred Stock, Series A
   GS PrA    NYSE
Depositary Shares, Each Representing 1/1,000th Interest in a Share of 6.20%
Non-Cumulative Preferred Stock, Series B
   GS PrB    NYSE
Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate
Non-Cumulative Preferred Stock, Series C
   GS PrC    NYSE
Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate
Non-Cumulative Preferred Stock, Series D
   GS PrD    NYSE
Depositary Shares, Each Representing 1/1,000th Interest in a Share of 5.50%
Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series J
   GS PrJ    NYSE
Depositary Shares, Each Representing 1/1,000th Interest in a Share of 6.375%
Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series K
   GS PrK    NYSE
Depositary Shares, Each Representing 1/1,000th Interest in a Share of 6.30%
Non-Cumulative Preferred Stock, Series N
   GS PrN    NYSE
5.793% Fixed-to-Floating Rate Normal Automatic Preferred Enhanced Capital Securities of Goldman Sachs Capital II    GS/43PE    NYSE
Floating Rate Normal Automatic Preferred Enhanced Capital Securities of Goldman Sachs Capital III    GS/43PF    NYSE
Medium-Term Notes, Series A, Index-Linked Notes due 2037 of GS Finance Corp.    GCE    NYSE Arca
Medium-Term Notes, Series B, Index-Linked Notes due 2037    GSC    NYSE Arca
Medium-Term Notes, Series E, Index-Linked Notes due 2028 of GS Finance Corp.    FRLG    NYSE Arca

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 under the Securities Act (17 CFR 230.405) or Rule 12b-2 under the Exchange Act (17 CFR 240.12b-2).

Emerging growth company    ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.    ☐

 

 

 


Item 8.01

Other Events.

On June 27, 2019, The Goldman Sachs Group, Inc. (the Registrant) issued a press release, a copy of which is attached hereto as Exhibit 99.1 and incorporated into this Item 8.01 by reference.

 

Item 9.01

Financial Statements and Exhibits.

(d) Exhibits

The following exhibit is filed as part of this Current Report on Form 8-K:

99.1    Press release of the Registrant, dated June 27, 2019


SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

   

THE GOLDMAN SACHS GROUP, INC.

                     (Registrant)

Date: June 27, 2019

   

By:

 

/s/ Karen P. Seymour

     

Name: Karen P. Seymour

     

Title:   Executive Vice President and General Counsel