organization · Reporting owner
GOLDMAN SACHS & CO. LLC
Disclosed activity across 123 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AAIPHARMA INCAAIIE · Entity 14033 | 10% owner | June 16, 2004 | June 18, 2004 |
| ACCEPTANCE INSURANCE COMPANIES INCAICIQ · Entity 13485 | 10% owner | October 08, 2007 | October 17, 2007 |
| AFEM MEDICAL CORPAFEM · Entity 14172 | 10% owner | February 06, 2002 | June 16, 2003 |
| ALSP Orchid Acquisition Corp IALOR · Entity 11497 | 10% owner | April 04, 2023 | May 10, 2023 |
| ARCHIPELAGO HOLDINGS INCAX · Entity 13706 | 10% owner | August 12, 2004 | August 16, 2004 |
| Aperture ACAPUR · Entity 6532 | 10% owner | June 15, 2026 | June 17, 2026 |
| BIOLASE, INCBIOL · Entity 11470 | 10% owner | September 28, 2023 | October 06, 2023 |
| BRIGHTPOINT INCCELL · Entity 13603 | 10% owner | December 04, 2006 | December 15, 2006 |
| Childrens Place, Inc.PLCE · Entity 7136 | 10% owner | May 07, 2020 | May 19, 2020 |
| D-Wave Quantum Inc.QBTS · Entity 3778 | 10% owner | August 10, 2022 | March 25, 2023 |
| DELPHI CORPDPHIQ · Entity 13516 | See footnotes 2, 3 and 4 | July 09, 2007 | July 30, 2007 |
| DOLLAR FINANCIAL CORPDLLR · Entity 13937 | 10% owner | January 27, 2005 | January 27, 2005 |
| Datavault AI Inc.WISA · Entity 6156 | 10% owner | January 12, 2023 | January 19, 2023 |
| EDUCATION MANAGEMENT CORPORATIONEDMC · Entity 12666 | 10% owner | November 08, 2013 | November 13, 2013 |
| EQUINIX INCEQIXD · Entity 2047 | 10% owner | December 31, 2002 | June 06, 2003 |
| EnLink Midstream, LLCENLC · Entity 11729 | 10% owner | July 29, 2021 | August 03, 2021 |
| FOAMEX INTERNATIONAL INCFMXL · Entity 13431 | 10% owner | April 17, 2008 | April 22, 2008 |
| FOOTHILLS RESOURCES INCFTRS · Entity 13631 | 10% owner | September 08, 2006 | September 18, 2006 |
| Flywire CorpFLYW · Entity 1568 | Director | December 12, 2022 | December 14, 2022 |
| GOLDMAN SACHS GROUP INCPROS · Entity 2819 | 10% owner | November 21, 2019 | November 25, 2019 |
| Grom Social Enterprises, Inc.GROM · Entity 11558 | 10% owner | January 25, 2023 | January 31, 2023 |
| HealthMarkets, Inc.UCI · Entity 13682 | 10% owner | April 05, 2006 | April 18, 2006 |
| IG Acquisition Corp.IGAC · Entity 11568 | 10% owner | November 08, 2022 | December 22, 2022 |
| INTERLINE BRANDS, INC./DEIBI · Entity 12861 | See footnotes (1),(2),(5),(6), | May 29, 2012 | June 05, 2012 |
| Intelligent Medicine Acquisition Corp.IQMD · Entity 11509 | 10% owner | April 17, 2023 | April 27, 2023 |
| KALTURA INCKLTR · Entity 1322 | 10% owner | August 05, 2021 | January 20, 2022 |
| KEY ENERGY SERVICES INCKEGX · Entity 11887 | 10% owner | March 06, 2020 | March 16, 2020 |
| KINDER MORGAN INCKMI · Entity 13608 | See footnotes 1, 2, 3 and 4 | November 03, 2006 | November 27, 2006 |
| LIGAND PHARMACEUTICALS INCLGND · Entity 3825 | 10% owner | February 03, 2020 | February 14, 2020 |
| MasterBrand, Inc.MBC · Entity 4647 | 10% owner | January 20, 2023 | January 26, 2023 |
| Merlin, Inc.BACQ · Entity 6007 | 10% owner | November 26, 2025 | February 03, 2026 |
| MetaVia Inc.NRBO · Entity 7947 | 10% owner | November 16, 2022 | November 22, 2022 |
| NANNACO INCNANN · Entity 13769 | 10% owner | December 22, 2005 | January 20, 2006 |
| NYMAGIC INCNYM · Entity 13117 | 10% owner | November 09, 2010 | November 12, 2010 |
| Newcourt Acquisition CorpNCAC · Entity 11534 | 10% owner | February 14, 2023 | March 09, 2023 |
| ON24 INC.ONTF · Entity 11630 | See Remarks | March 14, 2022 | March 16, 2022 |
| PACEL CORPPCCE · Entity 13703 | 10% owner | March 03, 2006 | March 13, 2006 |
| Panbela Therapeutics, Inc.PBLA · Entity 11460 | 10% owner | November 08, 2023 | November 14, 2023 |
| STRATEGIC HOTEL CAPITAL INCSLH · Entity 13747 | 10% owner | June 23, 2004 | June 30, 2004 |
| Soho House & Co Inc.SHCO · Entity 11106 | 10% owner | January 29, 2026 | February 02, 2026 |
| Spectral AI, Inc.RCLF · Entity 7203 | 10% owner | January 04, 2023 | February 11, 2023 |
| Sprout Social, Inc.SPT · Entity 2148 | Director | December 13, 2019 | March 05, 2021 |
| Stagwell IncSTGW · Entity 4480 | 10% owner | June 13, 2024 | June 18, 2024 |
| T2 Biosystems, Inc.TTOO · Entity 11728 | 10% owner | March 24, 2020 | August 03, 2021 |
| TGE Value Creative Solutions CorpBEBE · Entity 6319 | 10% owner | April 10, 2026 | April 17, 2026 |
| VALIDUS HOLDINGS LTDVR · Entity 13098 | 10% owner | August 16, 2007 | August 21, 2007 |
| Valaris LtdVAL · Entity 3776 | 10% owner | August 20, 2019 | August 28, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AAIPHARMA INC
Report date June 16, 2004 · Filed June 18, 2004
Jointly reported with GOLDMAN SACHS GROUP INC, GS CAPITAL PARTNERS II L P, GS CAPITAL PARTNERS II OFFSHORE LP, GS CAPITAL PARTNERS II GERMANY CLP, BRIDGE STREET FUND 1995 LP, STONE STREET FUND 1995 LP, GS ADVISORS II LLC, GS ADVISORS LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.12 · Expires 2014-06-16 | IndirectSee Footnote | 5,000 |
Reported balance
After 2004-06-16 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2004-06-16 · Grant · Acquired 5,000 · Balance 5,000 F5: These options were granted pursuant to aaiPharma Inc.'s 2000 Stock Option Plan for Non-Employee Directors, to a managing director of Goldman Sachs in his capacity as a director of aaiPharma Inc. That director has an understanding with GS Group pursuant to which he holds the stock options for the benefit of GS Group. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. These options are immediately exercisable. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.98 · Expires 2013-11-20 | IndirectSee Footnote | 15,000 |
Reported balance
Holding disclosure · report date 2004-06-16 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 15,000 F6: These options were granted pursuant to aaiPharma Inc.'s 2000 Stock Option Plan for Non-Employee Directors, to a managing director of Goldman Sachs in his capacity as a director of aaiPharma Inc. That director has an understanding with GS Group pursuant to which he holds the stock options for the benefit of GS Group. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. These options are exercisable as follows: 33.3% on the first and second anniversaries of the grant date, w hich was November 20, 2003, and 33.4% on the third anniversary of the grant date. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.44 · Expires 2012-08-02 | IndirectSee Footnote | 15,000 |
Reported balance
Holding disclosure · report date 2004-06-16 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 15,000 F7: These options were granted pursuant to aaiPharma Inc.'s 2000 Stock Option Plan for Non-Employee Directors, to a managing director of Goldman Sachs in his capacity as a director of aaiPharma Inc. That director has an understanding with GS Group pursuant to which he holds the stock options for the benefit of GS Group. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. These options are exercisable as follows: 33.3% on the first and second anniversaries of the grant date, w hich was August 2, 2002, and 33.4% on the third anniversary of the grant date. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,415,602 |
Reported balance
Holding disclosure · report date 2004-06-16 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 3,415,602 F1: This statement is being filed by GS Capital Partners II, L.P. (GSCP), GS Capital Partners II Offshore, L.P. (GSCP II Offshore), GS Capital Partners II (Germany) Civil Law Partnership (GSCP II Germany), Stone Street Fund 1995, L.P. (1995 Stone) and Bridge Street Fund 1995, L.P. ("1995 Bridge" and, together with GSCP, GSCP II Offshore, GSCP II Germany and 1995 Stone, the "Limited Partnerships"), Stone Street 1995, L.L.C. (Stone GP), GS Advisors, L.L.C. (GS Advisors), GS Advisors II, L.L.C. (GS Adv isors II), Goldman, Sachs & Co. oHG (GS oHG), Goldman, Sachs & Co. (Goldman Sachs) and The Goldman Sachs Group, Inc. ("GS Group", together with Goldman Sachs, GS Advisors, GS Advisors II, GS oHG, Stone GP and the Limited Partnerships, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F2: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 355 shares of aaiPharma Inc. common stock, $0.001 par value per share ("Common Stock"). Goldman Sachs and GS Group may be deemed to beneficially own indirectly in the aggregate 3,415,247 shares of Common Stock through the Limited Partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or managing partner. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the investment manager of GSCP, GSCP II Offshore, and GSCP II Germany. Goldman Sachs and GS Group each disclaims beneficial ownership of the shares of Common Stock owned by the Limited Partnerships except to the extent of its pecuniary interest therein. F3: GSCP beneficially owns directly and its general partner, GS Advisors, may be deemed to beneficially own indirectly 2,142,823 shares of Common Stock. GSCP II Offshore beneficially owns directly and its general partner, GS Advisors II, may be deemed to beneficially own indirectly 851,862 shares of Common Stock. GSCP II Germany beneficially owns directly and its managing partner, GS oHG, may be deemed to beneficially own indirectly 79,036 shares of Common Stock. 1995 Stone beneficially owns directl y and its general partner, Stone GP, may be deemed to beneficially own indirectly 160,698 shares of Common Stock through 1995 Stone. 1995 Bridge beneficially owns directly and its managing general partner, Stone GP, may be deemed to beneficially own indirectly 180,828 shares of Common Stock through 1995 Bridge. F4: Each of GS Advisors, GS Advisors II, GS oHG and Stone GP disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest in such securities. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by GS Capital Partners II, L.P. (GSCP), GS Capital Partners II Offshore, L.P. (GSCP II Offshore), GS Capital Partners II (Germany) Civil Law Partnership (GSCP II Germany), Stone Street Fund 1995, L.P. (1995 Stone) and Bridge Street Fund 1995, L.P. ("1995 Bridge" and, together with GSCP, GSCP II Offshore, GSCP II Germany and 1995 Stone, the "Limited Partnerships"), Stone Street 1995, L.L.C. (Stone GP), GS Advisors, L.L.C. (GS Advisors), GS Advisors II, L.L.C. (GS Adv isors II), Goldman, Sachs & Co. oHG (GS oHG), Goldman, Sachs & Co. (Goldman Sachs) and The Goldman Sachs Group, Inc. ("GS Group", together with Goldman Sachs, GS Advisors, GS Advisors II, GS oHG, Stone GP and the Limited Partnerships, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
F2: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 355 shares of aaiPharma Inc. common stock, $0.001 par value per share ("Common Stock"). Goldman Sachs and GS Group may be deemed to beneficially own indirectly in the aggregate 3,415,247 shares of Common Stock through the Limited Partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or managing partner. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the investment manager of GSCP, GSCP II Offshore, and GSCP II Germany. Goldman Sachs and GS Group each disclaims beneficial ownership of the shares of Common Stock owned by the Limited Partnerships except to the extent of its pecuniary interest therein.
F3: GSCP beneficially owns directly and its general partner, GS Advisors, may be deemed to beneficially own indirectly 2,142,823 shares of Common Stock. GSCP II Offshore beneficially owns directly and its general partner, GS Advisors II, may be deemed to beneficially own indirectly 851,862 shares of Common Stock. GSCP II Germany beneficially owns directly and its managing partner, GS oHG, may be deemed to beneficially own indirectly 79,036 shares of Common Stock. 1995 Stone beneficially owns directl y and its general partner, Stone GP, may be deemed to beneficially own indirectly 160,698 shares of Common Stock through 1995 Stone. 1995 Bridge beneficially owns directly and its managing general partner, Stone GP, may be deemed to beneficially own indirectly 180,828 shares of Common Stock through 1995 Bridge.
F4: Each of GS Advisors, GS Advisors II, GS oHG and Stone GP disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest in such securities.
F5: These options were granted pursuant to aaiPharma Inc.'s 2000 Stock Option Plan for Non-Employee Directors, to a managing director of Goldman Sachs in his capacity as a director of aaiPharma Inc. That director has an understanding with GS Group pursuant to which he holds the stock options for the benefit of GS Group. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. These options are immediately exercisable.
F6: These options were granted pursuant to aaiPharma Inc.'s 2000 Stock Option Plan for Non-Employee Directors, to a managing director of Goldman Sachs in his capacity as a director of aaiPharma Inc. That director has an understanding with GS Group pursuant to which he holds the stock options for the benefit of GS Group. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. These options are exercisable as follows: 33.3% on the first and second anniversaries of the grant date, w hich was November 20, 2003, and 33.4% on the third anniversary of the grant date.
F7: These options were granted pursuant to aaiPharma Inc.'s 2000 Stock Option Plan for Non-Employee Directors, to a managing director of Goldman Sachs in his capacity as a director of aaiPharma Inc. That director has an understanding with GS Group pursuant to which he holds the stock options for the benefit of GS Group. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. These options are exercisable as follows: 33.3% on the first and second anniversaries of the grant date, w hich was August 2, 2002, and 33.4% on the third anniversary of the grant date.
ACCEPTANCE INSURANCE COMPANIES INC
Report date October 08, 2007 · Filed October 17, 2007
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,900,000 |
Reported balance
Holding disclosure · report date 2007-10-08 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,900,000 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). The securities reported herein are beneficially owned directly by Goldman Sachs and may be deemed to be beneficially owned indirectly by GS Group. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). The securities reported herein are beneficially owned directly by Goldman Sachs and may be deemed to be beneficially owned indirectly by GS Group. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group.
AFEM MEDICAL CORP
Report date February 06, 2002 · Filed June 16, 2003 · Amendment
Jointly reported with GOLDMAN SACHS GROUP INC
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 1988-08-08 | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2002-02-06 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance Not disclosed F2: Each share of the Series A Convertible Preferred Stock ("Series A Preferred Stock") was initially convertible into one share of the Issuer's Common Stock. Each share of the Series A Preferred Stock is entitled to anti-dilution protection in the form of an adjustment to the conversion ratio if, under certain circumstances, the Issuer issues capital stock for a consideration of less than $1.92 per share. Based upon the Issuer's public filings, the Reporting Persons believe that the Issuer has issued capital stock at prices below $1.92 per share, and that the conversion ratio is higher than one-to-one (in other words, each share of Series A Preferred Stock is convertible into more than one share of Common Stock). The Reporting Persons cannot determine how many shares of capital stock may have been issued below $1.92 per share, or when or at what prices such shares may have been issued. (continued in Footnote 3). F3: Accordingly, the Reporting Persons believe that the Series A Preferred Stock is convertible into Issuer's Common Stock at a ratio greater than one-to-one, but presently cannot determine that ratio. The Reporting Persons believe that the Issuer has ceased business operations. F4: The Reporting Persons discovered, on or about May 30, 2003, that the Reporting Persons original Form 3 erroneously reported the number of shares of Issuer's Series A Convertible Preferred Stock owned by the Reporting Persons. This error was caused by transposition errors in an exhibit to the contract under which the Reporting Persons acquired the securities. The erroneous exhibit was prepared by the seller under that contract. F5: The transposition error caused five separate purchases of 104,710 shares each to be listed as five separate purchases of 104,170 shares each. Therefore, the original Form 3 under-reported the Reporting Persons' beneficial ownership by a total of 2,700 shares. The Form 3 should have reported beneficial ownership of 7,494,835 shares of Series A Convertible Stock (2,700 more than the originally reported 7,492,135 shares). F1: The securities reported herein are beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs") and may be deemed to be beneficially owned indirectly by The Goldman Sachs Group, Inc. ("GS Group"). Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities reported herein are beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs") and may be deemed to be beneficially owned indirectly by The Goldman Sachs Group, Inc. ("GS Group"). Goldman Sachs is an indirect wholly-owned subsidiary of GS Group.
F2: Each share of the Series A Convertible Preferred Stock ("Series A Preferred Stock") was initially convertible into one share of the Issuer's Common Stock. Each share of the Series A Preferred Stock is entitled to anti-dilution protection in the form of an adjustment to the conversion ratio if, under certain circumstances, the Issuer issues capital stock for a consideration of less than $1.92 per share. Based upon the Issuer's public filings, the Reporting Persons believe that the Issuer has issued capital stock at prices below $1.92 per share, and that the conversion ratio is higher than one-to-one (in other words, each share of Series A Preferred Stock is convertible into more than one share of Common Stock). The Reporting Persons cannot determine how many shares of capital stock may have been issued below $1.92 per share, or when or at what prices such shares may have been issued. (continued in Footnote 3).
F3: Accordingly, the Reporting Persons believe that the Series A Preferred Stock is convertible into Issuer's Common Stock at a ratio greater than one-to-one, but presently cannot determine that ratio. The Reporting Persons believe that the Issuer has ceased business operations.
F4: The Reporting Persons discovered, on or about May 30, 2003, that the Reporting Persons original Form 3 erroneously reported the number of shares of Issuer's Series A Convertible Preferred Stock owned by the Reporting Persons. This error was caused by transposition errors in an exhibit to the contract under which the Reporting Persons acquired the securities. The erroneous exhibit was prepared by the seller under that contract.
F5: The transposition error caused five separate purchases of 104,710 shares each to be listed as five separate purchases of 104,170 shares each. Therefore, the original Form 3 under-reported the Reporting Persons' beneficial ownership by a total of 2,700 shares. The Form 3 should have reported beneficial ownership of 7,494,835 shares of Series A Convertible Stock (2,700 more than the originally reported 7,492,135 shares).
ALSP Orchid Acquisition Corp I
Report date April 04, 2023 · Filed May 10, 2023
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Ordinary SharesSEC Table I · non-derivative | IndirectSee Footnotes | 323,560 |
Reported balance
Holding disclosure · report date 2023-04-04 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 323,560 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Due to (i) a reduction in the number of outstanding shares of Class A Ordinary Shares that was first publicly announced by ALSP Orchid Acquisition Corp I (the "Issuer") on March 31, 2023 and (ii) subsequent pledge of Shares from a customer account on April 4, 2023, permitting a non-US subsidiary of GS Group to rehypothecate those Shares, the Reporting Persons involuntarily became greater than 10% beneficial owners of the outstanding Class A Ordinary Shares. F2: The securities of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee Footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2023-04-04 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F3: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on December 15, 2026 the counterparty will receive from Goldman Sachs any increase in the price of the Warrants above $0.00 per share, based on a notional amount of 1,456 warrants. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Due to (i) a reduction in the number of outstanding shares of Class A Ordinary Shares that was first publicly announced by ALSP Orchid Acquisition Corp I (the "Issuer") on March 31, 2023 and (ii) subsequent pledge of Shares from a customer account on April 4, 2023, permitting a non-US subsidiary of GS Group to rehypothecate those Shares, the Reporting Persons involuntarily became greater than 10% beneficial owners of the outstanding Class A Ordinary Shares. F2: The securities of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Due to (i) a reduction in the number of outstanding shares of Class A Ordinary Shares that was first publicly announced by ALSP Orchid Acquisition Corp I (the "Issuer") on March 31, 2023 and (ii) subsequent pledge of Shares from a customer account on April 4, 2023, permitting a non-US subsidiary of GS Group to rehypothecate those Shares, the Reporting Persons involuntarily became greater than 10% beneficial owners of the outstanding Class A Ordinary Shares.
F2: The securities of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group.
F3: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on December 15, 2026 the counterparty will receive from Goldman Sachs any increase in the price of the Warrants above $0.00 per share, based on a notional amount of 1,456 warrants.
ARCHIPELAGO HOLDINGS INC
Report date August 12, 2004 · Filed August 16, 2004
Jointly reported with GOLDMAN SACHS GROUP INC, GS Archipelago Investment, L.L.C., SLK-HULL Derivatives, LLC, SLK LLC, GOLDMAN SACHS EXECUTION & CLEARING, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 9,519,876 |
Last balance in matching sequence
After 2004-08-13 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2004-08-12 · Sale · Disposed 1,500 · Balance 9,518,376 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to Archipelago Holdings, Inc. The Reporting Persons, other than Goldman Sachs and The Goldman Sachs Group, Inc. ("GSG"), disclaim beneficial ownership of the securities owned directly by Goldman Sachs. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GSG. F2: GSG may be deemed to beneficially own indirectly 9,519,876 shares of Archipelago Holdings, Inc. common stock ("Common Stock") by reason of Spear, Leeds & Kellogg, L.P. ("SLK"), GS Archipelago Investment, L.L.C. ("GSAI") and SLK-Hull Derivatives LLC ("SLK-Hull") direct ownership of such shares. SLK beneficially owns directly 7,603,517 shares of Common Stock. GSAI beneficially owns directly 1,664,877 shares of Common Stock. SLK-Hull beneficially owns directly and SLK LLC, its sole general partner, may be deemed to beneficially own indirectly 251,482 shares of Common Stock. SLK LLC disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. SLK, GSAI and SLK-Hull are direct or indirect wholly-owned subsidiaries of GSG. GSG disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Row 2 · 2004-08-13 · Purchase · Acquired 1,500 · Balance 9,519,876 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to Archipelago Holdings, Inc. The Reporting Persons, other than Goldman Sachs and The Goldman Sachs Group, Inc. ("GSG"), disclaim beneficial ownership of the securities owned directly by Goldman Sachs. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GSG. F2: GSG may be deemed to beneficially own indirectly 9,519,876 shares of Archipelago Holdings, Inc. common stock ("Common Stock") by reason of Spear, Leeds & Kellogg, L.P. ("SLK"), GS Archipelago Investment, L.L.C. ("GSAI") and SLK-Hull Derivatives LLC ("SLK-Hull") direct ownership of such shares. SLK beneficially owns directly 7,603,517 shares of Common Stock. GSAI beneficially owns directly 1,664,877 shares of Common Stock. SLK-Hull beneficially owns directly and SLK LLC, its sole general partner, may be deemed to beneficially own indirectly 251,482 shares of Common Stock. SLK LLC disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. SLK, GSAI and SLK-Hull are direct or indirect wholly-owned subsidiaries of GSG. GSG disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to Archipelago Holdings, Inc. The Reporting Persons, other than Goldman Sachs and The Goldman Sachs Group, Inc. ("GSG"), disclaim beneficial ownership of the securities owned directly by Goldman Sachs. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GSG.
F2: GSG may be deemed to beneficially own indirectly 9,519,876 shares of Archipelago Holdings, Inc. common stock ("Common Stock") by reason of Spear, Leeds & Kellogg, L.P. ("SLK"), GS Archipelago Investment, L.L.C. ("GSAI") and SLK-Hull Derivatives LLC ("SLK-Hull") direct ownership of such shares. SLK beneficially owns directly 7,603,517 shares of Common Stock. GSAI beneficially owns directly 1,664,877 shares of Common Stock. SLK-Hull beneficially owns directly and SLK LLC, its sole general partner, may be deemed to beneficially own indirectly 251,482 shares of Common Stock. SLK LLC disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. SLK, GSAI and SLK-Hull are direct or indirect wholly-owned subsidiaries of GSG. GSG disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
Aperture AC
Report date June 15, 2026 · Filed June 17, 2026
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Ordinary Shares, par value of $0.0001 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 1,057,597 |
Last balance in matching sequence
After 2026-06-15 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2026-06-15 · Sale · Disposed 1 · Balance 1,057,644 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On June 15, 2026, the Reporting Persons experienced an increase in their beneficial ownership of Aperture AC (the "Issuer") to above 10% of the outstanding Class A Ordinary Shares ("Ordinary Shares"). F2: These transactions in the Ordinary Shares of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: The Ordinary Shares of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. F4: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. Row 2 · 2026-06-15 · Sale · Disposed 22 · Balance 1,057,622 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On June 15, 2026, the Reporting Persons experienced an increase in their beneficial ownership of Aperture AC (the "Issuer") to above 10% of the outstanding Class A Ordinary Shares ("Ordinary Shares"). F2: These transactions in the Ordinary Shares of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: The Ordinary Shares of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. F4: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. Row 3 · 2026-06-15 · Sale · Disposed 25 · Balance 1,057,597 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On June 15, 2026, the Reporting Persons experienced an increase in their beneficial ownership of Aperture AC (the "Issuer") to above 10% of the outstanding Class A Ordinary Shares ("Ordinary Shares"). F2: These transactions in the Ordinary Shares of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: The Ordinary Shares of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. F4: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On June 15, 2026, the Reporting Persons experienced an increase in their beneficial ownership of Aperture AC (the "Issuer") to above 10% of the outstanding Class A Ordinary Shares ("Ordinary Shares").
F2: These transactions in the Ordinary Shares of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business.
F3: The Ordinary Shares of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group.
F4: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable.
BIOLASE, INC
Report date September 28, 2023 · Filed October 06, 2023
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 144,501 |
Reported balance
Holding disclosure · report date 2023-09-28 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 144,501 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On September 28, 2023, the Reporting Persons experienced an increase in their beneficial ownership of Biolase, Inc. (the "Issuer") to above 10% of the outstanding Common Stock. On September 29, 2023, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% of the Issuer's outstanding Common Stock due to a reduction in excess securities borrows. F2: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On September 28, 2023, the Reporting Persons experienced an increase in their beneficial ownership of Biolase, Inc. (the "Issuer") to above 10% of the outstanding Common Stock. On September 29, 2023, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% of the Issuer's outstanding Common Stock due to a reduction in excess securities borrows.
F2: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group.
BRIGHTPOINT INC
Report date December 04, 2006 · Filed December 15, 2006
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,113,683 |
Reported balance
Holding disclosure · report date 2006-12-04 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,113,683 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. F2: The 2,113,683 shares of common stock, par value $0.01 per share (the "Common Stock") of Brightpoint, Inc. (the "Company") reported on Table I may be deemed to be beneficially owned indirectly by GS Group by reason of the direct ownership of such securities by Goldman Sachs or another direct or indirect wholly-owned subsidiary of GS Group (collectively, "Goldman"). Goldman also has open short positions of 158,194 shares of Common Stock. F3: In connection with transactions that were part of baskets that met the requirements for exemption as outlined by the Securities and Exchange Commission, and therefore not reported, as of December 5, 2006, the Reporting Persons ceased to be the owners of more than 10% of the shares of Common Stock reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended September 30, 2006, and are therefore no longer subject to Section 16. |
| Call Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.00 · Expires 2007-01-20 | IndirectSee footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2006-12-04 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F4: These options are immediately exercisable. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. F3: In connection with transactions that were part of baskets that met the requirements for exemption as outlined by the Securities and Exchange Commission, and therefore not reported, as of December 5, 2006, the Reporting Persons ceased to be the owners of more than 10% of the shares of Common Stock reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended September 30, 2006, and are therefore no longer subject to Section 16. F5: The securities reported on Table II may be deemed to be beneficially owned indirectly by GS Group by reason of the direct ownership of such securities by Goldman. |
| Call Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $20.00 · Expires 2007-01-20 | IndirectSee footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2006-12-04 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F4: These options are immediately exercisable. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. F3: In connection with transactions that were part of baskets that met the requirements for exemption as outlined by the Securities and Exchange Commission, and therefore not reported, as of December 5, 2006, the Reporting Persons ceased to be the owners of more than 10% of the shares of Common Stock reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended September 30, 2006, and are therefore no longer subject to Section 16. F5: The securities reported on Table II may be deemed to be beneficially owned indirectly by GS Group by reason of the direct ownership of such securities by Goldman. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group.
F2: The 2,113,683 shares of common stock, par value $0.01 per share (the "Common Stock") of Brightpoint, Inc. (the "Company") reported on Table I may be deemed to be beneficially owned indirectly by GS Group by reason of the direct ownership of such securities by Goldman Sachs or another direct or indirect wholly-owned subsidiary of GS Group (collectively, "Goldman"). Goldman also has open short positions of 158,194 shares of Common Stock.
F3: In connection with transactions that were part of baskets that met the requirements for exemption as outlined by the Securities and Exchange Commission, and therefore not reported, as of December 5, 2006, the Reporting Persons ceased to be the owners of more than 10% of the shares of Common Stock reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended September 30, 2006, and are therefore no longer subject to Section 16.
F4: These options are immediately exercisable.
F5: The securities reported on Table II may be deemed to be beneficially owned indirectly by GS Group by reason of the direct ownership of such securities by Goldman.
Childrens Place, Inc.
Report date May 07, 2020 · Filed May 19, 2020
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectSee footnote | 1,620,365 |
Reported balance
Holding disclosure · report date 2020-05-07 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,620,365 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F30: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 2/23/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $27.67 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $27.67 per share, in each case, based on a notional amount of 85 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F29: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 2/23/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $27.66 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $27.66 per share, in each case, based on a notional amount of 621 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F28: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/07/2029, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $20.07 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $20.07 per share, in each case, based on a notional amount of 16,154 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance Not disclosed F27: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/20/2030, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $19.81 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $19.81 per share, in each case, based on a notional amount of 706 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance Not disclosed F26: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 2/23/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $13.92 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $13.92 per share, in each case, based on a notional amount of 14,592 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance Not disclosed F25: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 12/08/2025, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $97.14 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $97.14 per share, in each case, based on a notional amount of 91 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance Not disclosed F24: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 12/20/2021, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $107.40 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $107.40 per share, in each case, based on a notional amount of 5,702 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance Not disclosed F23: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 06/09/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $53.01 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $53.01 per share, in each case, based on a notional amount of 5,858 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · Balance Not disclosed F21: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 06/04/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $10.03 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $10.03 per share, in each case, based on a notional amount of 27,000 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · Balance Not disclosed F20: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 08/05/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $71.23 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $71.23 per share, in each case, based on a notional amount of 40,000 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · Balance Not disclosed F19: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 06/01/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $63.56 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $63.56 per share, in each case, based on a notional amount of 5,857 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · Balance Not disclosed F18: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 07/29/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $146.48 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $146.48 per share, in each case, based on a notional amount of 11,000 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · Balance Not disclosed F17: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 07/02/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $9.09 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $9.09 per share, in each case, based on a notional amount of 35,000 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · Balance Not disclosed F16: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/27/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $51.61 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $51.61 per share, in each case, based on a notional amount of 273.47 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · Balance Not disclosed F15: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/27/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $51.61 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $51.61 per share, in each case, based on a notional amount of 282.29 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · Balance Not disclosed F14: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/26/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $54.48 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $54.48 per share, in each case, based on a notional amount of 414.61 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · Balance Not disclosed F13: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/26/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $54.48 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $54.48 per share, in each case, based on a notional amount of 405.79 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · Balance Not disclosed F12: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/12/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $58.92 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $58.92 per share, in each case, based on a notional amount of 5,381.10 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · Balance Not disclosed F11: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/12/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $58.92 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $58.92 per share, in each case, based on a notional amount of 838.04 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · Balance Not disclosed F10: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/12/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $58.92 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $58.92 per share, in each case, based on a notional amount of 643.97 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 23 · Balance Not disclosed F9: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 09/19/2022, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $94.15 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $94.15 per share, in each case, based on a notional amount of 267.74 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 24 · Balance Not disclosed F8: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 09/19/2022, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $97.58 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $97.58 per share, in each case, based on a notional amount of 254.92 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 25
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 25 · Balance Not disclosed F7: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 05/06/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $47.25 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $47.25 per share, in each case, based on a notional amount of 227.13 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 26
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 26 · Balance Not disclosed F6: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 06/01/2021, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $49.98 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $49.98 per share, in each case, based on a notional amount of 1,755.39 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 27
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 27 · Balance Not disclosed F5: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 05/01/2023, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $49.98 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $49.98 per share, in each case, based on a notional amount of 80.35 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 28
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 28 · Balance Not disclosed F4: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 05/01/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $49.98 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $49.98 per share, in each case, based on a notional amount of 908.54 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee foonote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance Not disclosed F22: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 08/06/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $47.22 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $47.22 per share, in each case, based on a notional amount of 12,162 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $20.00 · Expires 2020-06-19 | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-05-07 · row 29
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 29 · Balance Not disclosed F3: Goldman Sachs may exercise all or a portion of the Options for Common Shares of the Issuer on a 1 - for - 1 basis. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On May 8, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows.
F2: The Common Shares of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group.
F3: Goldman Sachs may exercise all or a portion of the Options for Common Shares of the Issuer on a 1 - for - 1 basis.
F4: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 05/01/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $49.98 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $49.98 per share, in each case, based on a notional amount of 908.54 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F5: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 05/01/2023, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $49.98 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $49.98 per share, in each case, based on a notional amount of 80.35 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F6: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 06/01/2021, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $49.98 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $49.98 per share, in each case, based on a notional amount of 1,755.39 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F7: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 05/06/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $47.25 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $47.25 per share, in each case, based on a notional amount of 227.13 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F8: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 09/19/2022, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $97.58 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $97.58 per share, in each case, based on a notional amount of 254.92 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F9: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 09/19/2022, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $94.15 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $94.15 per share, in each case, based on a notional amount of 267.74 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F10: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/12/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $58.92 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $58.92 per share, in each case, based on a notional amount of 643.97 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F11: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/12/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $58.92 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $58.92 per share, in each case, based on a notional amount of 838.04 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F12: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/12/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $58.92 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $58.92 per share, in each case, based on a notional amount of 5,381.10 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F13: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/26/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $54.48 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $54.48 per share, in each case, based on a notional amount of 405.79 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F14: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/26/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $54.48 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $54.48 per share, in each case, based on a notional amount of 414.61 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F15: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/27/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $51.61 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $51.61 per share, in each case, based on a notional amount of 282.29 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F16: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/27/2030, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $51.61 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $51.61 per share, in each case, based on a notional amount of 273.47 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F17: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 07/02/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $9.09 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $9.09 per share, in each case, based on a notional amount of 35,000 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F18: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 07/29/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $146.48 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $146.48 per share, in each case, based on a notional amount of 11,000 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F19: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 06/01/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $63.56 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $63.56 per share, in each case, based on a notional amount of 5,857 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F20: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 08/05/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $71.23 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $71.23 per share, in each case, based on a notional amount of 40,000 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F21: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 06/04/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $10.03 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $10.03 per share, in each case, based on a notional amount of 27,000 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F22: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 08/06/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $47.22 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $47.22 per share, in each case, based on a notional amount of 12,162 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F23: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 06/09/2020, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $53.01 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $53.01 per share, in each case, based on a notional amount of 5,858 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F24: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 12/20/2021, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $107.40 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $107.40 per share, in each case, based on a notional amount of 5,702 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F25: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 12/08/2025, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares above $97.14 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Shares below $97.14 per share, in each case, based on a notional amount of 91 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F26: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 2/23/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $13.92 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $13.92 per share, in each case, based on a notional amount of 14,592 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F27: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/20/2030, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $19.81 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $19.81 per share, in each case, based on a notional amount of 706 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F28: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 03/07/2029, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $20.07 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $20.07 per share, in each case, based on a notional amount of 16,154 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F29: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 2/23/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $27.66 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $27.66 per share, in each case, based on a notional amount of 621 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F30: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on 2/23/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $27.67 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $27.67 per share, in each case, based on a notional amount of 85 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
D-Wave Quantum Inc.
Report date August 10, 2022 · Filed March 25, 2023
Jointly reported with GOLDMAN SACHS GROUP INC, 2014 EMPLOYEE OFFSHORE AGGREGATOR, L.P., STONE STREET 2014 HOLDINGS, L.P., Broad Street Principal Investments, L.L.C., Bridge Street 2014, L.P., MBD 2014, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 7,939,776 |
Last balance in matching sequence
After 2022-09-02 transaction · row 28
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
28 source rowsRow 1 · 2022-08-10 · Purchase · Acquired 19,100 · Balance 7,958,246 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 2 · 2022-08-10 · Sale · Disposed 19,100 · Balance 7,939,146 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 3 · 2022-08-10 · Purchase · Acquired 500 · Balance 7,939,646 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 4 · 2022-08-10 · Sale · Disposed 500 · Balance 7,939,146 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 5 · 2022-08-11 · Purchase · Acquired 54 · Balance 7,939,200 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 6 · 2022-08-11 · Sale · Disposed 1 · Balance 7,939,199 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 7 · 2022-08-11 · Sale · Disposed 54 · Balance 7,939,145 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 8 · 2022-08-11 · Purchase · Acquired 1 · Balance 7,939,146 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 9 · 2022-08-12 · Sale · Disposed 24 · Balance 7,939,122 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 10 · 2022-08-12 · Purchase · Acquired 13 · Balance 7,939,135 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 11 · 2022-08-12 · Sale · Disposed 13 · Balance 7,939,122 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 12 · 2022-08-12 · Purchase · Acquired 24 · Balance 7,939,146 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 13 · 2022-08-16 · Sale · Disposed 100 · Balance 7,939,046 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 14 · 2022-08-16 · Purchase · Acquired 100 · Balance 7,939,146 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 15 · 2022-08-19 · Purchase · Acquired 29 · Balance 7,939,175 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 16 · 2022-08-19 · Sale · Disposed 29 · Balance 7,939,146 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 17 · 2022-08-23 · Purchase · Acquired 100 · Balance 7,939,246 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 18 · 2022-08-23 · Sale · Disposed 100 · Balance 7,939,146 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 19 · 2022-08-24 · Sale · Disposed 14 · Balance 7,939,132 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 20 · 2022-08-24 · Purchase · Acquired 14 · Balance 7,939,146 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 21 · 2022-08-31 · Sale · Disposed 64 · Balance 7,939,082 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 22 · 2022-08-31 · Purchase · Acquired 64 · Balance 7,939,146 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 23 · 2022-08-31 · Purchase · Acquired 64 · Balance 7,939,210 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 24 · 2022-08-31 · Sale · Disposed 64 · Balance 7,939,146 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 25 · 2022-09-02 · Purchase · Acquired 255 · Balance 7,939,401 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 26 · 2022-09-02 · Purchase · Acquired 51 · Balance 7,939,452 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 27 · 2022-09-02 · Purchase · Acquired 102 · Balance 7,939,554 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. Row 28 · 2022-09-02 · Purchase · Acquired 222 · Balance 7,939,776 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. |
| WarrantsSEC Table II · derivative / convertible security | IndirectSee Footnotes | 6,366 |
Reported balance
After 2022-12-13 transaction · row 29
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 29 · 2022-12-13 · Purchase · Acquired 6,366 · Balance 6,366 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F5: Each warrant of the Issuer entitles the holder to purchase 1.4541326 Common Shares at $11.50. The warrants are exercisable commencing on September 4, 2022. The warrants will expire on August 5, 2027, or earlier upon redemption or liquidation. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. |
| WarrantsSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2022-12-13 transaction · row 30
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 30 · 2022-12-13 · Sale · Disposed 6,366 · Balance 0 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares") F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16. F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer. F5: Each warrant of the Issuer entitles the holder to purchase 1.4541326 Common Shares at $11.50. The warrants are exercisable commencing on September 4, 2022. The warrants will expire on August 5, 2027, or earlier upon redemption or liquidation. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), 2014 Employee Offshore Aggregator, L.P. ("2014 EOA"), Bridge Street 2014, L.P. ("Bridge Street 2014"), MBD 2014, L.P. ("MBD 2014") and Stone Street 2014 Holdings, L.P. ("Stone Street 2014") (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Securities Exchange Act of 1934 (the "Exchange Act"), or for any other purpose. This filing is being made based on there being 63,096,354 shares of common stock, par value $0.0001, of D-Wave Quantum Inc. (the "Issuer", such stock, the "Common Shares")
F2: (Continued from Footnote 1) outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 2022 (the "Form 10-Q"). The Form 10-Q also discloses on the cover page that there are 48,409,641 outstanding exchangeable shares and appears to treat the Common Shares and exchangeable shares as one class of equity security. If the Common Shares and exchangeable shares are treated as one class of equity security, the Reporting Persons are not greater than 10% beneficial owners for Section 16 purposes. In light of the ambiguity in the Issuer's filings with the Securities and Exchange Commission, the Reporting Persons are filing this Form 4 as a precatory matter and do not thereby admit they are greater than 10% beneficial owners or subject to Section 16.
F3: Without conceding its status as a greater than 10% beneficial owner or that the reported transactions, including any riskless principal trades in connection with client trade facilitation in the ordinary course of business, are subject to liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that the Reporting Persons were greater than 10% beneficial owners and the transactions were subject to Section 16(b) has been remitted to the Issuer.
F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 7,939,146 Common Shares of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 7,234,875 Common Shares held by BSPI, (ii) 174,351 Common Shares held by 2014 EOA, (iii) 294,912 Common Shares held by Bridge Street 2014, (iv) 97,147 Common Shares held by MBD 2014 and (v) 137,861 Common Shares held by Stone Street 2014 (BSPI, 2014 EOA, Bridge Street 2014, MBD 2014 and Stone Street 2014 together, the "GS Entities") because Goldman Sachs is a wholly owned subsidiary of GS Group, and affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or investment manager of each of the GS Entities, as applicable.
F5: Each warrant of the Issuer entitles the holder to purchase 1.4541326 Common Shares at $11.50. The warrants are exercisable commencing on September 4, 2022. The warrants will expire on August 5, 2027, or earlier upon redemption or liquidation.
DELPHI CORP
Report date July 09, 2007 · Filed July 30, 2007
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 19,996,781 |
Reported balance
After 2007-07-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2007-07-09 · Sale · Disposed 360 · Balance 19,996,781 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: In connection with its bankruptcy proceedings under Chapter 11 of the United States Bankruptcy Code, Delphi Corporation (the "Company") entered into an Equity Purchase and Commitment Agreement, dated July 17, 2007 (the "Equity Purchase and Commitment Agreement"), providing for the sale of common and preferred equity interests of the reorganized Company to a group of investors named therein, including Goldman Sachs (the "Investors"). On the terms and subject to the conditions of the Equity Purchase and Commitment Agreement, each Investor, among other things, will purchase shares (the "Direct Subscription Shares") of the Company's common stock, par value $0.01 per share ("Common Stock") and will purchase any unsubscribed shares of Common Stock from a rights offering to be conducted by the Company ("Unsubscribed Shares"). In addition, each Investor will purchase Senior Convertible Preferred Stock. F3: As a result of the arrangements in the Equity Purchase and Commitment Agreement, the Reporting Persons may be deemed to be members of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, with the other Investors. This Form 4 shall not be deemed an admission that any Reporting Person is a beneficial owner of any shares of Common Stock for any purpose, other than the securities reported on Table I of this Form 4. Each of the Reporting Persons disclaims beneficial ownership of the securities reported on Table I except to the extent of its pecuniary interest therein. This Form 4 does not reflect any shares of Common Stock that are owned by the other Investors. F4: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs or an affiliate will remit appropriate profits, if any, to the Company. GS Group may be deemed to beneficially own indirectly 19,949,688 shares of Common Stock by reason of the direct ownership of such securities by Goldman Sachs or another wholly-owned subsidiary of GS Group. F5: Reflects changes due to exempt transactions, and therefore not reported. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 19,949,688 |
Reported balance
After 2007-07-12 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2007-07-12 · Purchase · Acquired 360 · Balance 19,949,688 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: In connection with its bankruptcy proceedings under Chapter 11 of the United States Bankruptcy Code, Delphi Corporation (the "Company") entered into an Equity Purchase and Commitment Agreement, dated July 17, 2007 (the "Equity Purchase and Commitment Agreement"), providing for the sale of common and preferred equity interests of the reorganized Company to a group of investors named therein, including Goldman Sachs (the "Investors"). On the terms and subject to the conditions of the Equity Purchase and Commitment Agreement, each Investor, among other things, will purchase shares (the "Direct Subscription Shares") of the Company's common stock, par value $0.01 per share ("Common Stock") and will purchase any unsubscribed shares of Common Stock from a rights offering to be conducted by the Company ("Unsubscribed Shares"). In addition, each Investor will purchase Senior Convertible Preferred Stock. F3: As a result of the arrangements in the Equity Purchase and Commitment Agreement, the Reporting Persons may be deemed to be members of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, with the other Investors. This Form 4 shall not be deemed an admission that any Reporting Person is a beneficial owner of any shares of Common Stock for any purpose, other than the securities reported on Table I of this Form 4. Each of the Reporting Persons disclaims beneficial ownership of the securities reported on Table I except to the extent of its pecuniary interest therein. This Form 4 does not reflect any shares of Common Stock that are owned by the other Investors. F4: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs or an affiliate will remit appropriate profits, if any, to the Company. GS Group may be deemed to beneficially own indirectly 19,949,688 shares of Common Stock by reason of the direct ownership of such securities by Goldman Sachs or another wholly-owned subsidiary of GS Group. F5: Reflects changes due to exempt transactions, and therefore not reported. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group.
F2: In connection with its bankruptcy proceedings under Chapter 11 of the United States Bankruptcy Code, Delphi Corporation (the "Company") entered into an Equity Purchase and Commitment Agreement, dated July 17, 2007 (the "Equity Purchase and Commitment Agreement"), providing for the sale of common and preferred equity interests of the reorganized Company to a group of investors named therein, including Goldman Sachs (the "Investors"). On the terms and subject to the conditions of the Equity Purchase and Commitment Agreement, each Investor, among other things, will purchase shares (the "Direct Subscription Shares") of the Company's common stock, par value $0.01 per share ("Common Stock") and will purchase any unsubscribed shares of Common Stock from a rights offering to be conducted by the Company ("Unsubscribed Shares"). In addition, each Investor will purchase Senior Convertible Preferred Stock.
F3: As a result of the arrangements in the Equity Purchase and Commitment Agreement, the Reporting Persons may be deemed to be members of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, with the other Investors. This Form 4 shall not be deemed an admission that any Reporting Person is a beneficial owner of any shares of Common Stock for any purpose, other than the securities reported on Table I of this Form 4. Each of the Reporting Persons disclaims beneficial ownership of the securities reported on Table I except to the extent of its pecuniary interest therein. This Form 4 does not reflect any shares of Common Stock that are owned by the other Investors.
F4: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs or an affiliate will remit appropriate profits, if any, to the Company. GS Group may be deemed to beneficially own indirectly 19,949,688 shares of Common Stock by reason of the direct ownership of such securities by Goldman Sachs or another wholly-owned subsidiary of GS Group.
F5: Reflects changes due to exempt transactions, and therefore not reported.
DOLLAR FINANCIAL CORP
Report date January 27, 2005 · Filed January 27, 2005
Jointly reported with GOLDMAN SACHS GROUP INC, GS MEZZANINE PARTNERS LP, GS Mezzanine Partners Offshore, L.P., BRIDGE STREET FUND 1998 LP, STONE STREET FUND 1998 LP, GS Mezzanine Advisors, L.L.C., STONE STREET 1998 LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 1,193,504 |
Reported balance
Holding disclosure · report date 2005-01-27 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,193,504 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Mezzanine Partners, L.P. ("GS Mezzanine"), GS Mezzanine Partners Offshore, L.P. ("GS Mezzanine Offshore"), Bridge Street Fund 1998, L.P. ("Bridge 1998"), Stone Street Fund 1998, L.P. ("Stone 1998" and, together with GS Mezzanine, GS Mezzanine Offshore, and Bridge 1998, the "Limited Partnerships"), GS Mezzanine Advisors, L.L.C ("GS Mezzanine GP") and Stone Street 1998, L.L.C. ("Stone 1998 GP" and, together with GS Group, Goldman Sachs, the Limited Partnerships and GS Mezzanine GP, the "Reporting Persons"). F2: Prior to consummation of the Issuer's initial public offering of its common stock, the common stock will undergo a 555-for-1 split. The amount of securities beneficially owned by the Reporting Person reported on this Form 3 reflects the number of shares of common stock that the Reporting Person will beneficially own upon consummation of the stock split. F3: GS Mezzanine beneficially owns directly and its general partner, GS Mezzanine GP, may be deemed to beneficially own indirectly 749,353 shares of Common Stock. GS Mezzanine Offshore beneficially owns directly and its general partner, GS Mezzanine GP, may be deemed to beneficially own indirectly 402,391 shares of Common Stock. Bridge 1998 beneficially owns directly and its general partner, Stone 1998 GP, may be deemed to beneficially own indirectly 9,682 shares of Common Stock. Stone 1998 beneficially owns directly and its general partner, Stone 1998 GP, may be deemed to beneficially own indirectly, 32,078 shares of Common Stock. Each of GS Mezzanine GP and Stone 1998 GP disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest in such securities. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 1,193,504 shares of Dollar Financial Corp. (the "Company") common stock, par value $0.001 per share ("Common Stock") through the Limited Partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or managing partner. Goldman Sachs is the investment manager of certain of the Limited Partnerships. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. Goldman Sachs and GS Group each disclaims beneficial ownership of the shares of Common Stock owned by the Limited Partnerships except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Mezzanine Partners, L.P. ("GS Mezzanine"), GS Mezzanine Partners Offshore, L.P. ("GS Mezzanine Offshore"), Bridge Street Fund 1998, L.P. ("Bridge 1998"), Stone Street Fund 1998, L.P. ("Stone 1998" and, together with GS Mezzanine, GS Mezzanine Offshore, and Bridge 1998, the "Limited Partnerships"), GS Mezzanine Advisors, L.L.C ("GS Mezzanine GP") and Stone Street 1998, L.L.C. ("Stone 1998 GP" and, together with GS Group, Goldman Sachs, the Limited Partnerships and GS Mezzanine GP, the "Reporting Persons").
F2: Prior to consummation of the Issuer's initial public offering of its common stock, the common stock will undergo a 555-for-1 split. The amount of securities beneficially owned by the Reporting Person reported on this Form 3 reflects the number of shares of common stock that the Reporting Person will beneficially own upon consummation of the stock split.
F3: GS Mezzanine beneficially owns directly and its general partner, GS Mezzanine GP, may be deemed to beneficially own indirectly 749,353 shares of Common Stock. GS Mezzanine Offshore beneficially owns directly and its general partner, GS Mezzanine GP, may be deemed to beneficially own indirectly 402,391 shares of Common Stock. Bridge 1998 beneficially owns directly and its general partner, Stone 1998 GP, may be deemed to beneficially own indirectly 9,682 shares of Common Stock. Stone 1998 beneficially owns directly and its general partner, Stone 1998 GP, may be deemed to beneficially own indirectly, 32,078 shares of Common Stock. Each of GS Mezzanine GP and Stone 1998 GP disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest in such securities.
F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 1,193,504 shares of Dollar Financial Corp. (the "Company") common stock, par value $0.001 per share ("Common Stock") through the Limited Partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or managing partner. Goldman Sachs is the investment manager of certain of the Limited Partnerships. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. Goldman Sachs and GS Group each disclaims beneficial ownership of the shares of Common Stock owned by the Limited Partnerships except to the extent of its pecuniary interest therein.
Datavault AI Inc.
Report date January 12, 2023 · Filed January 19, 2023
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 9,146,446 |
Reported balance
Holding disclosure · report date 2023-01-12 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 9,146,446 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On January 12, 2022, the Reporting Persons experienced an increase in their beneficial ownership of Wisa Technologies, Inc. (the "Issuer") to above 10% of the outstanding Common Stock. On January 13, 2022, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On January 12, 2022, the Reporting Persons experienced an increase in their beneficial ownership of Wisa Technologies, Inc. (the "Issuer") to above 10% of the outstanding Common Stock. On January 13, 2022, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows.
F2: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group.
EDUCATION MANAGEMENT CORPORATION
Report date November 08, 2013 · Filed November 13, 2013
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 54,353,944 |
Reported balance
After 2013-11-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2013-11-08 · Grant · Acquired 10,988 · Balance 54,353,944 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: The 10,988 shares of common stock, par value $0.01 per share ("Common Stock"), of Education Management Corporation (the "Company") were granted to Adrian M. Jones, a managing director of Goldman Sachs, in his capacity as a director of the Company, pursuant to the Omnibus Long -Term Incentive Plan (the "Plan"). The 10,988 shares consist of (i) 3,139 shares of Common Stock and (ii) 7,849 restricted shares (the "Restricted Shares") granted to Mr. Jones. The Restricted Shares shall vest one year following the grant date of November 8, 2013. F3: GS Group may be deemed to beneficially own 85,245 shares of Common Stock pursuant to the Plan, including 56,944 shares granted to Mr. Jones in his capacity as a director of the Company. Mr. Jones has an understanding with GS Group pursuant to which he holds such shares for the benefit of GS Group. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 54,268,699 shares of Common Stock through certain investment limited partnerships, of which affiliates of GS Group and Goldman Sachs are the general partner, managing limited partner, managing partner, managing member or member (the "GS Funds"). Goldman Sachs is the investment manager for certain of the GS Funds. F5: Each of the Reporting Persons and Mr. Jones disclaims beneficial ownership of all shares of Common Stock in excess of their pecuniary interest, if any, and this report shall not be deemed an admission that any such entity or individual, as applicable, is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group.
F2: The 10,988 shares of common stock, par value $0.01 per share ("Common Stock"), of Education Management Corporation (the "Company") were granted to Adrian M. Jones, a managing director of Goldman Sachs, in his capacity as a director of the Company, pursuant to the Omnibus Long -Term Incentive Plan (the "Plan"). The 10,988 shares consist of (i) 3,139 shares of Common Stock and (ii) 7,849 restricted shares (the "Restricted Shares") granted to Mr. Jones. The Restricted Shares shall vest one year following the grant date of November 8, 2013.
F3: GS Group may be deemed to beneficially own 85,245 shares of Common Stock pursuant to the Plan, including 56,944 shares granted to Mr. Jones in his capacity as a director of the Company. Mr. Jones has an understanding with GS Group pursuant to which he holds such shares for the benefit of GS Group.
F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 54,268,699 shares of Common Stock through certain investment limited partnerships, of which affiliates of GS Group and Goldman Sachs are the general partner, managing limited partner, managing partner, managing member or member (the "GS Funds"). Goldman Sachs is the investment manager for certain of the GS Funds.
