GS

SEC source: 0000769993-15-000081 · ownershipdoc01112015073927.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 · 26,495 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 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2014 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2014 compensation.

F1 · price: On January 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2014 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2014 compensation.

F1 · derivative.exercise_date: On January 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2014 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2014 compensation.

F1 · derivative.expiration_date: On January 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2014 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2014 compensation.

SEC source: 0000769993-15-000081 · ownershipdoc01112015073927.xml · nonDerivative · entry 2

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,376

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: 0000769993-15-000081 · ownershipdoc01112015073927.xml · nonDerivative · entry 1

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,545

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 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2014 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2014 compensation.

SEC source: 0000769993-15-000082 · ownershipdoc01112015073927.xml · derivative · entry 6

WEINBERG JOHN S · CIK 0001029647 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 67,336 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 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2014 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2014 compensation.

F1 · price: On January 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2014 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2014 compensation.

F1 · derivative.exercise_date: On January 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2014 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2014 compensation.

F1 · derivative.expiration_date: On January 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2014 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2014 compensation.

SEC source: 0000769993-15-000082 · ownershipdoc01112015073927.xml · nonDerivative · entry 2

WEINBERG JOHN S · CIK 0001029647 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 982,126

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: 0000769993-15-000082 · ownershipdoc01112015073927.xml · nonDerivative · entry 1

WEINBERG JOHN S · CIK 0001029647 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,015,270

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 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2014 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2014 compensation.

SEC source: 0000769993-15-000083 · ownershipdoc01112015073927.xml · derivative · entry 5

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 48,947 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 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs"), which were awarded in connection with compensation for years prior to 2014 in connection with Mr. Viniar's service as former CFO of the Issuer, were delivered to the Reporting Person without the payment of any consideration. These shares are not related to Mr. Viniar's compensation for service as a non-employee director of the Issuer.

F1 · price: On January 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs"), which were awarded in connection with compensation for years prior to 2014 in connection with Mr. Viniar's service as former CFO of the Issuer, were delivered to the Reporting Person without the payment of any consideration. These shares are not related to Mr. Viniar's compensation for service as a non-employee director of the Issuer.

F1 · derivative.exercise_date: On January 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs"), which were awarded in connection with compensation for years prior to 2014 in connection with Mr. Viniar's service as former CFO of the Issuer, were delivered to the Reporting Person without the payment of any consideration. These shares are not related to Mr. Viniar's compensation for service as a non-employee director of the Issuer.

F1 · derivative.expiration_date: On January 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs"), which were awarded in connection with compensation for years prior to 2014 in connection with Mr. Viniar's service as former CFO of the Issuer, were delivered to the Reporting Person without the payment of any consideration. These shares are not related to Mr. Viniar's compensation for service as a non-employee director of the Issuer.

SEC source: 0000769993-15-000083 · ownershipdoc01112015073927.xml · nonDerivative · entry 2

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 751,558

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: 0000769993-15-000083 · ownershipdoc01112015073927.xml · nonDerivative · entry 1

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 777,731

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 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs"), which were awarded in connection with compensation for years prior to 2014 in connection with Mr. Viniar's service as former CFO of the Issuer, were delivered to the Reporting Person without the payment of any consideration. These shares are not related to Mr. Viniar's compensation for service as a non-employee director of the Issuer.

SEC source: 0000769993-15-000039 · ownershipdoc01112015073927.xml · nonDerivative · entry 2

SHERWOOD MICHAEL S · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,393

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock described in footnote (1).

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock described in footnote (1).

SEC source: 0000769993-15-000035 · ownershipdoc01112015073927.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,755

Underlying: Common Stock, par value $0.01 per share · 41,755 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2014 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 2020. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2014; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2014 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 2020. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2014; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2014 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 2020. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2014; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4.

SEC source: 0000769993-15-000036 · ownershipdoc01112015073927.xml · derivative · entry 1

COHN GARY D · CIK 0001366945 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,244

Underlying: Common Stock, par value $0.01 per share · 38,244 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2014 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 2020. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2014; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2014 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 2020. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2014; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2014 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 2020. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2014; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4.

SEC source: 0000769993-15-000037 · ownershipdoc01112015073927.xml · derivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,244

Underlying: Common Stock, par value $0.01 per share · 38,244 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2014 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 2020. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2014; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2014 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 2020. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2014; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2014 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 2020. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2014; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4.

SEC source: 0000769993-15-000038 · ownershipdoc01112015073927.xml · derivative · entry 1

Schwartz Mark · CIK 0001362576 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,099

Underlying: Common Stock, par value $0.01 per share · 65,099 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2014 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 2020.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2014 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 2020.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2014 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 2020.

