Statement of Changes in Beneficial Ownership (4)
27 Janeiro 2022 - 6:31PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Ruemmler Kathryn H. |
2. Issuer Name and Ticker or Trading Symbol
GOLDMAN SACHS GROUP INC
[
GS
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
EVP, Chief Legal Officer, GC |
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(Last)
(First)
(Middle)
C/O GOLDMAN SACHS & CO. LLC, 200 WEST STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/25/2022 |
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(Street)
NEW YORK, NY 10282
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock, par value $0.01 per share | 1/25/2022 | | M | | 4606 | A | (1) | 4606 | D | |
| Common Stock, par value $0.01 per share | 1/25/2022 | | F(2) | | 2439 | D(2) | $343.39 | 2167 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Restricted Stock Units | (1) | 1/25/2022 | | M | | | 4606 | (1) | (1) | Common Stock, par value $0.01 per share | 4606 | (1) | 0 | D | |
| Explanation of Responses: |
| (1) | On January 25, 2022, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2021 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2021 compensation. |
| (2) | Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Ruemmler Kathryn H.
C/O GOLDMAN SACHS & CO. LLC
200 WEST STREET
NEW YORK, NY 10282 |
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| EVP, Chief Legal Officer, GC |
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Signatures
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| /s/ Beverly L. O'Toole, Attorney-in-fact | | 1/27/2022 |
| **Signature of Reporting Person | Date |
Goldman Sachs (NYSE:GS)
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