F5: Each of the Reporting Persons and Mr. Jones disclaims beneficial ownership of all shares of Common Stock in excess of their pecuniary interest, if any, and this report shall not be deemed an admission that any such entity or individual, as applicable, is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
EQUINIX INC
Report date December 31, 2002 · Filed June 06, 2003 · Amendment
Jointly reported with GOLDMAN SACHS GROUP INC, GS CAPITAL PARTNERS 2000 LP, GS ADVISORS 2000 LLC, GS CAPITAL PARTNERS 2000 OFFSHORE LP, GS CAPITAL PARTNERS 2000 GMBH & CO BETEILIGUNGS KG, GOLDMAN, SACHS MANAGEMENT GP GMBH, GOLDMAN SACHS & CO OHG, GS CAPITAL PARTNERS 2000 EMPLOYEE FUND LP, GS EMPLOYEE FUNDS 2000 GP LLC
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $191.81 · Expires 2005-10-19 | IndirectSee Footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2002-12-31 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance Not disclosed F1: This amended Form 3 reflects additional holdings by the Reporting Persons of warrants to purchase common stock, $0.001 par value of Equinix, Inc. ("Common Stock"), which were not included on the initial Form 3 filed with the Securities and Exchange Commission on January 10, 2003. This amended Form 3 is being filed by 24 Reporting Persons. As a result of the 10 Reporting Person per joint filing limitation of the electronic system, this Form 3 is being filed in triplicate. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Capital Partners 2000, L.P. ("GSCP 2000"), GS Capital Partners 2000 Offshore, L.P. ("GSCP 2000 Offshore"), GS Capital Partners 2000 GmbH & Co. Beteiligungs KG ("GSCP 2000 Germany"), GS Capital Partners 2000 Employee Fund, L.P. ("GSCP Employee 2000"), Stone Street Fund 2000, L.P.("Stone 2000"), GS Special Opportunities (Asia) Fund, L.P. ("GS Asia"), GS Special Opportunities (Asia) Offshore Fund, L.P. ("GS Asia Offshore"), Whitehall Street Real Estate Limited Partnership XIII ("WH XIII"), Whitehall Parallel Real Estate Limited Partnership XIII ("WH Parallel XIII"), Stone Street Asia Fund, L.P. ("Stone Asia"), (continued in Footnote 03) F3: Stone Street Real Estate Fund 2000, L.P. ("Stone Real Estate 2000" and, together with GSCP 2000, GSCP 2000 Offshore, GSCP 2000 Germany, GSCP Employee 2000, Stone 2000, GS Asia, GS Asia Offshore, WH XIII, WH Parallel XIII, and Stone Asia, the "Investing Entities"), GS Advisors 2000, L.L.C. ("GS Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), Goldman, Sachs & Co. oHG ("GS oHG"), GS Employee Funds 2000 GP, L.L.C. ("GS Employee 2000 LLC"), Stone Street 2000, L.L.C. ("Stone GP"), GSSO (Asia), LLC ("GSSO Asia"), GSSO (Asia) Offshore, LLC ("GSSO Offshore LLC"), WH Advisors, L.L.C. XIII ("WH Advisors"), WH Parallel Advisors, L.L.C. XIII ("WH Parallel Advisors"), Stone Street Asia, L.L.C. ("Stone Asia GP"), and (continued in Footnote 04) F4: Stone Street 2000 Realty, L.L.C. ("Stone 2000 Realty" and, together with GS Group, Goldman Sachs, the Investing Entities, GS Advisors, GS GmbH, GS oHG, GS Employee 2000 LLC, Stone GP, GSSO Asia, GSSO Offshore LLC, WH Advisors, WH Parallel Advisors, and Stone Asia GP, the "Reporting Persons"). The principal business address of each Reporting Person (other than GSCP 2000 Offshore, GS Asia Offshore, GSCP 2000 Germany, GS GmbH and GS oHG) is 85 Broad Street, New York, NY 10004. The principal business address for each of GSCP 2000 Offshore and GS Asia Offshore is c/o M&C Corporate Services Limited, P.O. Box 309, Grand Cayman, Cayman Islands. The principal business address for each of GSCP 2000 Germany, GS GmbH and GS oHG is MesseTurm, 60308 Frankfurt am Main, Germany. F5: GS Group and Goldman Sachs may be deemed to beneficially own indirectly warrants to purchase, in the aggregate, 133,442 shares of Common Stock through the Investing Entities. Affiliates of Goldman Sachs and GS Group are the general partners or managing partners of the Investing Entities. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs and GS Group each disclaim beneficial ownership of the shares of Common Stock owned by the Investing Entities except to the extent of their pecuniary interest therein. GSCP 2000 beneficially owns directly and its general partner, GS Advisors, may be deemed to beneficially own indirectly warrants to purchase 36,791 shares of Common Stock. GS Advisors disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F6: GSCP 2000 Offshore beneficially owns directly and its general partner, GS Advisors, may be deemed to beneficially own indirectly warrants to purchase 13,368 shares of Common Stock. GS Advisors disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. GSCP 2000 Germany beneficially owns directly and its managing partner, GS GmbH, and GS oHG, the sole stockholder of GS GmbH, may be deemed to beneficially own indirectly warrants to purchase 1,537 shares of Common Stock. Each of GS GmbH and GS oHG disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F7: GSCP Employee 2000 beneficially owns directly and its general partner, GS Employee 2000 LLC, may be deemed to beneficially own indirectly warrants to purchase 11,689 shares of Common Stock. GS Employee 2000 LLC disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Stone 2000 beneficially owns directly and its general partner, Stone GP, may be deemed to beneficially own indirectly warrants to purchase 3,336 shares of Common Stock. Stone GP disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. GS Asia beneficially owns directly and its general partner, GSSO Asia, may be deemed to beneficially own indirectly warrants to purchase 18,899 shares of Common Stock. GSSO Asia disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F8: GS Asia Offshore beneficially owns directly and its general partner, GSSO Offshore LLC, may be deemed to beneficially own indirectly warrants to purchase 13,778 shares of Common Stock. GSSO Offshore LLC disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. WH XIII beneficially owns directly and its general partner, WH Advisors, may be deemed to beneficially own indirectly warrants to purchase 22,259 shares of Common Stock. WH Advisors disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. WH Parallel XIII beneficially owns directly and its general partner, WH Parallel Advisors, may be deemed to beneficially own indirectly warrants to purchase 7,766 shares of Common Stock. WH Parallel Advisors disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F9: Stone Asia beneficially owns directly and its general partner, Stone Asia GP, may be deemed to beneficially own indirectly warrants to purchase 683 shares of Common Stock. Stone Asia GP disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Stone Real Estate 2000 beneficially owns directly and its general partner, Stone 2000 Realty, may be deemed to beneficially own indirectly warrants to purchase 3,336 shares of Common Stock. Stone 2000 Realty disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This amended Form 3 reflects additional holdings by the Reporting Persons of warrants to purchase common stock, $0.001 par value of Equinix, Inc. ("Common Stock"), which were not included on the initial Form 3 filed with the Securities and Exchange Commission on January 10, 2003. This amended Form 3 is being filed by 24 Reporting Persons. As a result of the 10 Reporting Person per joint filing limitation of the electronic system, this Form 3 is being filed in triplicate.
F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Capital Partners 2000, L.P. ("GSCP 2000"), GS Capital Partners 2000 Offshore, L.P. ("GSCP 2000 Offshore"), GS Capital Partners 2000 GmbH & Co. Beteiligungs KG ("GSCP 2000 Germany"), GS Capital Partners 2000 Employee Fund, L.P. ("GSCP Employee 2000"), Stone Street Fund 2000, L.P.("Stone 2000"), GS Special Opportunities (Asia) Fund, L.P. ("GS Asia"), GS Special Opportunities (Asia) Offshore Fund, L.P. ("GS Asia Offshore"), Whitehall Street Real Estate Limited Partnership XIII ("WH XIII"), Whitehall Parallel Real Estate Limited Partnership XIII ("WH Parallel XIII"), Stone Street Asia Fund, L.P. ("Stone Asia"), (continued in Footnote 03)
F3: Stone Street Real Estate Fund 2000, L.P. ("Stone Real Estate 2000" and, together with GSCP 2000, GSCP 2000 Offshore, GSCP 2000 Germany, GSCP Employee 2000, Stone 2000, GS Asia, GS Asia Offshore, WH XIII, WH Parallel XIII, and Stone Asia, the "Investing Entities"), GS Advisors 2000, L.L.C. ("GS Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), Goldman, Sachs & Co. oHG ("GS oHG"), GS Employee Funds 2000 GP, L.L.C. ("GS Employee 2000 LLC"), Stone Street 2000, L.L.C. ("Stone GP"), GSSO (Asia), LLC ("GSSO Asia"), GSSO (Asia) Offshore, LLC ("GSSO Offshore LLC"), WH Advisors, L.L.C. XIII ("WH Advisors"), WH Parallel Advisors, L.L.C. XIII ("WH Parallel Advisors"), Stone Street Asia, L.L.C. ("Stone Asia GP"), and (continued in Footnote 04)
F4: Stone Street 2000 Realty, L.L.C. ("Stone 2000 Realty" and, together with GS Group, Goldman Sachs, the Investing Entities, GS Advisors, GS GmbH, GS oHG, GS Employee 2000 LLC, Stone GP, GSSO Asia, GSSO Offshore LLC, WH Advisors, WH Parallel Advisors, and Stone Asia GP, the "Reporting Persons"). The principal business address of each Reporting Person (other than GSCP 2000 Offshore, GS Asia Offshore, GSCP 2000 Germany, GS GmbH and GS oHG) is 85 Broad Street, New York, NY 10004. The principal business address for each of GSCP 2000 Offshore and GS Asia Offshore is c/o M&C Corporate Services Limited, P.O. Box 309, Grand Cayman, Cayman Islands. The principal business address for each of GSCP 2000 Germany, GS GmbH and GS oHG is MesseTurm, 60308 Frankfurt am Main, Germany.
F5: GS Group and Goldman Sachs may be deemed to beneficially own indirectly warrants to purchase, in the aggregate, 133,442 shares of Common Stock through the Investing Entities. Affiliates of Goldman Sachs and GS Group are the general partners or managing partners of the Investing Entities. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs and GS Group each disclaim beneficial ownership of the shares of Common Stock owned by the Investing Entities except to the extent of their pecuniary interest therein. GSCP 2000 beneficially owns directly and its general partner, GS Advisors, may be deemed to beneficially own indirectly warrants to purchase 36,791 shares of Common Stock. GS Advisors disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F6: GSCP 2000 Offshore beneficially owns directly and its general partner, GS Advisors, may be deemed to beneficially own indirectly warrants to purchase 13,368 shares of Common Stock. GS Advisors disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. GSCP 2000 Germany beneficially owns directly and its managing partner, GS GmbH, and GS oHG, the sole stockholder of GS GmbH, may be deemed to beneficially own indirectly warrants to purchase 1,537 shares of Common Stock. Each of GS GmbH and GS oHG disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F7: GSCP Employee 2000 beneficially owns directly and its general partner, GS Employee 2000 LLC, may be deemed to beneficially own indirectly warrants to purchase 11,689 shares of Common Stock. GS Employee 2000 LLC disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Stone 2000 beneficially owns directly and its general partner, Stone GP, may be deemed to beneficially own indirectly warrants to purchase 3,336 shares of Common Stock. Stone GP disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. GS Asia beneficially owns directly and its general partner, GSSO Asia, may be deemed to beneficially own indirectly warrants to purchase 18,899 shares of Common Stock. GSSO Asia disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F8: GS Asia Offshore beneficially owns directly and its general partner, GSSO Offshore LLC, may be deemed to beneficially own indirectly warrants to purchase 13,778 shares of Common Stock. GSSO Offshore LLC disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. WH XIII beneficially owns directly and its general partner, WH Advisors, may be deemed to beneficially own indirectly warrants to purchase 22,259 shares of Common Stock. WH Advisors disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. WH Parallel XIII beneficially owns directly and its general partner, WH Parallel Advisors, may be deemed to beneficially own indirectly warrants to purchase 7,766 shares of Common Stock. WH Parallel Advisors disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F9: Stone Asia beneficially owns directly and its general partner, Stone Asia GP, may be deemed to beneficially own indirectly warrants to purchase 683 shares of Common Stock. Stone Asia GP disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Stone Real Estate 2000 beneficially owns directly and its general partner, Stone 2000 Realty, may be deemed to beneficially own indirectly warrants to purchase 3,336 shares of Common Stock. Stone 2000 Realty disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
EnLink Midstream, LLC
Report date July 29, 2021 · Filed August 03, 2021
Jointly reported with GOLDMAN SACHS GROUP INC, West Street Energy Partners Offshore Holding-B AIV-1, L.P., West Street Energy Partners Offshore AIV-1, L.P., West Street Energy Partners AIV-1, L.P., West Street Energy Partners Offshore-B AIV-1, L.P., Broad Street Principal Investments, L.L.C., West Street Global Infrastructure Partners III, L.P., WEST STREET INTERNATIONAL INFRASTRUCTURE PARTNERS III, L.P., WEST STREET EUROPEAN INFRASTRUCTURE PARTNERS III, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 677,900 |
Last balance in matching sequence
After 2021-07-29 transaction · row 9
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
9 source rowsRow 1 · 2021-07-29 · Purchase · Acquired 687 · Balance 670,048 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), West Street International Infrastructure Partners III, L.P. ("WS International"), West Street European Infrastructure Partners III, L.P. ("WS European"), West Street Global Infrastructure Partners III, L.P. ("WS Global"), Broad Street Principal Investments, L.L.C. ("BS Principal"), West Street Energy Partners Offshore - B AIV-1, L.P. ("WS Offshore B"), West Street Energy Partners AIV-1, L.P. ("WS AIV"), West Street Energy Partners Offshore AIV-1, L.P. ("WS Offshore AIV"), West Street Energy Partners Offshore Holding - B AIV-1, L.P. ("WS Holdings B"), Broad Street Infrastructure Advisors III, L.L.C. ("BS Infrastructure"), (continued in footnote 2) F2: and Broad Street Energy Advisors AIV-1, L.L.C. ("BS Energy AIV", and together with WS International, WS European, WS Global, BS Principal, WS Offshore B, WS AIV, WS Offshore AIV, WS Holdings B, and BS Infrastructure, the "GS Entities"), WSIP Egypt Holdings, LP ("WSIP") and WSEP Egypt Holdings, LP ("WSEP", and together with WSIP, GS Group, Goldman Sachs, and the GS Entities, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 677,900 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) Goldman Sachs is an investment manager of certain of the GS Entities, (ii) Goldman Sachs is a subsidiary of GS Group, (iii) affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner or investment manager of the GS Entities; and (iv) the GS Entities are the direct or indirect beneficial owners of WSIP and WSEP. F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. Row 2 · 2021-07-29 · Purchase · Acquired 1,358 · Balance 671,406 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), West Street International Infrastructure Partners III, L.P. ("WS International"), West Street European Infrastructure Partners III, L.P. ("WS European"), West Street Global Infrastructure Partners III, L.P. ("WS Global"), Broad Street Principal Investments, L.L.C. ("BS Principal"), West Street Energy Partners Offshore - B AIV-1, L.P. ("WS Offshore B"), West Street Energy Partners AIV-1, L.P. ("WS AIV"), West Street Energy Partners Offshore AIV-1, L.P. ("WS Offshore AIV"), West Street Energy Partners Offshore Holding - B AIV-1, L.P. ("WS Holdings B"), Broad Street Infrastructure Advisors III, L.L.C. ("BS Infrastructure"), (continued in footnote 2) F2: and Broad Street Energy Advisors AIV-1, L.L.C. ("BS Energy AIV", and together with WS International, WS European, WS Global, BS Principal, WS Offshore B, WS AIV, WS Offshore AIV, WS Holdings B, and BS Infrastructure, the "GS Entities"), WSIP Egypt Holdings, LP ("WSIP") and WSEP Egypt Holdings, LP ("WSEP", and together with WSIP, GS Group, Goldman Sachs, and the GS Entities, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 677,900 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) Goldman Sachs is an investment manager of certain of the GS Entities, (ii) Goldman Sachs is a subsidiary of GS Group, (iii) affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner or investment manager of the GS Entities; and (iv) the GS Entities are the direct or indirect beneficial owners of WSIP and WSEP. F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. Row 3 · 2021-07-29 · Purchase · Acquired 1,257 · Balance 672,663 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), West Street International Infrastructure Partners III, L.P. ("WS International"), West Street European Infrastructure Partners III, L.P. ("WS European"), West Street Global Infrastructure Partners III, L.P. ("WS Global"), Broad Street Principal Investments, L.L.C. ("BS Principal"), West Street Energy Partners Offshore - B AIV-1, L.P. ("WS Offshore B"), West Street Energy Partners AIV-1, L.P. ("WS AIV"), West Street Energy Partners Offshore AIV-1, L.P. ("WS Offshore AIV"), West Street Energy Partners Offshore Holding - B AIV-1, L.P. ("WS Holdings B"), Broad Street Infrastructure Advisors III, L.L.C. ("BS Infrastructure"), (continued in footnote 2) F2: and Broad Street Energy Advisors AIV-1, L.L.C. ("BS Energy AIV", and together with WS International, WS European, WS Global, BS Principal, WS Offshore B, WS AIV, WS Offshore AIV, WS Holdings B, and BS Infrastructure, the "GS Entities"), WSIP Egypt Holdings, LP ("WSIP") and WSEP Egypt Holdings, LP ("WSEP", and together with WSIP, GS Group, Goldman Sachs, and the GS Entities, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 677,900 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) Goldman Sachs is an investment manager of certain of the GS Entities, (ii) Goldman Sachs is a subsidiary of GS Group, (iii) affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner or investment manager of the GS Entities; and (iv) the GS Entities are the direct or indirect beneficial owners of WSIP and WSEP. F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. Row 4 · 2021-07-29 · Purchase · Acquired 1,175 · Balance 673,838 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), West Street International Infrastructure Partners III, L.P. ("WS International"), West Street European Infrastructure Partners III, L.P. ("WS European"), West Street Global Infrastructure Partners III, L.P. ("WS Global"), Broad Street Principal Investments, L.L.C. ("BS Principal"), West Street Energy Partners Offshore - B AIV-1, L.P. ("WS Offshore B"), West Street Energy Partners AIV-1, L.P. ("WS AIV"), West Street Energy Partners Offshore AIV-1, L.P. ("WS Offshore AIV"), West Street Energy Partners Offshore Holding - B AIV-1, L.P. ("WS Holdings B"), Broad Street Infrastructure Advisors III, L.L.C. ("BS Infrastructure"), (continued in footnote 2) F2: and Broad Street Energy Advisors AIV-1, L.L.C. ("BS Energy AIV", and together with WS International, WS European, WS Global, BS Principal, WS Offshore B, WS AIV, WS Offshore AIV, WS Holdings B, and BS Infrastructure, the "GS Entities"), WSIP Egypt Holdings, LP ("WSIP") and WSEP Egypt Holdings, LP ("WSEP", and together with WSIP, GS Group, Goldman Sachs, and the GS Entities, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 677,900 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) Goldman Sachs is an investment manager of certain of the GS Entities, (ii) Goldman Sachs is a subsidiary of GS Group, (iii) affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner or investment manager of the GS Entities; and (iv) the GS Entities are the direct or indirect beneficial owners of WSIP and WSEP. F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. Row 5 · 2021-07-29 · Purchase · Acquired 553 · Balance 674,391 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), West Street International Infrastructure Partners III, L.P. ("WS International"), West Street European Infrastructure Partners III, L.P. ("WS European"), West Street Global Infrastructure Partners III, L.P. ("WS Global"), Broad Street Principal Investments, L.L.C. ("BS Principal"), West Street Energy Partners Offshore - B AIV-1, L.P. ("WS Offshore B"), West Street Energy Partners AIV-1, L.P. ("WS AIV"), West Street Energy Partners Offshore AIV-1, L.P. ("WS Offshore AIV"), West Street Energy Partners Offshore Holding - B AIV-1, L.P. ("WS Holdings B"), Broad Street Infrastructure Advisors III, L.L.C. ("BS Infrastructure"), (continued in footnote 2) F2: and Broad Street Energy Advisors AIV-1, L.L.C. ("BS Energy AIV", and together with WS International, WS European, WS Global, BS Principal, WS Offshore B, WS AIV, WS Offshore AIV, WS Holdings B, and BS Infrastructure, the "GS Entities"), WSIP Egypt Holdings, LP ("WSIP") and WSEP Egypt Holdings, LP ("WSEP", and together with WSIP, GS Group, Goldman Sachs, and the GS Entities, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 677,900 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) Goldman Sachs is an investment manager of certain of the GS Entities, (ii) Goldman Sachs is a subsidiary of GS Group, (iii) affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner or investment manager of the GS Entities; and (iv) the GS Entities are the direct or indirect beneficial owners of WSIP and WSEP. F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. Row 6 · 2021-07-29 · Purchase · Acquired 1,205 · Balance 675,596 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), West Street International Infrastructure Partners III, L.P. ("WS International"), West Street European Infrastructure Partners III, L.P. ("WS European"), West Street Global Infrastructure Partners III, L.P. ("WS Global"), Broad Street Principal Investments, L.L.C. ("BS Principal"), West Street Energy Partners Offshore - B AIV-1, L.P. ("WS Offshore B"), West Street Energy Partners AIV-1, L.P. ("WS AIV"), West Street Energy Partners Offshore AIV-1, L.P. ("WS Offshore AIV"), West Street Energy Partners Offshore Holding - B AIV-1, L.P. ("WS Holdings B"), Broad Street Infrastructure Advisors III, L.L.C. ("BS Infrastructure"), (continued in footnote 2) F2: and Broad Street Energy Advisors AIV-1, L.L.C. ("BS Energy AIV", and together with WS International, WS European, WS Global, BS Principal, WS Offshore B, WS AIV, WS Offshore AIV, WS Holdings B, and BS Infrastructure, the "GS Entities"), WSIP Egypt Holdings, LP ("WSIP") and WSEP Egypt Holdings, LP ("WSEP", and together with WSIP, GS Group, Goldman Sachs, and the GS Entities, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 677,900 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) Goldman Sachs is an investment manager of certain of the GS Entities, (ii) Goldman Sachs is a subsidiary of GS Group, (iii) affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner or investment manager of the GS Entities; and (iv) the GS Entities are the direct or indirect beneficial owners of WSIP and WSEP. F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. Row 7 · 2021-07-29 · Purchase · Acquired 428 · Balance 676,024 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), West Street International Infrastructure Partners III, L.P. ("WS International"), West Street European Infrastructure Partners III, L.P. ("WS European"), West Street Global Infrastructure Partners III, L.P. ("WS Global"), Broad Street Principal Investments, L.L.C. ("BS Principal"), West Street Energy Partners Offshore - B AIV-1, L.P. ("WS Offshore B"), West Street Energy Partners AIV-1, L.P. ("WS AIV"), West Street Energy Partners Offshore AIV-1, L.P. ("WS Offshore AIV"), West Street Energy Partners Offshore Holding - B AIV-1, L.P. ("WS Holdings B"), Broad Street Infrastructure Advisors III, L.L.C. ("BS Infrastructure"), (continued in footnote 2) F2: and Broad Street Energy Advisors AIV-1, L.L.C. ("BS Energy AIV", and together with WS International, WS European, WS Global, BS Principal, WS Offshore B, WS AIV, WS Offshore AIV, WS Holdings B, and BS Infrastructure, the "GS Entities"), WSIP Egypt Holdings, LP ("WSIP") and WSEP Egypt Holdings, LP ("WSEP", and together with WSIP, GS Group, Goldman Sachs, and the GS Entities, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 677,900 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) Goldman Sachs is an investment manager of certain of the GS Entities, (ii) Goldman Sachs is a subsidiary of GS Group, (iii) affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner or investment manager of the GS Entities; and (iv) the GS Entities are the direct or indirect beneficial owners of WSIP and WSEP. F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. Row 8 · 2021-07-29 · Purchase · Acquired 1,319 · Balance 677,343 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), West Street International Infrastructure Partners III, L.P. ("WS International"), West Street European Infrastructure Partners III, L.P. ("WS European"), West Street Global Infrastructure Partners III, L.P. ("WS Global"), Broad Street Principal Investments, L.L.C. ("BS Principal"), West Street Energy Partners Offshore - B AIV-1, L.P. ("WS Offshore B"), West Street Energy Partners AIV-1, L.P. ("WS AIV"), West Street Energy Partners Offshore AIV-1, L.P. ("WS Offshore AIV"), West Street Energy Partners Offshore Holding - B AIV-1, L.P. ("WS Holdings B"), Broad Street Infrastructure Advisors III, L.L.C. ("BS Infrastructure"), (continued in footnote 2) F2: and Broad Street Energy Advisors AIV-1, L.L.C. ("BS Energy AIV", and together with WS International, WS European, WS Global, BS Principal, WS Offshore B, WS AIV, WS Offshore AIV, WS Holdings B, and BS Infrastructure, the "GS Entities"), WSIP Egypt Holdings, LP ("WSIP") and WSEP Egypt Holdings, LP ("WSEP", and together with WSIP, GS Group, Goldman Sachs, and the GS Entities, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 677,900 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) Goldman Sachs is an investment manager of certain of the GS Entities, (ii) Goldman Sachs is a subsidiary of GS Group, (iii) affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner or investment manager of the GS Entities; and (iv) the GS Entities are the direct or indirect beneficial owners of WSIP and WSEP. F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. Row 9 · 2021-07-29 · Purchase · Acquired 557 · Balance 677,900 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), West Street International Infrastructure Partners III, L.P. ("WS International"), West Street European Infrastructure Partners III, L.P. ("WS European"), West Street Global Infrastructure Partners III, L.P. ("WS Global"), Broad Street Principal Investments, L.L.C. ("BS Principal"), West Street Energy Partners Offshore - B AIV-1, L.P. ("WS Offshore B"), West Street Energy Partners AIV-1, L.P. ("WS AIV"), West Street Energy Partners Offshore AIV-1, L.P. ("WS Offshore AIV"), West Street Energy Partners Offshore Holding - B AIV-1, L.P. ("WS Holdings B"), Broad Street Infrastructure Advisors III, L.L.C. ("BS Infrastructure"), (continued in footnote 2) F2: and Broad Street Energy Advisors AIV-1, L.L.C. ("BS Energy AIV", and together with WS International, WS European, WS Global, BS Principal, WS Offshore B, WS AIV, WS Offshore AIV, WS Holdings B, and BS Infrastructure, the "GS Entities"), WSIP Egypt Holdings, LP ("WSIP") and WSEP Egypt Holdings, LP ("WSEP", and together with WSIP, GS Group, Goldman Sachs, and the GS Entities, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 677,900 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) Goldman Sachs is an investment manager of certain of the GS Entities, (ii) Goldman Sachs is a subsidiary of GS Group, (iii) affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner or investment manager of the GS Entities; and (iv) the GS Entities are the direct or indirect beneficial owners of WSIP and WSEP. F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), West Street International Infrastructure Partners III, L.P. ("WS International"), West Street European Infrastructure Partners III, L.P. ("WS European"), West Street Global Infrastructure Partners III, L.P. ("WS Global"), Broad Street Principal Investments, L.L.C. ("BS Principal"), West Street Energy Partners Offshore - B AIV-1, L.P. ("WS Offshore B"), West Street Energy Partners AIV-1, L.P. ("WS AIV"), West Street Energy Partners Offshore AIV-1, L.P. ("WS Offshore AIV"), West Street Energy Partners Offshore Holding - B AIV-1, L.P. ("WS Holdings B"), Broad Street Infrastructure Advisors III, L.L.C. ("BS Infrastructure"), (continued in footnote 2)
F2: and Broad Street Energy Advisors AIV-1, L.L.C. ("BS Energy AIV", and together with WS International, WS European, WS Global, BS Principal, WS Offshore B, WS AIV, WS Offshore AIV, WS Holdings B, and BS Infrastructure, the "GS Entities"), WSIP Egypt Holdings, LP ("WSIP") and WSEP Egypt Holdings, LP ("WSEP", and together with WSIP, GS Group, Goldman Sachs, and the GS Entities, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
F3: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 677,900 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) Goldman Sachs is an investment manager of certain of the GS Entities, (ii) Goldman Sachs is a subsidiary of GS Group, (iii) affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner or investment manager of the GS Entities; and (iv) the GS Entities are the direct or indirect beneficial owners of WSIP and WSEP.
F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose.
FOAMEX INTERNATIONAL INC
Report date April 17, 2008 · Filed April 22, 2008
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 4,777,061 |
Reported balance
After 2008-04-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2008-04-17 · Purchase · Acquired 173,256 · Balance 4,777,061 F2: Reflects the number of shares of common stock, $0.01 par value per share (the "Common Stock") of Foamex International Inc. (the "Issuer") that will be payable to Goldman Sachs on April 22, 2008, at the time of the first issuance of the Series D Preferred Stock as a premium (the "Cure Premium") pursuant to the Issuer's exercise on April 17, 2008, of the equity cure letter, dated February 13, 2008, between Goldman Sachs and the Issuer. The Cure Premium is equal to $279,407.25, payable in a number of shares of Common Stock determined based on the average trading price of the Common Stock for the 30-trading day period ending on the fifth trading day immediately preceding the date on which the Cure Premium will become payable. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F3: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 4,777,061 shares of Common Stock. Goldman Sachs also has open short positions of 7 shares of Common Stock. |
| Series D Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.65 | IndirectSee footnotes | 5,169.0341 |
Reported balance
After 2008-04-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2008-04-17 · Purchase · Acquired 5,169.0341 · Balance 5,169.0341 F4: If the shares of Series D Preferred Stock are converted within ten days of the consummation of a rights offering that has occurred within ninety days of the first issuance of such shares, then the price per share of the Common Stock to be received upon conversion of the Series D Preferred Stock will equal the price per share of Common Stock in such rights offering. In all other instances, the price per share will equal the average trading price of the Common Stock for the 30-trading-day period ending on the fifth trading day immediately preceding the conversion date. F5: The Series D Preferred Stock is convertible at any time, at the holder's election, prior to the one-year anniversary of the first date on which shares of the Series D Preferred Stock are issued. F6: The Series D Preferred Stock has no expiration date. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F7: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 5,169.0341 shares of the Series D Preferred Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group.
F2: Reflects the number of shares of common stock, $0.01 par value per share (the "Common Stock") of Foamex International Inc. (the "Issuer") that will be payable to Goldman Sachs on April 22, 2008, at the time of the first issuance of the Series D Preferred Stock as a premium (the "Cure Premium") pursuant to the Issuer's exercise on April 17, 2008, of the equity cure letter, dated February 13, 2008, between Goldman Sachs and the Issuer. The Cure Premium is equal to $279,407.25, payable in a number of shares of Common Stock determined based on the average trading price of the Common Stock for the 30-trading day period ending on the fifth trading day immediately preceding the date on which the Cure Premium will become payable.
F3: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 4,777,061 shares of Common Stock. Goldman Sachs also has open short positions of 7 shares of Common Stock.
F4: If the shares of Series D Preferred Stock are converted within ten days of the consummation of a rights offering that has occurred within ninety days of the first issuance of such shares, then the price per share of the Common Stock to be received upon conversion of the Series D Preferred Stock will equal the price per share of Common Stock in such rights offering. In all other instances, the price per share will equal the average trading price of the Common Stock for the 30-trading-day period ending on the fifth trading day immediately preceding the conversion date.
F5: The Series D Preferred Stock is convertible at any time, at the holder's election, prior to the one-year anniversary of the first date on which shares of the Series D Preferred Stock are issued.
F6: The Series D Preferred Stock has no expiration date.
F7: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 5,169.0341 shares of the Series D Preferred Stock.
FOOTHILLS RESOURCES INC
Report date September 08, 2006 · Filed September 18, 2006
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,333,333 |
Reported balance
Holding disclosure · report date 2006-09-08 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 3,333,333 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. F2: The 3,333,333 shares of common stock, par value $0.001 per share (the "Common Stock") of Foothills Resources, Inc. (the "Issuer") reported herein may be deemed to be beneficially owned indirectly by GS Group by reason of the direct ownership of such securities by Goldman Sachs. |
| Warrant (right to acquire)SEC Table II · derivative / convertible security · Conversion / exercise price $2.75 · Expires 2011-09-08 | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2006-09-08 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F4: Subject to adjustment as provided in the warrant certificates disclosed as Exhibits 4.1 and 4.2 to the Form 8-K dated September 8, 2006 and filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 11, 2006 (SEC Accession No. 0001144204-06-037857). F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. F3: The warrants to purchase an aggregate of 4,666,667 shares of Common Stock reported herein may be deemed to be beneficially owned indirectly by GS Group by reason of the direct ownership of such securities by Goldman Sachs. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group.
F2: The 3,333,333 shares of common stock, par value $0.001 per share (the "Common Stock") of Foothills Resources, Inc. (the "Issuer") reported herein may be deemed to be beneficially owned indirectly by GS Group by reason of the direct ownership of such securities by Goldman Sachs.
F3: The warrants to purchase an aggregate of 4,666,667 shares of Common Stock reported herein may be deemed to be beneficially owned indirectly by GS Group by reason of the direct ownership of such securities by Goldman Sachs.
F4: Subject to adjustment as provided in the warrant certificates disclosed as Exhibits 4.1 and 4.2 to the Form 8-K dated September 8, 2006 and filed with the Securities and Exchange Commission (the "SEC") by the Issuer on September 11, 2006 (SEC Accession No. 0001144204-06-037857).
Flywire Corp
Report date December 12, 2022 · Filed December 14, 2022
Jointly reported with GOLDMAN SACHS GROUP INC, Goldman Sachs PSI Global Holdings, LLC, StoneBridge 2020, L.P., Stonebridge 2020 Offshore Holdings II, L.P., Bridge Street Opportunity Advisors, L.L.C.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Voting Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,218,798 |
Reported balance
After 2022-12-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-12-12 · Conversion · Acquired 147,816 · Balance 1,218,798 F1: The Non-Voting Common Stock is convertible into an equal number of shares of Voting Common Stock immediately prior to the execution of the sale of such shares as reported in Table I. On December 12, 2022, the reporting person consummated the sale of all 147,816 shares of Non-Voting Common Stock, resulting in the automatic conversion of such shares into Voting Common Stock upon the execution of the sale of such shares as reported in Table I. F2: (This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Goldman Sachs PSI Global Holdings, LLC ("GSPSI"), StoneBridge 2020, L.P. ("SB Fund"), StoneBridge 2020 Offshore Holdings II, L.P. ("SB Fund Offshore" and, together with SB Fund, the "SB Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). Ms. Jo Natauri serves as a member of the Board of Directors of the Issuer and is an employee of GS Group. Each of GS Group, Goldman Sachs, GSPSI, the SB Funds and Bridge Street is a director by deputization of the Issuer for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any. (Continued in Footnote 3 below) F3: (Continued from Footnote 2 above). This report shall not be deemed an admission that any of the Reporting Persons are a member of a group or the beneficial owner of any securities not directly owned by the Reporting Person. F4: Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of the SB Funds, and Bridge Street is the general partner of the SB Funds. Each of Bridge Street and GSPSI is wholly owned by GS Group. F5: Because of the relationships among GS Group, Goldman Sachs, Bridge Street, the SB Funds and GSPSI, each of GS Group and Goldman Sachs may be deemed a beneficial owner of any shares of the Issuer held by GSPSI and the SB Funds, and Bridge Street may be deemed a beneficial owner of any shares of the Issuer held by the SB Funds. |
| Voting Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,070,982 |
Reported balance
After 2022-12-12 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2022-12-12 · Sale · Disposed 147,816 · Balance 1,070,982 F2: (This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Goldman Sachs PSI Global Holdings, LLC ("GSPSI"), StoneBridge 2020, L.P. ("SB Fund"), StoneBridge 2020 Offshore Holdings II, L.P. ("SB Fund Offshore" and, together with SB Fund, the "SB Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). Ms. Jo Natauri serves as a member of the Board of Directors of the Issuer and is an employee of GS Group. Each of GS Group, Goldman Sachs, GSPSI, the SB Funds and Bridge Street is a director by deputization of the Issuer for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any. (Continued in Footnote 3 below) F3: (Continued from Footnote 2 above). This report shall not be deemed an admission that any of the Reporting Persons are a member of a group or the beneficial owner of any securities not directly owned by the Reporting Person. F4: Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of the SB Funds, and Bridge Street is the general partner of the SB Funds. Each of Bridge Street and GSPSI is wholly owned by GS Group. F5: Because of the relationships among GS Group, Goldman Sachs, Bridge Street, the SB Funds and GSPSI, each of GS Group and Goldman Sachs may be deemed a beneficial owner of any shares of the Issuer held by GSPSI and the SB Funds, and Bridge Street may be deemed a beneficial owner of any shares of the Issuer held by the SB Funds. |
| Voting Common StockSEC Table I · non-derivative | IndirectSee footnote | 567,273 |
Reported balance
After 2022-12-13 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2022-12-13 · Conversion · Acquired 166,095 · Balance 567,273 F6: The Non-Voting Common Stock is convertible into an equal number of shares of Voting Common Stock immediately prior to the execution of the sale of such shares as reported in Table I. On December 13, 2022, the reporting person consummated the sale of all 166,095 shares of Non-Voting Common Stock, resulting in the automatic conversion of such shares into Voting Common Stock upon the execution of the sale of such shares as reported in Table I. F2: (This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Goldman Sachs PSI Global Holdings, LLC ("GSPSI"), StoneBridge 2020, L.P. ("SB Fund"), StoneBridge 2020 Offshore Holdings II, L.P. ("SB Fund Offshore" and, together with SB Fund, the "SB Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). Ms. Jo Natauri serves as a member of the Board of Directors of the Issuer and is an employee of GS Group. Each of GS Group, Goldman Sachs, GSPSI, the SB Funds and Bridge Street is a director by deputization of the Issuer for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any. (Continued in Footnote 3 below) F3: (Continued from Footnote 2 above). This report shall not be deemed an admission that any of the Reporting Persons are a member of a group or the beneficial owner of any securities not directly owned by the Reporting Person. F4: Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of the SB Funds, and Bridge Street is the general partner of the SB Funds. Each of Bridge Street and GSPSI is wholly owned by GS Group. F5: Because of the relationships among GS Group, Goldman Sachs, Bridge Street, the SB Funds and GSPSI, each of GS Group and Goldman Sachs may be deemed a beneficial owner of any shares of the Issuer held by GSPSI and the SB Funds, and Bridge Street may be deemed a beneficial owner of any shares of the Issuer held by the SB Funds. |
| Voting Common StockSEC Table I · non-derivative | IndirectSee footnote | 401,178 |
Reported balance
After 2022-12-13 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2022-12-13 · Sale · Disposed 166,095 · Balance 401,178 F2: (This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Goldman Sachs PSI Global Holdings, LLC ("GSPSI"), StoneBridge 2020, L.P. ("SB Fund"), StoneBridge 2020 Offshore Holdings II, L.P. ("SB Fund Offshore" and, together with SB Fund, the "SB Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). Ms. Jo Natauri serves as a member of the Board of Directors of the Issuer and is an employee of GS Group. Each of GS Group, Goldman Sachs, GSPSI, the SB Funds and Bridge Street is a director by deputization of the Issuer for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any. (Continued in Footnote 3 below) F3: (Continued from Footnote 2 above). This report shall not be deemed an admission that any of the Reporting Persons are a member of a group or the beneficial owner of any securities not directly owned by the Reporting Person. F4: Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of the SB Funds, and Bridge Street is the general partner of the SB Funds. Each of Bridge Street and GSPSI is wholly owned by GS Group. F5: Because of the relationships among GS Group, Goldman Sachs, Bridge Street, the SB Funds and GSPSI, each of GS Group and Goldman Sachs may be deemed a beneficial owner of any shares of the Issuer held by GSPSI and the SB Funds, and Bridge Street may be deemed a beneficial owner of any shares of the Issuer held by the SB Funds. |
| Non-Voting Common StockSEC Table II · derivative / convertible security | IndirectSee footnote | 166,095 |
Reported balance
After 2022-12-12 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-12-12 · Conversion · Disposed 147,816 · Balance 166,095 F1: The Non-Voting Common Stock is convertible into an equal number of shares of Voting Common Stock immediately prior to the execution of the sale of such shares as reported in Table I. On December 12, 2022, the reporting person consummated the sale of all 147,816 shares of Non-Voting Common Stock, resulting in the automatic conversion of such shares into Voting Common Stock upon the execution of the sale of such shares as reported in Table I. F2: (This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Goldman Sachs PSI Global Holdings, LLC ("GSPSI"), StoneBridge 2020, L.P. ("SB Fund"), StoneBridge 2020 Offshore Holdings II, L.P. ("SB Fund Offshore" and, together with SB Fund, the "SB Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). Ms. Jo Natauri serves as a member of the Board of Directors of the Issuer and is an employee of GS Group. Each of GS Group, Goldman Sachs, GSPSI, the SB Funds and Bridge Street is a director by deputization of the Issuer for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any. (Continued in Footnote 3 below) F3: (Continued from Footnote 2 above). This report shall not be deemed an admission that any of the Reporting Persons are a member of a group or the beneficial owner of any securities not directly owned by the Reporting Person. F4: Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of the SB Funds, and Bridge Street is the general partner of the SB Funds. Each of Bridge Street and GSPSI is wholly owned by GS Group. F5: Because of the relationships among GS Group, Goldman Sachs, Bridge Street, the SB Funds and GSPSI, each of GS Group and Goldman Sachs may be deemed a beneficial owner of any shares of the Issuer held by GSPSI and the SB Funds, and Bridge Street may be deemed a beneficial owner of any shares of the Issuer held by the SB Funds. |
| Non-Voting Common StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2022-12-13 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2022-12-13 · Conversion · Disposed 166,095 · Balance 0 F6: The Non-Voting Common Stock is convertible into an equal number of shares of Voting Common Stock immediately prior to the execution of the sale of such shares as reported in Table I. On December 13, 2022, the reporting person consummated the sale of all 166,095 shares of Non-Voting Common Stock, resulting in the automatic conversion of such shares into Voting Common Stock upon the execution of the sale of such shares as reported in Table I. F2: (This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Goldman Sachs PSI Global Holdings, LLC ("GSPSI"), StoneBridge 2020, L.P. ("SB Fund"), StoneBridge 2020 Offshore Holdings II, L.P. ("SB Fund Offshore" and, together with SB Fund, the "SB Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). Ms. Jo Natauri serves as a member of the Board of Directors of the Issuer and is an employee of GS Group. Each of GS Group, Goldman Sachs, GSPSI, the SB Funds and Bridge Street is a director by deputization of the Issuer for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any. (Continued in Footnote 3 below) F3: (Continued from Footnote 2 above). This report shall not be deemed an admission that any of the Reporting Persons are a member of a group or the beneficial owner of any securities not directly owned by the Reporting Person. F4: Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of the SB Funds, and Bridge Street is the general partner of the SB Funds. Each of Bridge Street and GSPSI is wholly owned by GS Group. F5: Because of the relationships among GS Group, Goldman Sachs, Bridge Street, the SB Funds and GSPSI, each of GS Group and Goldman Sachs may be deemed a beneficial owner of any shares of the Issuer held by GSPSI and the SB Funds, and Bridge Street may be deemed a beneficial owner of any shares of the Issuer held by the SB Funds. |
Filing footnotes · ownership attribution and instrument terms
F1: The Non-Voting Common Stock is convertible into an equal number of shares of Voting Common Stock immediately prior to the execution of the sale of such shares as reported in Table I. On December 12, 2022, the reporting person consummated the sale of all 147,816 shares of Non-Voting Common Stock, resulting in the automatic conversion of such shares into Voting Common Stock upon the execution of the sale of such shares as reported in Table I.
F2: (This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Goldman Sachs PSI Global Holdings, LLC ("GSPSI"), StoneBridge 2020, L.P. ("SB Fund"), StoneBridge 2020 Offshore Holdings II, L.P. ("SB Fund Offshore" and, together with SB Fund, the "SB Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). Ms. Jo Natauri serves as a member of the Board of Directors of the Issuer and is an employee of GS Group. Each of GS Group, Goldman Sachs, GSPSI, the SB Funds and Bridge Street is a director by deputization of the Issuer for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any. (Continued in Footnote 3 below)
F3: (Continued from Footnote 2 above). This report shall not be deemed an admission that any of the Reporting Persons are a member of a group or the beneficial owner of any securities not directly owned by the Reporting Person.
F4: Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of the SB Funds, and Bridge Street is the general partner of the SB Funds. Each of Bridge Street and GSPSI is wholly owned by GS Group.
F5: Because of the relationships among GS Group, Goldman Sachs, Bridge Street, the SB Funds and GSPSI, each of GS Group and Goldman Sachs may be deemed a beneficial owner of any shares of the Issuer held by GSPSI and the SB Funds, and Bridge Street may be deemed a beneficial owner of any shares of the Issuer held by the SB Funds.
F6: The Non-Voting Common Stock is convertible into an equal number of shares of Voting Common Stock immediately prior to the execution of the sale of such shares as reported in Table I. On December 13, 2022, the reporting person consummated the sale of all 166,095 shares of Non-Voting Common Stock, resulting in the automatic conversion of such shares into Voting Common Stock upon the execution of the sale of such shares as reported in Table I.
GOLDMAN SACHS GROUP INC
Report date November 21, 2019 · Filed November 25, 2019
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | IndirectSee footnotes | 3,720 |
Reported balance
After 2019-11-21 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-11-21 · Other · Acquired 3,720 · Balance 3,720 F2: Each restricted stock unit ("RSU") represents a contingent right to receive one share of ProSight Global, Inc.'s ("PGI") common stock. F3: Represents 1,860 non-employee director RSUs granted pursuant to PGI's non-employee director compensation policy as compensation to each of Sumit Rajpal and Anthony Arnold for their service as members of the board of directors for the period from the completion of PGI's initial public offering to December 31, 2019. Such RSUs were fully vested on grant and will be settled on the first to occur of the grantee's separation of service and a "change of control" as defined in PGI's 2019 Equity Incentive Plan. Messrs. Rajpal and Arnold have an understanding with the Reporting Persons to hold the shares on the Reporting Persons' behalf. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein.In addition to the RSUs described herein, the Reporting Persons may be deemed to beneficially own indirectly, in the aggregate, 17,005,016 shares of Common Stock, par value $0.01 per share (the "Common Stock") of ProSight Global, Inc. (the "Company") by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs is the investment manager of certain of the GS Funds. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein.In addition to the RSUs described herein, the Reporting Persons may be deemed to beneficially own indirectly, in the aggregate, 17,005,016 shares of Common Stock, par value $0.01 per share (the "Common Stock") of ProSight Global, Inc. (the "Company") by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs is the investment manager of certain of the GS Funds.
F2: Each restricted stock unit ("RSU") represents a contingent right to receive one share of ProSight Global, Inc.'s ("PGI") common stock.
F3: Represents 1,860 non-employee director RSUs granted pursuant to PGI's non-employee director compensation policy as compensation to each of Sumit Rajpal and Anthony Arnold for their service as members of the board of directors for the period from the completion of PGI's initial public offering to December 31, 2019. Such RSUs were fully vested on grant and will be settled on the first to occur of the grantee's separation of service and a "change of control" as defined in PGI's 2019 Equity Incentive Plan. Messrs. Rajpal and Arnold have an understanding with the Reporting Persons to hold the shares on the Reporting Persons' behalf.
Grom Social Enterprises, Inc.
Report date January 25, 2023 · Filed January 31, 2023
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 106,848 |
Reported balance
Holding disclosure · report date 2023-01-25 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 106,848 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On January 25, 2023, the Reporting Persons experienced an increase in their beneficial ownership of Grom Social Enterprises, Inc. (the "Issuer") to above 10% of the outstanding Common Stock due to a securities borrow transaction. On January 26, 2023, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in securities borrows. F2: The Common Stock of the Issuer reported herein as indirectly beneficially owned is directly beneficially owned by Goldman Sachs and indirectly beneficially owned by GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On January 25, 2023, the Reporting Persons experienced an increase in their beneficial ownership of Grom Social Enterprises, Inc. (the "Issuer") to above 10% of the outstanding Common Stock due to a securities borrow transaction. On January 26, 2023, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in securities borrows.
F2: The Common Stock of the Issuer reported herein as indirectly beneficially owned is directly beneficially owned by Goldman Sachs and indirectly beneficially owned by GS Group.
HealthMarkets, Inc.
Report date April 05, 2006 · Filed April 18, 2006
Jointly reported with GOLDMAN SACHS GROUP INC, GSCP V ADVISORS, L.L.C., GSCP V OFFSHORE ADVISORS, L.L.C., GS ADVISORS V, L.L.C., GOLDMAN, SACHS MANAGEMENT GP GMBH, GS CAPITAL PARTNERS V FUND, L.P., GS CAPITAL PARTNERS V GMBH & CO. KG, GS CAPITAL PARTNERS V INSTITUTIONAL, L.P., GS CAPITAL PARTNERS V OFFSHORE FUND, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A-1 Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 6,756,756.7567 |
Reported balance
Holding disclosure · report date 2006-04-05 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 6,756,756.7567 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GSCP V Advisors, L.L.C. ("GSCP Advisors"), GSCP V Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors V, L.L.C. ("GS Advisors"), Goldman, Sachs Management GP GMBH ("GS GmbH"), GS Capital Partners V Fund, L.P. ("GS Capital"), GS Capital Partners V Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners V GmbH & CO. KG ("GS Germany"), GS Capital Partners V Institutional, L.P. ("GS Institutional" and, together with GS Capital, GS Offshore and GS Germany, the "Funds"), GS Maverick Co. ("GS Maverick"), Mulberry Holdings I, LLC ("Mulberry I"), and Mulberry Holdings II, LLC ("Mulberry II" and, together with Mulberry I, the "Mulberry Entities") (continued in next footnote) F2: (GS Group, Goldman Sachs, GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH, the Funds, GS Maverick, and the Mulberry Entities, collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3: On April 5, 2006, pursuant to the Agreement and Plan of Merger, dated as of September 15, 2005 (the "Merger Agreement"), by and among Premium Finance LLC, Mulberry Finance Co., Inc., DLJMB IV First Merger LLC, Premium Acquisition, Inc. ("Merger Co 1"), Mulberry Acquisition, Inc. ("Merger Co 2"), DLJMB IV First Merger Co Acquisition Inc. ("Merger Co 3", and each of Merger Co 1, Merger Co 2 and Merger Co 3, a "Merger Co"), and Healthmarkets, Inc. (formerly known as UICI) (the "Company"), each Merger Co merged with and into the Company, with the Company being the surviving corporation (the "Merger"). Upon consummation of the Merger, each share of common stock of each Merger Co was converted into one share of class A-1 common stock of the Company, par value $0.01 per share ("Class A-1 Common Stock") pursuant to the Merger Agreement. (continued in next footnote) F4: The Mulberry Entities held 6,756,756.7567 shares of common stock of Merger Co 2, which were converted into 6,756,756.7567 shares of Class A-1 Common Stock in the Merger. F5: After consummation of the Merger, Goldman Sachs and GS Group may be deemed to beneficially own an aggregate of 6,756,756.7567 shares of Class A-1 Common Stock through the Mulberry Entities, of which affiliates of GS Group and Goldman Sachs are the managing member and non-managing members. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. GS Group and Goldman Sachs each disclaims beneficial ownership of the shares of Class A-1 Common Stock beneficially owned by the Mulberry Entities and the Funds except to the extent of their pecuniary interest therein. F6: Mulberry I beneficially owns directly 5,536,722.9729 shares of Class A-1 Common Stock, and GS Capital, GS Offshore and GS Germany, the non-managing members of Mulberry I, may be deemed to beneficially own indirectly, 3,557,837.8378 shares, 1,837,831.0811 shares and 141,054.0540 shares, respectively, of Class A-1 Common Stock. Mulberry II beneficially owns directly, and its sole non-managing member, GS Institutional, may be deemed to beneficially own indirectly, 1,220,033.7838 shares of Class A-1 Common Stock. F7: GSCP Advisors, the general partner of GS Capital, may be deemed to beneficially own indirectly the 3,557,837.8378 shares of Class A-1 Common Stock that may be deemed to be beneficially owned by GS Capital. GSCP Offshore Advisors, the general partner of GS Offshore, may be deemed to beneficially own indirectly the 1,837,831.0811 shares of Class A-1 Common Stock that may be deemed to be beneficially owned by GS Offshore. GS Advisors, the managing limited partner of GS Germany and the general partner of GS Institutional, may be deemed to beneficially own indirectly the aggregate of 1,361,087.8378 shares of Class A-1 Common Stock that may be deemed to be beneficially owned by GS Germany and GS Institutional. F8: GS GmbH, the general partner of GS Germany, may be deemed to beneficially own 141,054.0540 shares of Class A-1 Common Stock that may be deemed to be beneficially owned by GS Germany. GS Maverick, the sole managing member of each of Mulberry I and Mulberry II, may be deemed to beneficially own indirectly the aggregate of 6,756,756.7567 shares of Class A-1 Common Stock that are beneficially owned by the Mulberry Entities. Each of GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS Capital, GS Offshore, GS Germany, GS Institutional and GS Maverick disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GSCP V Advisors, L.L.C. ("GSCP Advisors"), GSCP V Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors V, L.L.C. ("GS Advisors"), Goldman, Sachs Management GP GMBH ("GS GmbH"), GS Capital Partners V Fund, L.P. ("GS Capital"), GS Capital Partners V Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners V GmbH & CO. KG ("GS Germany"), GS Capital Partners V Institutional, L.P. ("GS Institutional" and, together with GS Capital, GS Offshore and GS Germany, the "Funds"), GS Maverick Co. ("GS Maverick"), Mulberry Holdings I, LLC ("Mulberry I"), and Mulberry Holdings II, LLC ("Mulberry II" and, together with Mulberry I, the "Mulberry Entities") (continued in next footnote)
F2: (GS Group, Goldman Sachs, GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH, the Funds, GS Maverick, and the Mulberry Entities, collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
F3: On April 5, 2006, pursuant to the Agreement and Plan of Merger, dated as of September 15, 2005 (the "Merger Agreement"), by and among Premium Finance LLC, Mulberry Finance Co., Inc., DLJMB IV First Merger LLC, Premium Acquisition, Inc. ("Merger Co 1"), Mulberry Acquisition, Inc. ("Merger Co 2"), DLJMB IV First Merger Co Acquisition Inc. ("Merger Co 3", and each of Merger Co 1, Merger Co 2 and Merger Co 3, a "Merger Co"), and Healthmarkets, Inc. (formerly known as UICI) (the "Company"), each Merger Co merged with and into the Company, with the Company being the surviving corporation (the "Merger"). Upon consummation of the Merger, each share of common stock of each Merger Co was converted into one share of class A-1 common stock of the Company, par value $0.01 per share ("Class A-1 Common Stock") pursuant to the Merger Agreement. (continued in next footnote)
F4: The Mulberry Entities held 6,756,756.7567 shares of common stock of Merger Co 2, which were converted into 6,756,756.7567 shares of Class A-1 Common Stock in the Merger.