SEC source: 0000769993-15-000039 · ownershipdoc01112015073927.xml · derivative · entry 5

SHERWOOD MICHAEL S · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,663

Underlying: Common Stock, par value $.01 per share · 36,469 shares

Expires not disclosed

F5 · derivative.exercise_price: These RSUs represent approximately 70% of the Reporting Person's equity fixed allowance for 2014. The shares of common stock underlying these RSUs will be delivered on the same schedule and have the same transfer restrictions as the equity described in the first sentence of footnote (4).

F5 · derivative.exercise_date: These RSUs represent approximately 70% of the Reporting Person's equity fixed allowance for 2014. The shares of common stock underlying these RSUs will be delivered on the same schedule and have the same transfer restrictions as the equity described in the first sentence of footnote (4).

F5 · derivative.expiration_date: These RSUs represent approximately 70% of the Reporting Person's equity fixed allowance for 2014. The shares of common stock underlying these RSUs will be delivered on the same schedule and have the same transfer restrictions as the equity described in the first sentence of footnote (4).

SEC source: 0000769993-15-000039 · ownershipdoc01112015073927.xml · derivative · entry 4

SHERWOOD MICHAEL S · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,194

Underlying: Common Stock, par value $0.01 per share · 52,194 shares

Expires not disclosed

F4 · derivative.exercise_price: Approximately 80% of the shares of common stock underlying these 2014 year-end 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 such RSUs generally cannot be sold or transferred before January 2020. The remainder of the shares of the Issuer's common stock underlying these RSUs will be delivered in July 2015, subject to other terms and conditions of the award agreement.

F4 · derivative.exercise_date: Approximately 80% of the shares of common stock underlying these 2014 year-end 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 such RSUs generally cannot be sold or transferred before January 2020. The remainder of the shares of the Issuer's common stock underlying these RSUs will be delivered in July 2015, subject to other terms and conditions of the award agreement.

F4 · derivative.expiration_date: Approximately 80% of the shares of common stock underlying these 2014 year-end 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 such RSUs generally cannot be sold or transferred before January 2020. The remainder of the shares of the Issuer's common stock underlying these RSUs will be delivered in July 2015, subject to other terms and conditions of the award agreement.

SEC source: 0000769993-15-000039 · ownershipdoc01112015073927.xml · nonDerivative · entry 1

SHERWOOD MICHAEL S · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,740

F1 · kind: These shares of the Issuer's common stock represent approximately 30% of the Reporting Person's equity fixed allowance for 2014. The other 70% is represented by restricted stock units ("RSUs") as described in footnote (5).

SEC source: 0000769993-15-000040 · ownershipdoc01112015073927.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,035

Underlying: Common Stock, par value $0.01 per share · 22,035 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2014 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 2020.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2014 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 2020.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2014 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 2020.

SEC source: 0000769993-15-000041 · ownershipdoc01112015073927.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,035

Underlying: Common Stock, par value $0.01 per share · 22,035 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2014 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 2020.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2014 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 2020.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2014 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 2020.

SEC source: 0000769993-15-000042 · ownershipdoc01112015073927.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,647

Underlying: Common Stock, par value $0.01 per share · 26,647 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2014 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 2020.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2014 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 2020.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2014 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 2020.

SEC source: 0000769993-15-000043 · ownershipdoc01112015073927.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: 27,501

Underlying: Common Stock, par value $0.01 per share · 27,501 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2014 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 2020.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2014 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 2020.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2014 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 2020.

SEC source: 0000769993-15-000044 · ownershipdoc01112015073927.xml · derivative · entry 1

WEINBERG JOHN S · CIK 0001029647 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,202

Underlying: Common Stock, par value $0.01 per share · 63,202 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2014 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 2020.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2014 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 2020.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2014 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 2020.

SEC source: 0000769993-15-000045 · ownershipdoc01112015073927.xml · derivative · entry 1

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,445

Underlying: Common Stock, par value $0.01 per share · 29,445 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2014 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 2020.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2014 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 2020.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2014 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 2020.

SEC source: 0000769993-15-000046 · ownershipdoc01112015073927.xml · derivative · entry 1

BURNS M MICHELE · CIK 0001197664 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,289

Underlying: Common Stock, par value $0.01 per share · 2,847 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: 0000769993-15-000047 · ownershipdoc01112015073927.xml · derivative · entry 1

DAHLBACK CLAES · CIK 0001249256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,692

Underlying: Common Stock, par value $0.01 per share · 3,275 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: 0000769993-15-000048 · ownershipdoc01112015073927.xml · derivative · entry 1

Flaherty Mark A. · CIK 0001520700 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238

Underlying: Common Stock, par value $0.01 per share · 238 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: 0000769993-15-000049 · ownershipdoc01112015073927.xml · derivative · entry 1

