GS

SEC source: 0000769993-14-000305 · ownershipdoc02252014105611.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,434

Underlying: Common Stock, par value $0.01 per share · 52,434 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.

F7 · derivative.exercise_date: One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012.

SEC source: 0000769993-14-000305 · ownershipdoc02252014105611.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,873

F5 · price: Reflects a weighted average sale price of $167.1892 per share, at prices ranging from $166.79 to $167.67 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: 0000769993-14-000305 · ownershipdoc02252014105611.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,873

F4 · price: Reflects a weighted average sale price of $166.211 per share, at prices ranging from $165.78 to $166.75 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0000769993-14-000305 · ownershipdoc02252014105611.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,270

F3 · price: Reflects a weighted average sale price of $165.3742 per share, at prices ranging from $164.77 to $165.76 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: 0000769993-14-000305 · ownershipdoc02252014105611.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,170

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: 0000769993-14-000305 · ownershipdoc02252014105611.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,307

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: 0000769993-14-000097 · ownershipdoc02032014085146.xml · derivative · entry 3

DAHLBACK CLAES · CIK 0001249256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 5,000 shares

Expires 2014-02-05

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.

F2 · derivative.exercise_date: One-third of these stock options became exercisable in each of January 2011, January 2012 and January 2013.

SEC source: 0000769993-14-000097 · ownershipdoc02032014085146.xml · nonDerivative · entry 2

DAHLBACK CLAES · CIK 0001249256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0000769993-14-000097 · ownershipdoc02032014085146.xml · nonDerivative · entry 1

DAHLBACK CLAES · CIK 0001249256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

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 February 2010 and scheduled to expire in February 2014.

SEC source: 0000769993-14-000090 · ownershipdoc02032014085146.xml · derivative · entry 3

GEORGE WILLIAM W · CIK 0001145149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 5,000 shares

Expires 2014-02-05

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.

F3 · derivative.exercise_date: One-third of these stock options became exercisable in each of January 2011, January 2012 and January 2013.

SEC source: 0000769993-14-000090 · ownershipdoc02032014085146.xml · nonDerivative · entry 2

GEORGE WILLIAM W · CIK 0001145149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,630

F2 · price: Reflects a weighted average sale price of $161.6540 per share, at prices ranging from $161.5703 to $161.7450 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: 0000769993-14-000090 · ownershipdoc02032014085146.xml · nonDerivative · entry 1

GEORGE WILLIAM W · CIK 0001145149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,400

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 February 2010 and scheduled to expire in February 2014.

SEC source: 0000769993-14-000061 · ownershipdoc01212014095930.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: 88,422

Underlying: Common Stock, par value $0.01 per share · 88,422 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

SEC source: 0000769993-14-000062 · ownershipdoc01212014095930.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,376

Underlying: Common Stock, par value $0.01 per share · 22,376 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

SEC source: 0000769993-14-000063 · ownershipdoc01212014095930.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,632

Underlying: Common Stock, par value $0.01 per share · 80,632 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

SEC source: 0000769993-14-000064 · ownershipdoc01212014095930.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,376

Underlying: Common Stock, par value $0.01 per share · 22,376 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

SEC source: 0000769993-14-000065 · ownershipdoc01212014095930.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,249

Underlying: Common Stock, par value $0.01 per share · 27,249 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

SEC source: 0000769993-14-000066 · ownershipdoc01212014095930.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: 25,444

Underlying: Common Stock, par value $0.01 per share · 25,444 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

SEC source: 0000769993-14-000067 · ownershipdoc01272014090612.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,632

Underlying: Common Stock, par value $0.01 per share · 80,632 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

SEC source: 0000769993-14-000068 · ownershipdoc01272014090612.xml · derivative · entry 1

Schwartz Mark · CIK 0001362576 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,098

Underlying: Common Stock, par value $0.01 per share · 65,098 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

SEC source: 0000769993-14-000069 · ownershipdoc01212014095930.xml · derivative · entry 1

SHERWOOD MICHAEL S · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,189

Underlying: Common Stock, par value $0.01 per share · 115,189 shares

Expires not disclosed

F1 · derivative.exercise_price: Approximately 70% of the shares of the Issuer's common stock underlying these 2013 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 such RSUs generally cannot be sold or transferred before January 2019. The remainder of the shares of the Issuer's common stock underlying these RSUs will be delivered in July 2014, subject to other terms and conditions of the award agreement.

F1 · derivative.exercise_date: Approximately 70% of the shares of the Issuer's common stock underlying these 2013 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 such RSUs generally cannot be sold or transferred before January 2019. The remainder of the shares of the Issuer's common stock underlying these RSUs will be delivered in July 2014, subject to other terms and conditions of the award agreement.

F1 · derivative.expiration_date: Approximately 70% of the shares of the Issuer's common stock underlying these 2013 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 such RSUs generally cannot be sold or transferred before January 2019. The remainder of the shares of the Issuer's common stock underlying these RSUs will be delivered in July 2014, subject to other terms and conditions of the award agreement.