F5: After consummation of the Merger, Goldman Sachs and GS Group may be deemed to beneficially own an aggregate of 6,756,756.7567 shares of Class A-1 Common Stock through the Mulberry Entities, of which affiliates of GS Group and Goldman Sachs are the managing member and non-managing members. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. GS Group and Goldman Sachs each disclaims beneficial ownership of the shares of Class A-1 Common Stock beneficially owned by the Mulberry Entities and the Funds except to the extent of their pecuniary interest therein.
F6: Mulberry I beneficially owns directly 5,536,722.9729 shares of Class A-1 Common Stock, and GS Capital, GS Offshore and GS Germany, the non-managing members of Mulberry I, may be deemed to beneficially own indirectly, 3,557,837.8378 shares, 1,837,831.0811 shares and 141,054.0540 shares, respectively, of Class A-1 Common Stock. Mulberry II beneficially owns directly, and its sole non-managing member, GS Institutional, may be deemed to beneficially own indirectly, 1,220,033.7838 shares of Class A-1 Common Stock.
F7: GSCP Advisors, the general partner of GS Capital, may be deemed to beneficially own indirectly the 3,557,837.8378 shares of Class A-1 Common Stock that may be deemed to be beneficially owned by GS Capital. GSCP Offshore Advisors, the general partner of GS Offshore, may be deemed to beneficially own indirectly the 1,837,831.0811 shares of Class A-1 Common Stock that may be deemed to be beneficially owned by GS Offshore. GS Advisors, the managing limited partner of GS Germany and the general partner of GS Institutional, may be deemed to beneficially own indirectly the aggregate of 1,361,087.8378 shares of Class A-1 Common Stock that may be deemed to be beneficially owned by GS Germany and GS Institutional.
F8: GS GmbH, the general partner of GS Germany, may be deemed to beneficially own 141,054.0540 shares of Class A-1 Common Stock that may be deemed to be beneficially owned by GS Germany. GS Maverick, the sole managing member of each of Mulberry I and Mulberry II, may be deemed to beneficially own indirectly the aggregate of 6,756,756.7567 shares of Class A-1 Common Stock that are beneficially owned by the Mulberry Entities. Each of GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS Capital, GS Offshore, GS Germany, GS Institutional and GS Maverick disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
IG Acquisition Corp.
Report date November 08, 2022 · Filed December 22, 2022 · Amendment
Jointly reported with GOLDMAN SACHS GROUP INC
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2022-11-08 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance Not disclosed F1: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on December 16, 2022, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $9.78 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $9.78 per share, in each case, based on a notional amount of 1 Common Share. F2: These equity swaps were omitted from the Reporting Persons' original Form 3. F3: The equity swaps reported herein are beneficially owned directly by Goldman Sachs and indirectly by GS Group. F4: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2022-11-08 · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · Balance Not disclosed F2: These equity swaps were omitted from the Reporting Persons' original Form 3. F5: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on December 8, 2025, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $9.84 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $9.84 per share, in each case, based on a notional amount of 265,000 Common Shares. F3: The equity swaps reported herein are beneficially owned directly by Goldman Sachs and indirectly by GS Group. F4: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on December 16, 2022, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $9.78 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $9.78 per share, in each case, based on a notional amount of 1 Common Share.
F2: These equity swaps were omitted from the Reporting Persons' original Form 3.
F3: The equity swaps reported herein are beneficially owned directly by Goldman Sachs and indirectly by GS Group.
F4: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F5: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on December 8, 2025, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $9.84 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $9.84 per share, in each case, based on a notional amount of 265,000 Common Shares.
INTERLINE BRANDS, INC./DE
Report date May 29, 2012 · Filed June 05, 2012
Jointly reported with GOLDMAN SACHS GROUP INC, GSCP VI Advisors, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Advisors VI, L.L.C., GOLDMAN, SACHS MANAGEMENT GP GMBH, GS Capital Partners VI Fund, L.P., GS Capital Partners VI Offshore Fund, L.P., GS Capital Partners VI GmbH & Co KG, GS Capital Partners VI Parallel LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,563 |
Reported balance
After 2012-05-29 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2012-05-29 · Purchase · Acquired 10,000 · Balance 15,563 F12: For text of Footnote 12, see Exhibit 99.1. F10: For text of Footnote 10, see Exhibit 99.1. F1: For text of Footnote 1, see Exhibit 99.1. F2: For text of Footnote 2, see Exhibit 99.1. F3: For text of Footnote 3, see Exhibit 99.1. F4: For text of Footnote 4, see Exhibit 99.1. F5: For text of Footnote 5, see Exhibit 99.1. F6: For text of Footnote 6, see Exhibit 99.1. F7: For text of Footnote 7, see Exhibit 99.1. F8: For text of Footnote 8, see Exhibit 99.1. F9: For text of Footnote 9, see Exhibit 99.1. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 5,563 |
Reported balance
After 2012-05-29 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2012-05-29 · Sale · Disposed 10,000 · Balance 5,563 F12: For text of Footnote 12, see Exhibit 99.1. F11: For text of Footnote 11, see Exhibit 99.1. F1: For text of Footnote 1, see Exhibit 99.1. F2: For text of Footnote 2, see Exhibit 99.1. F3: For text of Footnote 3, see Exhibit 99.1. F4: For text of Footnote 4, see Exhibit 99.1. F5: For text of Footnote 5, see Exhibit 99.1. F6: For text of Footnote 6, see Exhibit 99.1. F7: For text of Footnote 7, see Exhibit 99.1. F8: For text of Footnote 8, see Exhibit 99.1. F9: For text of Footnote 9, see Exhibit 99.1. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 5,563 |
Reported balance
Holding disclosure · report date 2012-05-29 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 5,563 F1: For text of Footnote 1, see Exhibit 99.1. F2: For text of Footnote 2, see Exhibit 99.1. F3: For text of Footnote 3, see Exhibit 99.1. F4: For text of Footnote 4, see Exhibit 99.1. F5: For text of Footnote 5, see Exhibit 99.1. F6: For text of Footnote 6, see Exhibit 99.1. F7: For text of Footnote 7, see Exhibit 99.1. F8: For text of Footnote 8, see Exhibit 99.1. F9: For text of Footnote 9, see Exhibit 99.1. |
Filing footnotes · ownership attribution and instrument terms
F1: For text of Footnote 1, see Exhibit 99.1.
F2: For text of Footnote 2, see Exhibit 99.1.
F3: For text of Footnote 3, see Exhibit 99.1.
F4: For text of Footnote 4, see Exhibit 99.1.
F5: For text of Footnote 5, see Exhibit 99.1.
F6: For text of Footnote 6, see Exhibit 99.1.
F7: For text of Footnote 7, see Exhibit 99.1.
F8: For text of Footnote 8, see Exhibit 99.1.
F9: For text of Footnote 9, see Exhibit 99.1.
F10: For text of Footnote 10, see Exhibit 99.1.
F11: For text of Footnote 11, see Exhibit 99.1.
F12: For text of Footnote 12, see Exhibit 99.1.
Intelligent Medicine Acquisition Corp.
Report date April 17, 2023 · Filed April 27, 2023
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 200,000 |
Reported balance
Holding disclosure · report date 2023-04-17 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 200,000 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Due to a reduction in the number of outstanding shares of Class A Common Stock as first publicly announced by Intelligent Medicine Acquisition Corp. (the "Issuer") on April 17, 2023, the Reporting Persons involuntarily became greater than 10% beneficial owners of the outstanding Class A Common Stock. F2: The securities of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee Footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2023-04-17 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F3: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on December 15, 2026 the counterparty will receive from Goldman Sachs any increase in the price of the Warrants above $0.00 per share, based on a notional amount of 1,067 warrants. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Due to a reduction in the number of outstanding shares of Class A Common Stock as first publicly announced by Intelligent Medicine Acquisition Corp. (the "Issuer") on April 17, 2023, the Reporting Persons involuntarily became greater than 10% beneficial owners of the outstanding Class A Common Stock. F2: The securities of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Due to a reduction in the number of outstanding shares of Class A Common Stock as first publicly announced by Intelligent Medicine Acquisition Corp. (the "Issuer") on April 17, 2023, the Reporting Persons involuntarily became greater than 10% beneficial owners of the outstanding Class A Common Stock.
F2: The securities of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group.
F3: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on December 15, 2026 the counterparty will receive from Goldman Sachs any increase in the price of the Warrants above $0.00 per share, based on a notional amount of 1,067 warrants.
KALTURA INC
Report date August 05, 2021 · Filed January 20, 2022
Jointly reported with GOLDMAN SACHS GROUP INC, GSSG Holdings LLC, SPECIAL SITUATIONS INVESTING GROUP II, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 16,689,639 |
Reported balance
After 2021-08-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-08-05 · Purchase · Acquired 100 · Balance 16,689,639 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GSSG Holdings LLC ("GSSG"), and Special Situations Investing Group II, LLC ("SSIG") (together, the "Reporting Persons"). GSSG is a wholly owned subsidiary of GS Group, and SSIG is a wholly owned subsidiary of GSSG. Goldman Sachs is a wholly owned subsidiary of GS Group. Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 16,689,639 shares of common stock, par value $0.0001 per share ("Common Stock"), of Kaltura, Inc. by reason of the direct or indirect beneficial ownership of such shares as follows: 14,443,739 shares of Common Stock held by SSIG and 2,245,900 shares of Common Stock held by Goldman Sachs. (Continued in Footnote 2) F2: (Continued from Footnote 1) Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interests in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GSSG Holdings LLC ("GSSG"), and Special Situations Investing Group II, LLC ("SSIG") (together, the "Reporting Persons"). GSSG is a wholly owned subsidiary of GS Group, and SSIG is a wholly owned subsidiary of GSSG. Goldman Sachs is a wholly owned subsidiary of GS Group. Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 16,689,639 shares of common stock, par value $0.0001 per share ("Common Stock"), of Kaltura, Inc. by reason of the direct or indirect beneficial ownership of such shares as follows: 14,443,739 shares of Common Stock held by SSIG and 2,245,900 shares of Common Stock held by Goldman Sachs. (Continued in Footnote 2)
F2: (Continued from Footnote 1) Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interests in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
KEY ENERGY SERVICES INC
Report date March 06, 2020 · Filed March 16, 2020
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee footnotes | 4,731,758 |
Reported balance
Holding disclosure · report date 2020-03-06 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4,731,758 F2: As of March 6, 2020, GS Group and Goldman Sachs may each be deemed to beneficially own 4,731,758 shares of common stock, $0.01 par value per share ("Common Stock"), of Key Energy Services, Inc. GS Group may be deemed to beneficially own indirectly the Common Stock by reason of Goldman Sachs' direct beneficial ownership. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F3: The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 4,731,758 |
Reported balance
Holding disclosure · report date 2020-03-06 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 4,731,758 F2: As of March 6, 2020, GS Group and Goldman Sachs may each be deemed to beneficially own 4,731,758 shares of common stock, $0.01 par value per share ("Common Stock"), of Key Energy Services, Inc. GS Group may be deemed to beneficially own indirectly the Common Stock by reason of Goldman Sachs' direct beneficial ownership. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group.
F2: As of March 6, 2020, GS Group and Goldman Sachs may each be deemed to beneficially own 4,731,758 shares of common stock, $0.01 par value per share ("Common Stock"), of Key Energy Services, Inc. GS Group may be deemed to beneficially own indirectly the Common Stock by reason of Goldman Sachs' direct beneficial ownership.
F3: The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any.
KINDER MORGAN INC
Report date November 03, 2006 · Filed November 27, 2006
Jointly reported with GOLDMAN SACHS GROUP INC, GSCP V ADVISORS, L.L.C., GSCP V OFFSHORE ADVISORS, L.L.C., GS ADVISORS V, L.L.C., GOLDMAN, SACHS MANAGEMENT GP GMBH, GS CAPITAL PARTNERS V OFFSHORE FUND, L.P., GS CAPITAL PARTNERS V GMBH & CO. KG, GS CAPITAL PARTNERS V INSTITUTIONAL, L.P., GS CAPITAL PARTNERS V FUND, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 11,168 |
Reported balance
After 2006-11-03 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2006-11-03 · Purchase · Acquired 1,000 · Balance 11,168 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GSCP V Advisors, L.L.C. ("GSCP Advisors"), GSCP V Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors V, L.L.C. ("GS Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Global Infrastructure Advisors 2006, L.L.C. ("GS Global Advisors"), GS Capital Partners V Fund, L.P. ("GS Capital"), GS Capital Partners V Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners V GmbH & Co. KG ("GS Germany"), GS Capital Partners V Institutional, L.P. ("GS Institutional") and GS Global Infrastructure Partners I, L.P. ("GS Global Partners" and, together with GS Capital, GS Offshore and GS Germany and GS Institutional, the "Funds") (continued in next footnote). F2: (GS Group, Goldman Sachs, GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH, GS Global Advisors and the Funds, collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3: On May 28, 2006, Richard D. Kinder, the Chairman of the Board of Directors and Chief Executive Officer of Kinder Morgan, Inc. (the "Company"), together with GS Capital Partners and other investors (collectively, the "Investors"), delivered a letter to the Board of Directors of the Company in which it was proposed that Mr. Kinder and funds managed by the other investors would offer to acquire by merger all of the outstanding shares of the Company's common stock, par value $5 per share ("Common Stock"), other than any shares held by any of the Investors and shares held by members of the Company's senior management team that are to be invested in the transaction (the "Proposal"). Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner, managing limited partner, or investment manager of the Funds. F4: As a result of the Proposal, the Reporting Persons, together with the other investors and certain of their affiliates, may be deemed to constitute a "group", within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, that beneficially owns more than 10% of the outstanding shares of Common Stock of the Company. This Form 4 shall not be deemed an admission that any Reporting Person is a beneficial owner of any shares of Common Stock for any purpose, other than the securities reported in Tables I of this Form 4. Each of the Reporting Persons disclaims beneficial ownership of the securities reported in Table I except to the extent of its pecuniary interest therein, if any. F5: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Company. GS Group may be deemed to beneficially own indirectly 10,168 shares of Common Stock by reason of the direct ownership of such securities by Goldman Sachs or another direct or indirect wholly-owned subsidiary of GS Group. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 10,168 |
Reported balance
After 2006-11-03 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2006-11-03 · Sale · Disposed 1,000 · Balance 10,168 F6: Reflects changes due to transactions that were part of baskets that met the requirements for exemption as outlined by the Securities and Exchange Commission, and therefore not reported. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GSCP V Advisors, L.L.C. ("GSCP Advisors"), GSCP V Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors V, L.L.C. ("GS Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Global Infrastructure Advisors 2006, L.L.C. ("GS Global Advisors"), GS Capital Partners V Fund, L.P. ("GS Capital"), GS Capital Partners V Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners V GmbH & Co. KG ("GS Germany"), GS Capital Partners V Institutional, L.P. ("GS Institutional") and GS Global Infrastructure Partners I, L.P. ("GS Global Partners" and, together with GS Capital, GS Offshore and GS Germany and GS Institutional, the "Funds") (continued in next footnote). F2: (GS Group, Goldman Sachs, GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH, GS Global Advisors and the Funds, collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3: On May 28, 2006, Richard D. Kinder, the Chairman of the Board of Directors and Chief Executive Officer of Kinder Morgan, Inc. (the "Company"), together with GS Capital Partners and other investors (collectively, the "Investors"), delivered a letter to the Board of Directors of the Company in which it was proposed that Mr. Kinder and funds managed by the other investors would offer to acquire by merger all of the outstanding shares of the Company's common stock, par value $5 per share ("Common Stock"), other than any shares held by any of the Investors and shares held by members of the Company's senior management team that are to be invested in the transaction (the "Proposal"). Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner, managing limited partner, or investment manager of the Funds. F4: As a result of the Proposal, the Reporting Persons, together with the other investors and certain of their affiliates, may be deemed to constitute a "group", within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, that beneficially owns more than 10% of the outstanding shares of Common Stock of the Company. This Form 4 shall not be deemed an admission that any Reporting Person is a beneficial owner of any shares of Common Stock for any purpose, other than the securities reported in Tables I of this Form 4. Each of the Reporting Persons disclaims beneficial ownership of the securities reported in Table I except to the extent of its pecuniary interest therein, if any. F5: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Company. GS Group may be deemed to beneficially own indirectly 10,168 shares of Common Stock by reason of the direct ownership of such securities by Goldman Sachs or another direct or indirect wholly-owned subsidiary of GS Group. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GSCP V Advisors, L.L.C. ("GSCP Advisors"), GSCP V Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors V, L.L.C. ("GS Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Global Infrastructure Advisors 2006, L.L.C. ("GS Global Advisors"), GS Capital Partners V Fund, L.P. ("GS Capital"), GS Capital Partners V Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners V GmbH & Co. KG ("GS Germany"), GS Capital Partners V Institutional, L.P. ("GS Institutional") and GS Global Infrastructure Partners I, L.P. ("GS Global Partners" and, together with GS Capital, GS Offshore and GS Germany and GS Institutional, the "Funds") (continued in next footnote).
F2: (GS Group, Goldman Sachs, GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH, GS Global Advisors and the Funds, collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
F3: On May 28, 2006, Richard D. Kinder, the Chairman of the Board of Directors and Chief Executive Officer of Kinder Morgan, Inc. (the "Company"), together with GS Capital Partners and other investors (collectively, the "Investors"), delivered a letter to the Board of Directors of the Company in which it was proposed that Mr. Kinder and funds managed by the other investors would offer to acquire by merger all of the outstanding shares of the Company's common stock, par value $5 per share ("Common Stock"), other than any shares held by any of the Investors and shares held by members of the Company's senior management team that are to be invested in the transaction (the "Proposal"). Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner, managing limited partner, or investment manager of the Funds.
F4: As a result of the Proposal, the Reporting Persons, together with the other investors and certain of their affiliates, may be deemed to constitute a "group", within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, that beneficially owns more than 10% of the outstanding shares of Common Stock of the Company. This Form 4 shall not be deemed an admission that any Reporting Person is a beneficial owner of any shares of Common Stock for any purpose, other than the securities reported in Tables I of this Form 4. Each of the Reporting Persons disclaims beneficial ownership of the securities reported in Table I except to the extent of its pecuniary interest therein, if any.
F5: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Company. GS Group may be deemed to beneficially own indirectly 10,168 shares of Common Stock by reason of the direct ownership of such securities by Goldman Sachs or another direct or indirect wholly-owned subsidiary of GS Group. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group.
F6: Reflects changes due to transactions that were part of baskets that met the requirements for exemption as outlined by the Securities and Exchange Commission, and therefore not reported.
LIGAND PHARMACEUTICALS INC
Report date February 03, 2020 · Filed February 14, 2020
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common UnitsSEC Table I · non-derivative | IndirectSee footnote | 686,330 |
Reported balance
Holding disclosure · report date 2020-02-03 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 686,330 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On February 4, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Convertible BondsSEC Table II · derivative / convertible security · Conversion / exercise price $248.48 · Expires 2023-05-15 | IndirectSee footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2020-02-03 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F3: Goldman Sachs may exchange all or a portion of its convertible bonds for Common Units of the Issuer on a 1 - for - 4.0244 basis. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On February 4, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $315.38 | IndirectSee footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2020-02-03 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F4: Goldman Sachs may exercise all or a portion of the options at any time during the conversion period between August 15, 2023 and February 6, 2024 for Common Units of the Issuer on a 1 - for - 1 basis. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On February 4, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On February 4, 2020, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows.
F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group.
F3: Goldman Sachs may exchange all or a portion of its convertible bonds for Common Units of the Issuer on a 1 - for - 4.0244 basis.
F4: Goldman Sachs may exercise all or a portion of the options at any time during the conversion period between August 15, 2023 and February 6, 2024 for Common Units of the Issuer on a 1 - for - 1 basis.
MasterBrand, Inc.
Report date January 20, 2023 · Filed January 26, 2023
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 14,543,349 |
Reported balance
Holding disclosure · report date 2023-01-20 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 14,543,349 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On January 20, 2023, the Reporting Persons experienced an increase in their beneficial ownership of MasterBrand, Inc. (the "Issuer") to above 10% of the outstanding Common Stock due to a securities borrow transaction. On January 24, 2023, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in securities borrows. F2: The Common Stock and equity swaps of the Issuer reported herein as indirectly beneficially owned are directly beneficially owned by Goldman Sachs and indirectly beneficially owned by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2023-01-20 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F3: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on January 18, 2033, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Stock below $8.371732 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Stock above $8.371732 per share, in each case, based on a notional amount of 54,038 shares of Common Stock. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On January 20, 2023, the Reporting Persons experienced an increase in their beneficial ownership of MasterBrand, Inc. (the "Issuer") to above 10% of the outstanding Common Stock due to a securities borrow transaction. On January 24, 2023, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in securities borrows. F2: The Common Stock and equity swaps of the Issuer reported herein as indirectly beneficially owned are directly beneficially owned by Goldman Sachs and indirectly beneficially owned by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2023-01-20 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F4: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on January 18, 2033, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Stock below $8.371732 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Stock above $8.371732 per share, in each case, based on a notional amount of 18,015 shares of Common Stock. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On January 20, 2023, the Reporting Persons experienced an increase in their beneficial ownership of MasterBrand, Inc. (the "Issuer") to above 10% of the outstanding Common Stock due to a securities borrow transaction. On January 24, 2023, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in securities borrows. F2: The Common Stock and equity swaps of the Issuer reported herein as indirectly beneficially owned are directly beneficially owned by Goldman Sachs and indirectly beneficially owned by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2023-01-20 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F5: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on January 18, 2033, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Stock below $8.266921 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Stock above $8.266921 per share, in each case, based on a notional amount of 25,069 shares of Common Stock. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On January 20, 2023, the Reporting Persons experienced an increase in their beneficial ownership of MasterBrand, Inc. (the "Issuer") to above 10% of the outstanding Common Stock due to a securities borrow transaction. On January 24, 2023, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in securities borrows. F2: The Common Stock and equity swaps of the Issuer reported herein as indirectly beneficially owned are directly beneficially owned by Goldman Sachs and indirectly beneficially owned by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2023-01-20 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance Not disclosed F6: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on January 24, 2033, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Stock below $8.553046 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Stock above $8.553046 per share, in each case, based on a notional amount of 17,853 shares of Common Stock. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On January 20, 2023, the Reporting Persons experienced an increase in their beneficial ownership of MasterBrand, Inc. (the "Issuer") to above 10% of the outstanding Common Stock due to a securities borrow transaction. On January 24, 2023, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in securities borrows. F2: The Common Stock and equity swaps of the Issuer reported herein as indirectly beneficially owned are directly beneficially owned by Goldman Sachs and indirectly beneficially owned by GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On January 20, 2023, the Reporting Persons experienced an increase in their beneficial ownership of MasterBrand, Inc. (the "Issuer") to above 10% of the outstanding Common Stock due to a securities borrow transaction. On January 24, 2023, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in securities borrows.
F2: The Common Stock and equity swaps of the Issuer reported herein as indirectly beneficially owned are directly beneficially owned by Goldman Sachs and indirectly beneficially owned by GS Group.
F3: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on January 18, 2033, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Stock below $8.371732 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Stock above $8.371732 per share, in each case, based on a notional amount of 54,038 shares of Common Stock.
F4: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on January 18, 2033, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Stock below $8.371732 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Stock above $8.371732 per share, in each case, based on a notional amount of 18,015 shares of Common Stock.
F5: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on January 18, 2033, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Stock below $8.266921 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Stock above $8.266921 per share, in each case, based on a notional amount of 25,069 shares of Common Stock.
F6: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on January 24, 2033, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Stock below $8.553046 per share and the counterparty will pay to Goldman Sachs any increase in the price of the Common Stock above $8.553046 per share, in each case, based on a notional amount of 17,853 shares of Common Stock.
Merlin, Inc.
Report date November 26, 2025 · Filed February 03, 2026
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 2,768,921 |
Reported balance
Holding disclosure · report date 2025-11-26 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,768,921 F1: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On November 26, 2025, the Reporting Persons experienced an increase in their beneficial ownership of Inflection Point Acquisition Corp. IV (the "Issuer") to above 10% of the outstanding Class A Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group.
F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On November 26, 2025, the Reporting Persons experienced an increase in their beneficial ownership of Inflection Point Acquisition Corp. IV (the "Issuer") to above 10% of the outstanding Class A Common Stock.
MetaVia Inc.
Report date November 16, 2022 · Filed November 22, 2022
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 1,220,502 |
Reported balance
Holding disclosure · report date 2022-11-16 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,220,502 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On November 16, 2022, the Reporting Persons experienced an increase in their beneficial ownership of Neurobo Pharmaceuticals, Inc. (the "Issuer") to above 10% of the outstanding Common Stock. On November 17, 2022, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows. F2: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On November 16, 2022, the Reporting Persons experienced an increase in their beneficial ownership of Neurobo Pharmaceuticals, Inc. (the "Issuer") to above 10% of the outstanding Common Stock. On November 17, 2022, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% due to a reduction in excess securities borrows.
F2: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group.
NANNACO INC
Report date December 22, 2005 · Filed January 20, 2006
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 164,580 |
Reported balance
Holding disclosure · report date 2005-12-22 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 164,580 F1: This statement is being filed by Goldman, Sachs & Co. ("Goldman Sachs") and The Goldman Sachs Group, Inc. ("GS Group" and, together with Goldman Sachs, the "Reporting Persons"). Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly more than 10% of the shares of Common Stock reported to be outstanding, after giving effect to a 1-for-400 reverse split, in the Issuer's Schedule 14C Definitive Information Statement, filed with the Securities and Exchange Commission on August 30, 2005. All such shares are beneficially owned directly by Goldman Sachs in their capacity as a market maker in the Issuer's Common Stock. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by Goldman, Sachs & Co. ("Goldman Sachs") and The Goldman Sachs Group, Inc. ("GS Group" and, together with Goldman Sachs, the "Reporting Persons"). Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly more than 10% of the shares of Common Stock reported to be outstanding, after giving effect to a 1-for-400 reverse split, in the Issuer's Schedule 14C Definitive Information Statement, filed with the Securities and Exchange Commission on August 30, 2005. All such shares are beneficially owned directly by Goldman Sachs in their capacity as a market maker in the Issuer's Common Stock. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group.
NYMAGIC INC
Report date November 09, 2010 · Filed November 12, 2010
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2010-11-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2010-11-09 · Purchase · Acquired 47 · Balance 0 F3: Goldman Sachs had net open short positions of 36,181 shares of Common Stock as of November 9, 2010. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: The shares of common stock, par value $1.00 per share (the "Common Stock"), of NYMagic, Inc. (the "Company") reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. Without admitting any legal obligation, Goldman Sachs or another wholly-owned subsidiary of GS Group will remit appropriate profits, if any, to the Company. F4: Except for the shares of Common Stock beneficially owned directly by Goldman Sachs which may be deemed indirectly beneficially owned by GS Group, the Reporting Persons beneficially own no securities of the Company. On July 15, 2010, ProSight Specialty Insurance Holdings, Inc. and PSI Merger Sub Inc., each affiliates of GS Group, entered into a Shareholders Agreement with each of Mark W. Blackman, Paul J. Hart, Thomas J. Iacopelli, A. George Kallop and Elizabeth B. Kallop, George R. Trumbull, III, Conning Capital Partners VI, L.P., Lionshead Investments, LLC, Estate of Louise B. Tollefson, Louise B. Tollefson 2000 Florida Intangible Tax Trust and Louise B. Tollefson Family Foundation (together, the "Shareholders"). (continued in next footnote) F5: Pursuant to the Shareholders Agreements, the Shareholders agreed to, among other things, vote the shares of the Company's Common Stock owned or controlled by them (collectively 3,878,736 shares of Common Stock) in favor of that certain Agreement and Plan of Merger, dated July 15, 2010, by and among the Company, ProSight Specialty Insurance Holdings, Inc. and PSI Merger Sub Inc., and the transactions contemplated by the Merger Agreement. As a result of the affiliates of GS Group entering into the Shareholders Agreements, the Reporting Persons may be deemed to beneficially own in excess of 10% of the outstanding shares of Common Stock. None of the Reporting Persons has any pecuniary interest in any of the shares of Common Stock subject to the Shareholders Agreements, and each expressly disclaims beneficial ownership of such shares for all purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group.
F2: The shares of common stock, par value $1.00 per share (the "Common Stock"), of NYMagic, Inc. (the "Company") reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. Without admitting any legal obligation, Goldman Sachs or another wholly-owned subsidiary of GS Group will remit appropriate profits, if any, to the Company.
F3: Goldman Sachs had net open short positions of 36,181 shares of Common Stock as of November 9, 2010.
F4: Except for the shares of Common Stock beneficially owned directly by Goldman Sachs which may be deemed indirectly beneficially owned by GS Group, the Reporting Persons beneficially own no securities of the Company. On July 15, 2010, ProSight Specialty Insurance Holdings, Inc. and PSI Merger Sub Inc., each affiliates of GS Group, entered into a Shareholders Agreement with each of Mark W. Blackman, Paul J. Hart, Thomas J. Iacopelli, A. George Kallop and Elizabeth B. Kallop, George R. Trumbull, III, Conning Capital Partners VI, L.P., Lionshead Investments, LLC, Estate of Louise B. Tollefson, Louise B. Tollefson 2000 Florida Intangible Tax Trust and Louise B. Tollefson Family Foundation (together, the "Shareholders"). (continued in next footnote)
F5: Pursuant to the Shareholders Agreements, the Shareholders agreed to, among other things, vote the shares of the Company's Common Stock owned or controlled by them (collectively 3,878,736 shares of Common Stock) in favor of that certain Agreement and Plan of Merger, dated July 15, 2010, by and among the Company, ProSight Specialty Insurance Holdings, Inc. and PSI Merger Sub Inc., and the transactions contemplated by the Merger Agreement. As a result of the affiliates of GS Group entering into the Shareholders Agreements, the Reporting Persons may be deemed to beneficially own in excess of 10% of the outstanding shares of Common Stock. None of the Reporting Persons has any pecuniary interest in any of the shares of Common Stock subject to the Shareholders Agreements, and each expressly disclaims beneficial ownership of such shares for all purposes.
Newcourt Acquisition Corp
Report date February 14, 2023 · Filed March 09, 2023 · Amendment
Jointly reported with GOLDMAN SACHS GROUP INC
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | IndirectSee footnote | 3,749 |
Reported balance
Holding disclosure · report date 2023-02-14 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance 3,749 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: The securities of the Issuer reported herein is beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2023-02-14 · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · Balance Not disclosed F3: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on December 15, 2026 Goldman Sachs will receive from the counterparty any decrease in the price of the Common Stock below $10.14 per share and the counterparty will receive from Goldman Sachs any increase in the price of the Common Stock above $10.14 per share, in each case, based on a notional amount of 3,749 shares of Common Stock. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: The securities of the Issuer reported herein is beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F2: The securities of the Issuer reported herein is beneficially owned directly by Goldman Sachs and indirectly by GS Group.
F3: Goldman Sachs is a party to an equity swap agreement which, upon the termination of the agreement on December 15, 2026 Goldman Sachs will receive from the counterparty any decrease in the price of the Common Stock below $10.14 per share and the counterparty will receive from Goldman Sachs any increase in the price of the Common Stock above $10.14 per share, in each case, based on a notional amount of 3,749 shares of Common Stock.
ON24 INC.
Report date March 14, 2022 · Filed March 16, 2022
Jointly reported with GOLDMAN SACHS GROUP INC, GSSG Holdings LLC, SPECIAL SITUATIONS INVESTING GROUP II, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,351,770 |
Reported balance
After 2022-03-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-03-14 · Sale · Disposed 25,000 · Balance 3,351,770 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GSSG Holdings LLC ("GSSG"), and Special Situations Investing Group II, LLC ("SSIG", together with GS Group, Goldman Sachs, and GSSG, the "Reporting Persons"). GSSG is a wholly owned subsidiary of GS Group, and SSIG is a wholly owned subsidiary of GSSG. Goldman Sachs is a wholly owned subsidiary of GS Group. F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.92 to $12.66, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) and (5) to this Form 4. F3: GS Group may be deemed to beneficially own indirectly, the number of shares of common stock of the Issuer (the "Common Stock") reported as held by SSIG and/or Goldman Sachs, respectively. Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 3,326,778 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 3,236,313 shares of Common Stock held by SSIG and (ii) 90,465 shares of Common Stock held by Goldman Sachs. F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interests in, such securities for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,326,778 |
Reported balance
After 2022-03-15 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2022-03-15 · Sale · Disposed 25,000 · Balance 3,326,778 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GSSG Holdings LLC ("GSSG"), and Special Situations Investing Group II, LLC ("SSIG", together with GS Group, Goldman Sachs, and GSSG, the "Reporting Persons"). GSSG is a wholly owned subsidiary of GS Group, and SSIG is a wholly owned subsidiary of GSSG. Goldman Sachs is a wholly owned subsidiary of GS Group. F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.02 to $12.41, inclusive. F3: GS Group may be deemed to beneficially own indirectly, the number of shares of common stock of the Issuer (the "Common Stock") reported as held by SSIG and/or Goldman Sachs, respectively. Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 3,326,778 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 3,236,313 shares of Common Stock held by SSIG and (ii) 90,465 shares of Common Stock held by Goldman Sachs. F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interests in, such securities for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GSSG Holdings LLC ("GSSG"), and Special Situations Investing Group II, LLC ("SSIG", together with GS Group, Goldman Sachs, and GSSG, the "Reporting Persons"). GSSG is a wholly owned subsidiary of GS Group, and SSIG is a wholly owned subsidiary of GSSG. Goldman Sachs is a wholly owned subsidiary of GS Group.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.92 to $12.66, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) and (5) to this Form 4.
F3: GS Group may be deemed to beneficially own indirectly, the number of shares of common stock of the Issuer (the "Common Stock") reported as held by SSIG and/or Goldman Sachs, respectively. Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 3,326,778 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 3,236,313 shares of Common Stock held by SSIG and (ii) 90,465 shares of Common Stock held by Goldman Sachs.
F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interests in, such securities for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, or for any other purpose.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.02 to $12.41, inclusive.
PACEL CORP
Report date March 03, 2006 · Filed March 13, 2006
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 700,123 |
Reported balance
Holding disclosure · report date 2006-03-03 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 700,123 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly more than 10% of the shares of Common Stock reported to be outstanding in a Form 8-K filed by the Issuer on January 24, 2006. All such shares were beneficially owned directly by Goldman Sachs in their capacity as a market maker in the Issuer's Common Stock. As a result of exempt market making activity by Goldman Sachs, as of March 7, 2006, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Stock and are therefore no longer subject to Section 16. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly more than 10% of the shares of Common Stock reported to be outstanding in a Form 8-K filed by the Issuer on January 24, 2006. All such shares were beneficially owned directly by Goldman Sachs in their capacity as a market maker in the Issuer's Common Stock. As a result of exempt market making activity by Goldman Sachs, as of March 7, 2006, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Stock and are therefore no longer subject to Section 16.
Panbela Therapeutics, Inc.
Report date November 08, 2023 · Filed November 14, 2023
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 397,954 |
Reported balance
After 2023-11-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-11-08 · Sale · Disposed 72,874 · Balance 397,954 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.70 to $0.76, inclusive. The Reporting Persons (as defined below) undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Footnote. F2: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On November 07, 2023, the Reporting Persons experienced an increase in their beneficial ownership of Panbela Therapeutics, Inc. CMN (the "Issuer") to above 10% of the outstanding Common Stock. On November 09, 2023, the Reporting Persons reduced their beneficial ownership to below 10% of the Issuer's outstanding Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.70 to $0.76, inclusive. The Reporting Persons (as defined below) undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Footnote.
F2: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group.
F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On November 07, 2023, the Reporting Persons experienced an increase in their beneficial ownership of Panbela Therapeutics, Inc. CMN (the "Issuer") to above 10% of the outstanding Common Stock. On November 09, 2023, the Reporting Persons reduced their beneficial ownership to below 10% of the Issuer's outstanding Common Stock.
STRATEGIC HOTEL CAPITAL INC
Report date June 23, 2004 · Filed June 30, 2004
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 100 |
Last balance in matching sequence
After 2004-06-24 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2004-06-23 · Purchase · Acquired 375 · Balance 475 F1: The securities reported herein as indirectly purchased and sold were purchased and sold and were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Goldman Sachs is a direct and indirect wholly-owned subsidiary of The Goldman Sachs Group, Inc. ("GS Group"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Company. F2: Strategic Hotel Capital, L.LC. ("SHC LLC") beneficially owns directly 100 shares of Strategic Hotel Capital, Inc., common stock par value $.01 per share ("Common Stock"). SHC LLC is controlled in part by WHSHC, L.L.C. ("WHSHC LLC") and W9/WHSHC, L.L.C. ("W9 LLC"). Affiliates of GS Group are members of WHSHC LLC and W9 LLC. GS Group may be deemed to beneficially own indirectly 100 shares of Common Stock by reason of SHC LLC direct ownership of such shares. Goldman Sachs disclaims beneficial ownership of the shares of Common Stock owned by SHC LLC. GS Group disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Row 2 · 2004-06-24 · Sale · Disposed 375 · Balance 100 F1: The securities reported herein as indirectly purchased and sold were purchased and sold and were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Goldman Sachs is a direct and indirect wholly-owned subsidiary of The Goldman Sachs Group, Inc. ("GS Group"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Company. F2: Strategic Hotel Capital, L.LC. ("SHC LLC") beneficially owns directly 100 shares of Strategic Hotel Capital, Inc., common stock par value $.01 per share ("Common Stock"). SHC LLC is controlled in part by WHSHC, L.L.C. ("WHSHC LLC") and W9/WHSHC, L.L.C. ("W9 LLC"). Affiliates of GS Group are members of WHSHC LLC and W9 LLC. GS Group may be deemed to beneficially own indirectly 100 shares of Common Stock by reason of SHC LLC direct ownership of such shares. Goldman Sachs disclaims beneficial ownership of the shares of Common Stock owned by SHC LLC. GS Group disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities reported herein as indirectly purchased and sold were purchased and sold and were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Goldman Sachs is a direct and indirect wholly-owned subsidiary of The Goldman Sachs Group, Inc. ("GS Group"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Company.
F2: Strategic Hotel Capital, L.LC. ("SHC LLC") beneficially owns directly 100 shares of Strategic Hotel Capital, Inc., common stock par value $.01 per share ("Common Stock"). SHC LLC is controlled in part by WHSHC, L.L.C. ("WHSHC LLC") and W9/WHSHC, L.L.C. ("W9 LLC"). Affiliates of GS Group are members of WHSHC LLC and W9 LLC. GS Group may be deemed to beneficially own indirectly 100 shares of Common Stock by reason of SHC LLC direct ownership of such shares. Goldman Sachs disclaims beneficial ownership of the shares of Common Stock owned by SHC LLC. GS Group disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
Soho House & Co Inc.
Report date January 29, 2026 · Filed February 02, 2026
Jointly reported with GOLDMAN SACHS GROUP INC, Broad Street Principal Investments, L.L.C., GOLDMAN SACHS ASSET MANAGEMENT, L.P., West Street Strategic Solutions Fund I, L.P., West Street Strategic Solutions Fund I-(C), L.P., WSSS INVESTMENTS W, LLC, WSSS INVESTMENTS X, LLC, WSSS INVESTMENTS I, LLC, WSSS INVESTMENTS U, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectNote | 13,859,953 |
Reported balance
After 2026-01-29 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-01-29 · Sale · Disposed 1,666,666 · Balance 13,859,953 F2: On January 29, 2026, pursuant to the terms of the Agreement and Plan of Merger, dated August 15, 2025, by and among the Issuer, EH Parent LLC ("Parent"), and EH MergerSub Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger. In the Merger, 1,666,666 shares of Class A Common Stock directly held in total by BSPI and the GS Funds were canceled and extinguished and automatically converted into the right to receive cash in an amount equal to $9.00 per share, without interest thereon, from the Issuer. Specifically, the number of shares cancelled for the right to receive the merger consideration were as follows: BSPI (122,404 shares); West Street Fund I (609,920 shares); West Street Fund I (C) (59,930 shares); WSSS Fund W (750,838 shares); WSSS Fund X (28,276 shares); WSSS Fund I (31,784 shares); WSSS Fund U (33,975 shares); and West Street CT PCP (29,539 shares). F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F3: Following the Merger, BSPI and the GS Funds directly held in total 13,859,953 shares of Class A Common Stock as follows: BSPI (1,017,906 shares); West Street Fund I (5,072,084 shares); West Street Fund I (C) (498,377 shares); WSSS Fund W (6,243,946 shares); WSSS Fund X (235,144 shares); WSSS Fund I (264,319 shares); WSSS Fund U (282,532 shares); and West Street CT PCP (245,645 shares). F1: This statement is filed by the Reporting Persons: The Goldman Sachs Group, Inc. ("Goldman Sachs"); Goldman Sachs & Co. LLC; ("GS&Co."); Broad Street Principal Investments, L.L.C. ("BSPI"); Goldman Sachs Asset Management, L.P. ("GSAM LP"); West Street Strategic Solutions Fund I, L.P. ("West Street Fund I"); West Street Strategic Solutions Fund I-(C), L.P. ("West Street Fund I (C)"); WSSS Investments W, LLC, ("WSSS Fund W"); WSSS Investments X, LLC ("WSSS Fund X"); WSSS Investments I, LLC ("WSSS Fund I"); WSSS Investments U, LLC ("WSSS Fund U"); and West Street CT Private Credit Partnership, L.P. ("West Street CT PCP"). GS&Co. is a direct subsidiary of Goldman Sachs. GS&Co. is the manager of BSPI. West Street Fund I, West Street Fund I-(C), WSSS Fund W, WSSS Fund X, WSSS Fund I, WSSS Fund U, and West Street CT PCP (the "GS Funds") are investment vehicles managed by GSAM LP. GSAM LP is an indirect subsidiary of Goldman Sachs. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is filed by the Reporting Persons: The Goldman Sachs Group, Inc. ("Goldman Sachs"); Goldman Sachs & Co. LLC; ("GS&Co."); Broad Street Principal Investments, L.L.C. ("BSPI"); Goldman Sachs Asset Management, L.P. ("GSAM LP"); West Street Strategic Solutions Fund I, L.P. ("West Street Fund I"); West Street Strategic Solutions Fund I-(C), L.P. ("West Street Fund I (C)"); WSSS Investments W, LLC, ("WSSS Fund W"); WSSS Investments X, LLC ("WSSS Fund X"); WSSS Investments I, LLC ("WSSS Fund I"); WSSS Investments U, LLC ("WSSS Fund U"); and West Street CT Private Credit Partnership, L.P. ("West Street CT PCP"). GS&Co. is a direct subsidiary of Goldman Sachs. GS&Co. is the manager of BSPI. West Street Fund I, West Street Fund I-(C), WSSS Fund W, WSSS Fund X, WSSS Fund I, WSSS Fund U, and West Street CT PCP (the "GS Funds") are investment vehicles managed by GSAM LP. GSAM LP is an indirect subsidiary of Goldman Sachs.
F2: On January 29, 2026, pursuant to the terms of the Agreement and Plan of Merger, dated August 15, 2025, by and among the Issuer, EH Parent LLC ("Parent"), and EH MergerSub Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger. In the Merger, 1,666,666 shares of Class A Common Stock directly held in total by BSPI and the GS Funds were canceled and extinguished and automatically converted into the right to receive cash in an amount equal to $9.00 per share, without interest thereon, from the Issuer. Specifically, the number of shares cancelled for the right to receive the merger consideration were as follows: BSPI (122,404 shares); West Street Fund I (609,920 shares); West Street Fund I (C) (59,930 shares); WSSS Fund W (750,838 shares); WSSS Fund X (28,276 shares); WSSS Fund I (31,784 shares); WSSS Fund U (33,975 shares); and West Street CT PCP (29,539 shares).
F3: Following the Merger, BSPI and the GS Funds directly held in total 13,859,953 shares of Class A Common Stock as follows: BSPI (1,017,906 shares); West Street Fund I (5,072,084 shares); West Street Fund I (C) (498,377 shares); WSSS Fund W (6,243,946 shares); WSSS Fund X (235,144 shares); WSSS Fund I (264,319 shares); WSSS Fund U (282,532 shares); and West Street CT PCP (245,645 shares).
F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Spectral AI, Inc.
Report date January 04, 2023 · Filed February 11, 2023
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| WarrantSEC Table II · derivative / convertible security | IndirectSee Footnote | 323,502 |
Reported balance
After 2023-01-04 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-01-04 · Sale · Disposed 17,280 · Balance 323,502 F1: Each warrant of Rosecliff Acquisition Corp I. (the "Issuer") entitles the holder to purchase one share of Class A ordinary shares at $11.50. The warrants become exercisable on the later of 30 days after the completion of the initial Business Combination or 12 months from the closing of the IPO and expire five years after the completion of the initial Business Combination. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F3: The securities of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| WarrantSEC Table II · derivative / convertible security | IndirectSee Footnote | 322,041 |
Reported balance
After 2023-01-04 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-01-04 · Sale · Disposed 1,461 · Balance 322,041 F1: Each warrant of Rosecliff Acquisition Corp I. (the "Issuer") entitles the holder to purchase one share of Class A ordinary shares at $11.50. The warrants become exercisable on the later of 30 days after the completion of the initial Business Combination or 12 months from the closing of the IPO and expire five years after the completion of the initial Business Combination. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F3: The securities of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: Each warrant of Rosecliff Acquisition Corp I. (the "Issuer") entitles the holder to purchase one share of Class A ordinary shares at $11.50. The warrants become exercisable on the later of 30 days after the completion of the initial Business Combination or 12 months from the closing of the IPO and expire five years after the completion of the initial Business Combination.
F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F3: The securities of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group.
Sprout Social, Inc.
Report date December 13, 2019 · Filed March 05, 2021
Jointly reported with GOLDMAN SACHS GROUP INC, Broad Street Principal Investments, L.L.C., Bridge Street 2016, L.P., Stone Street 2016, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Bridge Street 2016 Offshore, L.P., MBD 2016 Offshore, L.P., GS FUND HOLDINGS, L.L.C.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,383,809 |
Reported balance
After 2019-12-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-12-13 · Purchase · Acquired 5,000 · Balance 10,383,809 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,378,809 |
Reported balance
After 2019-12-13 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-12-13 · Sale · Disposed 5,000 · Balance 10,378,809 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,403,809 |
Reported balance
After 2019-12-13 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-12-13 · Purchase · Acquired 25,000 · Balance 10,403,809 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,378,809 |
Reported balance
After 2019-12-13 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-12-13 · Sale · Disposed 25,000 · Balance 10,378,809 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,393,809 |
Reported balance
After 2019-12-13 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2019-12-13 · Purchase · Acquired 15,000 · Balance 10,393,809 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,378,809 |
Reported balance
After 2019-12-13 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2019-12-13 · Sale · Disposed 15,000 · Balance 10,378,809 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,379,253 |
Reported balance
After 2019-12-13 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2019-12-13 · Purchase · Acquired 444 · Balance 10,379,253 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,378,809 |
Reported balance
After 2019-12-13 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2019-12-13 · Sale · Disposed 444 · Balance 10,378,809 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,379,365 |
Reported balance
After 2019-12-13 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2019-12-13 · Purchase · Acquired 556 · Balance 10,379,365 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,378,809 |
Reported balance
After 2019-12-13 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2019-12-13 · Sale · Disposed 556 · Balance 10,378,809 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,383,809 |
Reported balance
After 2019-12-13 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2019-12-13 · Purchase · Acquired 5,000 · Balance 10,383,809 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,378,809 |
Reported balance
After 2019-12-13 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2019-12-13 · Sale · Disposed 5,000 · Balance 10,378,809 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,380,609 |
Reported balance
After 2019-12-13 transaction · row 13
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 13 · 2019-12-13 · Purchase · Acquired 1,800 · Balance 10,380,609 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,378,809 |
Reported balance
After 2019-12-13 transaction · row 14
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 14 · 2019-12-13 · Sale · Disposed 1,800 · Balance 10,378,809 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,378,859 |
Reported balance
After 2019-12-13 transaction · row 15
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 15 · 2019-12-13 · Purchase · Acquired 50 · Balance 10,378,859 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,378,809 |
Reported balance
After 2019-12-13 transaction · row 16
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 16 · 2019-12-13 · Sale · Disposed 50 · Balance 10,378,809 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,379,809 |
Reported balance
After 2019-12-16 transaction · row 17
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 17 · 2019-12-16 · Purchase · Acquired 1,000 · Balance 10,379,809 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,378,809 |
Reported balance
After 2019-12-16 transaction · row 18
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 18 · 2019-12-16 · Sale · Disposed 1,000 · Balance 10,378,809 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,388,809 |
Reported balance
After 2019-12-16 transaction · row 19
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 19 · 2019-12-16 · Purchase · Acquired 10,000 · Balance 10,388,809 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,378,809 |
Reported balance
After 2019-12-16 transaction · row 20
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 20 · 2019-12-16 · Sale · Disposed 10,000 · Balance 10,378,809 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,405,871 |
Reported balance
After 2020-03-20 transaction · row 21
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 21 · 2020-03-20 · Sale · Acquired 3,648 · Balance 10,405,871 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,402,223 |
Reported balance
After 2020-03-20 transaction · row 22
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 22 · 2020-03-20 · Purchase · Disposed 3,648 · Balance 10,402,223 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,393,815 |
Reported balance
After 2020-04-21 transaction · row 23
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 23 · 2020-04-21 · Purchase · Acquired 174 · Balance 10,393,815 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,393,641 |
Reported balance
After 2020-04-21 transaction · row 24
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 24 · 2020-04-21 · Sale · Disposed 174 · Balance 10,393,641 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,424,772 |
Reported balance
After 2020-05-15 transaction · row 25
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 25 · 2020-05-15 · Purchase · Acquired 4,348 · Balance 10,424,772 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,420,424 |
Reported balance
After 2020-05-15 transaction · row 26
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 26 · 2020-05-15 · Sale · Disposed 4,348 · Balance 10,420,424 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,507,793 |
Reported balance
After 2020-05-22 transaction · row 27
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 27 · 2020-05-22 · Purchase · Acquired 1,000 · Balance 10,507,793 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,506,793 |
Reported balance
After 2020-05-22 transaction · row 28
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 28 · 2020-05-22 · Sale · Disposed 1,000 · Balance 10,506,793 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,406,390 |
Reported balance
After 2020-06-01 transaction · row 29
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 29 · 2020-06-01 · Sale · Acquired 26,900 · Balance 10,406,390 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,379,490 |
Reported balance
After 2020-06-01 transaction · row 30
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 30 · 2020-06-01 · Purchase · Disposed 26,900 · Balance 10,379,490 F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons"). F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: These transactions in the Class A common stock (the "Common Stock") of Sprout Social, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business.
F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer.
F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C., Bridge Street 2016 Offshore, L.P., Bridge Street 2016, L.P., MBD 2016 Offshore, L.P., MBD 2016, L.P., Stone Street 2016 Offshore, L.P., Stone Street 2016, L.P., and GS Fund Holdings, L.L.C. (together, the "Reporting Persons").
F4: Goldman Sachs and GS Group may be deemed to beneficially own 274.1033 shares of Common Stock and 6,420 Restricted Stock Units ("RSUs") granted to Mr. Jason Kreuziger, Managing Director of Goldman Sachs. The RSUs will vest on the earlier of (i) the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of the grant and (ii) the first anniversary of the date of grant. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date.
F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose.
Stagwell Inc
Report date June 13, 2024 · Filed June 18, 2024
Jointly reported with GOLDMAN SACHS GROUP INC, Broad Street Principal Investments, L.L.C., StoneBridge 2017, L.P., StoneBridge 2017 Offshore, L.P., Bridge Street Opportunity Advisors, L.L.C.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 12,981,022 |
Reported balance
After 2024-06-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-06-13 · Sale · Disposed 4,000,000 · Balance 12,981,022 F1: Reflects a repurchase of shares by Stagwell Inc. (the "Issuer") pursuant to a Share Repurchase Agreement, dated June 13, 2024. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("SB Employee Fund"), StoneBridge 2017 Offshore, L.P. ("SB Employee Fund Offshore," and together with SB Employee Fund, the "Employee Funds") and Bridge Street Opportunity Advisors, L.L.C ("Bridge Street"). Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street and the investment manager of the Employee Funds. GS Group is the direct owner of Bridge Street. Bridge Street is the general partner of each Employee Fund. F3: Because of the relationship by and between GS Group, Goldman Sachs, BSPI and the Employee Funds, GS Group and Goldman Sachs may be deemed (for purposes of Rule 13d-3(a) and Rule 16a-1(a) only and not for any other applicable purpose) to beneficially own an aggregate of 12,981,022 shares of Class A Common Stock, consisting of (i) 10,683,430 shares of Class A Common Stock directly held by BSPI, (ii) 1,597,531 shares of Class A Common Stock directly held by SB Employee Fund, (iii) 566,259 shares of Class A Common Stock directly held by SB Employee Fund Offshore and (iv) 133,802 shares of Class A Common Stock of the Issuer held directly by Goldman Sachs. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects a repurchase of shares by Stagwell Inc. (the "Issuer") pursuant to a Share Repurchase Agreement, dated June 13, 2024.
F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("SB Employee Fund"), StoneBridge 2017 Offshore, L.P. ("SB Employee Fund Offshore," and together with SB Employee Fund, the "Employee Funds") and Bridge Street Opportunity Advisors, L.L.C ("Bridge Street"). Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street and the investment manager of the Employee Funds. GS Group is the direct owner of Bridge Street. Bridge Street is the general partner of each Employee Fund.
F3: Because of the relationship by and between GS Group, Goldman Sachs, BSPI and the Employee Funds, GS Group and Goldman Sachs may be deemed (for purposes of Rule 13d-3(a) and Rule 16a-1(a) only and not for any other applicable purpose) to beneficially own an aggregate of 12,981,022 shares of Class A Common Stock, consisting of (i) 10,683,430 shares of Class A Common Stock directly held by BSPI, (ii) 1,597,531 shares of Class A Common Stock directly held by SB Employee Fund, (iii) 566,259 shares of Class A Common Stock directly held by SB Employee Fund Offshore and (iv) 133,802 shares of Class A Common Stock of the Issuer held directly by Goldman Sachs.