GEORGE WILLIAM W · CIK 0001145149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,595

Underlying: Common Stock, par value $0.01 per share · 3,418 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: 0000769993-15-000050 · ownershipdoc01112015073927.xml · derivative · entry 1

JOHNSON JAMES A /DC/ · CIK 0001126949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,759

Underlying: Common Stock, par value $0.01 per share · 3,418 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: 0000769993-15-000051 · ownershipdoc01112015073927.xml · derivative · entry 1

MITTAL LAKSHMI N · CIK 0001438783 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,800

Underlying: Common Stock, par value $0.01 per share · 3,275 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: 0000769993-15-000052 · ownershipdoc01112015073927.xml · derivative · entry 1

Ogunlesi Adebayo O. · CIK 0001481450 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,854

Underlying: Common Stock, par value $0.01 per share · 3,418 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: 0000769993-15-000053 · ownershipdoc01112015073927.xml · derivative · entry 1

OPPENHEIMER PETER · CIK 0001214107 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,801

Underlying: Common Stock, par value $0.01 per share · 2,801 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: 0000769993-15-000054 · ownershipdoc01112015073927.xml · derivative · entry 1

Spar Debora L · CIK 0001523191 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,692

Underlying: Common Stock, par value $0.01 per share · 2,847 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: 0000769993-15-000055 · ownershipdoc01112015073927.xml · derivative · entry 1

Tucker Mark · CIK 0001498305 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,316

Underlying: Common Stock, par value $0.01 per share · 3,275 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: 0000769993-15-000056 · ownershipdoc01112015073927.xml · derivative · entry 1

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,597

Underlying: Common Stock, par value $0.01 per share · 2,847 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units, which are being granted in connection with service on the Issuer's Board of Directors, 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, which are being granted in connection with service on the Issuer's Board of Directors, 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, which are being granted in connection with service on the Issuer's Board of Directors, 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: 0000769993-15-000057 · ownershipdoc01112015073927.xml · derivative · entry 1

Winkelman Marius O · CIK 0001627431 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238

Underlying: Common Stock, par value $0.01 per share · 238 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: 0000899243-16-013181 · doc5.xml · nonDerivative · entry 1

Flaherty Mark A. · CIK 0001520700 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,003.069

F1 · shares: These shares were acquired under a discontinued broker dividend reinvestment program, and are being reported on this Form 5 pursuant to Rule 16a-6.

SEC source: 0000769993-14-000620 · ownershipdoc11162014084231.xml · nonDerivative · entry 1

Spar Debora L · CIK 0001523191 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200

SEC source: 0000769993-14-000621 · ownershipdoc11162014084231.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,655

Underlying: Common Stock, par value $0.01 per share · 23,325 shares

Expires 2015-11-27

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: 0000769993-14-000621 · ownershipdoc11162014084231.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 897,319

F3 · price: Reflects a weighted average sale price of $190.1086 per share, at prices ranging from $190.00 to $190.43 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: 0000769993-14-000621 · ownershipdoc11162014084231.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 922,319

F2 · price: Reflects a weighted average sale price of $190.0779 per share, at prices ranging from $190.00 to $190.31 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: 0000769993-14-000621 · ownershipdoc11162014084231.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 945,644

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 2005 and scheduled to expire in November 2015.

SEC source: 0000769993-14-000585 · ownershipdoc11022014073701.xml · derivative · entry 6

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 · 104,868 shares

Expires 2018-12-31

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.

F6 · derivative.exercise_date: One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012.

SEC source: 0000769993-14-000585 · ownershipdoc11022014073701.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,034

F4 · price: Reflects a weighted average sale price of $190.2945 per share, at prices ranging from $189.93 to $190.84 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: 0000769993-14-000585 · ownershipdoc11022014073701.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,399

F3 · price: Reflects a weighted average sale price of $189.5443 per share, at prices ranging from $188.90 to $189.89 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: 0000769993-14-000585 · ownershipdoc11022014073701.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: 159,854

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: 0000769993-14-000585 · ownershipdoc11022014073701.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: 234,902

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 2008 and scheduled to expire in December 2018.

SEC source: 0000769993-14-000583 · ownershipdoc10292014110115.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,597

F1 · price: Reflects a weighted average sale price of $189.5113 per share, at prices ranging from $189.50 to $189.59 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: 0000769993-14-000580 · ownershipdoc10292014110115.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 32,000 shares

Expires 2015-11-27

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: 0000769993-14-000580 · ownershipdoc10292014110115.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,597

F2 · price: Reflects a weighted average sale price of $186.0806 per share, at prices ranging from $185.89 to $186.32 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: 0000769993-14-000580 · ownershipdoc10292014110115.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,597

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 2005 and scheduled to expire in November 2015.