GS

SEC source: 0000769993-17-000143 · ownershipdoc01172017103431.xml · nonDerivative · entry 1

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 942,331

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000145 · ownershipdoc01172017103431.xml · derivative · entry 4

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 29,584 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.exercise_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.expiration_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000145 · ownershipdoc01172017103431.xml · nonDerivative · entry 2

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,458

F2 · kind: 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.

F2 · acquired: 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.

SEC source: 0000769993-17-000145 · ownershipdoc01172017103431.xml · nonDerivative · entry 1

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,020

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000147 · ownershipdoc01172017103431.xml · derivative · entry 4

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 32,039 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.exercise_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.expiration_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000147 · ownershipdoc01172017103431.xml · nonDerivative · entry 2

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,981

F2 · kind: 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.

F2 · acquired: 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.

SEC source: 0000769993-17-000147 · ownershipdoc01172017103431.xml · nonDerivative · entry 1

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,114

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000149 · ownershipdoc01172017103431.xml · derivative · entry 4

SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO; CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 54,358 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.exercise_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.expiration_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000149 · ownershipdoc01172017103431.xml · nonDerivative · entry 2

SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO; CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,547

F2 · kind: 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.

F2 · acquired: 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.

SEC source: 0000769993-17-000149 · ownershipdoc01172017103431.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO; CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,614

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000119 · ownershipdoc01232017090253.xml · nonDerivative · entry 3

COHN GARY D · CIK 0001366945 · Director · Former Director, Pres. and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 858,704

F3 · kind: The Reporting Person acquired direct beneficial ownership of these shares, all of which the Reporting Person previously beneficially owned indirectly 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 shares were delivered to the Reporting Person by the trust in exchange for the Reporting Person's issuance to the trust of a promissory note with a principal amount of $1.1 million (reflecting a value of $232.25 per share, which was the average of the high and low trading prices of the Issuer's common stock on January 23, 2017). Following this transfer, this trust no longer holds any shares of the Issuer's common stock. This transfer was exempt from Section 16 pursuant to Rule 16a-13.

F3 · price: The Reporting Person acquired direct beneficial ownership of these shares, all of which the Reporting Person previously beneficially owned indirectly 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 shares were delivered to the Reporting Person by the trust in exchange for the Reporting Person's issuance to the trust of a promissory note with a principal amount of $1.1 million (reflecting a value of $232.25 per share, which was the average of the high and low trading prices of the Issuer's common stock on January 23, 2017). Following this transfer, this trust no longer holds any shares of the Issuer's common stock. This transfer was exempt from Section 16 pursuant to Rule 16a-13.

SEC source: 0000769993-17-000119 · ownershipdoc01232017090253.xml · nonDerivative · entry 2

COHN GARY D · CIK 0001366945 · Director · Former Director, Pres. and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 853,972

F2 · kind: The Reporting Person acquired direct beneficial ownership of these shares, all of which the Reporting Person previously beneficially owned indirectly through the trust referred to in footnote (1). The shares were delivered to the Reporting Person by the trust in exchange for the Reporting Person's issuance to the trust of a promissory note with a principal amount of $16.5 million (reflecting a value of $232.25 per share, which was the average of the high and low trading prices of the Issuer's common stock on January 23, 2017). Following this transfer and the transfer described in footnote (1), this trust no longer holds any shares of the Issuer's common stock. This transfer was exempt from Section 16 pursuant to Rule 16a-13.

F2 · price: The Reporting Person acquired direct beneficial ownership of these shares, all of which the Reporting Person previously beneficially owned indirectly through the trust referred to in footnote (1). The shares were delivered to the Reporting Person by the trust in exchange for the Reporting Person's issuance to the trust of a promissory note with a principal amount of $16.5 million (reflecting a value of $232.25 per share, which was the average of the high and low trading prices of the Issuer's common stock on January 23, 2017). Following this transfer and the transfer described in footnote (1), this trust no longer holds any shares of the Issuer's common stock. This transfer was exempt from Section 16 pursuant to Rule 16a-13.

SEC source: 0000769993-17-000119 · ownershipdoc01232017090253.xml · nonDerivative · entry 1

COHN GARY D · CIK 0001366945 · Director · Former Director, Pres. and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 783,113

F1 · kind: The Reporting Person acquired direct beneficial ownership of these shares, all of which the Reporting Person previously beneficially owned indirectly 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 shares were delivered to the Reporting Person by the trust as repayment in full by the trust for a promissory note of the Reporting Person with a principal amount (including accrued interest) of $35.1 million (reflecting a value of $232.25 per share, which was the average of the high and low trading prices of the Issuer's common stock on January 23, 2017). This transfer was exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended (Rule 16a-13).