T2 Biosystems, Inc.
Report date March 24, 2020 · Filed August 03, 2021
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 4,201,582 |
Last balance in matching sequence
After 2020-05-20 transaction · row 30
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
30 source rowsRow 1 · 2020-03-24 · Purchase · Acquired 500 · Balance 4,196,956 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 2 · 2020-03-24 · Sale · Disposed 500 · Balance 4,196,456 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 3 · 2020-03-25 · Purchase · Acquired 600 · Balance 4,197,056 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 4 · 2020-03-25 · Sale · Disposed 600 · Balance 4,196,456 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 5 · 2020-04-09 · Purchase · Acquired 1,000 · Balance 4,197,456 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 6 · 2020-04-09 · Sale · Disposed 1,000 · Balance 4,196,456 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 7 · 2020-05-06 · Sale · Disposed 2,655 · Balance 4,193,801 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 8 · 2020-05-06 · Sale · Disposed 1,000 · Balance 4,192,801 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 9 · 2020-05-06 · Sale · Disposed 1,000 · Balance 4,191,801 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 10 · 2020-05-06 · Sale · Disposed 500 · Balance 4,191,301 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 11 · 2020-05-06 · Sale · Disposed 50 · Balance 4,191,251 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 12 · 2020-05-06 · Sale · Disposed 500 · Balance 4,190,751 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 13 · 2020-05-06 · Sale · Disposed 100 · Balance 4,190,651 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 14 · 2020-05-06 · Sale · Disposed 6,256 · Balance 4,184,395 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 15 · 2020-05-06 · Sale · Disposed 100 · Balance 4,184,295 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 16 · 2020-05-06 · Sale · Disposed 939 · Balance 4,183,356 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 17 · 2020-05-06 · Purchase · Acquired 26,200 · Balance 4,209,556 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 18 · 2020-05-06 · Sale · Disposed 10,100 · Balance 4,199,456 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 19 · 2020-05-06 · Sale · Disposed 2,000 · Balance 4,197,456 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 20 · 2020-05-06 · Sale · Disposed 1,000 · Balance 4,196,456 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 21 · 2020-05-12 · Purchase · Acquired 2,500 · Balance 4,198,956 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 22 · 2020-05-12 · Sale · Disposed 2,500 · Balance 4,196,456 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 23 · 2020-05-19 · Sale · Disposed 200 · Balance 4,196,256 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 24 · 2020-05-19 · Sale · Disposed 3,235 · Balance 4,193,021 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 25 · 2020-05-19 · Sale · Disposed 2,031 · Balance 4,190,990 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 26 · 2020-05-19 · Sale · Disposed 2,031 · Balance 4,188,959 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 27 · 2020-05-19 · Purchase · Acquired 10,328 · Balance 4,199,287 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 28 · 2020-05-19 · Sale · Disposed 800 · Balance 4,198,487 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 29 · 2020-05-19 · Sale · Disposed 2,031 · Balance 4,196,456 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 30 · 2020-05-20 · Purchase · Acquired 5,126 · Balance 4,201,582 F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: These transactions in the common stock (the "Common Stock") of T2 Biosystems, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business.
F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer.
F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs (together, with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group.
F4: GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 4,157,240 shares of Common Stock of the Issuer by reason of the direct beneficial ownership of Common Stock by certain investment entities (the "GS Funds") because GS Group, or affiliates of GS Group and Goldman Sachs, are the general partner, managing general partner, managing partner, managing member or member of each of the GS Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 29,216 shares of common stock.
F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
TGE Value Creative Solutions Corp
Report date April 10, 2026 · Filed April 17, 2026
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 1,703,702 |
Reported balance
Holding disclosure · report date 2026-04-10 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,703,702 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 10, 2026, the Reporting Persons experienced an increase in their beneficial ownership of TGE Value Creative Solutions Corp (the "Issuer") to above 10% of the outstanding Class A Common Stock ("Common Stock"). F2: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. F3: On April 14, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of the Issuer's Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 10, 2026, the Reporting Persons experienced an increase in their beneficial ownership of TGE Value Creative Solutions Corp (the "Issuer") to above 10% of the outstanding Class A Common Stock ("Common Stock").
F2: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group.
F3: On April 14, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of the Issuer's Common Stock.
VALIDUS HOLDINGS LTD
Report date August 16, 2007 · Filed August 21, 2007
Jointly reported with GOLDMAN SACHS GROUP INC, GSCP V AIV, L.P., GS Capital Partners V Employee Fund, L.P., GS CAPITAL PARTNERS V OFFSHORE FUND, L.P., GS CAPITAL PARTNERS V GMBH & CO. KG, GSCP V Institutional AIV, L.P., GS Private Equity Partners 1999, L.P., GS Private Equity Partners 1999 Offshore, L.P., GS Private Equity Partners 1999 - Direct Investment Fund, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectSee footnotes | 14,057,137 |
Last balance in matching sequence
After 2007-08-16 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2007-08-16 · Purchase · Acquired 100 · Balance 14,057,237 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GSCP V AIV, L.P. ("GSCP V AIV"), GS Capital Partners V Employee Fund, L.P. ("GSCP V Employee"), GS Capital Partners V Offshore, L.P. ("GSCP V Offshore"), GS Capital Partners V GmbH & Co. KG ("GSCP V Germany"), GSCP V Institutional AIV, L.P. ("GSCP V Institutional"), GS Private Equity Partners 1999, L.P. ("PEP 1999"), GS Private Equity Partners 1999 Offshore, L.P. ("PEP 1999 Offshore"), GS Private Equity Partners 1999 - Direct Investment Fund, L.P. ("PEP 1999 Direct"), GS Private Equity Partners 2000, L.P. ("PEP 2000"), GS Private Equity Partners 2000 Offshore Holdings, L.P. ("PEP 2000 Offshore") and GS Private Equity Partners 2000 - Direct Investment Fund, L.P. ("PEP 2000 Direct" and, (continued in next footnote) F2: together with GSCP V AIV, GSCP V Employee, GSCP V Offshore, GSCP V Germany, GSCP V Institutional, PEP 1999, PEP 1999 Offshore, PEP 1999 Direct, PEP 2000 and PEP 2000 Offshore,(the "Limited Partnerships"), GS Advisors V AIV, Ltd. ("GS Advisors V AIV"), GS Capital Partners V Employee Funds GP, L.L.C. ("GSCP V Employee GP"), GS Advisors V, L.L.C. ("GS Advisors V"), Goldman, Sachs Management GP GmbH ("GS Germany GP"), GS PEP 1999 Advisors, L.L.C. ("PEP 1999 GP"), GS PEP 1999 Offshore Advisors, Inc. ("PEP 1999 Offshore GP"), GS PEP 1999 Direct Investment Advisors, L.L.C. ("PEP 1999 Direct GP"), GS PEP 2000 Advisors, L.L.C. ("PEP 2000 GP"), GS PEP 2000 Offshore Holdings Advisors, Inc., ("PEP 2000 Offshore GP") and GS PEP 2000 Direct Investment Advisors, L.L.C. (continued in next footnote) F3: ("PEP 2000 Direct GP" and, together with the Limited Partnerships, GS Group, Goldman Sachs, GS Advisors V AIV, GSCP V Employee GP, GS Advisors V, GS Germany GP, PEP 1999 GP, PEP 1999 Offshore GP, PEP 1999 Direct GP, PEP 2000 GP and PEP 2000 Offshore GP, the "Reporting Persons"). F4: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in triplicate. F5: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs or an affiliate will remit appropriate profits to Validus Holdings, Ltd. (the "Company"). The Reporting Persons, other than GS Group, disclaim beneficial ownership of the shares beneficially owned directly by Goldman Sachs. F6: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 14,057,137 of the Company's common shares, par value $ 0.175 per share (the "Common Shares"), and 1,604,410.1 warrants to purchase Common Shares ("Warrants") through the Limited Partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or managing limited partner. Goldman Sachs is a wholly-owned subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the Limited Partnerships. GS Group, Goldman Sachs and the Limited Partnerships share voting power and investment power with certain of their respective affiliates. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, if any. F7: GSCP V AIV beneficially owns directly and its general partner, GS Advisors V AIV, may be deemed to beneficially own indirectly 4,798,022 Common Shares and 638,459.4 Warrants. GSCP V Employee beneficially owns directly and its general partner, GSCP V Employee GP, may be deemed to beneficially own indirectly 1,550,787 Common Shares and 206,358.9 Warrants. GSCP V Offshore beneficially owns directly and its general partner, GS Advisors V, may be deemed to beneficially own indirectly 3,279,530 Common Shares and 436,397.9 Warrants. GSCP V Germany beneficially owns directly and its general partner, GS Germany GP, may be deemed to beneficially own indirectly 251,708 Common Shares and 33,494.2 Warrants. F8: GSCP V Institutional beneficially owns directly and its general partner, GS Advisors V AIV, may be deemed to beneficially own indirectly 2,177,093 Common Shares and 289,699.7 Warrants. PEP 1999 beneficially owns directly and its general partner, PEP 1999 GP, may be deemed to beneficially own indirectly 1,039,607 Common Shares. PEP 1999 Offshore beneficially owns directly and its general partner, PEP 1999 Offshore GP, may be deemed to beneficially own indirectly 166,143 Common Shares. PEP 1999 Direct beneficially owns directly and its general partner, PEP 1999 Direct GP, may be deemed to beneficially own indirectly 29,720 Common Shares. PEP 2000 beneficially owns directly and its general partner, PEP 2000 GP, may be deemed to beneficially own indirectly 439,293 Common Shares. F9: PEP 2000 Offshore beneficially owns directly and its general partner, PEP 2000 Offshore GP, may be deemed to beneficially own indirectly 154,627 Common Shares. PEP 2000 Direct beneficially owns directly and its general partner, PEP 2000 Direct GP, may be deemed to beneficially own indirectly 170,607 Common Shares. The number of Common Shares issuable upon exercise of the Warrants as reported herein has been provided to the Reporting Persons by the Company based on the Company's estimate of the total number of Common Shares, Warrants and options to purchase Common Shares outstanding immediately prior to the consummation of the Company's initial public offering of Common Shares. Row 2 · 2007-08-16 · Sale · Disposed 100 · Balance 14,057,137 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GSCP V AIV, L.P. ("GSCP V AIV"), GS Capital Partners V Employee Fund, L.P. ("GSCP V Employee"), GS Capital Partners V Offshore, L.P. ("GSCP V Offshore"), GS Capital Partners V GmbH & Co. KG ("GSCP V Germany"), GSCP V Institutional AIV, L.P. ("GSCP V Institutional"), GS Private Equity Partners 1999, L.P. ("PEP 1999"), GS Private Equity Partners 1999 Offshore, L.P. ("PEP 1999 Offshore"), GS Private Equity Partners 1999 - Direct Investment Fund, L.P. ("PEP 1999 Direct"), GS Private Equity Partners 2000, L.P. ("PEP 2000"), GS Private Equity Partners 2000 Offshore Holdings, L.P. ("PEP 2000 Offshore") and GS Private Equity Partners 2000 - Direct Investment Fund, L.P. ("PEP 2000 Direct" and, (continued in next footnote) F2: together with GSCP V AIV, GSCP V Employee, GSCP V Offshore, GSCP V Germany, GSCP V Institutional, PEP 1999, PEP 1999 Offshore, PEP 1999 Direct, PEP 2000 and PEP 2000 Offshore,(the "Limited Partnerships"), GS Advisors V AIV, Ltd. ("GS Advisors V AIV"), GS Capital Partners V Employee Funds GP, L.L.C. ("GSCP V Employee GP"), GS Advisors V, L.L.C. ("GS Advisors V"), Goldman, Sachs Management GP GmbH ("GS Germany GP"), GS PEP 1999 Advisors, L.L.C. ("PEP 1999 GP"), GS PEP 1999 Offshore Advisors, Inc. ("PEP 1999 Offshore GP"), GS PEP 1999 Direct Investment Advisors, L.L.C. ("PEP 1999 Direct GP"), GS PEP 2000 Advisors, L.L.C. ("PEP 2000 GP"), GS PEP 2000 Offshore Holdings Advisors, Inc., ("PEP 2000 Offshore GP") and GS PEP 2000 Direct Investment Advisors, L.L.C. (continued in next footnote) F3: ("PEP 2000 Direct GP" and, together with the Limited Partnerships, GS Group, Goldman Sachs, GS Advisors V AIV, GSCP V Employee GP, GS Advisors V, GS Germany GP, PEP 1999 GP, PEP 1999 Offshore GP, PEP 1999 Direct GP, PEP 2000 GP and PEP 2000 Offshore GP, the "Reporting Persons"). F4: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in triplicate. F5: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs or an affiliate will remit appropriate profits to Validus Holdings, Ltd. (the "Company"). The Reporting Persons, other than GS Group, disclaim beneficial ownership of the shares beneficially owned directly by Goldman Sachs. F6: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 14,057,137 of the Company's common shares, par value $ 0.175 per share (the "Common Shares"), and 1,604,410.1 warrants to purchase Common Shares ("Warrants") through the Limited Partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or managing limited partner. Goldman Sachs is a wholly-owned subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the Limited Partnerships. GS Group, Goldman Sachs and the Limited Partnerships share voting power and investment power with certain of their respective affiliates. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, if any. F7: GSCP V AIV beneficially owns directly and its general partner, GS Advisors V AIV, may be deemed to beneficially own indirectly 4,798,022 Common Shares and 638,459.4 Warrants. GSCP V Employee beneficially owns directly and its general partner, GSCP V Employee GP, may be deemed to beneficially own indirectly 1,550,787 Common Shares and 206,358.9 Warrants. GSCP V Offshore beneficially owns directly and its general partner, GS Advisors V, may be deemed to beneficially own indirectly 3,279,530 Common Shares and 436,397.9 Warrants. GSCP V Germany beneficially owns directly and its general partner, GS Germany GP, may be deemed to beneficially own indirectly 251,708 Common Shares and 33,494.2 Warrants. F8: GSCP V Institutional beneficially owns directly and its general partner, GS Advisors V AIV, may be deemed to beneficially own indirectly 2,177,093 Common Shares and 289,699.7 Warrants. PEP 1999 beneficially owns directly and its general partner, PEP 1999 GP, may be deemed to beneficially own indirectly 1,039,607 Common Shares. PEP 1999 Offshore beneficially owns directly and its general partner, PEP 1999 Offshore GP, may be deemed to beneficially own indirectly 166,143 Common Shares. PEP 1999 Direct beneficially owns directly and its general partner, PEP 1999 Direct GP, may be deemed to beneficially own indirectly 29,720 Common Shares. PEP 2000 beneficially owns directly and its general partner, PEP 2000 GP, may be deemed to beneficially own indirectly 439,293 Common Shares. F9: PEP 2000 Offshore beneficially owns directly and its general partner, PEP 2000 Offshore GP, may be deemed to beneficially own indirectly 154,627 Common Shares. PEP 2000 Direct beneficially owns directly and its general partner, PEP 2000 Direct GP, may be deemed to beneficially own indirectly 170,607 Common Shares. The number of Common Shares issuable upon exercise of the Warrants as reported herein has been provided to the Reporting Persons by the Company based on the Company's estimate of the total number of Common Shares, Warrants and options to purchase Common Shares outstanding immediately prior to the consummation of the Company's initial public offering of Common Shares. |
| Warrants to purchase Common SharesSEC Table II · derivative / convertible security · Conversion / exercise price $17.50 · Expires 2015-12-12 | IndirectSee footnotes | 1,604,410.1 |
Reported balance
Holding disclosure · report date 2007-08-16 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 1,604,410.1 F10: The warrants are exercisable at any time prior to December 12, 2015. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GSCP V AIV, L.P. ("GSCP V AIV"), GS Capital Partners V Employee Fund, L.P. ("GSCP V Employee"), GS Capital Partners V Offshore, L.P. ("GSCP V Offshore"), GS Capital Partners V GmbH & Co. KG ("GSCP V Germany"), GSCP V Institutional AIV, L.P. ("GSCP V Institutional"), GS Private Equity Partners 1999, L.P. ("PEP 1999"), GS Private Equity Partners 1999 Offshore, L.P. ("PEP 1999 Offshore"), GS Private Equity Partners 1999 - Direct Investment Fund, L.P. ("PEP 1999 Direct"), GS Private Equity Partners 2000, L.P. ("PEP 2000"), GS Private Equity Partners 2000 Offshore Holdings, L.P. ("PEP 2000 Offshore") and GS Private Equity Partners 2000 - Direct Investment Fund, L.P. ("PEP 2000 Direct" and, (continued in next footnote) F2: together with GSCP V AIV, GSCP V Employee, GSCP V Offshore, GSCP V Germany, GSCP V Institutional, PEP 1999, PEP 1999 Offshore, PEP 1999 Direct, PEP 2000 and PEP 2000 Offshore,(the "Limited Partnerships"), GS Advisors V AIV, Ltd. ("GS Advisors V AIV"), GS Capital Partners V Employee Funds GP, L.L.C. ("GSCP V Employee GP"), GS Advisors V, L.L.C. ("GS Advisors V"), Goldman, Sachs Management GP GmbH ("GS Germany GP"), GS PEP 1999 Advisors, L.L.C. ("PEP 1999 GP"), GS PEP 1999 Offshore Advisors, Inc. ("PEP 1999 Offshore GP"), GS PEP 1999 Direct Investment Advisors, L.L.C. ("PEP 1999 Direct GP"), GS PEP 2000 Advisors, L.L.C. ("PEP 2000 GP"), GS PEP 2000 Offshore Holdings Advisors, Inc., ("PEP 2000 Offshore GP") and GS PEP 2000 Direct Investment Advisors, L.L.C. (continued in next footnote) F3: ("PEP 2000 Direct GP" and, together with the Limited Partnerships, GS Group, Goldman Sachs, GS Advisors V AIV, GSCP V Employee GP, GS Advisors V, GS Germany GP, PEP 1999 GP, PEP 1999 Offshore GP, PEP 1999 Direct GP, PEP 2000 GP and PEP 2000 Offshore GP, the "Reporting Persons"). F4: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in triplicate. F6: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 14,057,137 of the Company's common shares, par value $ 0.175 per share (the "Common Shares"), and 1,604,410.1 warrants to purchase Common Shares ("Warrants") through the Limited Partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or managing limited partner. Goldman Sachs is a wholly-owned subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the Limited Partnerships. GS Group, Goldman Sachs and the Limited Partnerships share voting power and investment power with certain of their respective affiliates. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, if any. F7: GSCP V AIV beneficially owns directly and its general partner, GS Advisors V AIV, may be deemed to beneficially own indirectly 4,798,022 Common Shares and 638,459.4 Warrants. GSCP V Employee beneficially owns directly and its general partner, GSCP V Employee GP, may be deemed to beneficially own indirectly 1,550,787 Common Shares and 206,358.9 Warrants. GSCP V Offshore beneficially owns directly and its general partner, GS Advisors V, may be deemed to beneficially own indirectly 3,279,530 Common Shares and 436,397.9 Warrants. GSCP V Germany beneficially owns directly and its general partner, GS Germany GP, may be deemed to beneficially own indirectly 251,708 Common Shares and 33,494.2 Warrants. F8: GSCP V Institutional beneficially owns directly and its general partner, GS Advisors V AIV, may be deemed to beneficially own indirectly 2,177,093 Common Shares and 289,699.7 Warrants. PEP 1999 beneficially owns directly and its general partner, PEP 1999 GP, may be deemed to beneficially own indirectly 1,039,607 Common Shares. PEP 1999 Offshore beneficially owns directly and its general partner, PEP 1999 Offshore GP, may be deemed to beneficially own indirectly 166,143 Common Shares. PEP 1999 Direct beneficially owns directly and its general partner, PEP 1999 Direct GP, may be deemed to beneficially own indirectly 29,720 Common Shares. PEP 2000 beneficially owns directly and its general partner, PEP 2000 GP, may be deemed to beneficially own indirectly 439,293 Common Shares. F9: PEP 2000 Offshore beneficially owns directly and its general partner, PEP 2000 Offshore GP, may be deemed to beneficially own indirectly 154,627 Common Shares. PEP 2000 Direct beneficially owns directly and its general partner, PEP 2000 Direct GP, may be deemed to beneficially own indirectly 170,607 Common Shares. The number of Common Shares issuable upon exercise of the Warrants as reported herein has been provided to the Reporting Persons by the Company based on the Company's estimate of the total number of Common Shares, Warrants and options to purchase Common Shares outstanding immediately prior to the consummation of the Company's initial public offering of Common Shares. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GSCP V AIV, L.P. ("GSCP V AIV"), GS Capital Partners V Employee Fund, L.P. ("GSCP V Employee"), GS Capital Partners V Offshore, L.P. ("GSCP V Offshore"), GS Capital Partners V GmbH & Co. KG ("GSCP V Germany"), GSCP V Institutional AIV, L.P. ("GSCP V Institutional"), GS Private Equity Partners 1999, L.P. ("PEP 1999"), GS Private Equity Partners 1999 Offshore, L.P. ("PEP 1999 Offshore"), GS Private Equity Partners 1999 - Direct Investment Fund, L.P. ("PEP 1999 Direct"), GS Private Equity Partners 2000, L.P. ("PEP 2000"), GS Private Equity Partners 2000 Offshore Holdings, L.P. ("PEP 2000 Offshore") and GS Private Equity Partners 2000 - Direct Investment Fund, L.P. ("PEP 2000 Direct" and, (continued in next footnote)
F2: together with GSCP V AIV, GSCP V Employee, GSCP V Offshore, GSCP V Germany, GSCP V Institutional, PEP 1999, PEP 1999 Offshore, PEP 1999 Direct, PEP 2000 and PEP 2000 Offshore,(the "Limited Partnerships"), GS Advisors V AIV, Ltd. ("GS Advisors V AIV"), GS Capital Partners V Employee Funds GP, L.L.C. ("GSCP V Employee GP"), GS Advisors V, L.L.C. ("GS Advisors V"), Goldman, Sachs Management GP GmbH ("GS Germany GP"), GS PEP 1999 Advisors, L.L.C. ("PEP 1999 GP"), GS PEP 1999 Offshore Advisors, Inc. ("PEP 1999 Offshore GP"), GS PEP 1999 Direct Investment Advisors, L.L.C. ("PEP 1999 Direct GP"), GS PEP 2000 Advisors, L.L.C. ("PEP 2000 GP"), GS PEP 2000 Offshore Holdings Advisors, Inc., ("PEP 2000 Offshore GP") and GS PEP 2000 Direct Investment Advisors, L.L.C. (continued in next footnote)
F3: ("PEP 2000 Direct GP" and, together with the Limited Partnerships, GS Group, Goldman Sachs, GS Advisors V AIV, GSCP V Employee GP, GS Advisors V, GS Germany GP, PEP 1999 GP, PEP 1999 Offshore GP, PEP 1999 Direct GP, PEP 2000 GP and PEP 2000 Offshore GP, the "Reporting Persons").
F4: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in triplicate.
F5: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs or an affiliate will remit appropriate profits to Validus Holdings, Ltd. (the "Company"). The Reporting Persons, other than GS Group, disclaim beneficial ownership of the shares beneficially owned directly by Goldman Sachs.
F6: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 14,057,137 of the Company's common shares, par value $ 0.175 per share (the "Common Shares"), and 1,604,410.1 warrants to purchase Common Shares ("Warrants") through the Limited Partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or managing limited partner. Goldman Sachs is a wholly-owned subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the Limited Partnerships. GS Group, Goldman Sachs and the Limited Partnerships share voting power and investment power with certain of their respective affiliates. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, if any.
F7: GSCP V AIV beneficially owns directly and its general partner, GS Advisors V AIV, may be deemed to beneficially own indirectly 4,798,022 Common Shares and 638,459.4 Warrants. GSCP V Employee beneficially owns directly and its general partner, GSCP V Employee GP, may be deemed to beneficially own indirectly 1,550,787 Common Shares and 206,358.9 Warrants. GSCP V Offshore beneficially owns directly and its general partner, GS Advisors V, may be deemed to beneficially own indirectly 3,279,530 Common Shares and 436,397.9 Warrants. GSCP V Germany beneficially owns directly and its general partner, GS Germany GP, may be deemed to beneficially own indirectly 251,708 Common Shares and 33,494.2 Warrants.
F8: GSCP V Institutional beneficially owns directly and its general partner, GS Advisors V AIV, may be deemed to beneficially own indirectly 2,177,093 Common Shares and 289,699.7 Warrants. PEP 1999 beneficially owns directly and its general partner, PEP 1999 GP, may be deemed to beneficially own indirectly 1,039,607 Common Shares. PEP 1999 Offshore beneficially owns directly and its general partner, PEP 1999 Offshore GP, may be deemed to beneficially own indirectly 166,143 Common Shares. PEP 1999 Direct beneficially owns directly and its general partner, PEP 1999 Direct GP, may be deemed to beneficially own indirectly 29,720 Common Shares. PEP 2000 beneficially owns directly and its general partner, PEP 2000 GP, may be deemed to beneficially own indirectly 439,293 Common Shares.
F9: PEP 2000 Offshore beneficially owns directly and its general partner, PEP 2000 Offshore GP, may be deemed to beneficially own indirectly 154,627 Common Shares. PEP 2000 Direct beneficially owns directly and its general partner, PEP 2000 Direct GP, may be deemed to beneficially own indirectly 170,607 Common Shares. The number of Common Shares issuable upon exercise of the Warrants as reported herein has been provided to the Reporting Persons by the Company based on the Company's estimate of the total number of Common Shares, Warrants and options to purchase Common Shares outstanding immediately prior to the consummation of the Company's initial public offering of Common Shares.
F10: The warrants are exercisable at any time prior to December 12, 2015.
Valaris Ltd
Report date August 20, 2019 · Filed August 28, 2019
Jointly reported with GOLDMAN SACHS GROUP INC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common UnitsSEC Table I · non-derivative | IndirectSee footnotes | 20,282,861 |
Reported balance
Holding disclosure · report date 2019-08-20 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 20,282,861 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On the date listed Column 2, the Reporting Persons experienced an increase in their beneficial ownership of Valaris plc (the "Issuer") but did not experience an increase in their pecuniary interest in the Issuer. On August 21, 2019, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% but did not experience a change in their pecuniary interest. F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
| Convertible BondsSEC Table II · derivative / convertible security · Conversion / exercise price $56.07 · Expires 2024-01-31 | IndirectSee footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2019-08-20 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F3: Pursuant to the terms of the ENSCO Jersey Finance Limited convertible bond, Goldman Sachs may exchange all or a portion of its convertible bonds at any time for Common Units of the Issuer on a 1-for-17.8336 basis. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On the date listed Column 2, the Reporting Persons experienced an increase in their beneficial ownership of Valaris plc (the "Issuer") but did not experience an increase in their pecuniary interest in the Issuer. On August 21, 2019, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% but did not experience a change in their pecuniary interest. F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On the date listed Column 2, the Reporting Persons experienced an increase in their beneficial ownership of Valaris plc (the "Issuer") but did not experience an increase in their pecuniary interest in the Issuer. On August 21, 2019, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% but did not experience a change in their pecuniary interest.
F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group.
F3: Pursuant to the terms of the ENSCO Jersey Finance Limited convertible bond, Goldman Sachs may exchange all or a portion of its convertible bonds at any time for Common Units of the Issuer on a 1-for-17.8336 basis.
Past disclosures · reporting ended (76)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
AEROFLEX HOLDING CORP.
Report date September 12, 2014 · Filed September 16, 2014
Jointly reported with GOLDMAN SACHS GROUP INC, GS Direct, L.L.C.
Section 16 reporting ended · disclosed 2014-09-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2014-09-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2014-09-12 · Other · Disposed 13,024,025 · Balance 0 F2: Pursuant to an agreement and plan of merger, dated as of May 19, 2014 by and among Aeroflex Holding Corp. (the "Company"), Cobham plc ("Cobham") and Army Acquisition Corp. ("Merger Sub"), a wholly-owned subsidiary of Cobham, as amended by Amendment No. 1 to the Merger Agreement, dated as of August 15, 2014, Merger Sub merged with and into the Company. The merger was consummated on September 12, 2014. The Company was the surviving corporation and, as a result of the merger, became a wholly-owned subsidiary of Cobham. F3: Each share of the common stock, par value $0.01 per share of the Company issued and outstanding immediately prior to the effective time of the merger was cancelled and automatically converted into the right to receive $10.50 in cash, without interest, and less any applicable withholding taxes. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GS Direct, L.L.C. ("GS Direct", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Each of Goldman Sachs and GS Direct is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GS Direct, L.L.C. ("GS Direct", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Each of Goldman Sachs and GS Direct is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any.
F2: Pursuant to an agreement and plan of merger, dated as of May 19, 2014 by and among Aeroflex Holding Corp. (the "Company"), Cobham plc ("Cobham") and Army Acquisition Corp. ("Merger Sub"), a wholly-owned subsidiary of Cobham, as amended by Amendment No. 1 to the Merger Agreement, dated as of August 15, 2014, Merger Sub merged with and into the Company. The merger was consummated on September 12, 2014. The Company was the surviving corporation and, as a result of the merger, became a wholly-owned subsidiary of Cobham.
F3: Each share of the common stock, par value $0.01 per share of the Company issued and outstanding immediately prior to the effective time of the merger was cancelled and automatically converted into the right to receive $10.50 in cash, without interest, and less any applicable withholding taxes.
AMBARELLA INC
Report date March 25, 2020 · Filed June 12, 2020 · Amendment
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2020-06-12. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Equity SwapSEC Table II · derivative / convertible security · Expires 2023-02-23 | IndirectThrough Subsidiary | 66 |
Reported balance
After 2020-03-25 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2020-03-25 · Sale · Disposed 66 · Balance 66 F1: The amount of profit recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On March 27, 2020, the Reporting Persons ceased to be a greater than 10% beneficial owner of the Issuer's Common Shares. F3: Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 2/23/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $46.98 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $46.98 per share, in each case, based on a notional amount of 66 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F4: These equity swaps were omitted from the Reporting Persons' original Form 4 filed. F5: GS Group may be deemed to beneficially own indirectly the Common Shares by reason of Goldman Sachs' direct beneficial ownership. |
| Equity SwapSEC Table II · derivative / convertible security · Expires 2023-02-23 | IndirectThrough Subsidiary | 430 |
Reported balance
After 2020-03-25 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2020-03-25 · Sale · Disposed 430 · Balance 430 F1: The amount of profit recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On March 27, 2020, the Reporting Persons ceased to be a greater than 10% beneficial owner of the Issuer's Common Shares. F4: These equity swaps were omitted from the Reporting Persons' original Form 4 filed. F6: Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 2/23/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $46.97 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $46.97 per share, in each case, based on a notional amount of 430 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F5: GS Group may be deemed to beneficially own indirectly the Common Shares by reason of Goldman Sachs' direct beneficial ownership. |
| Equity SwapSEC Table II · derivative / convertible security · Expires 2030-03-25 | IndirectThrough Subsidiary | 37 |
Reported balance
After 2020-03-25 transaction · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · 2020-03-25 · Sale · Disposed 37 · Balance 37 F1: The amount of profit recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On March 27, 2020, the Reporting Persons ceased to be a greater than 10% beneficial owner of the Issuer's Common Shares. F4: These equity swaps were omitted from the Reporting Persons' original Form 4 filed. F7: Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 3/25/2030, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $44.80 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $44.80 per share, in each case, based on a notional amount of 37 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F5: GS Group may be deemed to beneficially own indirectly the Common Shares by reason of Goldman Sachs' direct beneficial ownership. |
| Equity SwapSEC Table II · derivative / convertible security · Expires 2030-03-20 | IndirectThrough Subsidiary | 900 |
Reported balance
After 2020-03-26 transaction · row 4
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 4 · 2020-03-26 · Sale · Disposed 900 · Balance 900 F1: The amount of profit recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On March 27, 2020, the Reporting Persons ceased to be a greater than 10% beneficial owner of the Issuer's Common Shares. F4: These equity swaps were omitted from the Reporting Persons' original Form 4 filed. F8: Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 3/20/2030, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $49.38 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $49.38 per share, in each case, based on a notional amount of 900 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F5: GS Group may be deemed to beneficially own indirectly the Common Shares by reason of Goldman Sachs' direct beneficial ownership. |
Filing footnotes · ownership attribution and instrument terms
F1: The amount of profit recoverable by the Issuer from the reported transactions will be remitted to the Issuer.
F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On March 27, 2020, the Reporting Persons ceased to be a greater than 10% beneficial owner of the Issuer's Common Shares.
F3: Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 2/23/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $46.98 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $46.98 per share, in each case, based on a notional amount of 66 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F4: These equity swaps were omitted from the Reporting Persons' original Form 4 filed.
F5: GS Group may be deemed to beneficially own indirectly the Common Shares by reason of Goldman Sachs' direct beneficial ownership.
F6: Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 2/23/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $46.97 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $46.97 per share, in each case, based on a notional amount of 430 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F7: Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 3/25/2030, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $44.80 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $44.80 per share, in each case, based on a notional amount of 37 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F8: Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 3/20/2030, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $49.38 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $49.38 per share, in each case, based on a notional amount of 900 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
AMERICOLD REALTY TRUST
Report date December 13, 2018 · Filed December 17, 2018
Jointly reported with GOLDMAN SACHS GROUP INC, GS Capital Partners VI Parallel LP, GS Capital Partners VI Offshore Fund, L.P., GSCP VI Offshore IceCap Investment, L.P., GS Capital Partners VI Fund, L.P., GS Capital Partners VI GmbH & Co KG, GSCP VI GmbH IceCap Investment, L.P., Opportunity Partners Offshore-B Co-Invest AIV, L.P., IceCap2 Holdings, L.P.
Section 16 reporting ended · disclosed 2018-12-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectSee Footnotes | 8,243,845 |
Reported balance
After 2018-12-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-12-13 · Sale · Disposed 6,500,000 · Balance 8,243,845 F4: On December 13, 2018, the GS Investors entered into a sale transaction (the "Sale") of the common shares, par value $0.01 per share (the "Common Shares"), of Americold Realty Trust (the "Company"). The GS Investors sold 6,500,000 Common Shares at $26.37 per share. F7: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 182,617 Common Shares and Goldman Sachs also had open short positions of 57,008 Common Shares, reflecting changes due to exempt transactions. Both Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate 8,061,228 Common Shares owned by the GS Investors because affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Investors. Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the GS Investors. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Fund, L.P. ("GS Cap Partners VI"), GS Capital Partners VI GmbH & CO. KG ("GS Germany"), Opportunity Partners Offshore-B Co-Invest AIV, L.P. ("Opportunity Partners" and, together with GS Parallel, GS Offshore, GS Cap Partners VI and GS Germany, the "GS Funds"), GSCP VI Offshore IceCap Investment, L.P. ("GSCP Offshore IceCap Investment"), GSCP VI GmbH IceCap Investment, L.P. ("GSCP GmbH IceCap Investment"), IceCap2 Holdings, L.P. ("IceCap2 Holdings" and, together with GS Parallel, GSCP Offshore IceCap Investment, GS Cap Partners VI and GSCP GmbH IceCap Investment, the "GS Investors"), GS Advisors VI, L.L.C. ("GS Advisors VI"), (continued in Footnote 2) F2: Goldman, Sachs Management GP GmbH ("GS GmbH"), GSCP VI Advisors, L.L.C. ("GSCP VI Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP VI Offshore Advisors") and Opportunity Partners Offshore-B Co-Invest AIV Advisors, Ltd. ("Opportunity Advisors" and, together with GS Group, Goldman Sachs, the GS Funds, GSCP Offshore IceCap Investment, GSCP GmbH IceCap Investment, IceCap2 Holdings, GS Advisors VI, GS GmbH, GSCP VI Advisors and GSCP VI Offshore Advisors, the "Reporting Persons"). F3: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F5: As of December 13, 2018, as a result of the Sale, GS Parallel beneficially owns directly 795,953 Common Shares, which may be deemed to be beneficially owned indirectly by GS Parallel's general partner, GS Advisors VI. GSCP Offshore IceCap Investment beneficially owns directly 2,407,578 Common Shares, which may be deemed to be beneficially owned indirectly by GS Offshore and indirectly by GS Offshore's general partner, GSCP VI Offshore Advisors. GS Cap Partners VI beneficially owns directly 2,894,527 Common Shares, which may be deemed to be beneficially owned indirectly by GS Cap Partners VI's general partner, GSCP VI Advisors. GSCP GmbH IceCap Investment beneficially owns directly 102,886 Common Shares, which may be deemed to be beneficially owned indirectly by GS Germany and indirectly by GS Germany's general partner, GS GmbH. (continued in Footnote 6) F6: IceCap2 Holdings beneficially owns directly 1,860,284 Common Shares, which may be deemed to be beneficially owned indirectly by Opportunity Partners and indirectly by Opportunity Partner's general partner, Opportunity Advisors. F8: The Reporting Persons disclaim beneficial ownership of all Common Shares in excess of their pecuniary interest, if any, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Fund, L.P. ("GS Cap Partners VI"), GS Capital Partners VI GmbH & CO. KG ("GS Germany"), Opportunity Partners Offshore-B Co-Invest AIV, L.P. ("Opportunity Partners" and, together with GS Parallel, GS Offshore, GS Cap Partners VI and GS Germany, the "GS Funds"), GSCP VI Offshore IceCap Investment, L.P. ("GSCP Offshore IceCap Investment"), GSCP VI GmbH IceCap Investment, L.P. ("GSCP GmbH IceCap Investment"), IceCap2 Holdings, L.P. ("IceCap2 Holdings" and, together with GS Parallel, GSCP Offshore IceCap Investment, GS Cap Partners VI and GSCP GmbH IceCap Investment, the "GS Investors"), GS Advisors VI, L.L.C. ("GS Advisors VI"), (continued in Footnote 2)
F2: Goldman, Sachs Management GP GmbH ("GS GmbH"), GSCP VI Advisors, L.L.C. ("GSCP VI Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP VI Offshore Advisors") and Opportunity Partners Offshore-B Co-Invest AIV Advisors, Ltd. ("Opportunity Advisors" and, together with GS Group, Goldman Sachs, the GS Funds, GSCP Offshore IceCap Investment, GSCP GmbH IceCap Investment, IceCap2 Holdings, GS Advisors VI, GS GmbH, GSCP VI Advisors and GSCP VI Offshore Advisors, the "Reporting Persons").
F3: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
F4: On December 13, 2018, the GS Investors entered into a sale transaction (the "Sale") of the common shares, par value $0.01 per share (the "Common Shares"), of Americold Realty Trust (the "Company"). The GS Investors sold 6,500,000 Common Shares at $26.37 per share.
F5: As of December 13, 2018, as a result of the Sale, GS Parallel beneficially owns directly 795,953 Common Shares, which may be deemed to be beneficially owned indirectly by GS Parallel's general partner, GS Advisors VI. GSCP Offshore IceCap Investment beneficially owns directly 2,407,578 Common Shares, which may be deemed to be beneficially owned indirectly by GS Offshore and indirectly by GS Offshore's general partner, GSCP VI Offshore Advisors. GS Cap Partners VI beneficially owns directly 2,894,527 Common Shares, which may be deemed to be beneficially owned indirectly by GS Cap Partners VI's general partner, GSCP VI Advisors. GSCP GmbH IceCap Investment beneficially owns directly 102,886 Common Shares, which may be deemed to be beneficially owned indirectly by GS Germany and indirectly by GS Germany's general partner, GS GmbH. (continued in Footnote 6)
F6: IceCap2 Holdings beneficially owns directly 1,860,284 Common Shares, which may be deemed to be beneficially owned indirectly by Opportunity Partners and indirectly by Opportunity Partner's general partner, Opportunity Advisors.
F7: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 182,617 Common Shares and Goldman Sachs also had open short positions of 57,008 Common Shares, reflecting changes due to exempt transactions. Both Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate 8,061,228 Common Shares owned by the GS Investors because affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Investors. Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the GS Investors.
F8: The Reporting Persons disclaim beneficial ownership of all Common Shares in excess of their pecuniary interest, if any, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
AMN HEALTHCARE SERVICES INC
Report date June 20, 2012 · Filed October 15, 2012
Jointly reported with GOLDMAN SACHS GROUP INC, GSUIG, L.L.C.
Section 16 reporting ended · disclosed 2012-10-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,585,574 |
Reported balance
After 2012-06-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2012-06-20 · Sale · Disposed 8,869 · Balance 1,585,574 F5: Reflects a weighted average sale price of $6.0789 per share, at prices ranging from $6.00 to $6.18 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,580,474 |
Reported balance
After 2012-06-29 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2012-06-29 · Sale · Disposed 5,100 · Balance 1,580,474 F6: Reflects a weighted average sale price of $6.0091 per share, at prices ranging from $6.00 to $6.04 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,551,500 |
Reported balance
After 2012-07-02 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2012-07-02 · Sale · Disposed 28,974 · Balance 1,551,500 F7: Reflects a weighted average sale price of $6.0338 per share, at prices ranging from $6.00 to $6.10 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,532,632 |
Reported balance
After 2012-07-03 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2012-07-03 · Sale · Disposed 18,868 · Balance 1,532,632 F8: Reflects a weighted average sale price of $6.2836 per share, at prices ranging from $6.14 to $6.37 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,519,414 |
Reported balance
After 2012-07-05 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2012-07-05 · Sale · Disposed 13,218 · Balance 1,519,414 F9: Reflects a weighted average sale price of $6.3011 per share, at prices ranging from $6.245 to $6.39 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,497,951 |
Reported balance
After 2012-07-06 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2012-07-06 · Sale · Disposed 21,463 · Balance 1,497,951 F10: Reflects a weighted average sale price of $6.2987 per share, at prices ranging from $6.23 to $6.39 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,473,411 |
Reported balance
After 2012-07-09 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2012-07-09 · Sale · Disposed 24,540 · Balance 1,473,411 F11: Reflects a weighted average sale price of $6.2465 per share, at prices ranging from $6.00 to $6.33 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,426,124 |
Reported balance
After 2012-07-10 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2012-07-10 · Sale · Disposed 47,287 · Balance 1,426,124 F12: Reflects a weighted average sale price of $6.3084 per share, at prices ranging from $6.2 to $6.47 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,386,936 |
Reported balance
After 2012-07-11 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2012-07-11 · Sale · Disposed 39,188 · Balance 1,386,936 F13: Reflects a weighted average sale price of $6.2063 per share, at prices ranging from $6.15 to $6.32 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,381,236 |
Reported balance
After 2012-07-25 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2012-07-25 · Sale · Disposed 5,700 · Balance 1,381,236 F14: Reflects a weighted average sale price of $5.9102 per share, at prices ranging from $5.90 to $5.92 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,366,168 |
Reported balance
After 2012-07-26 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2012-07-26 · Sale · Disposed 15,068 · Balance 1,366,168 F15: Reflects a weighted average sale price of $5.9494 per share, at prices ranging from $5.90 to $6.05 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,370,278 |
Reported balance
After 2012-07-27 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2012-07-27 · Purchase · Acquired 4,110 · Balance 1,370,278 F16: Reflects a weighted average purchase price of $6.1119 per share, at prices ranging from $5.98 to $6.15 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,333,205 |
Reported balance
After 2012-07-27 transaction · row 13
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 13 · 2012-07-27 · Sale · Disposed 37,073 · Balance 1,333,205 F17: Reflects a weighted average sale price of $6.1207 per share, at prices ranging from $6.02 to $6.16 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,336,551 |
Reported balance
After 2012-07-30 transaction · row 14
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 14 · 2012-07-30 · Purchase · Acquired 3,346 · Balance 1,336,551 F18: Reflects a weighted average purchase price of $6.081 per share, at prices ranging from $6.03 to $6.18 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,328,765 |
Reported balance
After 2012-07-30 transaction · row 15
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 15 · 2012-07-30 · Sale · Disposed 7,786 · Balance 1,328,765 F19: Reflects a weighted average sale price of $6.1143 per share, at prices ranging from $6.08 to $6.22 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,332,800 |
Reported balance
After 2012-07-31 transaction · row 16
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 16 · 2012-07-31 · Purchase · Acquired 4,035 · Balance 1,332,800 F20: Reflects a weighted average purchase price of $5.8597 per share, at prices ranging from $5.83 to $5.90 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,314,486 |
Reported balance
After 2012-07-31 transaction · row 17
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 17 · 2012-07-31 · Sale · Disposed 18,314 · Balance 1,314,486 F21: Reflects a weighted average sale price of $5.89 per share, at prices ranging from $5.825 to $6.03 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,315,416 |
Reported balance
After 2012-08-01 transaction · row 18
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 18 · 2012-08-01 · Purchase · Acquired 930 · Balance 1,315,416 F22: Reflects a weighted average purchase price of $5.7555 per share, at prices ranging from $5.75 to $5.77 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,304,581 |
Reported balance
After 2012-08-01 transaction · row 19
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 19 · 2012-08-01 · Sale · Disposed 10,835 · Balance 1,304,581 F23: Reflects a weighted average sale price of $5.7711 per share, at prices ranging from $5.75 to $5.86 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,298,565 |
Reported balance
After 2012-08-02 transaction · row 20
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 20 · 2012-08-02 · Sale · Disposed 6,016 · Balance 1,298,565 F24: Reflects a weighted average sale price of $5.5704 per share, at prices ranging from $5.505 to $5.67 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,337,630 |
Reported balance
After 2012-08-03 transaction · row 21
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 21 · 2012-08-03 · Purchase · Acquired 39,065 · Balance 1,337,630 F25: Reflects a weighted average purchase price of $6.1473 per share, at prices ranging from $5.99 to $6.28 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,199,914 |
Reported balance
After 2012-08-03 transaction · row 22
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 22 · 2012-08-03 · Sale · Disposed 137,716 · Balance 1,199,914 F26: Reflects a weighted average sale price of $6.1165 per share, at prices ranging from $6.00 to $6.35 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,223,515 |
Reported balance
After 2012-08-06 transaction · row 23
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 23 · 2012-08-06 · Purchase · Acquired 23,601 · Balance 1,223,515 F27: Reflects a weighted average purchase price of $6.0852 per share, at prices ranging from $5.99 to $6.145 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,153,668 |
Reported balance
After 2012-08-06 transaction · row 24
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 24 · 2012-08-06 · Sale · Disposed 69,847 · Balance 1,153,668 F28: Reflects a weighted average sale price of $6.0859 per share, at prices ranging from $6.00 to $6.15 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,154,668 |
Reported balance
After 2012-08-07 transaction · row 25
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 25 · 2012-08-07 · Purchase · Acquired 1,000 · Balance 1,154,668 F29: Reflects a weighted average purchase price of $6.062 per share, at prices ranging from $6.04 to $6.07 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,104,475 |
Reported balance
After 2012-08-07 transaction · row 26
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 26 · 2012-08-07 · Sale · Disposed 50,193 · Balance 1,104,475 F30: Reflects a weighted average sale price of $6.058 per share, at prices ranging from $6.01 to $6.09 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,051,885 |
Reported balance
After 2012-08-08 transaction · row 27
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 27 · 2012-08-08 · Sale · Disposed 52,590 · Balance 1,051,885 F31: Reflects a weighted average sale price of $6.135 per share, at prices ranging from $6.05 to $6.17 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 872,908 |
Reported balance
After 2012-08-09 transaction · row 28
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 28 · 2012-08-09 · Sale · Disposed 143,422 · Balance 872,908 F32: Reflects a weighted average sale price of $6.4204 per share, at prices ranging from $6.24 to $6.51 per share. F33: 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 will be provided. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group. F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs") and GSUIG, L.L.C. ("GSUIG", and together with GS Group and Goldman Sachs, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. GS Group is the sole member of GSUIG and Goldman Sachs serves as the investment manager for GSUIG. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F2: Due to an inadvertent error that resulted in the Common Stock underlying the shares of convertible preferred stock of the Company held in escrow being excluded from the beneficial ownership of the Reporting Persons under Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder ("Section 13(d)"), the Reporting Persons ceased to be greater than 10% beneficial owners under Section 13(d) on August 9, 2012 (the "10% Cessation Date"), and not on June 19, 2012 as previously reported. This Form 4 filing reports transactions executed up to and including the 10% Cessation Date. The Reporting Persons have remitted to the Issuer any profits, accordingly.
F3: The shares of common stock, par value $0.01 per share (the "Common Stock") of AMN Healthcare Services, Inc. (the "Company") reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs or GSUIG, and indirectly by GS Group.
F4: As of August 9, 2012, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 56,156 shares of Common Stock and Goldman Sachs also holds open short positions of 317,345 shares of Common Stock, reflecting changes due to exempt transactions. As of August 9, 2012, Goldman Sachs and GS Group may be deemed to beneficially own indirectly 812,175 shares of Common Stock by reason of the direct beneficial ownership of such shares by GSUIG. GS Group also beneficially owns directly 4,577 shares of Common Stock.
F5: Reflects a weighted average sale price of $6.0789 per share, at prices ranging from $6.00 to $6.18 per share.
F6: Reflects a weighted average sale price of $6.0091 per share, at prices ranging from $6.00 to $6.04 per share.
F7: Reflects a weighted average sale price of $6.0338 per share, at prices ranging from $6.00 to $6.10 per share.
F8: Reflects a weighted average sale price of $6.2836 per share, at prices ranging from $6.14 to $6.37 per share.
F9: Reflects a weighted average sale price of $6.3011 per share, at prices ranging from $6.245 to $6.39 per share.
F10: Reflects a weighted average sale price of $6.2987 per share, at prices ranging from $6.23 to $6.39 per share.
F11: Reflects a weighted average sale price of $6.2465 per share, at prices ranging from $6.00 to $6.33 per share.
F12: Reflects a weighted average sale price of $6.3084 per share, at prices ranging from $6.2 to $6.47 per share.
F13: Reflects a weighted average sale price of $6.2063 per share, at prices ranging from $6.15 to $6.32 per share.
F14: Reflects a weighted average sale price of $5.9102 per share, at prices ranging from $5.90 to $5.92 per share.
F15: Reflects a weighted average sale price of $5.9494 per share, at prices ranging from $5.90 to $6.05 per share.
F16: Reflects a weighted average purchase price of $6.1119 per share, at prices ranging from $5.98 to $6.15 per share.
F17: Reflects a weighted average sale price of $6.1207 per share, at prices ranging from $6.02 to $6.16 per share.
F18: Reflects a weighted average purchase price of $6.081 per share, at prices ranging from $6.03 to $6.18 per share.
F19: Reflects a weighted average sale price of $6.1143 per share, at prices ranging from $6.08 to $6.22 per share.
F20: Reflects a weighted average purchase price of $5.8597 per share, at prices ranging from $5.83 to $5.90 per share.
F21: Reflects a weighted average sale price of $5.89 per share, at prices ranging from $5.825 to $6.03 per share.
F22: Reflects a weighted average purchase price of $5.7555 per share, at prices ranging from $5.75 to $5.77 per share.
F23: Reflects a weighted average sale price of $5.7711 per share, at prices ranging from $5.75 to $5.86 per share.
F24: Reflects a weighted average sale price of $5.5704 per share, at prices ranging from $5.505 to $5.67 per share.
F25: Reflects a weighted average purchase price of $6.1473 per share, at prices ranging from $5.99 to $6.28 per share.
F26: Reflects a weighted average sale price of $6.1165 per share, at prices ranging from $6.00 to $6.35 per share.
F27: Reflects a weighted average purchase price of $6.0852 per share, at prices ranging from $5.99 to $6.145 per share.
F28: Reflects a weighted average sale price of $6.0859 per share, at prices ranging from $6.00 to $6.15 per share.
F29: Reflects a weighted average purchase price of $6.062 per share, at prices ranging from $6.04 to $6.07 per share.
F30: Reflects a weighted average sale price of $6.058 per share, at prices ranging from $6.01 to $6.09 per share.
F31: Reflects a weighted average sale price of $6.135 per share, at prices ranging from $6.05 to $6.17 per share.
F32: Reflects a weighted average sale price of $6.4204 per share, at prices ranging from $6.24 to $6.51 per share.
F33: 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 will be provided.
ARAMARK CORP/DE
Report date December 04, 2006 · Filed February 03, 2007
Jointly reported with GOLDMAN SACHS GROUP INC, GSCP V ADVISORS, L.L.C., GSCP V OFFSHORE ADVISORS, L.L.C., GS ADVISORS V, L.L.C., GOLDMAN, SACHS MANAGEMENT GP GMBH, GS CAPITAL PARTNERS V FUND, L.P., GS CAPITAL PARTNERS V OFFSHORE FUND, L.P., GS CAPITAL PARTNERS V GMBH & CO. KG, GS CAPITAL PARTNERS V INSTITUTIONAL, L.P.
