Lee Brian J's Form 4 filing
Goldman Sachs Group Inc (GS) · filed May 4, 2023
- Accession no.
- 0001209191-23-027345
- Filed
- May 4, 2023
- Trade date
- May 2-3, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 8 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.03M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Lee Brian JCIK 0001698554 | Officer (Chief Risk Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 2, 2023 | Common Stock, par value $0.01 per share | SSaleDisposed | −935 | $336.88F1 | −$314,982.8 | 17,117 | Direct | |
| May 2, 2023 | Common Stock, par value $0.01 per share | SSaleDisposed | −1,965 | $337.98F2 | −$664,130.7 | 15,152 | Direct | |
| May 2, 2023 | Common Stock, par value $0.01 per share | SSaleDisposed | −100 | $338.60 | −$33,860 | 15,052 | Direct | |
| May 2, 2023 | Common Stock, par value $0.01 per share | SSaleDisposed | −700 | $336.62F3 | −$235,634 | 18,108 | Indirect | |
| May 2, 2023 | Common Stock, par value $0.01 per share | SSaleDisposed | −1,800 | $337.81F5 | −$608,058 | 16,308 | Indirect | |
| May 2, 2023 | Common Stock, par value $0.01 per share | SSaleDisposed | −500 | $338.41F6 | −$169,205 | 15,808 | Indirect | |
| May 3, 2023 | Common Stock, par value $0.01 per share | MOption exerciseAcquired | +6,270 | –F7 | – | 21,322 | Direct | |
| May 3, 2023 | Common Stock, par value $0.01 per share | FTax withholdingDisposed | −3,201 | $333.37 | −$1,067,117.37 | 18,121 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 3, 2023 | Common Stock, par value $0.01 per share | MOption exerciseDisposed | −6,270 | –F7 | – | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Reflects a weighted average sale price of $336.88 per share, at prices ranging from $336.47 to $337.35 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.
Referenced by the price of 1 transaction in Table I.
- F2
Reflects a weighted average sale price of $337.98 per share, at prices ranging from $337.53 to $338.33 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.
Referenced by the price of 1 transaction in Table I.
- F3
Reflects a weighted average sale price of $336.62 per share, at prices ranging from $336.24 to $336.75 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.
Referenced by the price of 1 transaction in Table I.
- F5
Reflects a weighted average sale price of $337.81 per share, at prices ranging from $337.29 to $338.26 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.
Referenced by the price of 1 transaction in Table I.
- F6
Reflects a weighted average sale price of $338.41 per share, at prices ranging from $338.33 to $338.65 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.
Referenced by the price of 1 transaction in Table I.
- F7
On May 3, 2023, shares of the Issuer's common stock underlying an award of Performance-based Restricted Stock Units ("PSUs") granted on January 16, 2020 in connection with 2019 year-end compensation were delivered to the Reporting Person without the payment of any consideration. These shares generally cannot be sold or transferred before January 2025.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.