SEC source: 0000769993-14-000070 · ownershipdoc01212014095930.xml · derivative · entry 1

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,843

Underlying: Common Stock, par value $0.01 per share · 32,843 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

SEC source: 0000769993-14-000071 · ownershipdoc01212014095930.xml · derivative · entry 1

WEINBERG JOHN S · CIK 0001029647 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,098

Underlying: Common Stock, par value $0.01 per share · 65,098 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2013 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 2019.

SEC source: 0000769993-14-000072 · ownershipdoc01212014095930.xml · derivative · entry 1

BURNS M MICHELE · CIK 0001197664 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,442

Underlying: Common Stock, par value $0.01 per share · 3,000 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: 0000769993-14-000073 · ownershipdoc01212014095930.xml · derivative · entry 1

DAHLBACK CLAES · CIK 0001249256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,417

Underlying: Common Stock, par value $0.01 per share · 3,452 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: 0000769993-14-000074 · ownershipdoc01212014095930.xml · derivative · entry 1

GEORGE WILLIAM W · CIK 0001145149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,177

Underlying: Common Stock, par value $0.01 per share · 3,603 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: 0000769993-14-000075 · ownershipdoc01212014095930.xml · derivative · entry 1

JOHNSON JAMES A /DC/ · CIK 0001126949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,341

Underlying: Common Stock, par value $0.01 per share · 3,603 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: 0000769993-14-000076 · ownershipdoc01212014095930.xml · derivative · entry 1

MITTAL LAKSHMI N · CIK 0001438783 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,525

Underlying: Common Stock, par value $0.01 per share · 3,452 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: 0000769993-14-000077 · ownershipdoc01212014095930.xml · derivative · entry 1

Ogunlesi Adebayo O. · CIK 0001481450 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,436

Underlying: Common Stock, par value $0.01 per share · 3,553 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: 0000769993-14-000078 · ownershipdoc01212014095930.xml · derivative · entry 1

SCHIRO JAMES J · CIK 0001217164 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,975

Underlying: Common Stock, par value $0.01 per share · 3,754 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: 0000769993-14-000079 · ownershipdoc01212014095930.xml · derivative · entry 1

Spar Debora L · CIK 0001523191 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,845

Underlying: Common Stock, par value $0.01 per share · 3,000 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: 0000769993-14-000080 · ownershipdoc01212014095930.xml · derivative · entry 1

Tucker Mark · CIK 0001498305 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,041

Underlying: Common Stock, par value $0.01 per share · 3,452 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: 0000769993-14-000081 · ownershipdoc01212014095930.xml · derivative · entry 1

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,750

Underlying: Common Stock, par value $0.01 per share · 2,750 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: 0000769993-14-000026 · ownershipdoc01212014095930.xml · derivative · entry 4

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 · 78,044 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, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · price: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · derivative.exercise_date: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · derivative.expiration_date: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

SEC source: 0000769993-14-000026 · ownershipdoc01212014095930.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: 1,855,441

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: 0000769993-14-000026 · ownershipdoc01212014095930.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: 1,897,172

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, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

SEC source: 0000769993-14-000027 · ownershipdoc01212014095930.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 · 20,870 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, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · price: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · derivative.exercise_date: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · derivative.expiration_date: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

SEC source: 0000769993-14-000027 · ownershipdoc01212014095930.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,358

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: 0000769993-14-000027 · ownershipdoc01212014095930.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,519

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, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

SEC source: 0000769993-14-000028 · ownershipdoc01212014095930.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 74,982 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, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · price: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · derivative.exercise_date: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · derivative.expiration_date: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

SEC source: 0000769993-14-000028 · ownershipdoc01212014095930.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 582,275

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: 0000769993-14-000028 · ownershipdoc01212014095930.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 622,369

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, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

SEC source: 0000769993-14-000029 · ownershipdoc01212014095930.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 26,020 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, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · price: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · derivative.exercise_date: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · derivative.expiration_date: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

SEC source: 0000769993-14-000029 · ownershipdoc01212014095930.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,873

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: 0000769993-14-000029 · ownershipdoc01212014095930.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,682

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, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

SEC source: 0000769993-14-000030 · ownershipdoc01212014095930.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 27,830 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, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · price: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · derivative.exercise_date: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · derivative.expiration_date: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

SEC source: 0000769993-14-000030 · ownershipdoc01212014095930.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 · 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: 0000769993-14-000030 · ownershipdoc01212014095930.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 937,201

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, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

SEC source: 0000769993-14-000031 · ownershipdoc01212014095930.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 · 26,729 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, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · price: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · derivative.exercise_date: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

F1 · derivative.expiration_date: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation.

SEC source: 0000769993-14-000031 · ownershipdoc01212014095930.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: 130,034

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.