Section 16 reporting ended · disclosed 2007-02-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,983,064 |
Last balance in matching sequence
After 2007-01-10 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2006-12-04 · Conversion · Acquired 13,910 · Balance 1,874,465 F5: On December 4, 2006, GS received 13,910 shares of Class B Common Stock, in connection with the physical settlement of the pre-paid variable share forward contract GS entered into on December 4, 2002. Under the contract, GS paid cash in the amount of $354,000 on the date the contract was entered into, in exchange for the delivery of such shares, with the number of shares delivered calculated pursuant to a formula included in such forward contract. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GSCP V Advisors, L.L.C. ("GSCP Advisors"), GSCP V Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors V, L.L.C. ("GS Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Capital Partners V Fund, L.P. ("GS Capital"), GS Capital Partners V Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners V GmbH & CO. KG ("GS Germany") and GS Capital Partners V Institutional, L.P. ("GS Institutional" and, together with GS Capital, GS Offshore and GS Germany, the "Funds") (GS Group, Goldman Sachs, GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH and the Funds, collectively, the "Reporting Persons"). F2: As a result of an agreement by a group of investors, which includes affiliates of GS Group and Goldman Sachs, to acquire all of the outstanding shares of Aramark Corporation (the "Company"), as disclosed by the Company on a Form 8-K filed with the Securities and Exchange Commission on May 1, 2006, the Reporting Persons, together with the other investors and certain of their affiliates, may be deemed to constitute a "group", within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, that beneficially owns more than 10% of the outstanding shares of Class A Common Stock and Class B Common Stock of the Company. The acquisition of the Company closed on January 26, 2007. F3: This Form 4 shall not be deemed an admission that any Reporting Person is a beneficial owner of any shares of Class A Common Stock or Class B Common Stock for any purpose, other than the securities reported in Tables I and II of this Form 4. Each of the Reporting Persons disclaims beneficial ownership of the securities reported in Table I and II except to the extent of its pecuniary interest therein, if any. F4: The securities reported herein may be deemed to be beneficially owned indirectly by GS Group by reason of the direct ownership of such securities by Goldman Sachs or another direct or indirect wholly-owned subsidiary of GS Group ("GS"). Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. Row 2 · 2007-01-10 · Conversion · Acquired 108,599 · Balance 1,983,064 F6: On January 10, 2007, GS received an aggregate of 108,599 shares of Class B Common Stock, in connection with the physical settlement of pre-paid variable share forward contracts GS entered into on December 4, 2002. Under the contracts, GS paid cash in the amount of $2,774,770.60 on the date the contracts were entered into, in exchange for the delivery of such shares, with the number of shares delivered calculated pursuant to a formula included in such forward contracts. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GSCP V Advisors, L.L.C. ("GSCP Advisors"), GSCP V Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors V, L.L.C. ("GS Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Capital Partners V Fund, L.P. ("GS Capital"), GS Capital Partners V Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners V GmbH & CO. KG ("GS Germany") and GS Capital Partners V Institutional, L.P. ("GS Institutional" and, together with GS Capital, GS Offshore and GS Germany, the "Funds") (GS Group, Goldman Sachs, GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH and the Funds, collectively, the "Reporting Persons"). F2: As a result of an agreement by a group of investors, which includes affiliates of GS Group and Goldman Sachs, to acquire all of the outstanding shares of Aramark Corporation (the "Company"), as disclosed by the Company on a Form 8-K filed with the Securities and Exchange Commission on May 1, 2006, the Reporting Persons, together with the other investors and certain of their affiliates, may be deemed to constitute a "group", within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, that beneficially owns more than 10% of the outstanding shares of Class A Common Stock and Class B Common Stock of the Company. The acquisition of the Company closed on January 26, 2007. F3: This Form 4 shall not be deemed an admission that any Reporting Person is a beneficial owner of any shares of Class A Common Stock or Class B Common Stock for any purpose, other than the securities reported in Tables I and II of this Form 4. Each of the Reporting Persons disclaims beneficial ownership of the securities reported in Table I and II except to the extent of its pecuniary interest therein, if any. F4: The securities reported herein may be deemed to be beneficially owned indirectly by GS Group by reason of the direct ownership of such securities by Goldman Sachs or another direct or indirect wholly-owned subsidiary of GS Group ("GS"). Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. |
| Variable Prepaid Forward (call equivalent)SEC Table II · derivative / convertible security · Conversion / exercise price $25.45 · Expires 2006-12-04 | IndirectSee footnotes | 0 |
Reported balance
After 2006-12-04 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2006-12-04 · Conversion · Disposed 13,910 · Balance 0 F5: On December 4, 2006, GS received 13,910 shares of Class B Common Stock, in connection with the physical settlement of the pre-paid variable share forward contract GS entered into on December 4, 2002. Under the contract, GS paid cash in the amount of $354,000 on the date the contract was entered into, in exchange for the delivery of such shares, with the number of shares delivered calculated pursuant to a formula included in such forward contract. F4: The securities reported herein may be deemed to be beneficially owned indirectly by GS Group by reason of the direct ownership of such securities by Goldman Sachs or another direct or indirect wholly-owned subsidiary of GS Group ("GS"). Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. |
| Variable Prepaid Forward (call equivalent)SEC Table II · derivative / convertible security · Conversion / exercise price $25.55 · Expires 2007-01-10 | IndirectSee footnotes | 0 |
Reported balance
After 2007-01-10 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2007-01-10 · Conversion · Disposed 108,599 · Balance 0 F6: On January 10, 2007, GS received an aggregate of 108,599 shares of Class B Common Stock, in connection with the physical settlement of pre-paid variable share forward contracts GS entered into on December 4, 2002. Under the contracts, GS paid cash in the amount of $2,774,770.60 on the date the contracts were entered into, in exchange for the delivery of such shares, with the number of shares delivered calculated pursuant to a formula included in such forward contracts. F4: The securities reported herein may be deemed to be beneficially owned indirectly by GS Group by reason of the direct ownership of such securities by Goldman Sachs or another direct or indirect wholly-owned subsidiary of GS Group ("GS"). Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GSCP V Advisors, L.L.C. ("GSCP Advisors"), GSCP V Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors V, L.L.C. ("GS Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Capital Partners V Fund, L.P. ("GS Capital"), GS Capital Partners V Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners V GmbH & CO. KG ("GS Germany") and GS Capital Partners V Institutional, L.P. ("GS Institutional" and, together with GS Capital, GS Offshore and GS Germany, the "Funds") (GS Group, Goldman Sachs, GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH and the Funds, collectively, the "Reporting Persons").
F2: As a result of an agreement by a group of investors, which includes affiliates of GS Group and Goldman Sachs, to acquire all of the outstanding shares of Aramark Corporation (the "Company"), as disclosed by the Company on a Form 8-K filed with the Securities and Exchange Commission on May 1, 2006, the Reporting Persons, together with the other investors and certain of their affiliates, may be deemed to constitute a "group", within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, that beneficially owns more than 10% of the outstanding shares of Class A Common Stock and Class B Common Stock of the Company. The acquisition of the Company closed on January 26, 2007.
F3: This Form 4 shall not be deemed an admission that any Reporting Person is a beneficial owner of any shares of Class A Common Stock or Class B Common Stock for any purpose, other than the securities reported in Tables I and II of this Form 4. Each of the Reporting Persons disclaims beneficial ownership of the securities reported in Table I and II except to the extent of its pecuniary interest therein, if any.
F4: The securities reported herein may be deemed to be beneficially owned indirectly by GS Group by reason of the direct ownership of such securities by Goldman Sachs or another direct or indirect wholly-owned subsidiary of GS Group ("GS"). Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group.
F5: On December 4, 2006, GS received 13,910 shares of Class B Common Stock, in connection with the physical settlement of the pre-paid variable share forward contract GS entered into on December 4, 2002. Under the contract, GS paid cash in the amount of $354,000 on the date the contract was entered into, in exchange for the delivery of such shares, with the number of shares delivered calculated pursuant to a formula included in such forward contract.
F6: On January 10, 2007, GS received an aggregate of 108,599 shares of Class B Common Stock, in connection with the physical settlement of pre-paid variable share forward contracts GS entered into on December 4, 2002. Under the contracts, GS paid cash in the amount of $2,774,770.60 on the date the contracts were entered into, in exchange for the delivery of such shares, with the number of shares delivered calculated pursuant to a formula included in such forward contracts.
ATS CORP
Report date June 27, 2007 · Filed June 29, 2007
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2007-06-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 152,700 |
Reported balance
After 2007-06-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2007-06-27 · Sale · Disposed 30,000 · Balance 152,700 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). The securities reported herein as indirectly sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs or an affiliate will remit appropriate profits, if any, to ATS Corporation (the "Company"). The securities reported herein as indirectly owned are beneficially owned directly by Goldman Sachs. Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: In connection with the transactions reported herein, as of June 27, 2007, the Reporting Persons ceased to beneficially own more than 10% of the Company's Common Stock, par value $0.0001 per share, reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended March 31, 2007, and are therefore no longer subject to Section 16. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2009-10-19 | IndirectSee footnote | 1,441,000 |
Reported balance
After 2007-06-27 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2007-06-27 · Sale · Disposed 1,000,000 · Balance 1,441,000 F3: Immediately exercisable. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). The securities reported herein as indirectly sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs or an affiliate will remit appropriate profits, if any, to ATS Corporation (the "Company"). The securities reported herein as indirectly owned are beneficially owned directly by Goldman Sachs. Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: In connection with the transactions reported herein, as of June 27, 2007, the Reporting Persons ceased to beneficially own more than 10% of the Company's Common Stock, par value $0.0001 per share, reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended March 31, 2007, and are therefore no longer subject to Section 16. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). The securities reported herein as indirectly sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs or an affiliate will remit appropriate profits, if any, to ATS Corporation (the "Company"). The securities reported herein as indirectly owned are beneficially owned directly by Goldman Sachs. Goldman Sachs is a wholly-owned subsidiary of GS Group.
F2: In connection with the transactions reported herein, as of June 27, 2007, the Reporting Persons ceased to beneficially own more than 10% of the Company's Common Stock, par value $0.0001 per share, reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended March 31, 2007, and are therefore no longer subject to Section 16.
F3: Immediately exercisable.
Amber Road, Inc.
Report date March 26, 2014 · Filed March 28, 2014
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2014-03-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,987,756 |
Reported balance
After 2014-03-26 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2014-03-26 · Conversion · Acquired 2,987,756 · Balance 2,987,756 F2: Each share of Series E Redeemable Convertible Preferred Stock, no par value, of Amber Road, Inc. (the "Company"), converted automatically, for no additional consideration, into the Company's common stock, $0.001 par value (the "Common Stock"), immediately prior to the closing of the Company's initial public offering (the "Initial Offering") of Common Stock. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F5: As of March 26, 2014, as a result of the Initial Offering and the exercise of the Over-Allotment Option, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 2,313,369 shares of Common Stock of the Company. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F6: The Reporting Persons are no longer beneficial owners of more than 10% of the Common Stock of the Company, and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,313,369 |
Reported balance
After 2014-03-26 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2014-03-26 · Sale · Disposed 674,387 · Balance 2,313,369 F3: In connection with the Initial Offering of Common Stock of the Company, pursuant to an underwriting agreement (the "Underwriting Agreement") and final prospectus, each dated March 20, 2014, Goldman Sachs, as a selling stockholder, sold 444,602 shares of Common Stock at $12.09 per share, which represents the $13.00 Initial Offering price per share of Common Stock, less the underwriting discount of $0.91 per share of Common Stock. The Initial Offering closed on March 26, 2014. F4: Pursuant to the Underwriting Agreement and in connection with the Initial Offering, the underwriters exercised their option (the "Over-Allotment Option") to purchase additional shares of Common Stock from the selling stockholders. The Over-Allotment Option closed simultaneously with the Initial Offering on March 26, 2014. Goldman Sachs sold an additional 229,785 shares of Common Stock pursuant to the underwriters' exercise of the Over-Allotment Option. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F5: As of March 26, 2014, as a result of the Initial Offering and the exercise of the Over-Allotment Option, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 2,313,369 shares of Common Stock of the Company. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F6: The Reporting Persons are no longer beneficial owners of more than 10% of the Common Stock of the Company, and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended. |
| Series E Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnotes | 0 |
Reported balance
After 2014-03-26 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2014-03-26 · Conversion · Disposed 4,472,671 · Balance 0 F2: Each share of Series E Redeemable Convertible Preferred Stock, no par value, of Amber Road, Inc. (the "Company"), converted automatically, for no additional consideration, into the Company's common stock, $0.001 par value (the "Common Stock"), immediately prior to the closing of the Company's initial public offering (the "Initial Offering") of Common Stock. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F5: As of March 26, 2014, as a result of the Initial Offering and the exercise of the Over-Allotment Option, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 2,313,369 shares of Common Stock of the Company. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F6: The Reporting Persons are no longer beneficial owners of more than 10% of the Common Stock of the Company, and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group.
F2: Each share of Series E Redeemable Convertible Preferred Stock, no par value, of Amber Road, Inc. (the "Company"), converted automatically, for no additional consideration, into the Company's common stock, $0.001 par value (the "Common Stock"), immediately prior to the closing of the Company's initial public offering (the "Initial Offering") of Common Stock.
F3: In connection with the Initial Offering of Common Stock of the Company, pursuant to an underwriting agreement (the "Underwriting Agreement") and final prospectus, each dated March 20, 2014, Goldman Sachs, as a selling stockholder, sold 444,602 shares of Common Stock at $12.09 per share, which represents the $13.00 Initial Offering price per share of Common Stock, less the underwriting discount of $0.91 per share of Common Stock. The Initial Offering closed on March 26, 2014.
F4: Pursuant to the Underwriting Agreement and in connection with the Initial Offering, the underwriters exercised their option (the "Over-Allotment Option") to purchase additional shares of Common Stock from the selling stockholders. The Over-Allotment Option closed simultaneously with the Initial Offering on March 26, 2014. Goldman Sachs sold an additional 229,785 shares of Common Stock pursuant to the underwriters' exercise of the Over-Allotment Option.
F5: As of March 26, 2014, as a result of the Initial Offering and the exercise of the Over-Allotment Option, Goldman Sachs beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 2,313,369 shares of Common Stock of the Company. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F6: The Reporting Persons are no longer beneficial owners of more than 10% of the Common Stock of the Company, and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended.
Aramark
Report date August 21, 2015 · Filed August 25, 2015
Jointly reported with GOLDMAN SACHS GROUP INC, GS CAPITAL PARTNERS V FUND, L.P., GS CAPITAL PARTNERS V OFFSHORE FUND, L.P., GS CAPITAL PARTNERS V INSTITUTIONAL, L.P., GS CAPITAL PARTNERS V GMBH & CO. KG, GSCP V ADVISORS, L.L.C., GSCP V OFFSHORE ADVISORS, L.L.C., GS ADVISORS V, L.L.C., GOLDMAN, SACHS MANAGEMENT GP GMBH
Section 16 reporting ended · disclosed 2015-08-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee footnotes | 98,084.4154 |
Reported balance
After 2015-08-21 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2015-08-21 · Sale · Disposed 8,725,722 · Balance 98,084.4154 F2: In connection with the public offering of common stock, par value $0.01 per share (the "Common Stock") of Aramark (the "Company") by certain selling stockholders pursuant to an Underwriting Agreement, final prospectus supplement and Share Repurchase Agreement, each dated August 17, 2015, the Funds, as selling stockholders, sold 8,725,722 shares of Common Stock of the Company at $32.30 per share. Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner, managing member or member of the Funds. Goldman Sachs is the investment manager of certain of the Funds. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GSCP V Advisors, L.L.C. ("GSCP V Advisors"), GSCP V Offshore Advisors, L.L.C. ("GSCP V Offshore Advisors"), GS Advisors V, L.L.C. ("GS Advisors V"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Capital Partners V Fund, L.P. ("GS Capital V"), GS Capital Partners V GmbH & Co. KG ("GS Germany V"), GS Capital Partners V Institutional, L.P. ("GS V Institutional"), GS Capital Partners V Offshore Fund, L.P. ("GS V Offshore," and, together with GS Capital V, GS Germany V and GS V Institutional, the "Funds"). GS Group, Goldman Sachs, GSCP V Advisors, GSCP V Offshore Advisors, GS Advisors V, GS GmbH and the Funds are defined collectively, as the "Reporting Persons". F3: GS Group may be deemed to beneficially own 10,284.4154 shares of Common Stock pursuant to the ARAMARK Holdings Corporation 2013 Stock Incentive Plan (the "Plan"), consisting of 10,159 deferred stock units (the "Deferred Shares") granted to Sanjeev K. Mehra, a managing director of Goldman Sachs, and 125.4154 dividend equivalent rights to Deferred Shares accrued to Mr. Mehra, each in his capacity as a director of the Company and pursuant to the Plan. The dividend equivalent rights vest on the same schedules as the underlying Deferred Shares. The Deferred Shares will vest on the day prior to the first annual stockholders' meeting of the Company occurring after the grant date, subject to continued service, and, if vested, will be settled in shares of Common Stock on the first day of the seventh month after the date of the Mr. Mehra's departure from the board. Mr. Mehra has an understanding with GS Group pursuant to which he holds such shares for the benefit of GS Group. F4: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 87,800 shares of Common Stock, due to exempt transactions. F5: Each of the Reporting Persons and Mr. Mehra disclaims beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Persons or individual, as applicable, is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F6: As of August 21, 2015, the Reporting Persons are no longer beneficial owners of more than 10% of the Common Stock of the Company. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GSCP V Advisors, L.L.C. ("GSCP V Advisors"), GSCP V Offshore Advisors, L.L.C. ("GSCP V Offshore Advisors"), GS Advisors V, L.L.C. ("GS Advisors V"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Capital Partners V Fund, L.P. ("GS Capital V"), GS Capital Partners V GmbH & Co. KG ("GS Germany V"), GS Capital Partners V Institutional, L.P. ("GS V Institutional"), GS Capital Partners V Offshore Fund, L.P. ("GS V Offshore," and, together with GS Capital V, GS Germany V and GS V Institutional, the "Funds"). GS Group, Goldman Sachs, GSCP V Advisors, GSCP V Offshore Advisors, GS Advisors V, GS GmbH and the Funds are defined collectively, as the "Reporting Persons".
F2: In connection with the public offering of common stock, par value $0.01 per share (the "Common Stock") of Aramark (the "Company") by certain selling stockholders pursuant to an Underwriting Agreement, final prospectus supplement and Share Repurchase Agreement, each dated August 17, 2015, the Funds, as selling stockholders, sold 8,725,722 shares of Common Stock of the Company at $32.30 per share. Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner, managing member or member of the Funds. Goldman Sachs is the investment manager of certain of the Funds.
F3: GS Group may be deemed to beneficially own 10,284.4154 shares of Common Stock pursuant to the ARAMARK Holdings Corporation 2013 Stock Incentive Plan (the "Plan"), consisting of 10,159 deferred stock units (the "Deferred Shares") granted to Sanjeev K. Mehra, a managing director of Goldman Sachs, and 125.4154 dividend equivalent rights to Deferred Shares accrued to Mr. Mehra, each in his capacity as a director of the Company and pursuant to the Plan. The dividend equivalent rights vest on the same schedules as the underlying Deferred Shares. The Deferred Shares will vest on the day prior to the first annual stockholders' meeting of the Company occurring after the grant date, subject to continued service, and, if vested, will be settled in shares of Common Stock on the first day of the seventh month after the date of the Mr. Mehra's departure from the board. Mr. Mehra has an understanding with GS Group pursuant to which he holds such shares for the benefit of GS Group.
F4: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 87,800 shares of Common Stock, due to exempt transactions.
F5: Each of the Reporting Persons and Mr. Mehra disclaims beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Persons or individual, as applicable, is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F6: As of August 21, 2015, the Reporting Persons are no longer beneficial owners of more than 10% of the Common Stock of the Company.
Attovia Therapeutics, Inc.
Report date August 05, 2026 · Filed August 28, 2026 · Amendment
Jointly reported with GOLDMAN SACHS GROUP INC, GOLDMAN SACHS ASSET MANAGEMENT, L.P., Broad Street Principal Investments, L.L.C., WSLS OFFSHORE INVESTMENTS, SLP, West Street Life Sciences I, L.P., WSLS EMP OFFSHORE INVESTMENTS, L.P., WSLS EMP ONSHORE INVESTMENTS, L.P.
Section 16 reporting ended · disclosed 2026-08-28. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 85,000 |
Reported balance
After 2026-08-05 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2026-08-05 · Purchase · Acquired 85,000 · Balance 85,000 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 84,012 |
Reported balance
After 2026-08-05 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2026-08-05 · Sale · Disposed 988 · Balance 84,012 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 83,565 |
Reported balance
After 2026-08-05 transaction · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · 2026-08-05 · Sale · Disposed 447 · Balance 83,565 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 82,233 |
Reported balance
After 2026-08-05 transaction · row 4
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 4 · 2026-08-05 · Sale · Disposed 1,332 · Balance 82,233 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 82,033 |
Reported balance
After 2026-08-05 transaction · row 5
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 5 · 2026-08-05 · Sale · Disposed 200 · Balance 82,033 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 80,477 |
Reported balance
After 2026-08-05 transaction · row 6
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 6 · 2026-08-05 · Sale · Disposed 1,556 · Balance 80,477 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 77,075 |
Reported balance
After 2026-08-05 transaction · row 7
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 7 · 2026-08-05 · Sale · Disposed 3,402 · Balance 77,075 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 76,875 |
Reported balance
After 2026-08-05 transaction · row 8
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 8 · 2026-08-05 · Sale · Disposed 200 · Balance 76,875 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 76,395 |
Reported balance
After 2026-08-05 transaction · row 9
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 9 · 2026-08-05 · Sale · Disposed 480 · Balance 76,395 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 76,295 |
Reported balance
After 2026-08-05 transaction · row 10
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 10 · 2026-08-05 · Sale · Disposed 100 · Balance 76,295 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 75,542 |
Reported balance
After 2026-08-05 transaction · row 11
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 11 · 2026-08-05 · Sale · Disposed 753 · Balance 75,542 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 74,870 |
Reported balance
After 2026-08-05 transaction · row 12
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 12 · 2026-08-05 · Sale · Disposed 672 · Balance 74,870 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 67,900 |
Reported balance
After 2026-08-05 transaction · row 13
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 13 · 2026-08-05 · Sale · Disposed 6,970 · Balance 67,900 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 67,500 |
Reported balance
After 2026-08-05 transaction · row 14
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 14 · 2026-08-05 · Sale · Disposed 400 · Balance 67,500 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 66,320 |
Reported balance
After 2026-08-05 transaction · row 15
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 15 · 2026-08-05 · Sale · Disposed 1,180 · Balance 66,320 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 65,280 |
Reported balance
After 2026-08-05 transaction · row 16
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 16 · 2026-08-05 · Sale · Disposed 1,040 · Balance 65,280 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 64,980 |
Reported balance
After 2026-08-05 transaction · row 17
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 17 · 2026-08-05 · Sale · Disposed 300 · Balance 64,980 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 64,537 |
Reported balance
After 2026-08-05 transaction · row 18
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 18 · 2026-08-05 · Sale · Disposed 443 · Balance 64,537 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 64,337 |
Reported balance
After 2026-08-05 transaction · row 19
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 19 · 2026-08-05 · Sale · Disposed 200 · Balance 64,337 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 63,637 |
Reported balance
After 2026-08-05 transaction · row 20
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 20 · 2026-08-05 · Sale · Disposed 700 · Balance 63,637 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 62,474 |
Reported balance
After 2026-08-05 transaction · row 21
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 21 · 2026-08-05 · Sale · Disposed 1,163 · Balance 62,474 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 62,374 |
Reported balance
After 2026-08-05 transaction · row 22
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 22 · 2026-08-05 · Sale · Disposed 100 · Balance 62,374 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 55,611 |
Reported balance
After 2026-08-05 transaction · row 23
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 23 · 2026-08-05 · Sale · Disposed 6,763 · Balance 55,611 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2026-08-05 transaction · row 24
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 24 · 2026-08-05 · Sale · Disposed 76,418 · Balance 0 F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 2,042,134 |
Reported balance
After 2026-08-06 transaction · row 25
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 25 · 2026-08-06 · Conversion · Acquired 1,957,134 · Balance 2,042,134 F4: The previous report on Form 3 reflected an administrative error with respect to the number of shares of common stock issuable upon conversion of the Preferred Stock, which is corrected in this Form 4. F5: All shares of the Issuer's redeemable convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, adjusted for a 1-for-9.29 reverse stock split effected by the Issuer on July 29, 2026, upon the completion of the Issuer's initial public offering (the "IPO"). F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. F6: This statement is being filed by Goldman Sachs Group, Inc. ("GS Group"), GS&Co, Goldman Sachs Asset Management, L.P. ("GSAM LP"), Broad Street Principal Investments L.L.C. ("BSPI"), which directly holds 96,190 shares of common stock purchased in the IPO and 468,565 shares of common stock converted from 3,497,806 shares of Series B Preferred Stock and 855,179 shares of Series C Preferred Stock, WSLS Offshore Investments, SLP ("WSLS Offshore"), which directly holds 131,283 shares of common stock purchased in the IPO and 639,518 shares of common stock converted from 4,773,948 shares of Series B Preferred Stock and 1,167,182 shares of Series C Preferred Stock, West Street Life Sciences I, L.P. ("WSLS I"), which directly holds 137,708 shares of common stock purchased in the IPO and 670,812 shares of common stock converted from 5,007,564 shares of Series B Preferred Stock and 1,224,299 shares of Series C Preferred Stock,... (continued in footnote 7) F7: (continued from footnote 6)...WSLS Emp Offshore Investments, L.P. ("WSLS Emp Offshore"), which directly holds 36,927 shares of common stock purchased in the IPO and 179,879 shares of common stock converted from 1,342,794 shares of Series B Preferred Stock and 328,300 shares of Series C Preferred Stock, and WSLS Emp Onshore Investments, L.P. ("WSLS Emp Onshore"), which directly holds 97,892 shares of common stock purchased in the IPO and 476,858 shares of common stock converted from 3,559,718 shares of Series B Preferred Stock and 870,315 shares of Series C Preferred Stock. GS&Co is a direct subsidiary of GS Group and is the manager of BSPI. WSLS Offshore, WSLS I, WSLS Emp Offshore, and WSLS Emp Onshore are investment vehicles managed by GSAM LP, an indirect subsidiary of GS Group. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 2,520,632 |
Reported balance
After 2026-08-06 transaction · row 26
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 26 · 2026-08-06 · Conversion · Acquired 478,498 · Balance 2,520,632 F4: The previous report on Form 3 reflected an administrative error with respect to the number of shares of common stock issuable upon conversion of the Preferred Stock, which is corrected in this Form 4. F5: All shares of the Issuer's redeemable convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, adjusted for a 1-for-9.29 reverse stock split effected by the Issuer on July 29, 2026, upon the completion of the Issuer's initial public offering (the "IPO"). F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. F6: This statement is being filed by Goldman Sachs Group, Inc. ("GS Group"), GS&Co, Goldman Sachs Asset Management, L.P. ("GSAM LP"), Broad Street Principal Investments L.L.C. ("BSPI"), which directly holds 96,190 shares of common stock purchased in the IPO and 468,565 shares of common stock converted from 3,497,806 shares of Series B Preferred Stock and 855,179 shares of Series C Preferred Stock, WSLS Offshore Investments, SLP ("WSLS Offshore"), which directly holds 131,283 shares of common stock purchased in the IPO and 639,518 shares of common stock converted from 4,773,948 shares of Series B Preferred Stock and 1,167,182 shares of Series C Preferred Stock, West Street Life Sciences I, L.P. ("WSLS I"), which directly holds 137,708 shares of common stock purchased in the IPO and 670,812 shares of common stock converted from 5,007,564 shares of Series B Preferred Stock and 1,224,299 shares of Series C Preferred Stock,... (continued in footnote 7) F7: (continued from footnote 6)...WSLS Emp Offshore Investments, L.P. ("WSLS Emp Offshore"), which directly holds 36,927 shares of common stock purchased in the IPO and 179,879 shares of common stock converted from 1,342,794 shares of Series B Preferred Stock and 328,300 shares of Series C Preferred Stock, and WSLS Emp Onshore Investments, L.P. ("WSLS Emp Onshore"), which directly holds 97,892 shares of common stock purchased in the IPO and 476,858 shares of common stock converted from 3,559,718 shares of Series B Preferred Stock and 870,315 shares of Series C Preferred Stock. GS&Co is a direct subsidiary of GS Group and is the manager of BSPI. WSLS Offshore, WSLS I, WSLS Emp Offshore, and WSLS Emp Onshore are investment vehicles managed by GSAM LP, an indirect subsidiary of GS Group. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,020,632 |
Reported balance
After 2026-08-06 transaction · row 27
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 27 · 2026-08-06 · Purchase · Acquired 500,000 · Balance 3,020,632 F4: The previous report on Form 3 reflected an administrative error with respect to the number of shares of common stock issuable upon conversion of the Preferred Stock, which is corrected in this Form 4. F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnotes | 0 |
Reported balance
After 2026-08-06 transaction · row 28
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 28 · 2026-08-06 · Conversion · Disposed 18,181,830 · Balance 0 F4: The previous report on Form 3 reflected an administrative error with respect to the number of shares of common stock issuable upon conversion of the Preferred Stock, which is corrected in this Form 4. F5: All shares of the Issuer's redeemable convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, adjusted for a 1-for-9.29 reverse stock split effected by the Issuer on July 29, 2026, upon the completion of the Issuer's initial public offering (the "IPO"). F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. F6: This statement is being filed by Goldman Sachs Group, Inc. ("GS Group"), GS&Co, Goldman Sachs Asset Management, L.P. ("GSAM LP"), Broad Street Principal Investments L.L.C. ("BSPI"), which directly holds 96,190 shares of common stock purchased in the IPO and 468,565 shares of common stock converted from 3,497,806 shares of Series B Preferred Stock and 855,179 shares of Series C Preferred Stock, WSLS Offshore Investments, SLP ("WSLS Offshore"), which directly holds 131,283 shares of common stock purchased in the IPO and 639,518 shares of common stock converted from 4,773,948 shares of Series B Preferred Stock and 1,167,182 shares of Series C Preferred Stock, West Street Life Sciences I, L.P. ("WSLS I"), which directly holds 137,708 shares of common stock purchased in the IPO and 670,812 shares of common stock converted from 5,007,564 shares of Series B Preferred Stock and 1,224,299 shares of Series C Preferred Stock,... (continued in footnote 7) F7: (continued from footnote 6)...WSLS Emp Offshore Investments, L.P. ("WSLS Emp Offshore"), which directly holds 36,927 shares of common stock purchased in the IPO and 179,879 shares of common stock converted from 1,342,794 shares of Series B Preferred Stock and 328,300 shares of Series C Preferred Stock, and WSLS Emp Onshore Investments, L.P. ("WSLS Emp Onshore"), which directly holds 97,892 shares of common stock purchased in the IPO and 476,858 shares of common stock converted from 3,559,718 shares of Series B Preferred Stock and 870,315 shares of Series C Preferred Stock. GS&Co is a direct subsidiary of GS Group and is the manager of BSPI. WSLS Offshore, WSLS I, WSLS Emp Offshore, and WSLS Emp Onshore are investment vehicles managed by GSAM LP, an indirect subsidiary of GS Group. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnotes | 0 |
Reported balance
After 2026-08-06 transaction · row 29
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 29 · 2026-08-06 · Conversion · Disposed 4,445,275 · Balance 0 F4: The previous report on Form 3 reflected an administrative error with respect to the number of shares of common stock issuable upon conversion of the Preferred Stock, which is corrected in this Form 4. F5: All shares of the Issuer's redeemable convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, adjusted for a 1-for-9.29 reverse stock split effected by the Issuer on July 29, 2026, upon the completion of the Issuer's initial public offering (the "IPO"). F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. F6: This statement is being filed by Goldman Sachs Group, Inc. ("GS Group"), GS&Co, Goldman Sachs Asset Management, L.P. ("GSAM LP"), Broad Street Principal Investments L.L.C. ("BSPI"), which directly holds 96,190 shares of common stock purchased in the IPO and 468,565 shares of common stock converted from 3,497,806 shares of Series B Preferred Stock and 855,179 shares of Series C Preferred Stock, WSLS Offshore Investments, SLP ("WSLS Offshore"), which directly holds 131,283 shares of common stock purchased in the IPO and 639,518 shares of common stock converted from 4,773,948 shares of Series B Preferred Stock and 1,167,182 shares of Series C Preferred Stock, West Street Life Sciences I, L.P. ("WSLS I"), which directly holds 137,708 shares of common stock purchased in the IPO and 670,812 shares of common stock converted from 5,007,564 shares of Series B Preferred Stock and 1,224,299 shares of Series C Preferred Stock,... (continued in footnote 7) F7: (continued from footnote 6)...WSLS Emp Offshore Investments, L.P. ("WSLS Emp Offshore"), which directly holds 36,927 shares of common stock purchased in the IPO and 179,879 shares of common stock converted from 1,342,794 shares of Series B Preferred Stock and 328,300 shares of Series C Preferred Stock, and WSLS Emp Onshore Investments, L.P. ("WSLS Emp Onshore"), which directly holds 97,892 shares of common stock purchased in the IPO and 476,858 shares of common stock converted from 3,559,718 shares of Series B Preferred Stock and 870,315 shares of Series C Preferred Stock. GS&Co is a direct subsidiary of GS Group and is the manager of BSPI. WSLS Offshore, WSLS I, WSLS Emp Offshore, and WSLS Emp Onshore are investment vehicles managed by GSAM LP, an indirect subsidiary of GS Group. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee Footnotes | 2,872 |
Reported balance
After 2026-08-05 transaction · row 30
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 30 · 2026-08-05 · Purchase · Acquired 2,872 · Balance 2,872 F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee Footnotes | 31,589 |
Reported balance
After 2026-08-05 transaction · row 31
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 31 · 2026-08-05 · Purchase · Acquired 28,717 · Balance 31,589 F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee Footnotes | 43,077 |
Reported balance
After 2026-08-05 transaction · row 32
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 32 · 2026-08-05 · Purchase · Acquired 11,488 · Balance 43,077 F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee Footnotes | 88,665 |
Reported balance
After 2026-08-05 transaction · row 33
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 33 · 2026-08-05 · Purchase · Acquired 45,588 · Balance 88,665 F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee Footnotes | 100,063 |
Reported balance
After 2026-08-05 transaction · row 34
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 34 · 2026-08-05 · Purchase · Acquired 11,398 · Balance 100,063 F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. |
| Equity SwapSEC Table II · derivative / convertible security | IndirectSee Footnotes | 105,807 |
Reported balance
After 2026-08-05 transaction · row 35
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 35 · 2026-08-05 · Purchase · Acquired 5,744 · Balance 105,807 F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
F2: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer.
F3: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4.
F4: The previous report on Form 3 reflected an administrative error with respect to the number of shares of common stock issuable upon conversion of the Preferred Stock, which is corrected in this Form 4.
F5: All shares of the Issuer's redeemable convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis, adjusted for a 1-for-9.29 reverse stock split effected by the Issuer on July 29, 2026, upon the completion of the Issuer's initial public offering (the "IPO").
F6: This statement is being filed by Goldman Sachs Group, Inc. ("GS Group"), GS&Co, Goldman Sachs Asset Management, L.P. ("GSAM LP"), Broad Street Principal Investments L.L.C. ("BSPI"), which directly holds 96,190 shares of common stock purchased in the IPO and 468,565 shares of common stock converted from 3,497,806 shares of Series B Preferred Stock and 855,179 shares of Series C Preferred Stock, WSLS Offshore Investments, SLP ("WSLS Offshore"), which directly holds 131,283 shares of common stock purchased in the IPO and 639,518 shares of common stock converted from 4,773,948 shares of Series B Preferred Stock and 1,167,182 shares of Series C Preferred Stock, West Street Life Sciences I, L.P. ("WSLS I"), which directly holds 137,708 shares of common stock purchased in the IPO and 670,812 shares of common stock converted from 5,007,564 shares of Series B Preferred Stock and 1,224,299 shares of Series C Preferred Stock,... (continued in footnote 7)
F7: (continued from footnote 6)...WSLS Emp Offshore Investments, L.P. ("WSLS Emp Offshore"), which directly holds 36,927 shares of common stock purchased in the IPO and 179,879 shares of common stock converted from 1,342,794 shares of Series B Preferred Stock and 328,300 shares of Series C Preferred Stock, and WSLS Emp Onshore Investments, L.P. ("WSLS Emp Onshore"), which directly holds 97,892 shares of common stock purchased in the IPO and 476,858 shares of common stock converted from 3,559,718 shares of Series B Preferred Stock and 870,315 shares of Series C Preferred Stock. GS&Co is a direct subsidiary of GS Group and is the manager of BSPI. WSLS Offshore, WSLS I, WSLS Emp Offshore, and WSLS Emp Onshore are investment vehicles managed by GSAM LP, an indirect subsidiary of GS Group.
Avantor, Inc.
Report date May 17, 2019 · Filed May 07, 2021
Jointly reported with StoneBridge 2017, L.P., StoneBridge 2017 Offshore, L.P., VWR Partners, L.P., Broad Street Principal Investments, L.L.C., Bridge Street Opportunity Advisors, L.L.C., GOLDMAN SACHS GROUP INC, StoneBridge 2018, L.P., StoneBridge 2018 Offshore, L.P.
Section 16 reporting ended · disclosed 2021-05-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 67,619,397 |
Reported balance
After 2019-05-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-05-17 · Purchase · Acquired 13,099 · Balance 67,619,397 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 67,605,348 |
Reported balance
After 2019-05-17 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-05-17 · Sale · Disposed 14,049 · Balance 67,605,348 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,612,230 |
Reported balance
After 2019-07-31 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-07-31 · Purchase · Acquired 55 · Balance 72,612,230 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,612,175 |
Reported balance
After 2019-07-31 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-07-31 · Sale · Disposed 55 · Balance 72,612,175 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,614,264.87 |
Reported balance
After 2019-08-06 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2019-08-06 · Purchase · Acquired 88 · Balance 72,614,264.87 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,614,176.87 |
Reported balance
After 2019-08-06 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2019-08-06 · Sale · Disposed 88 · Balance 72,614,176.87 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,632,694 |
Reported balance
After 2019-08-12 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2019-08-12 · Purchase · Acquired 16,245 · Balance 72,632,694 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,616,449 |
Reported balance
After 2019-08-12 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2019-08-12 · Sale · Disposed 16,245 · Balance 72,616,449 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,616,458 |
Reported balance
After 2019-08-12 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2019-08-12 · Purchase · Acquired 9 · Balance 72,616,458 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,616,449 |
Reported balance
After 2019-08-12 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2019-08-12 · Sale · Disposed 9 · Balance 72,616,449 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,683,598 |
Reported balance
After 2019-09-06 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2019-09-06 · Purchase · Acquired 67,437 · Balance 72,683,598 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,616,161 |
Reported balance
After 2019-09-06 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2019-09-06 · Sale · Disposed 67,437 · Balance 72,616,161 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,665,361 |
Reported balance
After 2019-09-06 transaction · row 13
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 13 · 2019-09-06 · Purchase · Acquired 49,200 · Balance 72,665,361 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,616,161 |
Reported balance
After 2019-09-06 transaction · row 14
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 14 · 2019-09-06 · Sale · Disposed 49,200 · Balance 72,616,161 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,773,570.99 |
Reported balance
After 2019-09-09 transaction · row 15
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 15 · 2019-09-09 · Purchase · Acquired 149,694 · Balance 72,773,570.99 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,623,876.99 |
Reported balance
After 2019-09-09 transaction · row 16
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 16 · 2019-09-09 · Sale · Disposed 149,694 · Balance 72,623,876.99 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,621,850.41 |
Reported balance
After 2019-09-25 transaction · row 17
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 17 · 2019-09-25 · Purchase · Acquired 1,768 · Balance 72,621,850.41 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,620,082.41 |
Reported balance
After 2019-09-25 transaction · row 18
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 18 · 2019-09-25 · Sale · Disposed 1,768 · Balance 72,620,082.41 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,624,228.41 |
Reported balance
After 2019-09-25 transaction · row 19
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 19 · 2019-09-25 · Purchase · Acquired 4,146 · Balance 72,624,228.41 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,620,082.41 |
Reported balance
After 2019-09-25 transaction · row 20
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 20 · 2019-09-25 · Sale · Disposed 4,146 · Balance 72,620,082.41 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,620,182.41 |
Reported balance
After 2019-09-25 transaction · row 21
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 21 · 2019-09-25 · Purchase · Acquired 100 · Balance 72,620,182.41 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,620,082.41 |
Reported balance
After 2019-09-25 transaction · row 22
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 22 · 2019-09-25 · Sale · Disposed 100 · Balance 72,620,082.41 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,623,882.41 |
Reported balance
After 2019-09-25 transaction · row 23
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 23 · 2019-09-25 · Purchase · Acquired 3,800 · Balance 72,623,882.41 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,620,082.41 |
Reported balance
After 2019-09-25 transaction · row 24
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 24 · 2019-09-25 · Sale · Disposed 3,800 · Balance 72,620,082.41 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,620,182.41 |
Reported balance
After 2019-09-25 transaction · row 25
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 25 · 2019-09-25 · Purchase · Acquired 100 · Balance 72,620,182.41 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,620,082.41 |
Reported balance
After 2019-09-25 transaction · row 26
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 26 · 2019-09-25 · Sale · Disposed 100 · Balance 72,620,082.41 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,625,246.41 |
Reported balance
After 2019-09-25 transaction · row 27
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 27 · 2019-09-25 · Purchase · Acquired 5,164 · Balance 72,625,246.41 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,620,082.41 |
Reported balance
After 2019-09-25 transaction · row 28
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 28 · 2019-09-25 · Sale · Disposed 5,164 · Balance 72,620,082.41 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,630,004.41 |
Reported balance
After 2019-09-25 transaction · row 29
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 29 · 2019-09-25 · Purchase · Acquired 9,922 · Balance 72,630,004.41 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 72,620,082.41 |
Reported balance
After 2019-09-25 transaction · row 30
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 30 · 2019-09-25 · Sale · Disposed 9,922 · Balance 72,620,082.41 F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons". F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group. F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock. F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business.
F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer.
F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons".
F4: Bridge Street is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds.
F5: Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. Goldman Sachs is a direct subsidiary of GS Group.
F6: As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly, in the aggregate, 43,481,933 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) BSPI owned directly 10,507,085 shares of Common Stock, (ii) StoneBridge 2017 owned directly 683,221 shares of Common Stock, (iii) StoneBridge 2017 Offshore owned directly 315,779 shares of Common Stock, (iv) VWR owned directly 29,007,209 shares of Common Stock, (v) StoneBridge 2018 owned directly 2,089,674 shares of Common Stock and (vi) StoneBridge 2018 Offshore owned directly 878,965 shares of Common Stock.
F7: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
BILL BARRETT CORP
Report date August 23, 2005 · Filed August 26, 2005
Jointly reported with GOLDMAN SACHS GROUP INC, GS CAPITAL PARTNERS 2000 LP, GS CAPITAL PARTNERS 2000 EMPLOYEE FUND LP, GSCP 2000 Offshore BBOG Holding, L.P., GSCP 2000 GmbH BBOG Holding, L.P., GOLDMAN SACHS DIRECT INVESTMENT FUND 2000 LP, STONE STREET 2000 LLC, Stone Street BBOG Holding, GS ADVISORS 2000 LLC
Section 16 reporting ended · disclosed 2005-08-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee | 3,207,023 |
Reported balance
After 2005-08-23 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2005-08-23 · Sale · Disposed 3,208,333 · Balance 3,207,023 F7: Represents price to public in the underwritten public offering. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Advisors 2000, L.L.C. ("GS Advisors"), Goldman, Sachs & Co. oHG ("GS oHG"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Employee Funds 2000 GP, L.L.C. ("GS Employee 2000"), Stone Street 2000, L.L.C. ("Stone 2000"), GS Capital Partners 2000, L.P. ("GS Capital"), GS Capital Partners 2000 Offshore, L.P. ("GS Offshore"), GSCP 2000 Offshore BBOG Holding, L.P. ("GS Offshore BBOG LP"), GS Capital Partners 2000 GmbH & Co. Beteiligungs KG ("GS Germany"), GSCP 2000 GmbH BBOG Holding I ("GS Germany BBOG I"), GSCP 2000 GmbH BBOG Holding, L.P. ("GS Germany BBOG Holding"), GS Capital Partners 2000 Employee Fund, L.P. ("GS Employee"), (continued in next footnote) F2: Stone Street Fund 2000, L.P. ("Stone Street"), Stone Street BBOG Holding ("Stone BBOG") and Goldman Sachs Direct Investment Fund 2000, L.P. ("GS Direct" and, together with GS Capital, GS Offshore BBOG LP, GS Germany BBOG Holding, GS Employee, Stone Street and Stone BBOG, the "Purchasers") (GS Group, Goldman Sachs, GS Advisors, GS oHG, GS GmbH, GS Employee 2000, Stone 2000, GS Offshore, GS Germany, GS Germany BBOG I and the Purchasers, collectively, the "Filing Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3: Pursuant to an Underwriting Agreement, dated August 17, 2005 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of Bill Barrett Corporation (the "Company") common stock, par value $0.001 per share (the "Common Stock"), pursuant to the final prospectus filed by the Company on August 18, 2005 pursuant to Rule 424(b) of the Securities Act of 1993, as amended, which offering was consummated on August 23, 2005, the Purchasers sold an aggregate of 3,208,333 shares of Common Stock. F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly in the aggregate 3,207,023 shares of Common Stock through certain investment partnerships of which affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner, investment manager or stockholder. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. Goldman Sachs and GS Group disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. F5: GS Capital beneficially owns directly and its general partner, GS Advisors, may be deemed to beneficially own indirectly 1,728,658 shares of Common Stock. GS Offshore BBOG LP beneficially owns directly and its general partner, GS Offshore, and GS Advisors, the general partner of GS Offshore, may be deemed to beneficially own indirectly 628,128 shares of Common Stock. GS Germany BBOG Holding beneficially owns directly and each of GS Germany BBOG I, the general partner of GS Germany BBOG Holding, GS Germany, the sole stockholder of GS Germany BBOG I, GS GmbH, the sole managing partner of GS Germany and GS oHG, the sole stockholder of GS GmbH may be deemed to beneficially own indirectly 72,254 shares of Common Stock. GS Employee beneficially owns directly and its general partner, GS Employee 2000, may be deemed to beneficially own indirectly 548,909 shares of Common Stock. F6: GS Direct beneficially owns directly and its general partner, GS Employee 2000, may be deemed to beneficially own indirectly 114,537 shares of Common Stock. Stone BBOG beneficially owns directly and its sole stockholder, Stone Street, and Stone 2000, the general partner of Stone Street, may be deemed to beneficially own indirectly, 5,423 shares of Common Stock. Stone Street beneficially owns directly and its general partner, Stone 2000, may be deemed to beneficially own indirectly 109,114 shares of Common Stock. Each of GS Advisors, GS Offshore, GS Germany BBOG I, GS Germany, GS GmbH, GS oHG, GS Employee 2000, Stone Street and Stone 2000, disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Advisors 2000, L.L.C. ("GS Advisors"), Goldman, Sachs & Co. oHG ("GS oHG"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Employee Funds 2000 GP, L.L.C. ("GS Employee 2000"), Stone Street 2000, L.L.C. ("Stone 2000"), GS Capital Partners 2000, L.P. ("GS Capital"), GS Capital Partners 2000 Offshore, L.P. ("GS Offshore"), GSCP 2000 Offshore BBOG Holding, L.P. ("GS Offshore BBOG LP"), GS Capital Partners 2000 GmbH & Co. Beteiligungs KG ("GS Germany"), GSCP 2000 GmbH BBOG Holding I ("GS Germany BBOG I"), GSCP 2000 GmbH BBOG Holding, L.P. ("GS Germany BBOG Holding"), GS Capital Partners 2000 Employee Fund, L.P. ("GS Employee"), (continued in next footnote)
F2: Stone Street Fund 2000, L.P. ("Stone Street"), Stone Street BBOG Holding ("Stone BBOG") and Goldman Sachs Direct Investment Fund 2000, L.P. ("GS Direct" and, together with GS Capital, GS Offshore BBOG LP, GS Germany BBOG Holding, GS Employee, Stone Street and Stone BBOG, the "Purchasers") (GS Group, Goldman Sachs, GS Advisors, GS oHG, GS GmbH, GS Employee 2000, Stone 2000, GS Offshore, GS Germany, GS Germany BBOG I and the Purchasers, collectively, the "Filing Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
F3: Pursuant to an Underwriting Agreement, dated August 17, 2005 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of Bill Barrett Corporation (the "Company") common stock, par value $0.001 per share (the "Common Stock"), pursuant to the final prospectus filed by the Company on August 18, 2005 pursuant to Rule 424(b) of the Securities Act of 1993, as amended, which offering was consummated on August 23, 2005, the Purchasers sold an aggregate of 3,208,333 shares of Common Stock.
F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly in the aggregate 3,207,023 shares of Common Stock through certain investment partnerships of which affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner, investment manager or stockholder. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. Goldman Sachs and GS Group disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein.
F5: GS Capital beneficially owns directly and its general partner, GS Advisors, may be deemed to beneficially own indirectly 1,728,658 shares of Common Stock. GS Offshore BBOG LP beneficially owns directly and its general partner, GS Offshore, and GS Advisors, the general partner of GS Offshore, may be deemed to beneficially own indirectly 628,128 shares of Common Stock. GS Germany BBOG Holding beneficially owns directly and each of GS Germany BBOG I, the general partner of GS Germany BBOG Holding, GS Germany, the sole stockholder of GS Germany BBOG I, GS GmbH, the sole managing partner of GS Germany and GS oHG, the sole stockholder of GS GmbH may be deemed to beneficially own indirectly 72,254 shares of Common Stock. GS Employee beneficially owns directly and its general partner, GS Employee 2000, may be deemed to beneficially own indirectly 548,909 shares of Common Stock.
F6: GS Direct beneficially owns directly and its general partner, GS Employee 2000, may be deemed to beneficially own indirectly 114,537 shares of Common Stock. Stone BBOG beneficially owns directly and its sole stockholder, Stone Street, and Stone 2000, the general partner of Stone Street, may be deemed to beneficially own indirectly, 5,423 shares of Common Stock. Stone Street beneficially owns directly and its general partner, Stone 2000, may be deemed to beneficially own indirectly 109,114 shares of Common Stock. Each of GS Advisors, GS Offshore, GS Germany BBOG I, GS Germany, GS GmbH, GS oHG, GS Employee 2000, Stone Street and Stone 2000, disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F7: Represents price to public in the underwritten public offering.
Benefitfocus, Inc.
Report date March 05, 2019 · Filed March 08, 2019
Jointly reported with GOLDMAN SACHS GROUP INC, GOLDMAN, SACHS MANAGEMENT GP GMBH, GS Capital Partners VI GmbH & Co KG, GS Capital Partners VI Parallel LP, GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C.
Section 16 reporting ended · disclosed 2019-03-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 567,871 |
Reported balance
After 2019-03-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-03-05 · Sale · Disposed 3,254,735 · Balance 567,871 F2: Pursuant to an underwriting agreement, dated February 28, 2019 (the "Underwriting Agreement") and a prospectus dated February 28, 2019, and in connection with a registered public offering (the "Offering") of the common stock par value $0.001 per share (the "Common Stock"), of Benefitfocus, Inc. (the "Company"), the Limited Partnerships as selling stockholders in the Offering, sold 3,254,735 shares of Common Stock at $46.8025 per share. The Offering was consummated on March 5, 2019. F3: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 79,660 shares of Common Stock and Goldman Sachs also had open short positions of 449 shares of Common Stock, reflecting changes due to exempt transactions. Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the Limited Partnerships. F4: GS Parallel beneficially owns directly 62,666 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS Parallel's general partner, GS Advisors VI. GS Offshore beneficially owns directly 189,553 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS Offshore's general partner, GSCP VI Offshore Advisors. GS Cap Partners VI beneficially owns directly 227,892 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS Cap Partners VI's general partner, GSCP VI Advisors. GS Germany beneficially owns directly 8,100 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS Germany's general partner, GS GmbH. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Fund, L.P. ("GS Cap Partners VI"), GS Capital Partners VI GmbH & CO. KG ("GS Germany" and, together with GS Parallel, GS Offshore and GS Cap Partners VI, the "Limited Partnerships"), GS Advisors VI, L.L.C. ("GS Advisors VI"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GSCP VI Advisors, L.L.C. ("GSCP VI Advisors") and GSCP VI Offshore Advisors, L.L.C. ("GSCP VI Offshore Advisors" and, together with GS Group, Goldman Sachs, the Limited Partnerships, GS Advisors VI, GS GmbH and GSCP VI Advisors, the "Reporting Persons"). F5: The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Fund, L.P. ("GS Cap Partners VI"), GS Capital Partners VI GmbH & CO. KG ("GS Germany" and, together with GS Parallel, GS Offshore and GS Cap Partners VI, the "Limited Partnerships"), GS Advisors VI, L.L.C. ("GS Advisors VI"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GSCP VI Advisors, L.L.C. ("GSCP VI Advisors") and GSCP VI Offshore Advisors, L.L.C. ("GSCP VI Offshore Advisors" and, together with GS Group, Goldman Sachs, the Limited Partnerships, GS Advisors VI, GS GmbH and GSCP VI Advisors, the "Reporting Persons").
F2: Pursuant to an underwriting agreement, dated February 28, 2019 (the "Underwriting Agreement") and a prospectus dated February 28, 2019, and in connection with a registered public offering (the "Offering") of the common stock par value $0.001 per share (the "Common Stock"), of Benefitfocus, Inc. (the "Company"), the Limited Partnerships as selling stockholders in the Offering, sold 3,254,735 shares of Common Stock at $46.8025 per share. The Offering was consummated on March 5, 2019.
F3: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 79,660 shares of Common Stock and Goldman Sachs also had open short positions of 449 shares of Common Stock, reflecting changes due to exempt transactions. Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the Limited Partnerships.
F4: GS Parallel beneficially owns directly 62,666 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS Parallel's general partner, GS Advisors VI. GS Offshore beneficially owns directly 189,553 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS Offshore's general partner, GSCP VI Offshore Advisors. GS Cap Partners VI beneficially owns directly 227,892 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS Cap Partners VI's general partner, GSCP VI Advisors. GS Germany beneficially owns directly 8,100 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS Germany's general partner, GS GmbH.
F5: The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Burger King Holdings Inc
Report date October 15, 2010 · Filed October 19, 2010
Jointly reported with GOLDMAN SACHS GROUP INC, GS CAPITAL PARTNERS 2000 LP, GS CAPITAL PARTNERS 2000 OFFSHORE LP, GS CAPITAL PARTNERS 2000 GMBH & CO BETEILIGUNGS KG, GS CAPITAL PARTNERS 2000 EMPLOYEE FUND LP, Bridge Street Special Opportunities Fund 2000, L.P., STONE STREET FUND 2000 LP, GOLDMAN SACHS DIRECT INVESTMENT FUND 2000 LP, GS Private Equity Partners 2000, L.P.
