Lee Brian J 的 Form 4 申報
Goldman Sachs Group Inc（GS），2023/5/4 申報
- 申報編號
- 0001209191-23-027345
- 申報時間
- 2023/5/4
- 交易日
- 2023/5/2-5/3
- 申報延遲
- 2 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 8 筆非衍生性交易、1 筆衍生性交易。公開市場賣出合計 $202.6 萬。交易後 2 天申報。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Lee Brian JCIK 0001698554 | 高階主管（風控長） |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2023/5/2 | Common Stock, par value $0.01 per share | S賣出處分 | −935 | $336.88F1 | −$314,982.8 | 17,117 | 直接 | |
| 2023/5/2 | Common Stock, par value $0.01 per share | S賣出處分 | −1,965 | $337.98F2 | −$664,130.7 | 15,152 | 直接 | |
| 2023/5/2 | Common Stock, par value $0.01 per share | S賣出處分 | −100 | $338.60 | −$33,860 | 15,052 | 直接 | |
| 2023/5/2 | Common Stock, par value $0.01 per share | S賣出處分 | −700 | $336.62F3 | −$235,634 | 18,108 | 間接 | |
| 2023/5/2 | Common Stock, par value $0.01 per share | S賣出處分 | −1,800 | $337.81F5 | −$608,058 | 16,308 | 間接 | |
| 2023/5/2 | Common Stock, par value $0.01 per share | S賣出處分 | −500 | $338.41F6 | −$169,205 | 15,808 | 間接 | |
| 2023/5/3 | Common Stock, par value $0.01 per share | M行使選擇權取得 | +6,270 | –F7 | – | 21,322 | 直接 | |
| 2023/5/3 | Common Stock, par value $0.01 per share | F扣股繳稅處分 | −3,201 | $333.37 | −$1,067,117.37 | 18,121 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2023/5/3 | Common Stock, par value $0.01 per share | M行使選擇權處分 | −6,270 | –F7 | – | 0 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆、表 II 有 1 筆交易的價格引用這則附註。