F1 · price: The Reporting Person acquired direct beneficial ownership of these shares, all of which the Reporting Person previously beneficially owned indirectly 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 shares were delivered to the Reporting Person by the trust as repayment in full by the trust for a promissory note of the Reporting Person with a principal amount (including accrued interest) of $35.1 million (reflecting a value of $232.25 per share, which was the average of the high and low trading prices of the Issuer's common stock on January 23, 2017). This transfer was exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended (Rule 16a-13).

SEC source: 0000769993-17-000060 · ownershipdoc01092017081953.xml · derivative · entry 2

GNODDE RICHARD J · CIK 0001693741 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,890

Underlying: Common Stock, par value $0.01 per share · 3,890 shares

Expires not disclosed

F2 · derivative.exercise_price: The shares of common stock underlying these 2016 fixed allowance RSUs will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

F2 · derivative.exercise_date: The shares of common stock underlying these 2016 fixed allowance RSUs will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

F2 · derivative.expiration_date: The shares of common stock underlying these 2016 fixed allowance RSUs will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

SEC source: 0000769993-17-000060 · ownershipdoc01092017081953.xml · derivative · entry 1

GNODDE RICHARD J · CIK 0001693741 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,892

Underlying: Common Stock, par value $0.01 per share · 38,892 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2016 year-end Restricted Stock Units ("RSUs") will be delivered in five approximately equal installments on or about each of the third through seventh anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs prior to the fifth anniversary of grant generally cannot be sold or transferred before January 2022; the remaining shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred until approximately six months after the applicable delivery date.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2016 year-end Restricted Stock Units ("RSUs") will be delivered in five approximately equal installments on or about each of the third through seventh anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs prior to the fifth anniversary of grant generally cannot be sold or transferred before January 2022; the remaining shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred until approximately six months after the applicable delivery date.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2016 year-end Restricted Stock Units ("RSUs") will be delivered in five approximately equal installments on or about each of the third through seventh anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs prior to the fifth anniversary of grant generally cannot be sold or transferred before January 2022; the remaining shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred until approximately six months after the applicable delivery date.

SEC source: 0000769993-17-000062 · ownershipdoc01092017081953.xml · derivative · entry 1

SALAME PABLO J · CIK 0001693738 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,782

Underlying: Common Stock, par value $0.01 per share · 42,782 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

SEC source: 0000769993-17-000064 · ownershipdoc01092017081953.xml · derivative · entry 1

SOLOMON DAVID M · CIK 0001693709 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,134

Underlying: Common Stock, par value $0.01 per share · 42,134 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

SEC source: 0000769993-17-000066 · ownershipdoc01092017081953.xml · derivative · entry 1

COHEN ALAN M · CIK 0001279229 · EVP, Global Head of Compliance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,613

Underlying: Common Stock, par value $0.01 per share · 13,613 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

SEC source: 0000769993-17-000068 · ownershipdoc01092017081953.xml · derivative · entry 1

COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,613

Underlying: Common Stock, par value $0.01 per share · 13,613 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

SEC source: 0000769993-17-000070 · ownershipdoc01092017081953.xml · derivative · entry 1

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,447

Underlying: Common Stock, par value $0.01 per share · 19,447 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

SEC source: 0000769993-17-000072 · ownershipdoc01092017081953.xml · derivative · entry 1

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,039

Underlying: Common Stock, par value $0.01 per share · 22,039 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

SEC source: 0000769993-17-000074 · ownershipdoc01092017081953.xml · derivative · entry 1

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,743

Underlying: Common Stock, par value $0.01 per share · 20,743 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2016 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2022.

SEC source: 0000769993-17-000076 · ownershipdoc01172017103431.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO; CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,256

F1 · price: Reflects a weighted average sale price of $233.9887 per share, at prices ranging from $233.65 to $234.53 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. This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person, without any additional action taken by the Reporting Person.

SEC source: 0000769993-17-000091 · ownershipdoc01092017081953.xml · derivative · entry 1

BURNS M MICHELE · CIK 0001197664 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,748

Underlying: Common Stock, par value $0.01 per share · 2,161 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-17-000093 · ownershipdoc01092017081953.xml · derivative · entry 1

Flaherty Mark A. · CIK 0001520700 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,697

Underlying: Common Stock, par value $0.01 per share · 2,161 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-17-000095 · ownershipdoc01092017081953.xml · derivative · entry 1

GEORGE WILLIAM W · CIK 0001145149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,983

Underlying: Common Stock, par value $0.01 per share · 2,595 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-17-000097 · ownershipdoc01092017081953.xml · derivative · entry 4

JOHNSON JAMES A /DC/ · CIK 0001126949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,312

Underlying: Common Stock, par value $0.01 per share · 2,595 shares

Expires not disclosed

F3 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F3 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F3 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-17-000097 · ownershipdoc01092017081953.xml · derivative · entry 3

JOHNSON JAMES A /DC/ · CIK 0001126949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 11,600 shares

Expires 2017-11-24

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000769993-17-000097 · ownershipdoc01092017081953.xml · nonDerivative · entry 2

JOHNSON JAMES A /DC/ · CIK 0001126949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: Reflects a weighted average sale price of $233.9865 per share, at prices ranging from $233.65 to $234.195 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.