Section 16 reporting ended · disclosed 2010-10-19. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 27,998 |
Reported balance
After 2010-10-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2010-10-15 · Other · Disposed 13,918,649 · Balance 27,998 F4: Pursuant to the tender offer by Blue Acquisition Sub, Inc. (the "Tender Offer"), an entity controlled by 3G Special Situations Fund II, L.P., for all shares of common stock, par value $0.01 per share (the "Common Stock"), of Burger King Holdings, Inc. (the "Company"), Goldman Sachs tendered and Blue Acquisition Sub, Inc. accepted for payment 10,100 shares of Common Stock that were beneficially owned directly by Goldman Sachs and may be deemed to have been beneficially owned indirectly by GS Group. F5: Pursuant to the Tender Offer, the Limited Partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner, managing member or member, tendered and Blue Acquisition Sub, Inc. accepted for payment 13,900,225 shares of Common Stock that may be deemed to have been beneficially owned indirectly by GS Group and Goldman Sachs. Goldman Sachs is the investment manager of certain of the Limited Partnerships. F6: Pursuant to the Tender Offer, GS Group tendered and Blue Acquisition Sub, Inc. accepted for payment 8,324 shares that were granted to Adrian M. Jones, a managing director of Goldman Sachs who, at the time of the grants, was a director of the Company. Adrian M. Jones has an understanding with GS Group pursuant to which such shares are held for the benefit of GS Group. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Capital Partners 2000, L.P. ("GSCP 2000"), GS Capital Partners 2000 Offshore, L.P. ("GSCP 2000 Offshore"), GS Capital Partners 2000 GmbH & Co. Beteiligungs KG ("GSCP Germany 2000"), GS Capital Partners 2000 Employee Fund, L.P. ("GSCP Employee 2000"), Bridge Street Special Opportunities Fund 2000, L.P. ("Bridge SO 2000"), Stone Street Fund 2000, L.P. ("Stone 2000"), Goldman Sachs Direct Investment Fund 2000, L.P. ("GS Direct 2000"), GS Private Equity Partners 2000, L.P. ("PEP 2000 LP"), GS Private Equity Partners 2000 Offshore Holdings, L.P. ("PEP 2000 Offshore LP"), GS Private Equity Partners 2000-Direct Investment Fund, L.P. ("PEP Direct" and, together with GSCP 2000, (continue in next footnote) F2: GSCP 2000 Offshore, GSCP Germany 2000, GSCP Employee 2000, Bridge SO 2000, Stone 2000, GS Direct 2000, PEP 2000 LP, PEP 2000 Offshore LP, the "Limited Partnerships"), GS Advisors 2000, L.L.C. ("GS Advisors 2000"), Goldman, Sachs Management GP GmbH ("GS GmbH"), Bridge Street Special Opportunities Fund 2000, L.L.C. ("Bridge SO 2000 LLC"), Stone Street 2000, L.L.C. ("Stone 2000 GP"), GS Employee Funds 2000 GP, L.L.C. ("GS Employee 2000 LLC"), GS PEP 2000 Advisors, L.L.C. ("PEP 2000 LLC"), GS PEP 2000 Offshore Holdings Advisors, Inc. ("PEP 2000 Offshore Inc."), GS PEP 2000 Direct Investment Advisors, L.L.C. ("PEP Direct LLC", and together with the Limited Partnerships, GS Group, Goldman Sachs, GS Advisors 2000, GS GmbH, Stone 2000 GP, GS Employee 2000 LLC, PEP 2000 LLC, PEP 2000 Offshore Inc., the "Reporting Persons"). F3: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F7: GS Group may be deemed to beneficially own 24,478 shares of Common Stock that were granted to Sanjeev K. Mehra, a managing director of Goldman Sachs and a director of the Company, pursuant to certain deferred stock awards under the 2006 Omnibus Incentive Plan. Sanjeev K. Mehra has an understanding with GS Group pursuant to which such deferred shares are held for the benefit of GS Group. The deferred shares settle upon termination of board service. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F8: Goldman Sachs Execution & Clearing, L.P. ("GSEC") beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 3,520 shares of Common Stock. GSEC is a wholly-owned subsidiary of GS Group. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Capital Partners 2000, L.P. ("GSCP 2000"), GS Capital Partners 2000 Offshore, L.P. ("GSCP 2000 Offshore"), GS Capital Partners 2000 GmbH & Co. Beteiligungs KG ("GSCP Germany 2000"), GS Capital Partners 2000 Employee Fund, L.P. ("GSCP Employee 2000"), Bridge Street Special Opportunities Fund 2000, L.P. ("Bridge SO 2000"), Stone Street Fund 2000, L.P. ("Stone 2000"), Goldman Sachs Direct Investment Fund 2000, L.P. ("GS Direct 2000"), GS Private Equity Partners 2000, L.P. ("PEP 2000 LP"), GS Private Equity Partners 2000 Offshore Holdings, L.P. ("PEP 2000 Offshore LP"), GS Private Equity Partners 2000-Direct Investment Fund, L.P. ("PEP Direct" and, together with GSCP 2000, (continue in next footnote)
F2: GSCP 2000 Offshore, GSCP Germany 2000, GSCP Employee 2000, Bridge SO 2000, Stone 2000, GS Direct 2000, PEP 2000 LP, PEP 2000 Offshore LP, the "Limited Partnerships"), GS Advisors 2000, L.L.C. ("GS Advisors 2000"), Goldman, Sachs Management GP GmbH ("GS GmbH"), Bridge Street Special Opportunities Fund 2000, L.L.C. ("Bridge SO 2000 LLC"), Stone Street 2000, L.L.C. ("Stone 2000 GP"), GS Employee Funds 2000 GP, L.L.C. ("GS Employee 2000 LLC"), GS PEP 2000 Advisors, L.L.C. ("PEP 2000 LLC"), GS PEP 2000 Offshore Holdings Advisors, Inc. ("PEP 2000 Offshore Inc."), GS PEP 2000 Direct Investment Advisors, L.L.C. ("PEP Direct LLC", and together with the Limited Partnerships, GS Group, Goldman Sachs, GS Advisors 2000, GS GmbH, Stone 2000 GP, GS Employee 2000 LLC, PEP 2000 LLC, PEP 2000 Offshore Inc., the "Reporting Persons").
F3: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
F4: Pursuant to the tender offer by Blue Acquisition Sub, Inc. (the "Tender Offer"), an entity controlled by 3G Special Situations Fund II, L.P., for all shares of common stock, par value $0.01 per share (the "Common Stock"), of Burger King Holdings, Inc. (the "Company"), Goldman Sachs tendered and Blue Acquisition Sub, Inc. accepted for payment 10,100 shares of Common Stock that were beneficially owned directly by Goldman Sachs and may be deemed to have been beneficially owned indirectly by GS Group.
F5: Pursuant to the Tender Offer, the Limited Partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner, managing member or member, tendered and Blue Acquisition Sub, Inc. accepted for payment 13,900,225 shares of Common Stock that may be deemed to have been beneficially owned indirectly by GS Group and Goldman Sachs. Goldman Sachs is the investment manager of certain of the Limited Partnerships.
F6: Pursuant to the Tender Offer, GS Group tendered and Blue Acquisition Sub, Inc. accepted for payment 8,324 shares that were granted to Adrian M. Jones, a managing director of Goldman Sachs who, at the time of the grants, was a director of the Company. Adrian M. Jones has an understanding with GS Group pursuant to which such shares are held for the benefit of GS Group.
F7: GS Group may be deemed to beneficially own 24,478 shares of Common Stock that were granted to Sanjeev K. Mehra, a managing director of Goldman Sachs and a director of the Company, pursuant to certain deferred stock awards under the 2006 Omnibus Incentive Plan. Sanjeev K. Mehra has an understanding with GS Group pursuant to which such deferred shares are held for the benefit of GS Group. The deferred shares settle upon termination of board service. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F8: Goldman Sachs Execution & Clearing, L.P. ("GSEC") beneficially owns directly, and GS Group may be deemed to beneficially own indirectly, 3,520 shares of Common Stock. GSEC is a wholly-owned subsidiary of GS Group. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
CARMIKE CINEMAS INC
Report date August 09, 2004 · Filed August 11, 2004
Jointly reported with GOLDMAN SACHS GROUP INC, GS CAPITAL PARTNERS III L P, GS CAPITAL PARTNERS III OFFSHORE LP, GS CAPITAL PARTNERS III GERMANY CLP, BRIDGE STREET FUND 1998 LP, STONE STREET FUND 1998 LP, GS ADVISORS III LLC, STONE STREET 1998 LLC, GOLDMAN SACHS & CO OHG
Section 16 reporting ended · disclosed 2004-08-11. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 351,549 |
Reported balance
After 2004-08-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2004-08-09 · Sale · Disposed 2,341,663 · Balance 351,549 F2: Pursuant to an Underwriting Agreement, dated August 3, 2004 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of Carmike Cinemas, Inc. (the "Company") common stock, par value $.03 (the "Common Stock"), by the Company and certain selling stockholders (including the Limited Partnerships) pursuant to an effective registration statement on Form S-3 (Registration No. 333-117403) filed by the Company on August 4, 2004, which offering was consummated on August 9, 2004, GSCP III; GSCP III Offshore; GSCP III Germany; Stone 1998 and Bridge 1998 sold 1,592,331; 444,916; 70,250; 187,333 and 46,833 shares of Common Stock, respectively. Goldman Sachs is one of the several underwriters under the Underwriting Agreement. As of August 9, 2004, as a result of these sales, the Reporting Persons ceased to be the owners of more than 10% of the Company's Common Stock. F1: This statement is being filed by GS Capital Partners III, L.P. ("GSCP III"), GS Capital Partners III Offshore, L.P. ("GSCP III Offshore"), GS Capital Partners III Germany Civil Law Partnership (with limitation of liability) ("GSCP III Germany"), Stone Street Fund 1998, L.P. ("Stone 1998"), Bridge Street Fund 1998, L.P. ("Bridge 1998" and, together with GSCP III, GSCP III Offshore, GSCP III Germany and Stone 1998, the "Limited Partnerships"), Stone Street 1998, L.L.C. ("Stone 1998 GP"), GS Advisors III, L.L.C. ("GS Advisors III"), Goldman, Sachs & Co. oHG ("GS oHG"), Goldman, Sachs & Co. ("Goldman Sachs"), and The Goldman Sachs Group, Inc. ("GS Group" and, together with the Limited Partnerships, Stone 1998 GP, GS Advisors III, GS oHG and Goldman Sachs, the "Reporting Persons"). F3: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 100 shares of Common Stock. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The Reporting Persons, other than Goldman Sachs and GS Group, disclaim beneficial ownership of the securities owned directly by Goldman Sachs. Spear, Leeds & Kellogg, L.P. ("SLK") beneficially owns directly and GS Group may be deemed to beneficially own indirectly 200 shares of Common Stock. SLK is an indirect wholly-owned subsidiary of GS Group. The Reporting Persons, other than GS Group, disclaim beneficial ownership of the securities owned directly by SLK. F4: Each of Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 351,249 shares of Common Stock beneficially owned by the Limited Partnerships. Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or managing partner of the Limited Partnerships. Goldman Sachs serves as the manager of GS Advisors III and Stone 1998 GP and as the investment manager of GSCP III, GSCP III Offshore and GSCP III Germany. Goldman Sachs and GS Group each disclaims beneficial ownership of the securities owned by the Limited Partnerships except to the extent of its pecuniary interest therein. F5: GSCP III beneficially owns directly 242,250 shares of Common Stock and GSCP III Offshore beneficially owns directly 59,432 shares of Common Stock. GS Advisors III, as the sole general partner of GSCP III and GSCP III Offshore, may be deemed to beneficially own indirectly an aggregate of 301,682 shares of Common Stock. GS Advisors III disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. GSCP III Germany beneficially owns directly, and its managing partner, GS oHG, may be deemed to beneficially own indirectly 14,443 shares of Common Stock. GS oHG disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F6: Stone 1998 beneficially owns directly 19,527 shares of Common Stock and Bridge 1998 beneficially owns directly 15,597 shares of Common Stock. Stone 1998 GP, as the general partner of Stone 1998 and the managing general partner of Bridge 1998, may be deemed to beneficially own indirectly, in the aggregate, 35,124 shares of Common Stock. Stone 1998 GP disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by GS Capital Partners III, L.P. ("GSCP III"), GS Capital Partners III Offshore, L.P. ("GSCP III Offshore"), GS Capital Partners III Germany Civil Law Partnership (with limitation of liability) ("GSCP III Germany"), Stone Street Fund 1998, L.P. ("Stone 1998"), Bridge Street Fund 1998, L.P. ("Bridge 1998" and, together with GSCP III, GSCP III Offshore, GSCP III Germany and Stone 1998, the "Limited Partnerships"), Stone Street 1998, L.L.C. ("Stone 1998 GP"), GS Advisors III, L.L.C. ("GS Advisors III"), Goldman, Sachs & Co. oHG ("GS oHG"), Goldman, Sachs & Co. ("Goldman Sachs"), and The Goldman Sachs Group, Inc. ("GS Group" and, together with the Limited Partnerships, Stone 1998 GP, GS Advisors III, GS oHG and Goldman Sachs, the "Reporting Persons").
F2: Pursuant to an Underwriting Agreement, dated August 3, 2004 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of Carmike Cinemas, Inc. (the "Company") common stock, par value $.03 (the "Common Stock"), by the Company and certain selling stockholders (including the Limited Partnerships) pursuant to an effective registration statement on Form S-3 (Registration No. 333-117403) filed by the Company on August 4, 2004, which offering was consummated on August 9, 2004, GSCP III; GSCP III Offshore; GSCP III Germany; Stone 1998 and Bridge 1998 sold 1,592,331; 444,916; 70,250; 187,333 and 46,833 shares of Common Stock, respectively. Goldman Sachs is one of the several underwriters under the Underwriting Agreement. As of August 9, 2004, as a result of these sales, the Reporting Persons ceased to be the owners of more than 10% of the Company's Common Stock.
F3: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 100 shares of Common Stock. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The Reporting Persons, other than Goldman Sachs and GS Group, disclaim beneficial ownership of the securities owned directly by Goldman Sachs. Spear, Leeds & Kellogg, L.P. ("SLK") beneficially owns directly and GS Group may be deemed to beneficially own indirectly 200 shares of Common Stock. SLK is an indirect wholly-owned subsidiary of GS Group. The Reporting Persons, other than GS Group, disclaim beneficial ownership of the securities owned directly by SLK.
F4: Each of Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 351,249 shares of Common Stock beneficially owned by the Limited Partnerships. Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or managing partner of the Limited Partnerships. Goldman Sachs serves as the manager of GS Advisors III and Stone 1998 GP and as the investment manager of GSCP III, GSCP III Offshore and GSCP III Germany. Goldman Sachs and GS Group each disclaims beneficial ownership of the securities owned by the Limited Partnerships except to the extent of its pecuniary interest therein.
F5: GSCP III beneficially owns directly 242,250 shares of Common Stock and GSCP III Offshore beneficially owns directly 59,432 shares of Common Stock. GS Advisors III, as the sole general partner of GSCP III and GSCP III Offshore, may be deemed to beneficially own indirectly an aggregate of 301,682 shares of Common Stock. GS Advisors III disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. GSCP III Germany beneficially owns directly, and its managing partner, GS oHG, may be deemed to beneficially own indirectly 14,443 shares of Common Stock. GS oHG disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F6: Stone 1998 beneficially owns directly 19,527 shares of Common Stock and Bridge 1998 beneficially owns directly 15,597 shares of Common Stock. Stone 1998 GP, as the general partner of Stone 1998 and the managing general partner of Bridge 1998, may be deemed to beneficially own indirectly, in the aggregate, 35,124 shares of Common Stock. Stone 1998 GP disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
CORAM HEALTHCARE CORP
Report date December 31, 2002 · Filed May 21, 2003
Jointly reported with GOLDMAN SACHS GROUP INC, GOLDMAN SACHS CREDIT PARTNERS LP, GOLDMAN SACHS GLOBAL HOLDINGS LLC
Section 16 reporting ended · disclosed 2003-05-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series B Convertible Subordinated NotesSEC Table II · derivative / convertible security · Conversion / exercise price $2.00 · Expires 2008-04-15 | IndirectSee footnotes | 0 |
Reported balance
After 2002-12-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2002-12-31 · Other · Disposed 0 · Balance 0 F1: Goldman Sachs Credit Partners L.P. (???GS Credit Partners???) may be deemed to own beneficially and directly, and Goldman, Sachs & Co. (???Goldman Sachs???), The Goldman Sachs Group, Inc. (???GS Group???) and Goldman Sachs Global Holdings L.L.C. (???GS Global Holdings???) may be deemed to own beneficially and indirectly, in the aggregate, 2,045,346 shares of Common Stock of Coram Healthcare Corporation (the "Common Stock") by reason of the ownership by GS Credit Partners of $4,090,693 principal amount of Series B Convertible Notes (the "Convertible Notes") of Coram, Inc. issued pursuant to the Securities Exchange Agreement dated May 6, 1998, as amended (the "Securities Exchange Agreement") which are convertible into 2,045,346 shares of Common Stock. Coram, Inc. has the right, in lieu of payment of interest on the Convertible Notes in cash, to pay interest through the issuance of additional Convertible Notes in principal amount equal to the amount of the interest then due and owing. F2: On December 31, 2002, GS Credit Partners and certain other parties to the Securities Exchange Agreement entered into an Exchange Agreement whereby GS Credit Partners exchanged $37,763,507 principal amount of Convertible Notes for 553.73479 shares of Series B Cumulative Preferred Stock of Coram, Inc. As of December 31, 2002, GS Credit Partners, Goldman Sachs, GS Group and GS Global Holdings ceased to be the owners of more than 10% of the shares of the Common Stock reported to be outstanding in the Company's Annual Report on Form 10-K for the period ended December 31, 2002, and are therefore no longer subject to Section 16. F3: GS Group is the 99% owner of GS Global Holdings. GS Global Holdings is the general partner of GS Credit Partners. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs, GS Group and GS Global Holdings each disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Goldman Sachs Credit Partners L.P. (???GS Credit Partners???) may be deemed to own beneficially and directly, and Goldman, Sachs & Co. (???Goldman Sachs???), The Goldman Sachs Group, Inc. (???GS Group???) and Goldman Sachs Global Holdings L.L.C. (???GS Global Holdings???) may be deemed to own beneficially and indirectly, in the aggregate, 2,045,346 shares of Common Stock of Coram Healthcare Corporation (the "Common Stock") by reason of the ownership by GS Credit Partners of $4,090,693 principal amount of Series B Convertible Notes (the "Convertible Notes") of Coram, Inc. issued pursuant to the Securities Exchange Agreement dated May 6, 1998, as amended (the "Securities Exchange Agreement") which are convertible into 2,045,346 shares of Common Stock. Coram, Inc. has the right, in lieu of payment of interest on the Convertible Notes in cash, to pay interest through the issuance of additional Convertible Notes in principal amount equal to the amount of the interest then due and owing.
F2: On December 31, 2002, GS Credit Partners and certain other parties to the Securities Exchange Agreement entered into an Exchange Agreement whereby GS Credit Partners exchanged $37,763,507 principal amount of Convertible Notes for 553.73479 shares of Series B Cumulative Preferred Stock of Coram, Inc. As of December 31, 2002, GS Credit Partners, Goldman Sachs, GS Group and GS Global Holdings ceased to be the owners of more than 10% of the shares of the Common Stock reported to be outstanding in the Company's Annual Report on Form 10-K for the period ended December 31, 2002, and are therefore no longer subject to Section 16.
F3: GS Group is the 99% owner of GS Global Holdings. GS Global Holdings is the general partner of GS Credit Partners. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs, GS Group and GS Global Holdings each disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein.
CORE LABORATORIES N V
Report date April 01, 2020 · Filed May 19, 2020
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2020-05-19. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectThrough Subsidiary | 4,640,900 |
Last balance in matching sequence
After 2020-04-01 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2020-04-01 · Purchase · Acquired 376 · Balance 4,640,600 F1: The amount of profit recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons". Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 1, 2020, the Reporting Persons ceased to be a greater than 10% beneficial owner of the Issuer's Common Shares but did not experience a change in their pecuniary interest in the Issuer. F3: GS Group may be deemed to beneficially own indirectly the Common Shares by reason of Goldman Sachs' direct beneficial ownership. Row 2 · 2020-04-01 · Purchase · Acquired 300 · Balance 4,640,900 F1: The amount of profit recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons". Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 1, 2020, the Reporting Persons ceased to be a greater than 10% beneficial owner of the Issuer's Common Shares but did not experience a change in their pecuniary interest in the Issuer. F3: GS Group may be deemed to beneficially own indirectly the Common Shares by reason of Goldman Sachs' direct beneficial ownership. |
| Equity SwapSEC Table II · derivative / convertible security · Expires 2023-11-15 | IndirectThrough Subsidiary | 1,176 |
Reported balance
After 2020-04-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-04-01 · Sale · Disposed 1,176 · Balance 1,176 F4: Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 11/15/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $9.29 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $9.29 per share, in each case, based on a notional amount of 1,176 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons". Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 1, 2020, the Reporting Persons ceased to be a greater than 10% beneficial owner of the Issuer's Common Shares but did not experience a change in their pecuniary interest in the Issuer. F3: GS Group may be deemed to beneficially own indirectly the Common Shares by reason of Goldman Sachs' direct beneficial ownership. |
| Equity SwapSEC Table II · derivative / convertible security · Expires 2029-08-13 | IndirectThrough Subsidiary | 93 |
Reported balance
After 2020-04-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-04-01 · Purchase · Acquired 93 · Balance 93 F5: Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 8/13/2029, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $9.45 per share and the counterparty will pay Goldman Sachs any increase in the price of the Common Shares above $9.45 per share, in each case, based on a notional amount of 93 Common Shares and any additional costs and charges including any payments with respect to financial dividends. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons". Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 1, 2020, the Reporting Persons ceased to be a greater than 10% beneficial owner of the Issuer's Common Shares but did not experience a change in their pecuniary interest in the Issuer. F3: GS Group may be deemed to beneficially own indirectly the Common Shares by reason of Goldman Sachs' direct beneficial ownership. |
Filing footnotes · ownership attribution and instrument terms
F1: The amount of profit recoverable by the Issuer from the reported transactions will be remitted to the Issuer.
F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons". Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 1, 2020, the Reporting Persons ceased to be a greater than 10% beneficial owner of the Issuer's Common Shares but did not experience a change in their pecuniary interest in the Issuer.
F3: GS Group may be deemed to beneficially own indirectly the Common Shares by reason of Goldman Sachs' direct beneficial ownership.
F4: Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 11/15/2023, Goldman Sachs will pay to the counterparty any increase in the price of the Common Shares above $9.29 per share and the counterparty will pay to Goldman Sachs any decrease in the price of the Common Shares below $9.29 per share, in each case, based on a notional amount of 1,176 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
F5: Goldman Sachs entered into an equity swap agreement which, upon the termination of the agreement on 8/13/2029, Goldman Sachs will pay to the counterparty any decrease in the price of the Common Shares below $9.45 per share and the counterparty will pay Goldman Sachs any increase in the price of the Common Shares above $9.45 per share, in each case, based on a notional amount of 93 Common Shares and any additional costs and charges including any payments with respect to financial dividends.
CVR ENERGY INC
Report date February 08, 2011 · Filed February 10, 2011
Jointly reported with GOLDMAN SACHS GROUP INC, GSCP V OFFSHORE ADVISORS, L.L.C., GSCP V ADVISORS, L.L.C., GS CAPITAL PARTNERS V OFFSHORE FUND, L.P., GS CAPITAL PARTNERS V GMBH & CO. KG, GS CAPITAL PARTNERS V FUND, L.P., GS CAPITAL PARTNERS V INSTITUTIONAL, L.P., GS ADVISORS V, L.L.C.
Section 16 reporting ended · disclosed 2011-02-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 8,353 |
Reported balance
After 2011-02-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2011-02-08 · Sale · Disposed 15,113,254 · Balance 8,353 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Capital Partners V Fund, L.P. ("GS Capital"), GS Capital Partners V Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners V Institutional, L.P. ("GS Institutional"), GS Capital Partners V GmbH & Co. KG ("GS Germany", and together with GS Capital, GS Offshore and GS Institutional, the "Funds") (continued in footnote 2) F2: GSCP V Advisors, L.L.C. ("GSCP Advisors"), GSCP V Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors V, L.L.C. ("GS Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH") and Coffeyville Acquisition II LLC ("CA II", and together with GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH, the Funds, Goldman Sachs and GS Group, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3: Pursuant to an underwriting agreement, dated February 2, 2011, and in connection with the registered public offering of shares of common stock, par value $0.01 per share (the "Common Stock") of CVR Energy, Inc. (the "Company"), pursuant to the final prospectus filed by the Company on February 4, 2011, which offering was consummated on February 8, 2011, CA II sold 15,113,254 shares of Common Stock, which represented all of the Common Stock that CAII owned. F4: The Funds are members of CA II and own common units of CA II. The Funds' common units corresponded to 14,965,434 shares of Common Stock. The common units of CA II that corresponded to the balance of the Common Stock owned by CA II are held by certain officers and directors of the Company. CAII no longer owns any Common Stock of the Company. F5: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 8,353 shares of Common Stock. CAII and the Funds do not beneficially own directly or indirectly any shares of Common Stock. Goldman Sachs and GS Group may be deemed to have beneficially owned indirectly, through certain investment partnerships that are members of and own common units of CA II, the shares of Common Stock that were sold by CA II because (i) affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner, managing member or member of those investment partnerships and (ii) those investment partnerships control CA II and had the power to vote and dispose of the Common Stock owned by CA II. F6: The Reporting Persons disclaim beneficial ownership of all shares of Common Stock in excess of their pecuniary interest, if any, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Capital Partners V Fund, L.P. ("GS Capital"), GS Capital Partners V Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners V Institutional, L.P. ("GS Institutional"), GS Capital Partners V GmbH & Co. KG ("GS Germany", and together with GS Capital, GS Offshore and GS Institutional, the "Funds") (continued in footnote 2)
F2: GSCP V Advisors, L.L.C. ("GSCP Advisors"), GSCP V Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors V, L.L.C. ("GS Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH") and Coffeyville Acquisition II LLC ("CA II", and together with GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH, the Funds, Goldman Sachs and GS Group, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
F3: Pursuant to an underwriting agreement, dated February 2, 2011, and in connection with the registered public offering of shares of common stock, par value $0.01 per share (the "Common Stock") of CVR Energy, Inc. (the "Company"), pursuant to the final prospectus filed by the Company on February 4, 2011, which offering was consummated on February 8, 2011, CA II sold 15,113,254 shares of Common Stock, which represented all of the Common Stock that CAII owned.
F4: The Funds are members of CA II and own common units of CA II. The Funds' common units corresponded to 14,965,434 shares of Common Stock. The common units of CA II that corresponded to the balance of the Common Stock owned by CA II are held by certain officers and directors of the Company. CAII no longer owns any Common Stock of the Company.
F5: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 8,353 shares of Common Stock. CAII and the Funds do not beneficially own directly or indirectly any shares of Common Stock. Goldman Sachs and GS Group may be deemed to have beneficially owned indirectly, through certain investment partnerships that are members of and own common units of CA II, the shares of Common Stock that were sold by CA II because (i) affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner, managing member or member of those investment partnerships and (ii) those investment partnerships control CA II and had the power to vote and dispose of the Common Stock owned by CA II.
F6: The Reporting Persons disclaim beneficial ownership of all shares of Common Stock in excess of their pecuniary interest, if any, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Cobalt International Energy, Inc.
Report date May 10, 2013 · Filed May 14, 2013
Jointly reported with GOLDMAN SACHS GROUP INC, GSCP V Cobalt Holdings, LLC, GSCP VI Cobalt Holdings, LLC, GSCP V Offshore Cobalt Holdings, LLC, GSCP VI Offshore Cobalt Holdings, LLC, GSCP V GmbH Cobalt Holdings, LLC, GSCP VI GmbH Cobalt Holdings, LLC, GSCP V Offshore Cobalt Holdings, L.P., GSCP VI Offshore Cobalt Holdings, L.P.
Section 16 reporting ended · disclosed 2013-05-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01SEC Table I · non-derivative | IndirectSee footnotes | 34,825,280 |
Reported balance
After 2013-05-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2013-05-10 · Sale · Disposed 15,084,368 · Balance 34,825,280 F2: For text of Footnote 2, see Exhibit 99.1. F3: For text of Footnote 3, see Exhibit 99.1. F1: For text of Footnote 1, see Exhibit 99.1. |
Filing footnotes · ownership attribution and instrument terms
F1: For text of Footnote 1, see Exhibit 99.1.
F2: For text of Footnote 2, see Exhibit 99.1.
F3: For text of Footnote 3, see Exhibit 99.1.
DOLLAR GENERAL CORP
Report date June 11, 2012 · Filed June 13, 2012
Jointly reported with GOLDMAN SACHS GROUP INC, GS Capital Partners VI Fund, L.P., GS Capital Partners VI Offshore Fund, L.P., GS Capital Partners VI Parallel LP, GS Capital Partners VI GmbH & Co KG, GSCP VI Advisors, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Advisors VI, L.L.C., GOLDMAN, SACHS MANAGEMENT GP GMBH
Section 16 reporting ended · disclosed 2012-06-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 24,328,262 |
Reported balance
After 2012-06-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2012-06-11 · Sale · Disposed 7,379,508 · Balance 24,328,262 F3: In connection with the secondary offering (the "Secondary Offering") of common stock, par value $0.875 per share (the "Common Stock"), of Dollar General Corporation (the "Company") by certain selling shareholders pursuant to an underwriting agreement (the "Underwriting Agreement") and final prospectus supplement, each dated June 5, 2012, Buck Holdings, L.P., as a selling shareholder, sold 29,531,855 shares of Common Stock of the Company at $45.2307 per share, which represents the $46.75 Secondary Offering price per share of Common Stock, less the underwriting discount of $1.51930 per share of Common Stock. The Secondary Offering closed on June 11, 2012. Buck Holdings, L.P. is a limited partnership whose general partner is Buck Holdings, LLC. The membership interests of Buck Holdings, LLC are held by a private investor group, which includes the Investing Entities. F4: Pursuant to the Underwriting Agreement and in connection with the Secondary Offering, the underwriters exercised their option (the "Over-Allotment Option") to purchase additional shares of Common Stock from certain of the selling shareholders. Goldman Sachs is one of several underwriters under the Underwriting Agreement. The Over-Allotment Option closed simultaneously with the Secondary Offering on June 11, 2012. Buck Holdings, L.P. sold an additional 4,500,000 shares of Common Stock pursuant to the underwriters' exercise of the Over-Allotment Option. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Capital Partners VI Fund, L.P. ("GS Capital"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI GmbH & Co. KG ("GS Germany"), Goldman Sachs DGC Investors, L.P. ("GS DGC"), Goldman Sachs DGC Investors Offshore Holdings, L.P. ("GS DGC Offshore" and, together with GS Capital, GS Offshore, GS Parallel, GS Germany, and GS DGC, the "GS Funds") and GSUIG, L.L.C. ("GSUIG", and together with the GS Funds, the "Investing Entities"), GSCP VI Advisors, L.L.C. ("GSCP Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors VI, L.L.C. ("GS Advisors") (continued in footnote 2), F2: Goldman, Sachs Management GP GmbH ("GS GmbH"), GS DGC Advisors, L.L.C. ("GS DGC Advisors") and GS DGC Offshore Advisors, Inc. ("GS DGC Offshore Advisors", and together with GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH, GS DGC Advisors, the Investing Entities, Goldman Sachs and GS Group, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Goldman Sachs is a wholly-owned subsidiary of GS Group. Goldman Sachs is the investment manager of the GS Funds. Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner or investment manager of the GS Funds. GSUIG is a wholly-owned subsidiary of GS Group. F5: GS Group may be deemed to beneficially own 1,065 restricted stock units that were granted to Adrian M. Jones, a managing director of Goldman Sachs, in his capacity as a director of the Company pursuant to the Amended and Restated 2007 Stock Incentive Plan for Key Employees of Dollar General Corporation and Its Affiliates (the "Plan") on June 1, 2012. The restricted stock units represent a contingent right to receive shares of Common Stock upon vesting and vest in three annual installments of 33 1/3% beginning on June 1, 2013. Mr. Jones has an understanding with GS Group pursuant to which he holds such shares for the benefit of GS Group. F6: GS Group also may be deemed to beneficially own 1,038 restricted stock units that were granted to Adrian M. Jones in his capacity as a director of the Company pursuant to the Plan on May 25, 2011. The restricted stock units represent a contingent right to receive shares of Common Stock upon vesting and vest in three equal installments on each of the Company's first, second, and third annual shareholders' meetings immediately following the grant date, which was May 25, 2011. Mr. Jones has an understanding with GS Group pursuant to which he holds such shares for the benefit of GS Group. F7: GS Group also may be deemed to beneficially own 1,525 restricted stock units that were granted to Adrian M. Jones in his capacity as a director of the Company pursuant to the Plan on November 18, 2009. The restricted stock units represent a contingent right to receive shares of Common Stock upon vesting and vest in three equal installments on each of the Company's first, second, and third annual shareholders' meetings immediately following the grant date, which was November 18, 2009. Mr. Jones has an understanding with GS Group pursuant to which he holds such shares for the benefit of GS Group. F8: As of June 11, 2012, as a result of the Secondary Offering and the exercise of the Over-Allotment Option, GS Group and Goldman Sachs may be deemed to beneficially own indirectly 24,323,720 shares of Common Stock by reason of the indirect beneficial ownership of such shares by the Investing Entities. The Investing Entities may be deemed to beneficially own indirectly 24,323,720 shares of Common Stock by reason of the direct beneficial ownership of such shares by Buck Holdings, L.P., a limited partnership whose general partner is Buck Holdings, LLC. Additionally, as of June 11, 2012, Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 914 shares of Common Stock, and Goldman Sachs also holds open short positions of 94 shares of Common Stock, each due to exempt transactions. F9: As of June 11, 2012, as a result of the Secondary Offering, the exercise of the Over-Allotment Option and the Stock Repurchase, GS Capital, and its general partner GSCP Advisors, may be deemed to beneficially own indirectly 8,988,652 shares of Common Stock by reason of the direct beneficial ownership of Common Stock by Buck Holdings, L.P.; GS Offshore, and its general partner GSCP Offshore Advisors, may be deemed to beneficially own indirectly 7,476,444 shares of Common Stock by reason of the direct beneficial ownership of Common Stock by Buck Holdings, L.P.; GS Parallel, and its general partner GS Advisors, may be deemed to beneficially own indirectly 2,471,726 shares of Common Stock by reason of the direct beneficial ownership of Common Stock by Buck Holdings, L.P.; (continued in footnote 10) F10: GS Germany, and its general partner, GS GmbH, may be deemed to beneficially own indirectly 319,457 shares of Common Stock by reason of the direct beneficial ownership of Common Stock by Buck Holdings, L.P.; GS DGC, and its general partner, GS DGC Advisors, may be deemed to beneficially own indirectly 1,356,612 shares of Common Stock by reason of the direct beneficial ownership of Common Stock by Buck Holdings, L.P.; GS DGC Offshore, and its general partner, GS DGC Offshore Advisors, may be deemed to beneficially own indirectly 2,697,340 shares of Common Stock by reason of the direct beneficial ownership of Common Stock by Buck Holdings, L.P.; and GSUIG may be deemed to beneficially own indirectly 1,013,489 shares of Common Stock by reason of the direct beneficial ownership of Common Stock by Buck Holdings, L.P. F14: The Reporting Persons are no longer beneficial owners of more than 10% of the Common Stock of the Company, and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended. |
| Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $48.62 · Expires 2022-06-01 | IndirectSee footnotes | 4,180 |
Reported balance
Holding disclosure · report date 2012-06-11 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 4,180 F11: Pursuant to the Plan, Adrian M. Jones was granted options to purchase 4,180 shares of Common Stock on June 1, 2012. The options vest in four annual installments of 25% beginning June 1, 2013. GS Group may be deemed to beneficially own the options to purchase 4,180 shares of Common Stock that were granted to Mr. Jones on June 1, 2012 pursuant to the Plan. Mr. Jones has an understanding with GS Group pursuant to which he holds such shares for the benefit of GS Group. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Capital Partners VI Fund, L.P. ("GS Capital"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI GmbH & Co. KG ("GS Germany"), Goldman Sachs DGC Investors, L.P. ("GS DGC"), Goldman Sachs DGC Investors Offshore Holdings, L.P. ("GS DGC Offshore" and, together with GS Capital, GS Offshore, GS Parallel, GS Germany, and GS DGC, the "GS Funds") and GSUIG, L.L.C. ("GSUIG", and together with the GS Funds, the "Investing Entities"), GSCP VI Advisors, L.L.C. ("GSCP Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors VI, L.L.C. ("GS Advisors") (continued in footnote 2), F2: Goldman, Sachs Management GP GmbH ("GS GmbH"), GS DGC Advisors, L.L.C. ("GS DGC Advisors") and GS DGC Offshore Advisors, Inc. ("GS DGC Offshore Advisors", and together with GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH, GS DGC Advisors, the Investing Entities, Goldman Sachs and GS Group, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Goldman Sachs is a wholly-owned subsidiary of GS Group. Goldman Sachs is the investment manager of the GS Funds. Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner or investment manager of the GS Funds. GSUIG is a wholly-owned subsidiary of GS Group. F14: The Reporting Persons are no longer beneficial owners of more than 10% of the Common Stock of the Company, and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended. |
| Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $33.16 · Expires 2021-05-25 | IndirectSee footnotes | 3,194 |
Reported balance
Holding disclosure · report date 2012-06-11 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 3,194 F12: Pursuant to the Plan, Adrian M. Jones was granted options to purchase 3,194 shares of Common Stock on May 25, 2011. The options vest in four annual installments of 25% beginning on May 25, 2012. GS Group may be deemed to beneficially own the options to purchase 3,194 shares of Common Stock that were granted to Mr. Jones on May 25, 2011 pursuant to the Plan. Mr. Jones has an understanding with GS Group pursuant to which he holds such shares for the benefit of GS Group. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Capital Partners VI Fund, L.P. ("GS Capital"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI GmbH & Co. KG ("GS Germany"), Goldman Sachs DGC Investors, L.P. ("GS DGC"), Goldman Sachs DGC Investors Offshore Holdings, L.P. ("GS DGC Offshore" and, together with GS Capital, GS Offshore, GS Parallel, GS Germany, and GS DGC, the "GS Funds") and GSUIG, L.L.C. ("GSUIG", and together with the GS Funds, the "Investing Entities"), GSCP VI Advisors, L.L.C. ("GSCP Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors VI, L.L.C. ("GS Advisors") (continued in footnote 2), F2: Goldman, Sachs Management GP GmbH ("GS GmbH"), GS DGC Advisors, L.L.C. ("GS DGC Advisors") and GS DGC Offshore Advisors, Inc. ("GS DGC Offshore Advisors", and together with GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH, GS DGC Advisors, the Investing Entities, Goldman Sachs and GS Group, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Goldman Sachs is a wholly-owned subsidiary of GS Group. Goldman Sachs is the investment manager of the GS Funds. Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner or investment manager of the GS Funds. GSUIG is a wholly-owned subsidiary of GS Group. F14: The Reporting Persons are no longer beneficial owners of more than 10% of the Common Stock of the Company, and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended. |
| Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $22.55 · Expires 2019-11-18 | IndirectSee footnotes | 5,549 |
Reported balance
Holding disclosure · report date 2012-06-11 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 5,549 F13: Pursuant to the Plan, Adrian M. Jones was granted options to purchase 5,549 shares of Common Stock on November 18, 2009. The options vest in four annual installments of 25% beginning November 18, 2010. GS Group may be deemed to beneficially own the options to purchase 5,549 shares of Common Stock that were granted to Mr. Jones on November 18, 2009 pursuant to the Plan. Mr. Jones has an understanding with GS Group pursuant to which he holds such shares for the benefit of GS Group. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Capital Partners VI Fund, L.P. ("GS Capital"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI GmbH & Co. KG ("GS Germany"), Goldman Sachs DGC Investors, L.P. ("GS DGC"), Goldman Sachs DGC Investors Offshore Holdings, L.P. ("GS DGC Offshore" and, together with GS Capital, GS Offshore, GS Parallel, GS Germany, and GS DGC, the "GS Funds") and GSUIG, L.L.C. ("GSUIG", and together with the GS Funds, the "Investing Entities"), GSCP VI Advisors, L.L.C. ("GSCP Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors VI, L.L.C. ("GS Advisors") (continued in footnote 2), F2: Goldman, Sachs Management GP GmbH ("GS GmbH"), GS DGC Advisors, L.L.C. ("GS DGC Advisors") and GS DGC Offshore Advisors, Inc. ("GS DGC Offshore Advisors", and together with GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH, GS DGC Advisors, the Investing Entities, Goldman Sachs and GS Group, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Goldman Sachs is a wholly-owned subsidiary of GS Group. Goldman Sachs is the investment manager of the GS Funds. Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner or investment manager of the GS Funds. GSUIG is a wholly-owned subsidiary of GS Group. F14: The Reporting Persons are no longer beneficial owners of more than 10% of the Common Stock of the Company, and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Capital Partners VI Fund, L.P. ("GS Capital"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI GmbH & Co. KG ("GS Germany"), Goldman Sachs DGC Investors, L.P. ("GS DGC"), Goldman Sachs DGC Investors Offshore Holdings, L.P. ("GS DGC Offshore" and, together with GS Capital, GS Offshore, GS Parallel, GS Germany, and GS DGC, the "GS Funds") and GSUIG, L.L.C. ("GSUIG", and together with the GS Funds, the "Investing Entities"), GSCP VI Advisors, L.L.C. ("GSCP Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors VI, L.L.C. ("GS Advisors") (continued in footnote 2),
F2: Goldman, Sachs Management GP GmbH ("GS GmbH"), GS DGC Advisors, L.L.C. ("GS DGC Advisors") and GS DGC Offshore Advisors, Inc. ("GS DGC Offshore Advisors", and together with GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH, GS DGC Advisors, the Investing Entities, Goldman Sachs and GS Group, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Goldman Sachs is a wholly-owned subsidiary of GS Group. Goldman Sachs is the investment manager of the GS Funds. Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner or investment manager of the GS Funds. GSUIG is a wholly-owned subsidiary of GS Group.
F3: In connection with the secondary offering (the "Secondary Offering") of common stock, par value $0.875 per share (the "Common Stock"), of Dollar General Corporation (the "Company") by certain selling shareholders pursuant to an underwriting agreement (the "Underwriting Agreement") and final prospectus supplement, each dated June 5, 2012, Buck Holdings, L.P., as a selling shareholder, sold 29,531,855 shares of Common Stock of the Company at $45.2307 per share, which represents the $46.75 Secondary Offering price per share of Common Stock, less the underwriting discount of $1.51930 per share of Common Stock. The Secondary Offering closed on June 11, 2012. Buck Holdings, L.P. is a limited partnership whose general partner is Buck Holdings, LLC. The membership interests of Buck Holdings, LLC are held by a private investor group, which includes the Investing Entities.
F4: Pursuant to the Underwriting Agreement and in connection with the Secondary Offering, the underwriters exercised their option (the "Over-Allotment Option") to purchase additional shares of Common Stock from certain of the selling shareholders. Goldman Sachs is one of several underwriters under the Underwriting Agreement. The Over-Allotment Option closed simultaneously with the Secondary Offering on June 11, 2012. Buck Holdings, L.P. sold an additional 4,500,000 shares of Common Stock pursuant to the underwriters' exercise of the Over-Allotment Option.
F5: GS Group may be deemed to beneficially own 1,065 restricted stock units that were granted to Adrian M. Jones, a managing director of Goldman Sachs, in his capacity as a director of the Company pursuant to the Amended and Restated 2007 Stock Incentive Plan for Key Employees of Dollar General Corporation and Its Affiliates (the "Plan") on June 1, 2012. The restricted stock units represent a contingent right to receive shares of Common Stock upon vesting and vest in three annual installments of 33 1/3% beginning on June 1, 2013. Mr. Jones has an understanding with GS Group pursuant to which he holds such shares for the benefit of GS Group.
F6: GS Group also may be deemed to beneficially own 1,038 restricted stock units that were granted to Adrian M. Jones in his capacity as a director of the Company pursuant to the Plan on May 25, 2011. The restricted stock units represent a contingent right to receive shares of Common Stock upon vesting and vest in three equal installments on each of the Company's first, second, and third annual shareholders' meetings immediately following the grant date, which was May 25, 2011. Mr. Jones has an understanding with GS Group pursuant to which he holds such shares for the benefit of GS Group.
F7: GS Group also may be deemed to beneficially own 1,525 restricted stock units that were granted to Adrian M. Jones in his capacity as a director of the Company pursuant to the Plan on November 18, 2009. The restricted stock units represent a contingent right to receive shares of Common Stock upon vesting and vest in three equal installments on each of the Company's first, second, and third annual shareholders' meetings immediately following the grant date, which was November 18, 2009. Mr. Jones has an understanding with GS Group pursuant to which he holds such shares for the benefit of GS Group.
F8: As of June 11, 2012, as a result of the Secondary Offering and the exercise of the Over-Allotment Option, GS Group and Goldman Sachs may be deemed to beneficially own indirectly 24,323,720 shares of Common Stock by reason of the indirect beneficial ownership of such shares by the Investing Entities. The Investing Entities may be deemed to beneficially own indirectly 24,323,720 shares of Common Stock by reason of the direct beneficial ownership of such shares by Buck Holdings, L.P., a limited partnership whose general partner is Buck Holdings, LLC. Additionally, as of June 11, 2012, Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 914 shares of Common Stock, and Goldman Sachs also holds open short positions of 94 shares of Common Stock, each due to exempt transactions.
F9: As of June 11, 2012, as a result of the Secondary Offering, the exercise of the Over-Allotment Option and the Stock Repurchase, GS Capital, and its general partner GSCP Advisors, may be deemed to beneficially own indirectly 8,988,652 shares of Common Stock by reason of the direct beneficial ownership of Common Stock by Buck Holdings, L.P.; GS Offshore, and its general partner GSCP Offshore Advisors, may be deemed to beneficially own indirectly 7,476,444 shares of Common Stock by reason of the direct beneficial ownership of Common Stock by Buck Holdings, L.P.; GS Parallel, and its general partner GS Advisors, may be deemed to beneficially own indirectly 2,471,726 shares of Common Stock by reason of the direct beneficial ownership of Common Stock by Buck Holdings, L.P.; (continued in footnote 10)
F10: GS Germany, and its general partner, GS GmbH, may be deemed to beneficially own indirectly 319,457 shares of Common Stock by reason of the direct beneficial ownership of Common Stock by Buck Holdings, L.P.; GS DGC, and its general partner, GS DGC Advisors, may be deemed to beneficially own indirectly 1,356,612 shares of Common Stock by reason of the direct beneficial ownership of Common Stock by Buck Holdings, L.P.; GS DGC Offshore, and its general partner, GS DGC Offshore Advisors, may be deemed to beneficially own indirectly 2,697,340 shares of Common Stock by reason of the direct beneficial ownership of Common Stock by Buck Holdings, L.P.; and GSUIG may be deemed to beneficially own indirectly 1,013,489 shares of Common Stock by reason of the direct beneficial ownership of Common Stock by Buck Holdings, L.P.
F11: Pursuant to the Plan, Adrian M. Jones was granted options to purchase 4,180 shares of Common Stock on June 1, 2012. The options vest in four annual installments of 25% beginning June 1, 2013. GS Group may be deemed to beneficially own the options to purchase 4,180 shares of Common Stock that were granted to Mr. Jones on June 1, 2012 pursuant to the Plan. Mr. Jones has an understanding with GS Group pursuant to which he holds such shares for the benefit of GS Group.
F12: Pursuant to the Plan, Adrian M. Jones was granted options to purchase 3,194 shares of Common Stock on May 25, 2011. The options vest in four annual installments of 25% beginning on May 25, 2012. GS Group may be deemed to beneficially own the options to purchase 3,194 shares of Common Stock that were granted to Mr. Jones on May 25, 2011 pursuant to the Plan. Mr. Jones has an understanding with GS Group pursuant to which he holds such shares for the benefit of GS Group.
F13: Pursuant to the Plan, Adrian M. Jones was granted options to purchase 5,549 shares of Common Stock on November 18, 2009. The options vest in four annual installments of 25% beginning November 18, 2010. GS Group may be deemed to beneficially own the options to purchase 5,549 shares of Common Stock that were granted to Mr. Jones on November 18, 2009 pursuant to the Plan. Mr. Jones has an understanding with GS Group pursuant to which he holds such shares for the benefit of GS Group.
F14: The Reporting Persons are no longer beneficial owners of more than 10% of the Common Stock of the Company, and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended.
EBIX INC
Report date June 19, 2013 · Filed June 21, 2013
Jointly reported with GOLDMAN SACHS GROUP INC, Broad Street Principal Investments, L.L.C., Exchange Parent Corp., Exchange Merger Corp.
Section 16 reporting ended · disclosed 2013-06-21. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
EPOCRATES INC
Report date March 12, 2013 · Filed March 15, 2013
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2013-03-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2013-03-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2013-03-12 · Other · Disposed 2,765,754 · Balance 0 F2: Pursuant to an agreement and plan of merger, dated as of January 7, 2013 (the "Merger Agreement"), among Epocrates, Inc. ("the Company"), athenahealth, Inc. ("athenahealth"), and Echo Merger Sub, Inc., a wholly-owned subsidiary of athenahealth, each share of common stock, par value $0.001 per share (the "Common Stock") of the Company issued and outstanding immediately prior to the effective time of the merger was converted into the right to receive $11.75 in cash, without interest and less any applicable withholding taxes (the "Merger"). F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.17 · Expires 2019-12-16 | IndirectSee footnotes | 0 |
Reported balance
After 2013-03-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2013-03-12 · Other · Disposed 15,720 · Balance 0 F5: As set forth in the Merger Agreement, athenahealth assumed all outstanding options and restricted stock unit awards under the Plan. Each outstanding option and restricted stock unit award will be exercisable or will be settled upon the same terms and conditions as under the Plan, except that each option will be exercisable for, and each restricted stock unit will be converted into the right to receive, 0.1239 shares of athenahealth's common stock. F3: On December 17, 2009, 15,720 stock options were granted to Darren W. Cohen, a managing director of Goldman Sachs who at the time of the grant was a director of the Company (the "Former Director"), pursuant to the Epocrates, Inc. 2008 Equity Incentive Plan (the "Plan"). The 15,720 shares subject to the stock option are fully vested and exercisable. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.36 · Expires 2020-10-27 | IndirectSee footnotes | 0 |
Reported balance
After 2013-03-12 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2013-03-12 · Other · Disposed 3,930 · Balance 0 F5: As set forth in the Merger Agreement, athenahealth assumed all outstanding options and restricted stock unit awards under the Plan. Each outstanding option and restricted stock unit award will be exercisable or will be settled upon the same terms and conditions as under the Plan, except that each option will be exercisable for, and each restricted stock unit will be converted into the right to receive, 0.1239 shares of athenahealth's common stock. F4: On October 28, 2010, 15,720 stock options were granted to the Former Director pursuant to the Plan. Upon the Former Director's resignation as a director of the Company, 11,790 of the stock options were cancelled. The remaining 3,930 shares subject to the stock option are fully vested and exercisable. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F2: Pursuant to an agreement and plan of merger, dated as of January 7, 2013 (the "Merger Agreement"), among Epocrates, Inc. ("the Company"), athenahealth, Inc. ("athenahealth"), and Echo Merger Sub, Inc., a wholly-owned subsidiary of athenahealth, each share of common stock, par value $0.001 per share (the "Common Stock") of the Company issued and outstanding immediately prior to the effective time of the merger was converted into the right to receive $11.75 in cash, without interest and less any applicable withholding taxes (the "Merger").
F3: On December 17, 2009, 15,720 stock options were granted to Darren W. Cohen, a managing director of Goldman Sachs who at the time of the grant was a director of the Company (the "Former Director"), pursuant to the Epocrates, Inc. 2008 Equity Incentive Plan (the "Plan"). The 15,720 shares subject to the stock option are fully vested and exercisable.
F4: On October 28, 2010, 15,720 stock options were granted to the Former Director pursuant to the Plan. Upon the Former Director's resignation as a director of the Company, 11,790 of the stock options were cancelled. The remaining 3,930 shares subject to the stock option are fully vested and exercisable.
F5: As set forth in the Merger Agreement, athenahealth assumed all outstanding options and restricted stock unit awards under the Plan. Each outstanding option and restricted stock unit award will be exercisable or will be settled upon the same terms and conditions as under the Plan, except that each option will be exercisable for, and each restricted stock unit will be converted into the right to receive, 0.1239 shares of athenahealth's common stock.
Edgio, Inc.
Report date March 06, 2018 · Filed March 08, 2018
Jointly reported with GOLDMAN SACHS GROUP INC, GSCP V ADVISORS, L.L.C., GSCP V OFFSHORE ADVISORS, L.L.C., MBD Advisors, L.L.C., GS CAPITAL PARTNERS V FUND, L.P., GS CAPITAL PARTNERS V OFFSHORE FUND, L.P., GS CAPITAL PARTNERS V GMBH & CO. KG, GS CAPITAL PARTNERS V INSTITUTIONAL, L.P., GOLDMAN, SACHS MANAGEMENT GP GMBH
Section 16 reporting ended · disclosed 2018-03-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 864,927 |
Reported balance
After 2018-03-06 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-03-06 · Sale · Disposed 15,272,493 · Balance 864,927 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GSCP V Advisors, L.L.C. ("GSCP Advisors"), GSCP V Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), MBD Advisors, L.L.C. ("MBD Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Capital Partners V Fund, L.P. ("GS Capital"), GS Capital Partners V Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners V GmbH & Co. KG ("GS Germany"), GS Capital Partners V Institutional, L.P. ("GS Institutional" and, together with GS Capital, GS Offshore and GS Germany, the "Funds") (GS Group, Goldman Sachs, GSCP Advisors, GSCP Offshore Advisors, MBD Advisors, GS GmbH and the Funds, collectively, the "Reporting Persons"). F2: The selling stockholders, which consisted of GS Capital, GS Offshore, GS Germany and GS Institutional, sold 15,272,493 shares of common stock, par value $0.001 per share (the "Common Stock"), of Limelight Networks, Inc. (the "Company") to the underwriters in a registered public offering of shares of Common Stock, pursuant to the final prospectus supplement filed by the Company and dated March 1, 2018, which offering was consummated on March 6, 2018. The sale by the selling stockholders consisted of 8,041,883 shares of Common Stock sold by GS Capital, 4,154,102 shares of Common Stock sold by GS Offshore, 318,830 shares of Common Stock sold by GS Germany and 2,757,678 shares of Common Stock sold by GS Institutional. F3: GS Group may be deemed to beneficially own, in the aggregate, 317,695 shares of Common Stock that were granted pursuant to the Amended and Restated 2007 Equity Plan (the "Plan"), consisting of 142,831 restricted stock units granted to Mr. Midle, a vice president of Goldman Sachs, 102,879 restricted stock units that were granted to Joseph H. Gleberman, a former advisory director of Goldman Sachs, and 71,985 restricted stock units that were granted to Peter J. Perrone, a former managing director of Goldman Sachs, each in their capacity as directors of the Company. Each restricted stock unit represents a contingent right to receive one share of the Company's Common Stock. Mr. Midle has an understanding with GS Group pursuant to which such shares are held for the benefit of GS Group. F4: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 547,232 shares of Common Stock and Goldman Sachs also had open short positions of 1,862 shares of Common Stock, reflecting changes due to exempt transactions. Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or managing partner of the Funds. Goldman Sachs is the investment manager of certain of the Funds. Goldman Sachs is a subsidiary of GS Group. GS Group and Goldman Sachs each disclaims beneficial ownership of the shares of Common Stock owned by the Funds except to the extent of its pecuniary interest therein. F5: The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GSCP V Advisors, L.L.C. ("GSCP Advisors"), GSCP V Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), MBD Advisors, L.L.C. ("MBD Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Capital Partners V Fund, L.P. ("GS Capital"), GS Capital Partners V Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners V GmbH & Co. KG ("GS Germany"), GS Capital Partners V Institutional, L.P. ("GS Institutional" and, together with GS Capital, GS Offshore and GS Germany, the "Funds") (GS Group, Goldman Sachs, GSCP Advisors, GSCP Offshore Advisors, MBD Advisors, GS GmbH and the Funds, collectively, the "Reporting Persons").
F2: The selling stockholders, which consisted of GS Capital, GS Offshore, GS Germany and GS Institutional, sold 15,272,493 shares of common stock, par value $0.001 per share (the "Common Stock"), of Limelight Networks, Inc. (the "Company") to the underwriters in a registered public offering of shares of Common Stock, pursuant to the final prospectus supplement filed by the Company and dated March 1, 2018, which offering was consummated on March 6, 2018. The sale by the selling stockholders consisted of 8,041,883 shares of Common Stock sold by GS Capital, 4,154,102 shares of Common Stock sold by GS Offshore, 318,830 shares of Common Stock sold by GS Germany and 2,757,678 shares of Common Stock sold by GS Institutional.
F3: GS Group may be deemed to beneficially own, in the aggregate, 317,695 shares of Common Stock that were granted pursuant to the Amended and Restated 2007 Equity Plan (the "Plan"), consisting of 142,831 restricted stock units granted to Mr. Midle, a vice president of Goldman Sachs, 102,879 restricted stock units that were granted to Joseph H. Gleberman, a former advisory director of Goldman Sachs, and 71,985 restricted stock units that were granted to Peter J. Perrone, a former managing director of Goldman Sachs, each in their capacity as directors of the Company. Each restricted stock unit represents a contingent right to receive one share of the Company's Common Stock. Mr. Midle has an understanding with GS Group pursuant to which such shares are held for the benefit of GS Group.
F4: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 547,232 shares of Common Stock and Goldman Sachs also had open short positions of 1,862 shares of Common Stock, reflecting changes due to exempt transactions. Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or managing partner of the Funds. Goldman Sachs is the investment manager of certain of the Funds. Goldman Sachs is a subsidiary of GS Group. GS Group and Goldman Sachs each disclaims beneficial ownership of the shares of Common Stock owned by the Funds except to the extent of its pecuniary interest therein.
F5: The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
EnLink Midstream Partners, LP
Report date August 04, 2021 · Filed August 06, 2021
Jointly reported with GOLDMAN SACHS GROUP INC, WEST STREET INTERNATIONAL INFRASTRUCTURE PARTNERS III, L.P., WEST STREET EUROPEAN INFRASTRUCTURE PARTNERS III, L.P., West Street Global Infrastructure Partners III, L.P., Broad Street Principal Investments, L.L.C., West Street Energy Partners AIV-1, L.P., West Street Energy Partners Offshore Holding-B AIV-1, L.P., West Street Energy Partners Offshore-B AIV-1, L.P., West Street Energy Partners Offshore AIV-1, L.P.
Section 16 reporting ended · disclosed 2019-08-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series B Cumulative Convertible Preferred UnitsSEC Table II · derivative / convertible security | IndirectSee footnotes | 0 |
Reported balance
After 2021-08-04 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-08-04 · Sale · Disposed 60,499,149 · Balance 0 F3: Pursuant to the terms of the Tenth Amended and Restated Agreement of Limited Partnership of ENLK, dated as of January 25, 2019, Enfield Holdings may exchange all or a portion of its Series B Preferred Units (along with a corresponding number of Class C Common Units) at any time for Common Units of the Issuer on a 1-for-1.15 basis, subject to certain adjustments. The right to exchange is not subject to an expiration date. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), West Street International Infrastructure Partners III, L.P. ("WS International"), West Street European Infrastructure Partners III, L.P. ("WS European"), West Street Global Infrastructure Partners III, L.P. ("WS Global"), Broad Street Principal Investments, L.L.C. ("BS Principal"), West Street Energy Partners Offshore - B AIV-1, L.P. ("WS Offshore B"), West Street Energy Partners AIV-1, L.P. ("WS AIV"), West Street Energy Partners Offshore AIV-1, L.P. ("WS Offshore AIV"), West Street Energy Partners Offshore Holding - B AIV-1, L.P. ("WS Holdings B"), Broad Street Infrastructure Advisors III, L.L.C. ("BS Infrastructure"), (continued in footnote 2) F2: and Broad Street Energy Advisors AIV-1, L.L.C. ("BS Energy AIV", and together with WS International, WS European, WS Global, BS Principal, WS Offshore B, WS AIV, WS Offshore AIV, WS Holdings B and BS Infrastructure, the "GS Entities"), WSIP Egypt Holdings, LP ("WSIP") and WSEP Egypt Holdings, LP ("WSEP", and together with WSIP, GS Group, Goldman Sachs and the GS Entities, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F4: Because of the relationship by and between the GS Entities, WSIP and WSEP on the one hand and Holdings on the other hand, the GS Entities, WSIP and WSEP may have been deemed (for purposes of Rule 13d-3(a) and Rule 16a-1(a) only and not for any other applicable purpose), to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of Holdings. F5: For purposes of Rule 13d-3(a) and Rule 16a-1(a) only (and not for any other applicable purpose), GS Group and Goldman Sachs may have been deemed to beneficially own indirectly the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of Holdings, as (i) Goldman Sachs is an investment manager of certain of the GS Entities, (ii) Goldman Sachs is a subsidiary of GS Group, and (iii) affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner or investment manager of the GS Entities. F6: The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interests in, such securities for purposes of Section 16 of the Securities and Exchange Act pf 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), West Street International Infrastructure Partners III, L.P. ("WS International"), West Street European Infrastructure Partners III, L.P. ("WS European"), West Street Global Infrastructure Partners III, L.P. ("WS Global"), Broad Street Principal Investments, L.L.C. ("BS Principal"), West Street Energy Partners Offshore - B AIV-1, L.P. ("WS Offshore B"), West Street Energy Partners AIV-1, L.P. ("WS AIV"), West Street Energy Partners Offshore AIV-1, L.P. ("WS Offshore AIV"), West Street Energy Partners Offshore Holding - B AIV-1, L.P. ("WS Holdings B"), Broad Street Infrastructure Advisors III, L.L.C. ("BS Infrastructure"), (continued in footnote 2)
F2: and Broad Street Energy Advisors AIV-1, L.L.C. ("BS Energy AIV", and together with WS International, WS European, WS Global, BS Principal, WS Offshore B, WS AIV, WS Offshore AIV, WS Holdings B and BS Infrastructure, the "GS Entities"), WSIP Egypt Holdings, LP ("WSIP") and WSEP Egypt Holdings, LP ("WSEP", and together with WSIP, GS Group, Goldman Sachs and the GS Entities, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
F3: Pursuant to the terms of the Tenth Amended and Restated Agreement of Limited Partnership of ENLK, dated as of January 25, 2019, Enfield Holdings may exchange all or a portion of its Series B Preferred Units (along with a corresponding number of Class C Common Units) at any time for Common Units of the Issuer on a 1-for-1.15 basis, subject to certain adjustments. The right to exchange is not subject to an expiration date.
F4: Because of the relationship by and between the GS Entities, WSIP and WSEP on the one hand and Holdings on the other hand, the GS Entities, WSIP and WSEP may have been deemed (for purposes of Rule 13d-3(a) and Rule 16a-1(a) only and not for any other applicable purpose), to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of Holdings.
F5: For purposes of Rule 13d-3(a) and Rule 16a-1(a) only (and not for any other applicable purpose), GS Group and Goldman Sachs may have been deemed to beneficially own indirectly the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of Holdings, as (i) Goldman Sachs is an investment manager of certain of the GS Entities, (ii) Goldman Sachs is a subsidiary of GS Group, and (iii) affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner or investment manager of the GS Entities.
F6: The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interests in, such securities for purposes of Section 16 of the Securities and Exchange Act pf 1934, as amended, or for any other purpose.
Endurance International Group Holdings, Inc.
Report date May 01, 2019 · Filed February 19, 2021
Jointly reported with GOLDMAN SACHS GROUP INC, GS Capital Partners VI Parallel LP, GS Capital Partners VI Offshore Fund, L.P., GS Capital Partners VI Fund, L.P., GS Capital Partners VI GmbH & Co KG, MBD 2011 Holdings, L.P.
Section 16 reporting ended · disclosed 2021-02-19. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.0001 par value per share ("Common Stock")SEC Table I · non-derivative | IndirectSee Footnotes | 15,386,043 |
Reported balance
After 2019-05-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-05-01 · Purchase · Acquired 7,504 · Balance 15,386,043 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,378,539 |
Reported balance
After 2019-05-01 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-05-01 · Sale · Disposed 7,504 · Balance 15,378,539 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,379,703 |
Reported balance
After 2019-07-02 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-07-02 · Purchase · Acquired 1,119 · Balance 15,379,703 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,378,584 |
Reported balance
After 2019-07-02 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-07-02 · Sale · Disposed 1,119 · Balance 15,378,584 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,386,567 |
Reported balance
After 2019-07-10 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2019-07-10 · Purchase · Acquired 7,950 · Balance 15,386,567 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,378,617 |
Reported balance
After 2019-07-10 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2019-07-10 · Sale · Disposed 7,950 · Balance 15,378,617 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,387,742 |
Reported balance
After 2019-07-11 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2019-07-11 · Purchase · Acquired 9,188 · Balance 15,387,742 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,378,554 |
Reported balance
After 2019-07-11 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2019-07-11 · Sale · Disposed 9,188 · Balance 15,378,554 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,388,217 |
Reported balance
After 2019-07-12 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2019-07-12 · Purchase · Acquired 9,645 · Balance 15,388,217 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,378,572 |
Reported balance
After 2019-07-12 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2019-07-12 · Sale · Disposed 9,645 · Balance 15,378,572 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,386,790 |
Reported balance
After 2019-07-22 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2019-07-22 · Purchase · Acquired 8,176 · Balance 15,386,790 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,378,614 |
Reported balance
After 2019-07-22 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2019-07-22 · Sale · Disposed 8,176 · Balance 15,378,614 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,386,010 |
Reported balance
After 2019-07-29 transaction · row 13
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 13 · 2019-07-29 · Purchase · Acquired 3,290 · Balance 15,386,010 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,382,720 |
Reported balance
After 2019-07-29 transaction · row 14
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 14 · 2019-07-29 · Sale · Disposed 3,290 · Balance 15,382,720 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,383,538 |
Reported balance
After 2019-08-09 transaction · row 15
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 15 · 2019-08-09 · Purchase · Acquired 3,231 · Balance 15,383,538 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,380,307 |
Reported balance
After 2019-08-09 transaction · row 16
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 16 · 2019-08-09 · Sale · Disposed 3,231 · Balance 15,380,307 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,385,169 |
Reported balance
After 2019-08-26 transaction · row 17
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 17 · 2019-08-26 · Purchase · Acquired 4,075 · Balance 15,385,169 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,381,094 |
Reported balance
After 2019-08-26 transaction · row 18
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 18 · 2019-08-26 · Sale · Disposed 4,075 · Balance 15,381,094 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,389,286 |
Reported balance
After 2019-08-29 transaction · row 19
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 19 · 2019-08-29 · Purchase · Acquired 2,233 · Balance 15,389,286 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,387,053 |
Reported balance
After 2019-08-29 transaction · row 20
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 20 · 2019-08-29 · Sale · Disposed 2,233 · Balance 15,387,053 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,379,519 |
Reported balance
After 2019-09-26 transaction · row 21
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 21 · 2019-09-26 · Purchase · Acquired 904 · Balance 15,379,519 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,378,615 |
Reported balance
After 2019-09-26 transaction · row 22
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 22 · 2019-09-26 · Sale · Disposed 904 · Balance 15,378,615 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,381,192 |
Reported balance
After 2019-10-03 transaction · row 23
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 23 · 2019-10-03 · Purchase · Acquired 2,660 · Balance 15,381,192 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,378,532 |
Reported balance
After 2019-10-03 transaction · row 24
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 24 · 2019-10-03 · Sale · Disposed 2,660 · Balance 15,378,532 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,378,621 |
Reported balance
After 2019-11-13 transaction · row 25
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 25 · 2019-11-13 · Purchase · Acquired 100 · Balance 15,378,621 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,378,521 |
Reported balance
After 2019-11-13 transaction · row 26
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 26 · 2019-11-13 · Sale · Disposed 100 · Balance 15,378,521 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,384,228 |
Reported balance
After 2019-11-14 transaction · row 27
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 27 · 2019-11-14 · Purchase · Acquired 1,000 · Balance 15,384,228 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,383,228 |
Reported balance
After 2019-11-14 transaction · row 28
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 28 · 2019-11-14 · Sale · Disposed 1,000 · Balance 15,383,228 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,385,135 |
Reported balance
After 2019-11-22 transaction · row 29
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 29 · 2019-11-22 · Purchase · Acquired 6,471 · Balance 15,385,135 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 15,378,664 |
Reported balance
After 2019-11-22 transaction · row 30
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 30 · 2019-11-22 · Sale · Disposed 6,471 · Balance 15,378,664 F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer. F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934. F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds. F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
Filing footnotes · ownership attribution and instrument terms
F1: These transactions in the Common Stock of Endurance International Group Holdings, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business.
F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b), the amount of profit potentially recoverable by the Issuer from the reported transactions will be remitted to the Issuer.
F3: This statement is being filed by GS Capital Partners VI Parallel, L.P. ("GCP VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GCP VI Offshore"), GS Capital Partners VI Fund, L.P. ("GCP VI Fund"), GS Capital Partners VI GmbH & Co. KG ("GCP VI Germany"), MBD 2011 Holdings, L.P. ("MBD 2011"), The Goldman Sachs Group, Inc. ("GS Group"), and Goldman Sachs (together, the "Reporting Persons"). Joseph DiSabato, a member of the board of directors of the Issuer, was elected to that board as a representative of the Reporting Persons. As a result, each Reporting Person is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934.
F4: Goldman Sachs is the investment manager of: GCP VI Parallel, GCP VI Offshore, GCP IV Fund, GCP VI Germany, MBD 2011, Bridge Street 2011, L.P., and Bridge Street 2011 Offshore, L.P. (together, the "GS Funds"), and affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing general partner, managing partner, managing member or member of each of the GS Funds.
F5: Each Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its or his pecuniary interest in such shares of Common Stock. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person.
Extraction Oil & Gas, Inc.
Report date November 29, 2019 · Filed December 06, 2019
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2019-12-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common UnitsSEC Table I · non-derivative | IndirectSee footnotes | 10,624,314 |
Reported balance
After 2019-11-29 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-11-29 · Sale · Disposed 7,001 · Balance 10,624,314 F3: Reflects a weighted average sale price of $1.46 per Common Unit, at prices ranging from $1.42 to $1.53 per Common Unit. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On November 29, 2019, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% but did not experience a change in their pecuniary interest. F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. On November 29, 2019, the Reporting Persons experienced a decrease in their beneficial ownership that reduced their beneficial ownership to below 10% but did not experience a change in their pecuniary interest.
F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group.
F3: Reflects a weighted average sale price of $1.46 per Common Unit, at prices ranging from $1.42 to $1.53 per Common Unit.
GLOBUS MEDICAL INC
Report date April 01, 2013 · Filed April 08, 2013
Jointly reported with GOLDMAN SACHS GROUP INC, GS Direct, L.L.C., GOLDMAN SACHS INVESTMENT PARTNERS MASTER FUND, L.P., GOLDMAN SACHS INVESTMENT PARTNERS GP, LLC, GOLDMAN SACHS PRIVATE EQUITY CONCENTRATED HEALTHCARE OFFSHORE ADVISORS,INC., GOLDMAN SACHS PRIVATE EQUITY CONCENTRATED HEALTHCARE FUND OFFSHORE HOLDINGS, L.P., GOLDMAN SACHS PRIVATE EQUITY PARTNERS 2004, L.P., GOLDMAN SACHS PEP 2004 ADVISORS, L.L.C.
Section 16 reporting ended · disclosed 2013-04-08. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
GRIFFON CORP
Report date June 19, 2018 · Filed June 21, 2018
Jointly reported with GOLDMAN SACHS GROUP INC, GS Direct, L.L.C.
Section 16 reporting ended · disclosed 2018-06-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 649,296 |
Reported balance
After 2018-06-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-06-19 · Sale · Disposed 5,583,375 · Balance 649,296 F2: Pursuant to an underwriting agreement, dated June 14, 2018 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of common stock, par value $0.25 per share (the "Common Stock"), of Griffon Corporation (the "Company"), pursuant to the final prospectus supplement dated June 14, 2018, which offering was consummated on June 19, 2018 (the "Registered Public Offering"), the underwriters purchased shares of Common Stock from the selling shareholder, GS Direct. GS Direct sold an aggregate of 4,855,109 shares of Common Stock. Goldman Sachs was one of the underwriters under the Underwriting Agreement. F3: Pursuant to the Underwriting Agreement and in connection with the Registered Public Offering, the underwriters exercised their option (the "Over-Allotment Option") to purchase additional shares of Common Stock from the selling shareholder, GS Direct. On June 19, 2018, the Over-Allotment Option was consummated and in connection with such sale to the underwriters, GS Direct sold an additional 728,266 shares of Common Stock pursuant to the underwriters' exercise of the Over-Allotment Option. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs") and GS Direct, L.L.C. ("GS Direct", and together with GS Group and Goldman Sachs, the "Reporting Persons"). The Reporting Persons each disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any. F4: Following the sale of shares by GS Direct, Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 649,296 shares of Common Stock and Goldman Sachs also had open short positions of 558,825 shares of Common Stock, reflecting changes due to exempt transactions. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs") and GS Direct, L.L.C. ("GS Direct", and together with GS Group and Goldman Sachs, the "Reporting Persons"). The Reporting Persons each disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any.
F2: Pursuant to an underwriting agreement, dated June 14, 2018 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of common stock, par value $0.25 per share (the "Common Stock"), of Griffon Corporation (the "Company"), pursuant to the final prospectus supplement dated June 14, 2018, which offering was consummated on June 19, 2018 (the "Registered Public Offering"), the underwriters purchased shares of Common Stock from the selling shareholder, GS Direct. GS Direct sold an aggregate of 4,855,109 shares of Common Stock. Goldman Sachs was one of the underwriters under the Underwriting Agreement.
F3: Pursuant to the Underwriting Agreement and in connection with the Registered Public Offering, the underwriters exercised their option (the "Over-Allotment Option") to purchase additional shares of Common Stock from the selling shareholder, GS Direct. On June 19, 2018, the Over-Allotment Option was consummated and in connection with such sale to the underwriters, GS Direct sold an additional 728,266 shares of Common Stock pursuant to the underwriters' exercise of the Over-Allotment Option.
F4: Following the sale of shares by GS Direct, Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 649,296 shares of Common Stock and Goldman Sachs also had open short positions of 558,825 shares of Common Stock, reflecting changes due to exempt transactions.
GRUBB & ELLIS CO
Report date March 09, 2005 · Filed March 11, 2005
Jointly reported with GOLDMAN SACHS GROUP INC, Archon Group, L.P., Archon Gen-Par, Inc.
Section 16 reporting ended · disclosed 2005-03-11. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01SEC Table I · non-derivative | Direct | 799,200 |
Reported balance
After 2005-03-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2005-03-09 · Sale · Disposed 697,500 · Balance 799,200 F1: This statement is filed on behalf of Archon Group, L.P. ("AG"), Archon Gen-Par, Inc. ("AGP"), Goldman, Sachs & Co. ("GS"), and The Goldman Sachs Group, Inc. ("GSG," and together with AG, AGP and GS, the "Reporting Persons") in respect of shares of common stock, par value $0.01 per share ("Common Stock"), of Grubb & Ellis Company, a Delaware corporation (the "Issuer"). As of March 9, 2005, the Reporting Persons ceased to beneficially own more than 10% of the Common Stock reported to be outstanding in the Issuer's Quarterly Report on Form 10-Q for the period ended December 31, 2004, and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended. F2: Each Reporting Person disclaims beneficial ownership of the securities reported in this filing in excess of the pecuniary interest of such Reporting Person in such securities, if any, and this filing shall not be deemed an admission that such Reporting Person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of such securities. Each Reporting Person disclaims membership in a "group" with respect to the securities reported in this filing and this filing shall not be deemed to be an admission that such Reporting Person is, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, or otherwise, a member of a "group" or a single "person" with respect to such securities. F3: GSG owns beneficially and directly, and GS, a direct and indirectly wholly-owned subsidiary of GSG, may be deemed to own beneficially and indirectly, 799,200 shares of Common Stock. |
| Common Stock, par value $0.01SEC Table I · non-derivative | IndirectSee footnotes | 60,155 |
Reported balance
After 2005-03-09 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2005-03-09 · Sale · Disposed 52,500 · Balance 60,155 F1: This statement is filed on behalf of Archon Group, L.P. ("AG"), Archon Gen-Par, Inc. ("AGP"), Goldman, Sachs & Co. ("GS"), and The Goldman Sachs Group, Inc. ("GSG," and together with AG, AGP and GS, the "Reporting Persons") in respect of shares of common stock, par value $0.01 per share ("Common Stock"), of Grubb & Ellis Company, a Delaware corporation (the "Issuer"). As of March 9, 2005, the Reporting Persons ceased to beneficially own more than 10% of the Common Stock reported to be outstanding in the Issuer's Quarterly Report on Form 10-Q for the period ended December 31, 2004, and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended. F2: Each Reporting Person disclaims beneficial ownership of the securities reported in this filing in excess of the pecuniary interest of such Reporting Person in such securities, if any, and this filing shall not be deemed an admission that such Reporting Person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of such securities. Each Reporting Person disclaims membership in a "group" with respect to the securities reported in this filing and this filing shall not be deemed to be an admission that such Reporting Person is, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, or otherwise, a member of a "group" or a single "person" with respect to such securities. F4: AG owns beneficially and directly, and AGP, the general partner of AG and a wholly-owned subsidiary of GSG, may be deemed to own beneficially and indirectly, 60,155 shares of Common Stock. GS and GSG may be deemed to own beneficially and indirectly, 60,155 shares of Common Stock through AG and AGP. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is filed on behalf of Archon Group, L.P. ("AG"), Archon Gen-Par, Inc. ("AGP"), Goldman, Sachs & Co. ("GS"), and The Goldman Sachs Group, Inc. ("GSG," and together with AG, AGP and GS, the "Reporting Persons") in respect of shares of common stock, par value $0.01 per share ("Common Stock"), of Grubb & Ellis Company, a Delaware corporation (the "Issuer"). As of March 9, 2005, the Reporting Persons ceased to beneficially own more than 10% of the Common Stock reported to be outstanding in the Issuer's Quarterly Report on Form 10-Q for the period ended December 31, 2004, and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended.
F2: Each Reporting Person disclaims beneficial ownership of the securities reported in this filing in excess of the pecuniary interest of such Reporting Person in such securities, if any, and this filing shall not be deemed an admission that such Reporting Person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of such securities. Each Reporting Person disclaims membership in a "group" with respect to the securities reported in this filing and this filing shall not be deemed to be an admission that such Reporting Person is, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, or otherwise, a member of a "group" or a single "person" with respect to such securities.
F3: GSG owns beneficially and directly, and GS, a direct and indirectly wholly-owned subsidiary of GSG, may be deemed to own beneficially and indirectly, 799,200 shares of Common Stock.
F4: AG owns beneficially and directly, and AGP, the general partner of AG and a wholly-owned subsidiary of GSG, may be deemed to own beneficially and indirectly, 60,155 shares of Common Stock. GS and GSG may be deemed to own beneficially and indirectly, 60,155 shares of Common Stock through AG and AGP.
HEXCEL CORP /DE/
Report date March 15, 2006 · Filed March 18, 2006
Jointly reported with GOLDMAN SACHS GROUP INC, GS CAPITAL PARTNERS 2000 LP, GS CAPITAL PARTNERS 2000 EMPLOYEE FUND LP, GS CAPITAL PARTNERS 2000 GMBH & CO BETEILIGUNGS KG, GS CAPITAL PARTNERS 2000 OFFSHORE LP, GOLDMAN SACHS & CO OHG, GOLDMAN, SACHS MANAGEMENT GP GMBH, GS EMPLOYEE FUNDS 2000 GP LLC, STONE STREET FUND 2000 LP
Section 16 reporting ended · disclosed 2006-03-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,289,458 |
Reported balance
After 2006-03-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2006-03-15 · Sale · Disposed 12,825,521 · Balance 1,289,458 F3: Pursuant to an Underwriting Agreement, dated March 9, 2006, and in connection with the registered public offering of shares of Hexcel Corporation (the "Company") common stock, par value $0.01 per share (the "Common Stock"), pursuant to the final prospectus filed by the Company on March 10, 2006 pursuant to Rule 424(b) of the Securities Act of 1933, as amended, which was consummated on March 15, 2006, the LXH Entities and the Limited Partnerships sold an aggregate of 12,825,521 shares of Common Stock, (cont'd in next footnote) F4: consisting of 7,304,466 shares of Common Stock sold by GS Capital, 2,653,993 shares of Common Stock sold by GS Offshore, 305,394 shares of Common Stock sold by GS Germany, 2,320,742 shares of Common Stock sold by GS Employee, 240,859 shares of Common Stock sold by Stone Street, 38 shares of Common Stock sold by LXH and 29 shares of Common Stock sold by LXH II. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Advisors 2000, L.L.C. ("GS Advisors"), Goldman, Sachs & Co. oHG ("GS oHG"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Employee Funds 2000 GP, L.L.C. ("GS Employee 2000"), Stone Street 2000, L.L.C. ("Stone 2000"), GS Capital Partners 2000, L.P. ("GS Capital"), GS Capital Partners 2000 Offshore, L.P. ("GS Offshore"), GS Capital Partners 2000 GmbH & Co. Beteiligungs KG ("GS Germany"), GS Capital Partners 2000 Employee Fund, L.P. ("GS Employee"), Stone Street Fund 2000, L.P. ("Stone Street" and, together with GS Capital, GS Offshore, GS Germany and GS Employee, the "Limited Partnerships"), LXH Holdings Corp. ("LXH Corp."), LXH Holdings, L.P. ("LXH L.P."), LXH, L.L.C. ("LXH"), (continued in next footnote) F2: and LXH II, L.L.C. ("LXH II" and, together with LXH, the "LXH Entities"), (GS Group, Goldman Sachs, GS Advisors, GS oHG, GS GmbH, GS Employee 2000, Stone 2000, the Limited Partnerships, LXH Corp., LXH L.P., and the LXH Entities, collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F5: Goldman Sachs may be deemed to beneficially own directly and GS Group may be deemed to beneficially own indirectly 720 shares of Common Stock. GS Group and Goldman Sachs may be deemed to beneficially own indirectly 7 shares of Common Stock by reason of the beneficial ownership of such shares by the LXH Entities. LXH may be deemed to beneficially own directly 4 shares of Common Stock. LXH II may be deemed to beneficially own directly 3 shares of Common Stock. (continued in next footnote) F6: In addition, GS Group may be deemed to beneficially own 6,186 shares of Common Stock which were granted pursuant to the Hexcel Corporation 2003 Incentive Stock Plan, consisting of 3,093 shares of phantom stock granted to each of Sanjeev K. Mehra, a managing director of Goldman Sachs, and Peter M. Sacerdote, an advisory director of Goldman Sachs, in their capacity as directors of the Company. Mr. Mehra and Mr. Sacerdote resigned from their positions as directors of the Company effective March 15, 2006 in accordance with the terms of the Amended and Restated Governance Agreement, dated as of March 19, 2003, among LXH, LXH II, GS Capital, GS Offshore, GS Employee, GS Germany, Stone Street and the Company. F7: Affiliates of GS Group and Goldman Sachs are the members or managing members of the LXH Entities. Affiliates of GS Group and Goldman Sachs are the general partners or managing partners of the Limited Partnerships. Goldman Sachs is the investment manager of the Limited Partnerships. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the shares of Common Stock owned beneficially and directly by the LXH Entities and owned beneficially and indirectly by the Limited Partnerships, except to the extent of their pecuniary interest therein. F8: Each of (i) GS Capital, the managing member of LXH, the managing general partner of LXH L.P. and the sole stockholder of LXH Corp., and (ii) GS Advisors, the general partner of GS Capital, may be deemed to beneficially own indirectly an aggregate of 4 shares of Common Stock by reason of LXH's beneficial ownership of such shares. Each of GS Capital and GS Advisors disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein. F9: LXH II may be deemed to beneficially own directly 3 shares of Common Stock. Each of (i) GS Offshore, the managing member of LXH II, and (ii) GS Advisors, the general partner of GS Offshore, may be deemed to beneficially own indirectly 2 shares of Common Stock by reason of LXH II's beneficial ownership of such shares. Each of GS Offshore and GS Advisors disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein. F10: Each of (i) GS Employee, a member of LXH II and (ii) GS Employee 2000, the general partner of GS Employee, may be deemed to beneficially own indirectly 1 share of Common Stock by reason of LXH II's beneficial ownership of such shares. Each of GS Employee and GS Employee 2000 disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein. F11: GS Group and Goldman Sachs may be deemed to beneficially own indirectly 1,282,545 shares of Common Stock by reason of the beneficial ownership of such shares by the Limited Partnerships. GS Capital may be deemed to beneficially own directly 730,447 shares of Common Stock. GS Offshore may be deemed to beneficially own directly 265,399 shares of Common Stock. GS Germany may be deemed to beneficially own directly 30,539 shares of Common Stock. GS Employee may be deemed to beneficially own directly 232,074 shares of Common Stock. Stone Street may be deemed to beneficially own directly 24,086 shares of Common Stock. (continued in next footnote) F12: Affiliates of GS Group and Goldman Sachs are the general partners or managing partners of the Limited Partnerships. Goldman Sachs is the investment manager of the Limited Partnerships. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the shares of Common Stock owned beneficially and directly by the Limited Partnerships, except to the extent of their pecuniary interest therein. F13: GS Advisors may be deemed to beneficially own indirectly (i) an aggregate of 730,447 shares of Common Stock by reason of GS Capital's beneficial ownership of such shares and (ii) an aggregate of 265,399 shares of Common Stock by reason of GS Offshore's beneficial ownership of such shares. GS Advisors disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein. Each of GS GmbH and GS oHG may be deemed to beneficially own indirectly an aggregate of 30,539 shares of Common Stock by reason of GS Germany's beneficial ownership of such shares. Each of GS GmbH and GS oHG disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein. F14: GS Employee 2000 may be deemed to beneficially own indirectly an aggregate of 232,074 shares of Common Stock by reason of GS Employee's beneficial ownership of such shares. GS Employee 2000 disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein. Stone 2000 may be deemed to beneficially own indirectly an aggregate of 24,086 shares of Common Stock by reason of Stone Street's beneficial ownership of such shares. Stone 2000 disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein. F15: As a result of the March 2006 Offering, each of LXH Corp. and LXH L.P. no longer beneficially owns, either directly or indirectly, any shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,286,394 |
Reported balance
After 2006-03-15 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2006-03-15 · Disposition to issuer · Disposed 3,064 · Balance 1,286,394 F16: Mr. Mehra and Mr. Sacerdote resigned from their positions as directors of the Company effective March 15, 2006 in accordance with the terms of the Amended and Restated Governance Agreement, dated as of March 19, 2003, among LXH, LXH II, GS Capital, GS Offshore, GS Employee, GS Germany, Stone Street and the Company. Upon such resignations, 3,064 shares of Common Stock which were granted pursuant to the Hexcel Corporation 2003 Incentive Stock Plan but had not yet vested, consisting of 1,532 shares of phantom stock granted to each of Mr. Mehra and Mr. Sacerdote in their capacity as directors of the Company, were forfeited and cancelled. (continued in next footnote) F17: Accordingly, GS Group may be deemed to beneficially own 3,122 shares of Common Stock which were granted pursuant to the Hexcel Corporation 2003 Incentive Stock Plan, consisting of 1,561 shares of phantom stock granted to each of Mr. Mehra and Mr. Sacerdote in their capacity as directors of the Company. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Advisors 2000, L.L.C. ("GS Advisors"), Goldman, Sachs & Co. oHG ("GS oHG"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Employee Funds 2000 GP, L.L.C. ("GS Employee 2000"), Stone Street 2000, L.L.C. ("Stone 2000"), GS Capital Partners 2000, L.P. ("GS Capital"), GS Capital Partners 2000 Offshore, L.P. ("GS Offshore"), GS Capital Partners 2000 GmbH & Co. Beteiligungs KG ("GS Germany"), GS Capital Partners 2000 Employee Fund, L.P. ("GS Employee"), Stone Street Fund 2000, L.P. ("Stone Street" and, together with GS Capital, GS Offshore, GS Germany and GS Employee, the "Limited Partnerships"), LXH Holdings Corp. ("LXH Corp."), LXH Holdings, L.P. ("LXH L.P."), LXH, L.L.C. ("LXH"), (continued in next footnote) F2: and LXH II, L.L.C. ("LXH II" and, together with LXH, the "LXH Entities"), (GS Group, Goldman Sachs, GS Advisors, GS oHG, GS GmbH, GS Employee 2000, Stone 2000, the Limited Partnerships, LXH Corp., LXH L.P., and the LXH Entities, collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F5: Goldman Sachs may be deemed to beneficially own directly and GS Group may be deemed to beneficially own indirectly 720 shares of Common Stock. GS Group and Goldman Sachs may be deemed to beneficially own indirectly 7 shares of Common Stock by reason of the beneficial ownership of such shares by the LXH Entities. LXH may be deemed to beneficially own directly 4 shares of Common Stock. LXH II may be deemed to beneficially own directly 3 shares of Common Stock. (continued in next footnote) F7: Affiliates of GS Group and Goldman Sachs are the members or managing members of the LXH Entities. Affiliates of GS Group and Goldman Sachs are the general partners or managing partners of the Limited Partnerships. Goldman Sachs is the investment manager of the Limited Partnerships. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the shares of Common Stock owned beneficially and directly by the LXH Entities and owned beneficially and indirectly by the Limited Partnerships, except to the extent of their pecuniary interest therein. F8: Each of (i) GS Capital, the managing member of LXH, the managing general partner of LXH L.P. and the sole stockholder of LXH Corp., and (ii) GS Advisors, the general partner of GS Capital, may be deemed to beneficially own indirectly an aggregate of 4 shares of Common Stock by reason of LXH's beneficial ownership of such shares. Each of GS Capital and GS Advisors disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein. F9: LXH II may be deemed to beneficially own directly 3 shares of Common Stock. Each of (i) GS Offshore, the managing member of LXH II, and (ii) GS Advisors, the general partner of GS Offshore, may be deemed to beneficially own indirectly 2 shares of Common Stock by reason of LXH II's beneficial ownership of such shares. Each of GS Offshore and GS Advisors disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein. F10: Each of (i) GS Employee, a member of LXH II and (ii) GS Employee 2000, the general partner of GS Employee, may be deemed to beneficially own indirectly 1 share of Common Stock by reason of LXH II's beneficial ownership of such shares. Each of GS Employee and GS Employee 2000 disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein. F11: GS Group and Goldman Sachs may be deemed to beneficially own indirectly 1,282,545 shares of Common Stock by reason of the beneficial ownership of such shares by the Limited Partnerships. GS Capital may be deemed to beneficially own directly 730,447 shares of Common Stock. GS Offshore may be deemed to beneficially own directly 265,399 shares of Common Stock. GS Germany may be deemed to beneficially own directly 30,539 shares of Common Stock. GS Employee may be deemed to beneficially own directly 232,074 shares of Common Stock. Stone Street may be deemed to beneficially own directly 24,086 shares of Common Stock. (continued in next footnote) F12: Affiliates of GS Group and Goldman Sachs are the general partners or managing partners of the Limited Partnerships. Goldman Sachs is the investment manager of the Limited Partnerships. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the shares of Common Stock owned beneficially and directly by the Limited Partnerships, except to the extent of their pecuniary interest therein. F13: GS Advisors may be deemed to beneficially own indirectly (i) an aggregate of 730,447 shares of Common Stock by reason of GS Capital's beneficial ownership of such shares and (ii) an aggregate of 265,399 shares of Common Stock by reason of GS Offshore's beneficial ownership of such shares. GS Advisors disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein. Each of GS GmbH and GS oHG may be deemed to beneficially own indirectly an aggregate of 30,539 shares of Common Stock by reason of GS Germany's beneficial ownership of such shares. Each of GS GmbH and GS oHG disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein. F14: GS Employee 2000 may be deemed to beneficially own indirectly an aggregate of 232,074 shares of Common Stock by reason of GS Employee's beneficial ownership of such shares. GS Employee 2000 disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein. Stone 2000 may be deemed to beneficially own indirectly an aggregate of 24,086 shares of Common Stock by reason of Stone Street's beneficial ownership of such shares. Stone 2000 disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein. F15: As a result of the March 2006 Offering, each of LXH Corp. and LXH L.P. no longer beneficially owns, either directly or indirectly, any shares of Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Advisors 2000, L.L.C. ("GS Advisors"), Goldman, Sachs & Co. oHG ("GS oHG"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Employee Funds 2000 GP, L.L.C. ("GS Employee 2000"), Stone Street 2000, L.L.C. ("Stone 2000"), GS Capital Partners 2000, L.P. ("GS Capital"), GS Capital Partners 2000 Offshore, L.P. ("GS Offshore"), GS Capital Partners 2000 GmbH & Co. Beteiligungs KG ("GS Germany"), GS Capital Partners 2000 Employee Fund, L.P. ("GS Employee"), Stone Street Fund 2000, L.P. ("Stone Street" and, together with GS Capital, GS Offshore, GS Germany and GS Employee, the "Limited Partnerships"), LXH Holdings Corp. ("LXH Corp."), LXH Holdings, L.P. ("LXH L.P."), LXH, L.L.C. ("LXH"), (continued in next footnote)
F2: and LXH II, L.L.C. ("LXH II" and, together with LXH, the "LXH Entities"), (GS Group, Goldman Sachs, GS Advisors, GS oHG, GS GmbH, GS Employee 2000, Stone 2000, the Limited Partnerships, LXH Corp., LXH L.P., and the LXH Entities, collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
F3: Pursuant to an Underwriting Agreement, dated March 9, 2006, and in connection with the registered public offering of shares of Hexcel Corporation (the "Company") common stock, par value $0.01 per share (the "Common Stock"), pursuant to the final prospectus filed by the Company on March 10, 2006 pursuant to Rule 424(b) of the Securities Act of 1933, as amended, which was consummated on March 15, 2006, the LXH Entities and the Limited Partnerships sold an aggregate of 12,825,521 shares of Common Stock, (cont'd in next footnote)
F4: consisting of 7,304,466 shares of Common Stock sold by GS Capital, 2,653,993 shares of Common Stock sold by GS Offshore, 305,394 shares of Common Stock sold by GS Germany, 2,320,742 shares of Common Stock sold by GS Employee, 240,859 shares of Common Stock sold by Stone Street, 38 shares of Common Stock sold by LXH and 29 shares of Common Stock sold by LXH II.
F5: Goldman Sachs may be deemed to beneficially own directly and GS Group may be deemed to beneficially own indirectly 720 shares of Common Stock. GS Group and Goldman Sachs may be deemed to beneficially own indirectly 7 shares of Common Stock by reason of the beneficial ownership of such shares by the LXH Entities. LXH may be deemed to beneficially own directly 4 shares of Common Stock. LXH II may be deemed to beneficially own directly 3 shares of Common Stock. (continued in next footnote)
F6: In addition, GS Group may be deemed to beneficially own 6,186 shares of Common Stock which were granted pursuant to the Hexcel Corporation 2003 Incentive Stock Plan, consisting of 3,093 shares of phantom stock granted to each of Sanjeev K. Mehra, a managing director of Goldman Sachs, and Peter M. Sacerdote, an advisory director of Goldman Sachs, in their capacity as directors of the Company. Mr. Mehra and Mr. Sacerdote resigned from their positions as directors of the Company effective March 15, 2006 in accordance with the terms of the Amended and Restated Governance Agreement, dated as of March 19, 2003, among LXH, LXH II, GS Capital, GS Offshore, GS Employee, GS Germany, Stone Street and the Company.
F7: Affiliates of GS Group and Goldman Sachs are the members or managing members of the LXH Entities. Affiliates of GS Group and Goldman Sachs are the general partners or managing partners of the Limited Partnerships. Goldman Sachs is the investment manager of the Limited Partnerships. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the shares of Common Stock owned beneficially and directly by the LXH Entities and owned beneficially and indirectly by the Limited Partnerships, except to the extent of their pecuniary interest therein.
F8: Each of (i) GS Capital, the managing member of LXH, the managing general partner of LXH L.P. and the sole stockholder of LXH Corp., and (ii) GS Advisors, the general partner of GS Capital, may be deemed to beneficially own indirectly an aggregate of 4 shares of Common Stock by reason of LXH's beneficial ownership of such shares. Each of GS Capital and GS Advisors disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein.
F9: LXH II may be deemed to beneficially own directly 3 shares of Common Stock. Each of (i) GS Offshore, the managing member of LXH II, and (ii) GS Advisors, the general partner of GS Offshore, may be deemed to beneficially own indirectly 2 shares of Common Stock by reason of LXH II's beneficial ownership of such shares. Each of GS Offshore and GS Advisors disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein.
F10: Each of (i) GS Employee, a member of LXH II and (ii) GS Employee 2000, the general partner of GS Employee, may be deemed to beneficially own indirectly 1 share of Common Stock by reason of LXH II's beneficial ownership of such shares. Each of GS Employee and GS Employee 2000 disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein.
F11: GS Group and Goldman Sachs may be deemed to beneficially own indirectly 1,282,545 shares of Common Stock by reason of the beneficial ownership of such shares by the Limited Partnerships. GS Capital may be deemed to beneficially own directly 730,447 shares of Common Stock. GS Offshore may be deemed to beneficially own directly 265,399 shares of Common Stock. GS Germany may be deemed to beneficially own directly 30,539 shares of Common Stock. GS Employee may be deemed to beneficially own directly 232,074 shares of Common Stock. Stone Street may be deemed to beneficially own directly 24,086 shares of Common Stock. (continued in next footnote)
F12: Affiliates of GS Group and Goldman Sachs are the general partners or managing partners of the Limited Partnerships. Goldman Sachs is the investment manager of the Limited Partnerships. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the shares of Common Stock owned beneficially and directly by the Limited Partnerships, except to the extent of their pecuniary interest therein.
F13: GS Advisors may be deemed to beneficially own indirectly (i) an aggregate of 730,447 shares of Common Stock by reason of GS Capital's beneficial ownership of such shares and (ii) an aggregate of 265,399 shares of Common Stock by reason of GS Offshore's beneficial ownership of such shares. GS Advisors disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein. Each of GS GmbH and GS oHG may be deemed to beneficially own indirectly an aggregate of 30,539 shares of Common Stock by reason of GS Germany's beneficial ownership of such shares. Each of GS GmbH and GS oHG disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein.
F14: GS Employee 2000 may be deemed to beneficially own indirectly an aggregate of 232,074 shares of Common Stock by reason of GS Employee's beneficial ownership of such shares. GS Employee 2000 disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein. Stone 2000 may be deemed to beneficially own indirectly an aggregate of 24,086 shares of Common Stock by reason of Stone Street's beneficial ownership of such shares. Stone 2000 disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of its pecuniary interest therein.
F15: As a result of the March 2006 Offering, each of LXH Corp. and LXH L.P. no longer beneficially owns, either directly or indirectly, any shares of Common Stock.
F16: Mr. Mehra and Mr. Sacerdote resigned from their positions as directors of the Company effective March 15, 2006 in accordance with the terms of the Amended and Restated Governance Agreement, dated as of March 19, 2003, among LXH, LXH II, GS Capital, GS Offshore, GS Employee, GS Germany, Stone Street and the Company. Upon such resignations, 3,064 shares of Common Stock which were granted pursuant to the Hexcel Corporation 2003 Incentive Stock Plan but had not yet vested, consisting of 1,532 shares of phantom stock granted to each of Mr. Mehra and Mr. Sacerdote in their capacity as directors of the Company, were forfeited and cancelled. (continued in next footnote)
F17: Accordingly, GS Group may be deemed to beneficially own 3,122 shares of Common Stock which were granted pursuant to the Hexcel Corporation 2003 Incentive Stock Plan, consisting of 1,561 shares of phantom stock granted to each of Mr. Mehra and Mr. Sacerdote in their capacity as directors of the Company.
Habit Restaurants, Inc.
Report date April 20, 2016 · Filed April 22, 2016
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2016-04-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee footnotes | 7,231 |
Reported balance
After 2016-04-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2016-04-20 · Sale · Disposed 1,552,204 · Balance 7,231 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs," and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: The shares of common stock, par value $0.01 per share (the "Common Stock"), of Habit Restaurants, Inc. (the "Company") reported herein as indirectly sold were beneficially owned directly by Goldman Sachs and indirectly by GS Group. F3: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 7,231 shares of Common Stock, and Goldman Sachs holds open short positions of 156,288 shares of Common Stock. F4: As of April 20, 2016, the Reporting Persons are no longer beneficial owners of more than 10% of the Common Stock of the Company. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs," and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F2: The shares of common stock, par value $0.01 per share (the "Common Stock"), of Habit Restaurants, Inc. (the "Company") reported herein as indirectly sold were beneficially owned directly by Goldman Sachs and indirectly by GS Group.
F3: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 7,231 shares of Common Stock, and Goldman Sachs holds open short positions of 156,288 shares of Common Stock.
F4: As of April 20, 2016, the Reporting Persons are no longer beneficial owners of more than 10% of the Common Stock of the Company.
Horsehead Holding Corp
Report date December 07, 2007 · Filed December 12, 2007
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2007-12-12. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,051,971 |
Reported balance
After 2007-12-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2007-12-07 · Sale · Disposed 2,307,692 · Balance 2,051,971 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On December 7, 2007, Goldman Sachs sold (the "Fund Shares") 2,307,692 shares of common stock, $0.01 par value per share ("Common Stock") of Horsehead Holding Corp. (the "Company") to Goldman Sachs Investment Partners Master Fund, L.P. ("GSIP"), a separate business unit within the Goldman organization. The price paid by GSIP to Goldman Sachs was $17.20 per share, which was the closing price of the Common Stock on the Nasdaq National Market on December 6, 2007. The securities reported herein may be deemed to have been beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any to the Company. As of December 7, 2007, Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 2,026,971 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,048,869 |
Reported balance
After 2007-12-07 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2007-12-07 · Sale · Disposed 3,102 · Balance 2,048,869 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On December 7, 2007, Goldman Sachs sold (the "Fund Shares") 2,307,692 shares of common stock, $0.01 par value per share ("Common Stock") of Horsehead Holding Corp. (the "Company") to Goldman Sachs Investment Partners Master Fund, L.P. ("GSIP"), a separate business unit within the Goldman organization. The price paid by GSIP to Goldman Sachs was $17.20 per share, which was the closing price of the Common Stock on the Nasdaq National Market on December 6, 2007. The securities reported herein may be deemed to have been beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any to the Company. As of December 7, 2007, Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 2,026,971 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,047,869 |
Reported balance
After 2007-12-07 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2007-12-07 · Sale · Disposed 1,000 · Balance 2,047,869 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On December 7, 2007, Goldman Sachs sold (the "Fund Shares") 2,307,692 shares of common stock, $0.01 par value per share ("Common Stock") of Horsehead Holding Corp. (the "Company") to Goldman Sachs Investment Partners Master Fund, L.P. ("GSIP"), a separate business unit within the Goldman organization. The price paid by GSIP to Goldman Sachs was $17.20 per share, which was the closing price of the Common Stock on the Nasdaq National Market on December 6, 2007. The securities reported herein may be deemed to have been beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any to the Company. As of December 7, 2007, Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 2,026,971 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,045,469 |
Reported balance
After 2007-12-07 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2007-12-07 · Sale · Disposed 2,400 · Balance 2,045,469 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On December 7, 2007, Goldman Sachs sold (the "Fund Shares") 2,307,692 shares of common stock, $0.01 par value per share ("Common Stock") of Horsehead Holding Corp. (the "Company") to Goldman Sachs Investment Partners Master Fund, L.P. ("GSIP"), a separate business unit within the Goldman organization. The price paid by GSIP to Goldman Sachs was $17.20 per share, which was the closing price of the Common Stock on the Nasdaq National Market on December 6, 2007. The securities reported herein may be deemed to have been beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any to the Company. As of December 7, 2007, Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 2,026,971 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,043,971 |
Reported balance
After 2007-12-07 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2007-12-07 · Sale · Disposed 1,498 · Balance 2,043,971 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On December 7, 2007, Goldman Sachs sold (the "Fund Shares") 2,307,692 shares of common stock, $0.01 par value per share ("Common Stock") of Horsehead Holding Corp. (the "Company") to Goldman Sachs Investment Partners Master Fund, L.P. ("GSIP"), a separate business unit within the Goldman organization. The price paid by GSIP to Goldman Sachs was $17.20 per share, which was the closing price of the Common Stock on the Nasdaq National Market on December 6, 2007. The securities reported herein may be deemed to have been beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any to the Company. As of December 7, 2007, Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 2,026,971 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,043,471 |
Reported balance
After 2007-12-07 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2007-12-07 · Sale · Disposed 500 · Balance 2,043,471 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On December 7, 2007, Goldman Sachs sold (the "Fund Shares") 2,307,692 shares of common stock, $0.01 par value per share ("Common Stock") of Horsehead Holding Corp. (the "Company") to Goldman Sachs Investment Partners Master Fund, L.P. ("GSIP"), a separate business unit within the Goldman organization. The price paid by GSIP to Goldman Sachs was $17.20 per share, which was the closing price of the Common Stock on the Nasdaq National Market on December 6, 2007. The securities reported herein may be deemed to have been beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any to the Company. As of December 7, 2007, Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 2,026,971 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,039,471 |
Reported balance
After 2007-12-07 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2007-12-07 · Sale · Disposed 4,000 · Balance 2,039,471 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On December 7, 2007, Goldman Sachs sold (the "Fund Shares") 2,307,692 shares of common stock, $0.01 par value per share ("Common Stock") of Horsehead Holding Corp. (the "Company") to Goldman Sachs Investment Partners Master Fund, L.P. ("GSIP"), a separate business unit within the Goldman organization. The price paid by GSIP to Goldman Sachs was $17.20 per share, which was the closing price of the Common Stock on the Nasdaq National Market on December 6, 2007. The securities reported herein may be deemed to have been beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any to the Company. As of December 7, 2007, Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 2,026,971 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,036,971 |
Reported balance
After 2007-12-07 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2007-12-07 · Sale · Disposed 2,500 · Balance 2,036,971 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On December 7, 2007, Goldman Sachs sold (the "Fund Shares") 2,307,692 shares of common stock, $0.01 par value per share ("Common Stock") of Horsehead Holding Corp. (the "Company") to Goldman Sachs Investment Partners Master Fund, L.P. ("GSIP"), a separate business unit within the Goldman organization. The price paid by GSIP to Goldman Sachs was $17.20 per share, which was the closing price of the Common Stock on the Nasdaq National Market on December 6, 2007. The securities reported herein may be deemed to have been beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any to the Company. As of December 7, 2007, Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 2,026,971 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,026,971 |
Reported balance
After 2007-12-07 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2007-12-07 · Sale · Disposed 10,000 · Balance 2,026,971 F3: On December 7, 2007, as a result of the sales reported herein, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Stock of the Company. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On December 7, 2007, Goldman Sachs sold (the "Fund Shares") 2,307,692 shares of common stock, $0.01 par value per share ("Common Stock") of Horsehead Holding Corp. (the "Company") to Goldman Sachs Investment Partners Master Fund, L.P. ("GSIP"), a separate business unit within the Goldman organization. The price paid by GSIP to Goldman Sachs was $17.20 per share, which was the closing price of the Common Stock on the Nasdaq National Market on December 6, 2007. The securities reported herein may be deemed to have been beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any to the Company. As of December 7, 2007, Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 2,026,971 shares of Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group.
F2: On December 7, 2007, Goldman Sachs sold (the "Fund Shares") 2,307,692 shares of common stock, $0.01 par value per share ("Common Stock") of Horsehead Holding Corp. (the "Company") to Goldman Sachs Investment Partners Master Fund, L.P. ("GSIP"), a separate business unit within the Goldman organization. The price paid by GSIP to Goldman Sachs was $17.20 per share, which was the closing price of the Common Stock on the Nasdaq National Market on December 6, 2007. The securities reported herein may be deemed to have been beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any to the Company. As of December 7, 2007, Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 2,026,971 shares of Common Stock.
F3: On December 7, 2007, as a result of the sales reported herein, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Stock of the Company.