SEC source: 0000769993-17-000097 · ownershipdoc01092017081953.xml · nonDerivative · entry 1

JOHNSON JAMES A /DC/ · CIK 0001126949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,600

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Reflects the exercise by the Reporting Person of Stock Options granted in December 2007 and scheduled to expire in November 2017.

SEC source: 0000769993-17-000099 · ownershipdoc01092017081953.xml · derivative · entry 1

Kullman Ellen Jamison · CIK 0001303141 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209

Underlying: Common Stock, par value $0.01 per share · 209 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-17-000101 · ownershipdoc01092017081953.xml · derivative · entry 1

MITTAL LAKSHMI N · CIK 0001438783 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,079

Underlying: Common Stock, par value $0.01 per share · 2,486 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-17-000103 · ownershipdoc01092017081953.xml · derivative · entry 1

Ogunlesi Adebayo O. · CIK 0001481450 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,407

Underlying: Common Stock, par value $0.01 per share · 2,595 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-17-000105 · ownershipdoc01092017081953.xml · derivative · entry 1

OPPENHEIMER PETER · CIK 0001214107 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,354

Underlying: Common Stock, par value $0.01 per share · 2,595 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-17-000107 · ownershipdoc01092017081953.xml · derivative · entry 2

Spar Debora L · CIK 0001523191 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,151

Underlying: Common Stock, par value $0.01 per share · 2,161 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-17-000107 · ownershipdoc01092017081953.xml · nonDerivative · entry 1

Spar Debora L · CIK 0001523191 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0000769993-17-000109 · ownershipdoc01092017081953.xml · derivative · entry 1

Tucker Mark · CIK 0001498305 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,595

Underlying: Common Stock, par value $0.01 per share · 2,486 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-17-000111 · ownershipdoc01092017081953.xml · derivative · entry 1

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,056

Underlying: Common Stock, par value $0.01 per share · 2,161 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-17-000114 · ownershipdoc01092017081953.xml · derivative · entry 1

Winkelman Marius O · CIK 0001627431 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,517

Underlying: Common Stock, par value $0.01 per share · 2,486 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-16-001954 · ownershipdoc12272016091205.xml · nonDerivative · entry 1

Schwartz Mark · CIK 0001362576 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 997,666

SEC source: 0000769993-16-001952 · ownershipdoc12272016091205.xml · nonDerivative · entry 1

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 913,750

SEC source: 0000769993-16-001950 · ownershipdoc12192016102531.xml · nonDerivative · entry 1

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,436

SEC source: 0000769993-16-001958 · ownershipdoc12192016102531.xml · nonDerivative · entry 1

GEORGE WILLIAM W · CIK 0001145149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,630

SEC source: 0000769993-16-001947 · ownershipdoc12082016052724.xml · nonDerivative · entry 1

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 754,925

SEC source: 0000769993-16-001905 · ownershipdoc11142016082306.xml · derivative · entry 6

BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 104,614 shares

Expires 2016-11-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000769993-16-001905 · ownershipdoc11142016082306.xml · nonDerivative · entry 3

BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,419,857

F3 · price: Reflects a weighted average sale price of $211.3156 per share, at prices ranging from $211.30 to $211.323 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.

SEC source: 0000769993-16-001905 · ownershipdoc11142016082306.xml · nonDerivative · entry 2

BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,422,361

F2 · kind: 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 the Stock Options described in footnote 1 above.

F2 · acquired: 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 the Stock Options described in footnote 1 above.

SEC source: 0000769993-16-001905 · ownershipdoc11142016082306.xml · nonDerivative · entry 1

BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,524,471

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Reflects the exercise by the Reporting Person of Stock Options granted in December 2006 and scheduled to expire in November 2016.

SEC source: 0000769993-16-001907 · ownershipdoc11142016082306.xml · derivative · entry 5

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 9,028 shares

Expires 2016-11-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000769993-16-001907 · ownershipdoc11142016082306.xml · nonDerivative · entry 3

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,075