Hyatt Hotels Corp
Report date August 14, 2017 · Filed August 16, 2017
Jointly reported with GOLDMAN SACHS GROUP INC, GS Capital Partners VI Fund, L.P., GS Capital Partners VI Offshore Fund, L.P., GS Capital Partners VI Parallel LP, GS Capital Partners VI GmbH & Co KG, GSCP VI Advisors, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Advisors VI, L.L.C., GOLDMAN, SACHS MANAGEMENT GP GMBH
Section 16 reporting ended · disclosed 2017-08-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnotes | 8,963,025 |
Reported balance
After 2017-08-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-08-14 · Conversion · Acquired 8,654,050 · Balance 8,963,025 F6: Each share of Class B Common Stock is convertible at any time, at the option of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, except for certain permitted transfers as described in the Company's Amended and Restated Certificate of Incorporation. F5: On August 14, 2017, 8,654,050 shares of Class B Common Stock beneficially owned directly by the Sunray Entities were converted into 8,654,050 shares of Common Stock. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GS Capital Partners VI Fund, L.P. ("GS Capital"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI GmbH & Co. KG ("GS Germany", and together with GS Capital, GS Offshore and GS Parallel, the "Limited Partnerships"), GS Sunray Holdings Subco I, L.L.C. ("GS Sunray I"), GS Sunray Holdings Subco II, L.L.C. ("GS Sunray II"), GS Sunray Holdings Parallel Subco, L.L.C. ("GS Sunray Parallel", and together with GS Sunray I and GS Sunray II, the "Sunray Entities"), GSCP VI Advisors, L.L.C. ("GSCP Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), (continued in next footnote) F2: GS Advisors VI, L.L.C. ("GS Advisors") and Goldman, Sachs Management GP GmbH ("GS GmbH", and together with GSCP Advisors, GSCP Offshore Advisors, GS Advisors, the Limited Partnerships, the Sunray Entities, Goldman Sachs and GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager for certain of the Limited Partnerships. The Sunray Entities are owned directly and indirectly by the Limited Partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner or managing partner. F3: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F4: Pursuant to an underwriting agreement, dated August 8, 2017 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of common stock, par value $0.01 per share (the "Common Stock"), of Hyatt Hotels Corporation (the "Company"), pursuant to the final prospectus supplement dated August 8, 2017, which offering was consummated on August 14, 2017 (the "Registered Public Offering"), the underwriters purchased shares of Common Stock from GS Sunray I, GS Sunray II and GS Sunray Parallel (the "Selling Stockholders"). The Selling Stockholders sold an aggregate of 8,654,050, shares of Common Stock, consisting of 3,771,608 shares of Common Stock sold by GS Sunray I, 3,771,608 shares of Common Stock sold by GS Sunray II and 1,110,834 shares of Common Stock sold by GS Sunray Parallel. F7: GS Group may be deemed to beneficially own 32,610 shares of Class A Common Stock that were granted to Richard A. Friedman, a managing director of Goldman Sachs, in his capacity as a director of the Company pursuant to the Third Amended and Restated Hyatt Hotels Corporation Long-Term Incentive Plan under the Hyatt Hotels Corporation Non-Employee Director Compensation Program (the "Plan"). Mr. Friedman has an understanding with GS Group pursuant to which such shares are held for the benefit of GS Group. GS Group beneficially owns directly 7,096 shares of Class A Common Stock. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 269,269 shares of Class A Common Stock and Goldman Sachs also had open short positions of 20,329 shares of Class A Common Stock, reflecting changes due to exempt transactions. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnotes | 308,975 |
Reported balance
After 2017-08-14 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2017-08-14 · Sale · Disposed 8,654,050 · Balance 308,975 F4: Pursuant to an underwriting agreement, dated August 8, 2017 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of common stock, par value $0.01 per share (the "Common Stock"), of Hyatt Hotels Corporation (the "Company"), pursuant to the final prospectus supplement dated August 8, 2017, which offering was consummated on August 14, 2017 (the "Registered Public Offering"), the underwriters purchased shares of Common Stock from GS Sunray I, GS Sunray II and GS Sunray Parallel (the "Selling Stockholders"). The Selling Stockholders sold an aggregate of 8,654,050, shares of Common Stock, consisting of 3,771,608 shares of Common Stock sold by GS Sunray I, 3,771,608 shares of Common Stock sold by GS Sunray II and 1,110,834 shares of Common Stock sold by GS Sunray Parallel. F7: GS Group may be deemed to beneficially own 32,610 shares of Class A Common Stock that were granted to Richard A. Friedman, a managing director of Goldman Sachs, in his capacity as a director of the Company pursuant to the Third Amended and Restated Hyatt Hotels Corporation Long-Term Incentive Plan under the Hyatt Hotels Corporation Non-Employee Director Compensation Program (the "Plan"). Mr. Friedman has an understanding with GS Group pursuant to which such shares are held for the benefit of GS Group. GS Group beneficially owns directly 7,096 shares of Class A Common Stock. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 269,269 shares of Class A Common Stock and Goldman Sachs also had open short positions of 20,329 shares of Class A Common Stock, reflecting changes due to exempt transactions. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GS Capital Partners VI Fund, L.P. ("GS Capital"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI GmbH & Co. KG ("GS Germany", and together with GS Capital, GS Offshore and GS Parallel, the "Limited Partnerships"), GS Sunray Holdings Subco I, L.L.C. ("GS Sunray I"), GS Sunray Holdings Subco II, L.L.C. ("GS Sunray II"), GS Sunray Holdings Parallel Subco, L.L.C. ("GS Sunray Parallel", and together with GS Sunray I and GS Sunray II, the "Sunray Entities"), GSCP VI Advisors, L.L.C. ("GSCP Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), (continued in next footnote) F2: GS Advisors VI, L.L.C. ("GS Advisors") and Goldman, Sachs Management GP GmbH ("GS GmbH", and together with GSCP Advisors, GSCP Offshore Advisors, GS Advisors, the Limited Partnerships, the Sunray Entities, Goldman Sachs and GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager for certain of the Limited Partnerships. The Sunray Entities are owned directly and indirectly by the Limited Partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner or managing partner. F3: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F5: On August 14, 2017, 8,654,050 shares of Class B Common Stock beneficially owned directly by the Sunray Entities were converted into 8,654,050 shares of Common Stock. F6: Each share of Class B Common Stock is convertible at any time, at the option of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, except for certain permitted transfers as described in the Company's Amended and Restated Certificate of Incorporation. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 0 |
Reported balance
After 2017-08-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-08-14 · Conversion · Disposed 8,654,050 · Balance 0 F6: Each share of Class B Common Stock is convertible at any time, at the option of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, except for certain permitted transfers as described in the Company's Amended and Restated Certificate of Incorporation. F5: On August 14, 2017, 8,654,050 shares of Class B Common Stock beneficially owned directly by the Sunray Entities were converted into 8,654,050 shares of Common Stock. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GS Capital Partners VI Fund, L.P. ("GS Capital"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI GmbH & Co. KG ("GS Germany", and together with GS Capital, GS Offshore and GS Parallel, the "Limited Partnerships"), GS Sunray Holdings Subco I, L.L.C. ("GS Sunray I"), GS Sunray Holdings Subco II, L.L.C. ("GS Sunray II"), GS Sunray Holdings Parallel Subco, L.L.C. ("GS Sunray Parallel", and together with GS Sunray I and GS Sunray II, the "Sunray Entities"), GSCP VI Advisors, L.L.C. ("GSCP Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), (continued in next footnote) F2: GS Advisors VI, L.L.C. ("GS Advisors") and Goldman, Sachs Management GP GmbH ("GS GmbH", and together with GSCP Advisors, GSCP Offshore Advisors, GS Advisors, the Limited Partnerships, the Sunray Entities, Goldman Sachs and GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager for certain of the Limited Partnerships. The Sunray Entities are owned directly and indirectly by the Limited Partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner or managing partner. F3: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F4: Pursuant to an underwriting agreement, dated August 8, 2017 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of common stock, par value $0.01 per share (the "Common Stock"), of Hyatt Hotels Corporation (the "Company"), pursuant to the final prospectus supplement dated August 8, 2017, which offering was consummated on August 14, 2017 (the "Registered Public Offering"), the underwriters purchased shares of Common Stock from GS Sunray I, GS Sunray II and GS Sunray Parallel (the "Selling Stockholders"). The Selling Stockholders sold an aggregate of 8,654,050, shares of Common Stock, consisting of 3,771,608 shares of Common Stock sold by GS Sunray I, 3,771,608 shares of Common Stock sold by GS Sunray II and 1,110,834 shares of Common Stock sold by GS Sunray Parallel. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GS Capital Partners VI Fund, L.P. ("GS Capital"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI GmbH & Co. KG ("GS Germany", and together with GS Capital, GS Offshore and GS Parallel, the "Limited Partnerships"), GS Sunray Holdings Subco I, L.L.C. ("GS Sunray I"), GS Sunray Holdings Subco II, L.L.C. ("GS Sunray II"), GS Sunray Holdings Parallel Subco, L.L.C. ("GS Sunray Parallel", and together with GS Sunray I and GS Sunray II, the "Sunray Entities"), GSCP VI Advisors, L.L.C. ("GSCP Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), (continued in next footnote)
F2: GS Advisors VI, L.L.C. ("GS Advisors") and Goldman, Sachs Management GP GmbH ("GS GmbH", and together with GSCP Advisors, GSCP Offshore Advisors, GS Advisors, the Limited Partnerships, the Sunray Entities, Goldman Sachs and GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager for certain of the Limited Partnerships. The Sunray Entities are owned directly and indirectly by the Limited Partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner or managing partner.
F3: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
F4: Pursuant to an underwriting agreement, dated August 8, 2017 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of common stock, par value $0.01 per share (the "Common Stock"), of Hyatt Hotels Corporation (the "Company"), pursuant to the final prospectus supplement dated August 8, 2017, which offering was consummated on August 14, 2017 (the "Registered Public Offering"), the underwriters purchased shares of Common Stock from GS Sunray I, GS Sunray II and GS Sunray Parallel (the "Selling Stockholders"). The Selling Stockholders sold an aggregate of 8,654,050, shares of Common Stock, consisting of 3,771,608 shares of Common Stock sold by GS Sunray I, 3,771,608 shares of Common Stock sold by GS Sunray II and 1,110,834 shares of Common Stock sold by GS Sunray Parallel.
F5: On August 14, 2017, 8,654,050 shares of Class B Common Stock beneficially owned directly by the Sunray Entities were converted into 8,654,050 shares of Common Stock.
F6: Each share of Class B Common Stock is convertible at any time, at the option of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, except for certain permitted transfers as described in the Company's Amended and Restated Certificate of Incorporation.
F7: GS Group may be deemed to beneficially own 32,610 shares of Class A Common Stock that were granted to Richard A. Friedman, a managing director of Goldman Sachs, in his capacity as a director of the Company pursuant to the Third Amended and Restated Hyatt Hotels Corporation Long-Term Incentive Plan under the Hyatt Hotels Corporation Non-Employee Director Compensation Program (the "Plan"). Mr. Friedman has an understanding with GS Group pursuant to which such shares are held for the benefit of GS Group. GS Group beneficially owns directly 7,096 shares of Class A Common Stock. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 269,269 shares of Class A Common Stock and Goldman Sachs also had open short positions of 20,329 shares of Class A Common Stock, reflecting changes due to exempt transactions.
INPHONIC INC
Report date December 07, 2007 · Filed December 12, 2007
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2007-12-12. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2007-12-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2007-12-07 · Sale · Disposed 5,000,000 · Balance 0 F3: On December 7, 2007, as a result of the Fund Transfer, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Stock of the Company. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On December 7, 2007, Goldman Sachs sold (the "Fund Shares") 5,000,000 shares of common stock, $0.01 par value per share ("Common Stock") of Inphonic, Inc. (the "Company"), and warrants to purchase an aggregate of 1,176,389 shares of Common Stock to Goldman Sachs Investment Partners Master Fund, L.P. ("GSIP"), a separate business unit within the Goldman organization. The price paid by GSIP to Goldman Sachs was $0.02 per share, which was the closing price of the Common Stock on the over-the-counter market on December 6, 2007. The price paid by GSIP to Goldman Sachs for warrants to purchase 488,889 shares of Common Stock was $0.0233. The price paid by GSIP to Goldman Sachs for warrants to purchase 687,500 shares of Common Stock was $0.02316. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any to the Company. |
| Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2012-08-12 | IndirectSee footnotes | 0 |
Reported balance
After 2007-12-07 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2007-12-07 · Sale · Disposed 488,889 · Balance 0 F4: Immediately exercisable F3: On December 7, 2007, as a result of the Fund Transfer, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Stock of the Company. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On December 7, 2007, Goldman Sachs sold (the "Fund Shares") 5,000,000 shares of common stock, $0.01 par value per share ("Common Stock") of Inphonic, Inc. (the "Company"), and warrants to purchase an aggregate of 1,176,389 shares of Common Stock to Goldman Sachs Investment Partners Master Fund, L.P. ("GSIP"), a separate business unit within the Goldman organization. The price paid by GSIP to Goldman Sachs was $0.02 per share, which was the closing price of the Common Stock on the over-the-counter market on December 6, 2007. The price paid by GSIP to Goldman Sachs for warrants to purchase 488,889 shares of Common Stock was $0.0233. The price paid by GSIP to Goldman Sachs for warrants to purchase 687,500 shares of Common Stock was $0.02316. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any to the Company. |
| Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2011-11-07 | IndirectSee footnotes | 0 |
Reported balance
After 2007-12-07 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2007-12-07 · Sale · Disposed 687,500 · Balance 0 F4: Immediately exercisable F3: On December 7, 2007, as a result of the Fund Transfer, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Stock of the Company. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On December 7, 2007, Goldman Sachs sold (the "Fund Shares") 5,000,000 shares of common stock, $0.01 par value per share ("Common Stock") of Inphonic, Inc. (the "Company"), and warrants to purchase an aggregate of 1,176,389 shares of Common Stock to Goldman Sachs Investment Partners Master Fund, L.P. ("GSIP"), a separate business unit within the Goldman organization. The price paid by GSIP to Goldman Sachs was $0.02 per share, which was the closing price of the Common Stock on the over-the-counter market on December 6, 2007. The price paid by GSIP to Goldman Sachs for warrants to purchase 488,889 shares of Common Stock was $0.0233. The price paid by GSIP to Goldman Sachs for warrants to purchase 687,500 shares of Common Stock was $0.02316. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any to the Company. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group.
F2: On December 7, 2007, Goldman Sachs sold (the "Fund Shares") 5,000,000 shares of common stock, $0.01 par value per share ("Common Stock") of Inphonic, Inc. (the "Company"), and warrants to purchase an aggregate of 1,176,389 shares of Common Stock to Goldman Sachs Investment Partners Master Fund, L.P. ("GSIP"), a separate business unit within the Goldman organization. The price paid by GSIP to Goldman Sachs was $0.02 per share, which was the closing price of the Common Stock on the over-the-counter market on December 6, 2007. The price paid by GSIP to Goldman Sachs for warrants to purchase 488,889 shares of Common Stock was $0.0233. The price paid by GSIP to Goldman Sachs for warrants to purchase 687,500 shares of Common Stock was $0.02316. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any to the Company.
F3: On December 7, 2007, as a result of the Fund Transfer, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Stock of the Company.
F4: Immediately exercisable
James River Group Holdings, Inc.
Report date December 17, 2014 · Filed December 20, 2014
Jointly reported with GOLDMAN SACHS GROUP INC, JRVR Investors Offshore LP, GS JRVR Offshore Advisors, Inc., GS INVESTMENT STRATEGIES, LLC, GSAM GEN-PAR, L.L.C.
Section 16 reporting ended · disclosed 2014-12-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectSee footnotes | 2,750,000 |
Reported balance
After 2014-12-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2014-12-17 · Sale · Disposed 4,750,000 · Balance 2,750,000 F2: Pursuant to an underwriting agreement, dated December 11, 2014 (the "Underwriting Agreement"), and in connection with the initial public offering ("IPO") of common shares, par value $0.0002 per share, of James River Group Holdings, Ltd. (the "Common Shares"), pursuant to the final prospectus dated December 11, 2014, which offering was consummated on December 17, 2014, GS Group and JRVR LP sold an aggregate of 4,750,000 Common Shares. GS Group sold 3,470,921 Common Shares and JRVR LP sold 1,279,079 Common Shares. F3: As a result of the IPO, GS Group beneficially owns directly 2,009,481 Common Shares and GS Group may be deemed to beneficially own indirectly 740,519 Common Shares beneficially owned directly by JRVR LP because affiliates of GS Group are the general partner, the sole director of the general partner or the investment manager of JRVR LP. JRVR LP beneficially owns directly 740,519 Common Shares, which may be deemed to be beneficially owned indirectly by GS JRVR Inc., JRVR LP's general partner, GSAM Gen-Par, the sole director of GS JRVR Inc., and GSIS, the investment manager of JRVR LP. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), JRVR Investors Offshore LP ("JRVR LP"), GS JRVR Offshore Advisors, Inc. ("GS JRVR Inc."), GS Investment Strategies, LLC ("GSIS") and GSAM Gen-Par, L.L.C. ("GSAM Gen-Par" and, together with GS Group, Goldman Sachs, JRVR LP, GS JRVR Inc. and GSIS, the "Reporting Persons"). F5: The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest, if any. F6: As a result of the IPO, as of December 17, 2014, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Shares and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended. |
| Common SharesSEC Table I · non-derivative | IndirectSee footnotes | 2,797,619 |
Reported balance
After 2014-12-17 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2014-12-17 · Purchase · Acquired 47,619 · Balance 2,797,619 F5: The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest, if any. F4: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 47,619 Common Shares. Goldman Sachs is a wholly owned subsidiary of GS Group. Without admitting any legal obligation, Goldman Sachs or another wholly-owned subsidiary of GS Group will remit appropriate profits, if any, to James River Group Holdings, Ltd. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), JRVR Investors Offshore LP ("JRVR LP"), GS JRVR Offshore Advisors, Inc. ("GS JRVR Inc."), GS Investment Strategies, LLC ("GSIS") and GSAM Gen-Par, L.L.C. ("GSAM Gen-Par" and, together with GS Group, Goldman Sachs, JRVR LP, GS JRVR Inc. and GSIS, the "Reporting Persons"). F6: As a result of the IPO, as of December 17, 2014, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Shares and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), JRVR Investors Offshore LP ("JRVR LP"), GS JRVR Offshore Advisors, Inc. ("GS JRVR Inc."), GS Investment Strategies, LLC ("GSIS") and GSAM Gen-Par, L.L.C. ("GSAM Gen-Par" and, together with GS Group, Goldman Sachs, JRVR LP, GS JRVR Inc. and GSIS, the "Reporting Persons").
F2: Pursuant to an underwriting agreement, dated December 11, 2014 (the "Underwriting Agreement"), and in connection with the initial public offering ("IPO") of common shares, par value $0.0002 per share, of James River Group Holdings, Ltd. (the "Common Shares"), pursuant to the final prospectus dated December 11, 2014, which offering was consummated on December 17, 2014, GS Group and JRVR LP sold an aggregate of 4,750,000 Common Shares. GS Group sold 3,470,921 Common Shares and JRVR LP sold 1,279,079 Common Shares.
F3: As a result of the IPO, GS Group beneficially owns directly 2,009,481 Common Shares and GS Group may be deemed to beneficially own indirectly 740,519 Common Shares beneficially owned directly by JRVR LP because affiliates of GS Group are the general partner, the sole director of the general partner or the investment manager of JRVR LP. JRVR LP beneficially owns directly 740,519 Common Shares, which may be deemed to be beneficially owned indirectly by GS JRVR Inc., JRVR LP's general partner, GSAM Gen-Par, the sole director of GS JRVR Inc., and GSIS, the investment manager of JRVR LP.
F4: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 47,619 Common Shares. Goldman Sachs is a wholly owned subsidiary of GS Group. Without admitting any legal obligation, Goldman Sachs or another wholly-owned subsidiary of GS Group will remit appropriate profits, if any, to James River Group Holdings, Ltd.
F5: The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest, if any.
F6: As a result of the IPO, as of December 17, 2014, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Shares and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended.
KINDER MORGAN, INC.
Report date October 17, 2012 · Filed October 20, 2012
Jointly reported with GOLDMAN SACHS GROUP INC, GS CAPITAL PARTNERS V OFFSHORE FUND, L.P., GSCP V Offshore Knight Holdings, L.P., GSCP V Germany Knight Holdings, L.P., GS Capital Partners VI Offshore Fund, L.P., GSCP VI Offshore Knight Holdings, L.P., GSCP VI Germany Knight Holdings, L.P., GS INTERNATIONAL INFRASTRUCTURE PARTNERS I L P, GS Infrastructure Knight Holdings, L.P.
Section 16 reporting ended · disclosed 2012-10-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class P Common StockSEC Table I · non-derivative | IndirectSee footnotes | 238,416 |
Reported balance
After 2012-10-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2012-10-17 · Sale · Disposed 39,462,543 · Balance 238,416 F2: See Exhibit 99.1 for text of footnote (2). F3: See Exhibit 99.1 for text of footnote (3). F1: See Exhibit 99.1 for text of footnote (1). F4: See Exhibit 99.1 for text of footnote (4). F5: See Exhibit 99.1 for text of footnote (5). |
Filing footnotes · ownership attribution and instrument terms
F1: See Exhibit 99.1 for text of footnote (1).
F2: See Exhibit 99.1 for text of footnote (2).
F3: See Exhibit 99.1 for text of footnote (3).
F4: See Exhibit 99.1 for text of footnote (4).
F5: See Exhibit 99.1 for text of footnote (5).
Kingswood Acquisition Corp.
Report date August 31, 2022 · Filed September 02, 2022
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2022-09-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 96,416 |
Reported balance
After 2022-08-31 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-08-31 · Sale · Disposed 53,000 · Balance 96,416 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: The Common Stock of the Issuer reported herein is beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F2: The Common Stock of the Issuer reported herein is beneficially owned directly by Goldman Sachs and indirectly by GS Group.
KnowBe4, Inc.
Report date May 16, 2022 · Filed May 19, 2022
Jointly reported with GOLDMAN SACHS GROUP INC, Broad Street Principal Investments, L.L.C., Bridge Street Opportunity Advisors, L.L.C., StoneBridge 2017, L.P., StoneBridge 2017 Offshore, L.P.
Section 16 reporting ended · disclosed 2022-05-19. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 284 |
Last balance in matching sequence
After 2022-05-16 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2022-05-16 · Conversion · Acquired 2,410,000 · Balance 2,410,284 F1: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer. The Class B Common Stock has no expiration date. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("SB Fund"), StoneBridge 2017 Offshore, L.P. ("SB Fund Offshore," and, together with SB Fund, the "SB Funds") and Bridge Street Opportunity Advisors, L.L.C ("Bridge Street"). Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of the SB Funds. Each of Bridge Street and BSPI is wholly owned by GS Group. Effective May 16, 2022, Joseph P. DiSabato, a Managing Director of Goldman Sachs, ceased to be a director of KnowBe4, Inc., and the Reporting Persons accordingly ceased to be directors by deputization. F3: After giving effect to the donation on May 16, 2022, Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 284 shares of Class A Common Stock and 6,761,033 shares of Class B Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 5,714,738 shares of Class B Common Stock held directly by BSPI, (ii) 715,570 shares of Class B Common Stock held directly by SB Fund; (iii) 330,725 shares of Class B Common Stock held directly by SB Fund Offshore; and (iv) 1,046,295 shares of Class B Common Stock held indirectly by Bridge Street. F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Row 2 · 2022-05-16 · Gift · Disposed 2,410,000 · Balance 284 F5: This transaction represents a donation of shares of the Issuer's Class A Common Stock to a charity. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("SB Fund"), StoneBridge 2017 Offshore, L.P. ("SB Fund Offshore," and, together with SB Fund, the "SB Funds") and Bridge Street Opportunity Advisors, L.L.C ("Bridge Street"). Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of the SB Funds. Each of Bridge Street and BSPI is wholly owned by GS Group. Effective May 16, 2022, Joseph P. DiSabato, a Managing Director of Goldman Sachs, ceased to be a director of KnowBe4, Inc., and the Reporting Persons accordingly ceased to be directors by deputization. F3: After giving effect to the donation on May 16, 2022, Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 284 shares of Class A Common Stock and 6,761,033 shares of Class B Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 5,714,738 shares of Class B Common Stock held directly by BSPI, (ii) 715,570 shares of Class B Common Stock held directly by SB Fund; (iii) 330,725 shares of Class B Common Stock held directly by SB Fund Offshore; and (iv) 1,046,295 shares of Class B Common Stock held indirectly by Bridge Street. F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 6,761,033 |
Reported balance
After 2022-05-16 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-05-16 · Conversion · Disposed 2,410,000 · Balance 6,761,033 F1: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer. The Class B Common Stock has no expiration date. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("SB Fund"), StoneBridge 2017 Offshore, L.P. ("SB Fund Offshore," and, together with SB Fund, the "SB Funds") and Bridge Street Opportunity Advisors, L.L.C ("Bridge Street"). Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of the SB Funds. Each of Bridge Street and BSPI is wholly owned by GS Group. Effective May 16, 2022, Joseph P. DiSabato, a Managing Director of Goldman Sachs, ceased to be a director of KnowBe4, Inc., and the Reporting Persons accordingly ceased to be directors by deputization. F3: After giving effect to the donation on May 16, 2022, Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 284 shares of Class A Common Stock and 6,761,033 shares of Class B Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 5,714,738 shares of Class B Common Stock held directly by BSPI, (ii) 715,570 shares of Class B Common Stock held directly by SB Fund; (iii) 330,725 shares of Class B Common Stock held directly by SB Fund Offshore; and (iv) 1,046,295 shares of Class B Common Stock held indirectly by Bridge Street. F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain conditions and exceptions, convert automatically into one share of Class A Common Stock upon any transfer. The Class B Common Stock has no expiration date.
F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("SB Fund"), StoneBridge 2017 Offshore, L.P. ("SB Fund Offshore," and, together with SB Fund, the "SB Funds") and Bridge Street Opportunity Advisors, L.L.C ("Bridge Street"). Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of the SB Funds. Each of Bridge Street and BSPI is wholly owned by GS Group. Effective May 16, 2022, Joseph P. DiSabato, a Managing Director of Goldman Sachs, ceased to be a director of KnowBe4, Inc., and the Reporting Persons accordingly ceased to be directors by deputization.
F3: After giving effect to the donation on May 16, 2022, Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 284 shares of Class A Common Stock and 6,761,033 shares of Class B Common Stock by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 5,714,738 shares of Class B Common Stock held directly by BSPI, (ii) 715,570 shares of Class B Common Stock held directly by SB Fund; (iii) 330,725 shares of Class B Common Stock held directly by SB Fund Offshore; and (iv) 1,046,295 shares of Class B Common Stock held indirectly by Bridge Street.
F4: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
F5: This transaction represents a donation of shares of the Issuer's Class A Common Stock to a charity.
Kyndryl Holdings, Inc.
Report date May 24, 2022 · Filed May 27, 2022
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2022-05-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnote | 22,307,055 |
Reported balance
After 2022-05-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-05-24 · Sale · Disposed 380,000 · Balance 22,307,055 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.91 to $12.45, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs"). Goldman Sachs is a subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.91 to $12.45, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs"). Goldman Sachs is a subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
LEAP WIRELESS INTERNATIONAL INC
Report date September 30, 2009 · Filed October 09, 2009 · Amendment
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2009-10-09. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Call Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $40.00 · Expires 2010-01-16 | IndirectSee footnotes | 32,000 |
Reported balance
After 2009-09-30 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2009-09-30 · Purchase · Acquired 32,000 · Balance 32,000 F3: Currently exercisable. F1: This Amendment to the Form 4, filed with the Securities and Exchange Commission on October 5, 2009, is being filed to eliminate two option transactions that were executed after the Reporting Persons ceased to be greater than 10% beneficial owners. The option transactions had previously been reported due to a clerical error. Table II has been amended and restated to correct this error. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. The securities reported herein as indirectly purchased and sold were purchased and sold and may be deemed to be beneficially owned directly by Goldman Sachs. Goldman Sachs will remit the required short swing profits to the Company. |
| Call Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $35.00 · Expires 2010-01-16 | IndirectSee footnotes | 0 |
Reported balance
After 2009-10-02 transaction · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · 2009-10-02 · Sale · Disposed 30,000 · Balance 0 F3: Currently exercisable. F1: This Amendment to the Form 4, filed with the Securities and Exchange Commission on October 5, 2009, is being filed to eliminate two option transactions that were executed after the Reporting Persons ceased to be greater than 10% beneficial owners. The option transactions had previously been reported due to a clerical error. Table II has been amended and restated to correct this error. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. The securities reported herein as indirectly purchased and sold were purchased and sold and may be deemed to be beneficially owned directly by Goldman Sachs. Goldman Sachs will remit the required short swing profits to the Company. |
| Call Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $40.00 · Expires 2010-01-16 | IndirectSee footnotes | 2,000 |
Reported balance
After 2009-10-02 transaction · row 4
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 4 · 2009-10-02 · Sale · Disposed 30,000 · Balance 2,000 F3: Currently exercisable. F1: This Amendment to the Form 4, filed with the Securities and Exchange Commission on October 5, 2009, is being filed to eliminate two option transactions that were executed after the Reporting Persons ceased to be greater than 10% beneficial owners. The option transactions had previously been reported due to a clerical error. Table II has been amended and restated to correct this error. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. The securities reported herein as indirectly purchased and sold were purchased and sold and may be deemed to be beneficially owned directly by Goldman Sachs. Goldman Sachs will remit the required short swing profits to the Company. F4: As of October 2, 2009, the Reporting Persons ceased to be the beneficial owners of more than 10% of the shares of Common Stock and are therefore no longer subject to Section 16. |
| Call Option (Obligation to sell)SEC Table II · derivative / convertible security · Conversion / exercise price $39.00 · Expires 2010-01-16 | IndirectSee footnotes | 32,000 |
Reported balance
After 2009-09-30 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2009-09-30 · Sale · Disposed 32,000 · Balance 32,000 F3: Currently exercisable. F1: This Amendment to the Form 4, filed with the Securities and Exchange Commission on October 5, 2009, is being filed to eliminate two option transactions that were executed after the Reporting Persons ceased to be greater than 10% beneficial owners. The option transactions had previously been reported due to a clerical error. Table II has been amended and restated to correct this error. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. The securities reported herein as indirectly purchased and sold were purchased and sold and may be deemed to be beneficially owned directly by Goldman Sachs. Goldman Sachs will remit the required short swing profits to the Company. |
Filing footnotes · ownership attribution and instrument terms
F1: This Amendment to the Form 4, filed with the Securities and Exchange Commission on October 5, 2009, is being filed to eliminate two option transactions that were executed after the Reporting Persons ceased to be greater than 10% beneficial owners. The option transactions had previously been reported due to a clerical error. Table II has been amended and restated to correct this error.
F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. The securities reported herein as indirectly purchased and sold were purchased and sold and may be deemed to be beneficially owned directly by Goldman Sachs. Goldman Sachs will remit the required short swing profits to the Company.
F3: Currently exercisable.
F4: As of October 2, 2009, the Reporting Persons ceased to be the beneficial owners of more than 10% of the shares of Common Stock and are therefore no longer subject to Section 16.
LIFELOCK, INC.
Report date October 09, 2012 · Filed October 11, 2012
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2012-10-11. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 8,113,428 |
Reported balance
After 2012-10-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2012-10-09 · Conversion · Acquired 8,113,428 · Balance 8,113,428 F3: Each share of Series C preferred stock and Series D preferred stock automatically converted into one share of Common Stock immediately prior to the closing of the initial public offering of the Company's Common Stock (the "IPO"). As described in the Company's registration statement filed with the U.S. Securities and Exchange Commission on October 3, 2012 (the "S-1"), the Series E-2 preferred stock, par value $0.001 per share (the "Series E-2 Preferred Stock") automatically converted into a number of shares of Common Stock that depended in part on the IPO price of the Common Stock. Based on an IPO price of $9.00 per share, as set forth on the cover page of the S-1, Goldman Sachs received an aggregate of 3,400,249 shares of Common Stock from the conversion of the Series E-2 Preferred Stock (a portion of which is subject to possible repurchase by the Company, as described in the S-1). F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: GS Group may be deemed to beneficially own indirectly 8,113,428 shares of common stock, par value $0.001 per share (the "Common Stock") of LifeLock Inc. (the "Company") (a portion of which is subject to possible repurchase by the Company, as described in the S-1, defined below) by reason of the direct beneficial ownership of such shares by Goldman Sachs. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnotes | 0 |
Reported balance
After 2012-10-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2012-10-09 · Conversion · Disposed 4,000,000 · Balance 0 F3: Each share of Series C preferred stock and Series D preferred stock automatically converted into one share of Common Stock immediately prior to the closing of the initial public offering of the Company's Common Stock (the "IPO"). As described in the Company's registration statement filed with the U.S. Securities and Exchange Commission on October 3, 2012 (the "S-1"), the Series E-2 preferred stock, par value $0.001 per share (the "Series E-2 Preferred Stock") automatically converted into a number of shares of Common Stock that depended in part on the IPO price of the Common Stock. Based on an IPO price of $9.00 per share, as set forth on the cover page of the S-1, Goldman Sachs received an aggregate of 3,400,249 shares of Common Stock from the conversion of the Series E-2 Preferred Stock (a portion of which is subject to possible repurchase by the Company, as described in the S-1). F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: GS Group may be deemed to beneficially own indirectly 8,113,428 shares of common stock, par value $0.001 per share (the "Common Stock") of LifeLock Inc. (the "Company") (a portion of which is subject to possible repurchase by the Company, as described in the S-1, defined below) by reason of the direct beneficial ownership of such shares by Goldman Sachs. |
| Series D Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnotes | 0 |
Reported balance
After 2012-10-09 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2012-10-09 · Conversion · Disposed 713,179 · Balance 0 F3: Each share of Series C preferred stock and Series D preferred stock automatically converted into one share of Common Stock immediately prior to the closing of the initial public offering of the Company's Common Stock (the "IPO"). As described in the Company's registration statement filed with the U.S. Securities and Exchange Commission on October 3, 2012 (the "S-1"), the Series E-2 preferred stock, par value $0.001 per share (the "Series E-2 Preferred Stock") automatically converted into a number of shares of Common Stock that depended in part on the IPO price of the Common Stock. Based on an IPO price of $9.00 per share, as set forth on the cover page of the S-1, Goldman Sachs received an aggregate of 3,400,249 shares of Common Stock from the conversion of the Series E-2 Preferred Stock (a portion of which is subject to possible repurchase by the Company, as described in the S-1). F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: GS Group may be deemed to beneficially own indirectly 8,113,428 shares of common stock, par value $0.001 per share (the "Common Stock") of LifeLock Inc. (the "Company") (a portion of which is subject to possible repurchase by the Company, as described in the S-1, defined below) by reason of the direct beneficial ownership of such shares by Goldman Sachs. |
| Series E-2 Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnotes | 0 |
Reported balance
After 2012-10-09 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2012-10-09 · Conversion · Disposed 2,914,238 · Balance 0 F3: Each share of Series C preferred stock and Series D preferred stock automatically converted into one share of Common Stock immediately prior to the closing of the initial public offering of the Company's Common Stock (the "IPO"). As described in the Company's registration statement filed with the U.S. Securities and Exchange Commission on October 3, 2012 (the "S-1"), the Series E-2 preferred stock, par value $0.001 per share (the "Series E-2 Preferred Stock") automatically converted into a number of shares of Common Stock that depended in part on the IPO price of the Common Stock. Based on an IPO price of $9.00 per share, as set forth on the cover page of the S-1, Goldman Sachs received an aggregate of 3,400,249 shares of Common Stock from the conversion of the Series E-2 Preferred Stock (a portion of which is subject to possible repurchase by the Company, as described in the S-1). F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: GS Group may be deemed to beneficially own indirectly 8,113,428 shares of common stock, par value $0.001 per share (the "Common Stock") of LifeLock Inc. (the "Company") (a portion of which is subject to possible repurchase by the Company, as described in the S-1, defined below) by reason of the direct beneficial ownership of such shares by Goldman Sachs. |
| WarrantsSEC Table II · derivative / convertible security | IndirectSee footnotes | 0 |
Reported balance
After 2012-10-09 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2012-10-09 · Other · Disposed 571,240 · Balance 0 F3: Each share of Series C preferred stock and Series D preferred stock automatically converted into one share of Common Stock immediately prior to the closing of the initial public offering of the Company's Common Stock (the "IPO"). As described in the Company's registration statement filed with the U.S. Securities and Exchange Commission on October 3, 2012 (the "S-1"), the Series E-2 preferred stock, par value $0.001 per share (the "Series E-2 Preferred Stock") automatically converted into a number of shares of Common Stock that depended in part on the IPO price of the Common Stock. Based on an IPO price of $9.00 per share, as set forth on the cover page of the S-1, Goldman Sachs received an aggregate of 3,400,249 shares of Common Stock from the conversion of the Series E-2 Preferred Stock (a portion of which is subject to possible repurchase by the Company, as described in the S-1). F4: Goldman Sachs held 571,240 warrants (the "Warrants") to purchase shares of Series E-2 Preferred Stock prior to the closing of the IPO. The Warrants terminated automatically upon the closing of the IPO. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: GS Group may be deemed to beneficially own indirectly 8,113,428 shares of common stock, par value $0.001 per share (the "Common Stock") of LifeLock Inc. (the "Company") (a portion of which is subject to possible repurchase by the Company, as described in the S-1, defined below) by reason of the direct beneficial ownership of such shares by Goldman Sachs. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F2: GS Group may be deemed to beneficially own indirectly 8,113,428 shares of common stock, par value $0.001 per share (the "Common Stock") of LifeLock Inc. (the "Company") (a portion of which is subject to possible repurchase by the Company, as described in the S-1, defined below) by reason of the direct beneficial ownership of such shares by Goldman Sachs.
F3: Each share of Series C preferred stock and Series D preferred stock automatically converted into one share of Common Stock immediately prior to the closing of the initial public offering of the Company's Common Stock (the "IPO"). As described in the Company's registration statement filed with the U.S. Securities and Exchange Commission on October 3, 2012 (the "S-1"), the Series E-2 preferred stock, par value $0.001 per share (the "Series E-2 Preferred Stock") automatically converted into a number of shares of Common Stock that depended in part on the IPO price of the Common Stock. Based on an IPO price of $9.00 per share, as set forth on the cover page of the S-1, Goldman Sachs received an aggregate of 3,400,249 shares of Common Stock from the conversion of the Series E-2 Preferred Stock (a portion of which is subject to possible repurchase by the Company, as described in the S-1).
F4: Goldman Sachs held 571,240 warrants (the "Warrants") to purchase shares of Series E-2 Preferred Stock prior to the closing of the IPO. The Warrants terminated automatically upon the closing of the IPO.
LVB Acquisition, Inc.
Report date June 24, 2015 · Filed June 27, 2015
Jointly reported with GOLDMAN SACHS GROUP INC, GS Capital Partners VI Fund, L.P., GSCP VI Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Parallel LP, GS Advisors VI, L.L.C., GS Capital Partners VI GmbH & Co KG, GOLDMAN, SACHS MANAGEMENT GP GMBH
Section 16 reporting ended · disclosed 2015-06-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2015-06-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2015-06-24 · Other · Disposed 130,845,980 · Balance 0 F8: Immediately prior to the Merger, GS 2005, and its general partner PEP 2005, may have been deemed to beneficially own indirectly approximately 901,320 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 9,013.2 membership units in, Holding. Immediately prior to the Merger, GS IX, and its general partner PEP IX, may have been deemed to beneficially own indirectly approximately 976,800 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 9,768 membership units in, Holding. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F9: On June 24, 2015, Zimmer Holdings, Inc., (subsequently renamed Zimmer Biomet Holdings, Inc.) a Delaware corporation ("Zimmer"), acquired Issuer pursuant to that certain Agreement and Plan of Merger between the Issuer, Zimmer and Owl Merger Sub, Inc., a Delaware corporation and an indirect wholly-owned subsidiary of Zimmer ("Merger Sub"), dated as of April 24, 2014 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly-owned subsidiary of Zimmer (the "Merger"). Pursuant to the Merger Agreement, on June 24, 2015, the effective date of the Merger, each share of Common Stock was exchanged for $8.94 in cash and 0.0562 shares of Zimmer common stock. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Capital Partners VI Fund, L.P. ("GS Capital"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI GmbH & Co. KG ("GS Germany"), GS LVB Co-Invest, L.P. ("GS LVB"), Goldman Sachs BMET Investors, L.P. ("GS BMET"), Goldman Sachs BMET Investors Offshore Holdings, L.P. ("GS BMET Offshore"), PEP Bass Holdings LLC ("GS PEP"), Private Equity Partners 2004 Direct Investment Fund LP ("GS 2004"), Private Equity Partners 2005 Direct LP ("GS 2005") and Private Equity Partners IX Direct LP ("GS IX", and together with GS Capital, GS Offshore, GS Parallel, GS Germany, GS LVB, GS BMET, GS BMET Offshore, GS PEP, GS 2004, GS 2005, the "GS Entities"); (continued in footnote 2) F2: GSCP VI Advisors, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Advisors VI, L.L.C., Goldman, Sachs Management GP GmbH, GS LVB Advisors, L.L.C., GS BMET Advisors, L.L.C., GS BMET Offshore Advisors, Inc., Goldman Sachs PEP 2004 Direct Investment Advisors, LLC ("PEP 2004"), Goldman Sachs PEP 2005 Direct Investment Advisors, LLC ("PEP 2005") and Goldman Sachs PEP IX Direct Investment Advisors, LLC ("PEP IX") (together with the GS Entities, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in triplicate. F3: Goldman Sachs is a wholly-owned subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the GS Entities. Affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner or investment manager of the GS Entities. Immediately prior to the Merger, GS Group and Goldman Sachs may have been deemed to beneficially own indirectly 130,845,980 shares of Common Stock, par value $0.01 per share (the "Common Stock") of LVB Acquisition, Inc. , a Delaware corporation (the "Issuer"), by reason of the indirect beneficial ownership of such shares by the GS Entities. F4: Immediately prior to the Merger, the GS Entities may have been deemed to beneficially own indirectly 130,845,980 shares of Common Stock in the aggregate by reason of the direct beneficial ownership of such shares by, and their aggregate direct ownership of 1,308,419.15815 membership units in, LVB Acquisition Holding, LLC ("Holding"). The membership interests of Holding are held by a private investor group, which includes the GS Entities. Immediately prior to the Merger, GS Capital, and its general partner GSCP VI Advisors, L.L.C., may have been deemed to beneficially own indirectly approximately 43,367,916 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 433,679.15808 membership units in, Holding. F5: Immediately prior to the Merger, GS Germany, and its general partner Goldman, Sachs Management GP GmbH, may have been deemed to beneficially own indirectly approximately 1,541,319 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 15,413.18755 membership units in, Holding. Immediately prior to the Merger, GS Offshore, and its general partner GSCP VI Offshore Advisors, L.L.C., may have been deemed to beneficially own indirectly approximately 36,071,876 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 360,718.75833 membership units in, Holding. F6: Immediately prior to the Merger, GS Parallel, and its general partner GS Advisors VI, L.L.C., may have been deemed to beneficially own indirectly approximately 11,925,385 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 119,253.84819 membership units in, Holding. Immediately prior to the Merger, GS LVB, and its general partner GS LVB Advisors, L.L.C., may have been deemed to beneficially own indirectly approximately 6,187,599 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 61,875.99 membership units in, Holding. Immediately prior to the Merger, GS BMET, and its general partner GS BMET Advisors, L.L.C., may have been deemed to beneficially own indirectly approximately 6,313,795shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 63,137.95 membership units in, Holding. F7: Immediately prior to the Merger, GS BMET Offshore, and its general partner GS BMET Offshore Advisors, Inc., may have been deemed to beneficially own indirectly approximately 18,478,545 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 184,785.45 membership units in, Holding. Immediately prior to the Merger, GS PEP may have been deemed to beneficially own indirectly approximately 4,446,382 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 44,463.816 membership units in, Holding. Immediately prior to the Merger, GS 2004, and its general partner PEP 2004, may have been deemed to beneficially own indirectly approximately 630,980 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 6,309.8 membership units in, Holding. F10: Following the closing of the Merger, affiliates of the Reporting Persons beneficially own indirectly zero shares of Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Capital Partners VI Fund, L.P. ("GS Capital"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI GmbH & Co. KG ("GS Germany"), GS LVB Co-Invest, L.P. ("GS LVB"), Goldman Sachs BMET Investors, L.P. ("GS BMET"), Goldman Sachs BMET Investors Offshore Holdings, L.P. ("GS BMET Offshore"), PEP Bass Holdings LLC ("GS PEP"), Private Equity Partners 2004 Direct Investment Fund LP ("GS 2004"), Private Equity Partners 2005 Direct LP ("GS 2005") and Private Equity Partners IX Direct LP ("GS IX", and together with GS Capital, GS Offshore, GS Parallel, GS Germany, GS LVB, GS BMET, GS BMET Offshore, GS PEP, GS 2004, GS 2005, the "GS Entities"); (continued in footnote 2)
F2: GSCP VI Advisors, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Advisors VI, L.L.C., Goldman, Sachs Management GP GmbH, GS LVB Advisors, L.L.C., GS BMET Advisors, L.L.C., GS BMET Offshore Advisors, Inc., Goldman Sachs PEP 2004 Direct Investment Advisors, LLC ("PEP 2004"), Goldman Sachs PEP 2005 Direct Investment Advisors, LLC ("PEP 2005") and Goldman Sachs PEP IX Direct Investment Advisors, LLC ("PEP IX") (together with the GS Entities, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in triplicate.
F3: Goldman Sachs is a wholly-owned subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the GS Entities. Affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner or investment manager of the GS Entities. Immediately prior to the Merger, GS Group and Goldman Sachs may have been deemed to beneficially own indirectly 130,845,980 shares of Common Stock, par value $0.01 per share (the "Common Stock") of LVB Acquisition, Inc. , a Delaware corporation (the "Issuer"), by reason of the indirect beneficial ownership of such shares by the GS Entities.
F4: Immediately prior to the Merger, the GS Entities may have been deemed to beneficially own indirectly 130,845,980 shares of Common Stock in the aggregate by reason of the direct beneficial ownership of such shares by, and their aggregate direct ownership of 1,308,419.15815 membership units in, LVB Acquisition Holding, LLC ("Holding"). The membership interests of Holding are held by a private investor group, which includes the GS Entities. Immediately prior to the Merger, GS Capital, and its general partner GSCP VI Advisors, L.L.C., may have been deemed to beneficially own indirectly approximately 43,367,916 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 433,679.15808 membership units in, Holding.
F5: Immediately prior to the Merger, GS Germany, and its general partner Goldman, Sachs Management GP GmbH, may have been deemed to beneficially own indirectly approximately 1,541,319 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 15,413.18755 membership units in, Holding. Immediately prior to the Merger, GS Offshore, and its general partner GSCP VI Offshore Advisors, L.L.C., may have been deemed to beneficially own indirectly approximately 36,071,876 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 360,718.75833 membership units in, Holding.
F6: Immediately prior to the Merger, GS Parallel, and its general partner GS Advisors VI, L.L.C., may have been deemed to beneficially own indirectly approximately 11,925,385 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 119,253.84819 membership units in, Holding. Immediately prior to the Merger, GS LVB, and its general partner GS LVB Advisors, L.L.C., may have been deemed to beneficially own indirectly approximately 6,187,599 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 61,875.99 membership units in, Holding. Immediately prior to the Merger, GS BMET, and its general partner GS BMET Advisors, L.L.C., may have been deemed to beneficially own indirectly approximately 6,313,795shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 63,137.95 membership units in, Holding.
F7: Immediately prior to the Merger, GS BMET Offshore, and its general partner GS BMET Offshore Advisors, Inc., may have been deemed to beneficially own indirectly approximately 18,478,545 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 184,785.45 membership units in, Holding. Immediately prior to the Merger, GS PEP may have been deemed to beneficially own indirectly approximately 4,446,382 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 44,463.816 membership units in, Holding. Immediately prior to the Merger, GS 2004, and its general partner PEP 2004, may have been deemed to beneficially own indirectly approximately 630,980 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 6,309.8 membership units in, Holding.
F8: Immediately prior to the Merger, GS 2005, and its general partner PEP 2005, may have been deemed to beneficially own indirectly approximately 901,320 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 9,013.2 membership units in, Holding. Immediately prior to the Merger, GS IX, and its general partner PEP IX, may have been deemed to beneficially own indirectly approximately 976,800 shares of Common Stock by reason of the direct beneficial ownership of such shares by, and their direct ownership of 9,768 membership units in, Holding. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F9: On June 24, 2015, Zimmer Holdings, Inc., (subsequently renamed Zimmer Biomet Holdings, Inc.) a Delaware corporation ("Zimmer"), acquired Issuer pursuant to that certain Agreement and Plan of Merger between the Issuer, Zimmer and Owl Merger Sub, Inc., a Delaware corporation and an indirect wholly-owned subsidiary of Zimmer ("Merger Sub"), dated as of April 24, 2014 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly-owned subsidiary of Zimmer (the "Merger"). Pursuant to the Merger Agreement, on June 24, 2015, the effective date of the Merger, each share of Common Stock was exchanged for $8.94 in cash and 0.0562 shares of Zimmer common stock.
F10: Following the closing of the Merger, affiliates of the Reporting Persons beneficially own indirectly zero shares of Common Stock.
Lazard, Inc.
Report date May 12, 2005 · Filed May 24, 2005
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2005-05-24. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,805,500 |
Reported balance
After 2005-05-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2005-05-12 · Sale · Disposed 15,000 · Balance 4,805,500 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,804,700 |
Reported balance
After 2005-05-12 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2005-05-12 · Sale · Disposed 800 · Balance 4,804,700 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,803,100 |
Reported balance
After 2005-05-12 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2005-05-12 · Sale · Disposed 1,600 · Balance 4,803,100 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,802,500 |
Reported balance
After 2005-05-12 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2005-05-12 · Sale · Disposed 600 · Balance 4,802,500 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,801,900 |
Reported balance
After 2005-05-12 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2005-05-12 · Sale · Disposed 600 · Balance 4,801,900 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,800,800 |
Reported balance
After 2005-05-12 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2005-05-12 · Sale · Disposed 1,100 · Balance 4,800,800 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,797,200 |
Reported balance
After 2005-05-12 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2005-05-12 · Sale · Disposed 3,600 · Balance 4,797,200 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,788,700 |
Reported balance
After 2005-05-12 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2005-05-12 · Sale · Disposed 8,500 · Balance 4,788,700 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,787,700 |
Reported balance
After 2005-05-12 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2005-05-12 · Sale · Disposed 1,000 · Balance 4,787,700 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,787,300 |
Reported balance
After 2005-05-12 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2005-05-12 · Sale · Disposed 400 · Balance 4,787,300 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,787,100 |
Reported balance
After 2005-05-12 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2005-05-12 · Sale · Disposed 200 · Balance 4,787,100 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,786,900 |
Reported balance
After 2005-05-12 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2005-05-12 · Sale · Disposed 200 · Balance 4,786,900 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,786,700 |
Reported balance
After 2005-05-12 transaction · row 13
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 13 · 2005-05-12 · Sale · Disposed 200 · Balance 4,786,700 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,781,000 |
Reported balance
After 2005-05-12 transaction · row 14
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 14 · 2005-05-12 · Sale · Disposed 5,700 · Balance 4,781,000 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,780,600 |
Reported balance
After 2005-05-12 transaction · row 15
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 15 · 2005-05-12 · Sale · Disposed 400 · Balance 4,780,600 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,780,200 |
Reported balance
After 2005-05-12 transaction · row 16
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 16 · 2005-05-12 · Sale · Disposed 400 · Balance 4,780,200 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,779,700 |
Reported balance
After 2005-05-12 transaction · row 17
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 17 · 2005-05-12 · Sale · Disposed 500 · Balance 4,779,700 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,779,600 |
Reported balance
After 2005-05-12 transaction · row 18
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 18 · 2005-05-12 · Sale · Disposed 100 · Balance 4,779,600 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,779,200 |
Reported balance
After 2005-05-12 transaction · row 19
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 19 · 2005-05-12 · Sale · Disposed 400 · Balance 4,779,200 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,775,600 |
Reported balance
After 2005-05-12 transaction · row 20
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 20 · 2005-05-12 · Sale · Disposed 3,600 · Balance 4,775,600 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,767,600 |
Reported balance
After 2005-05-12 transaction · row 21
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 21 · 2005-05-12 · Sale · Disposed 8,000 · Balance 4,767,600 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,765,600 |
Reported balance
After 2005-05-13 transaction · row 22
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 22 · 2005-05-13 · Sale · Disposed 2,000 · Balance 4,765,600 F2: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs Execution & Clearing, L.P. ("GSEC" ). Without admitting any legal obligation, GSEC will remit appropriate profits, if any, to the Issuer. GSEC is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,767,000 |
Reported balance
After 2005-05-13 transaction · row 23
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 23 · 2005-05-13 · Purchase · Acquired 1,400 · Balance 4,767,000 F2: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs Execution & Clearing, L.P. ("GSEC" ). Without admitting any legal obligation, GSEC will remit appropriate profits, if any, to the Issuer. GSEC is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,767,600 |
Reported balance
After 2005-05-13 transaction · row 24
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 24 · 2005-05-13 · Purchase · Acquired 600 · Balance 4,767,600 F2: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs Execution & Clearing, L.P. ("GSEC" ). Without admitting any legal obligation, GSEC will remit appropriate profits, if any, to the Issuer. GSEC is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,994,100 |
Reported balance
After 2005-05-13 transaction · row 25
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 25 · 2005-05-13 · Sale · Disposed 2,773,500 · Balance 1,994,100 F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Issuer. Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc.
F2: The securities reported herein as indirectly purchased and sold were beneficially owned directly by Goldman Sachs Execution & Clearing, L.P. ("GSEC" ). Without admitting any legal obligation, GSEC will remit appropriate profits, if any, to the Issuer. GSEC is a wholly-owned subsidiary of The Goldman Sachs Group, Inc.
MCG CAPITAL CORP
Report date November 29, 2004 · Filed December 08, 2004 · Amendment
Jointly reported with GOLDMAN SACHS GROUP INC, GS CAPITAL PARTNERS II L P, GS CAPITAL PARTNERS II OFFSHORE LP, GS ADVISORS II LLC, GOLDMAN SACHS & CO OHG, STONE STREET FUND 1998 LP, BRIDGE STREET FUND 1998 LP, GS CAPITAL PARTNERS II GERMANY CLP
Section 16 reporting ended · disclosed 2004-12-08. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 4,038,780 |
Reported balance
After 2004-11-29 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2004-11-29 · Purchase · Acquired 1,280 · Balance 4,038,780 F2: This trade was omitted from the original Form 4 filed with the Securities and Exchange Commission on December 1, 2004. The securities reported herein as indirectly purchased are beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to MCG Capital Corp. (the "Company"). The Reporting Persons, other than Goldman Sachs and GS Group disclaim beneficial ownership of the securities beneficially owned by Goldman Sachs. F1: This statement is being filed by GS Capital Partners II, L.P. ("GSCP II"), GS Capital Partners II Offshore, L.P. ("GSCP II Offshore"), GS Capital Partners II (Germany) C.L.P. ("GSCP II Germany"), GS Advisors, L.L.C. ("GS Advisors"), GS Advisors II, L.L.C. ("GS Advisors II"), Goldman, Sachs & Co. oHG ("GS oHG"), Stone Street Fund 1998, L.P. ("Stone 1998"), Bridge Street Fund 1998, L.P. ("Bridge 1998", and together with GSCP II, GSCP II Offshore, GSCP II Germany, and Stone 1998, the "Limited Partnerships"), Stone Street 1998, L.L.C. ("Stone GP"), Goldman, Sachs & Co. ("Goldman Sachs") and The Goldman Sachs Group, Inc. ("GS Group"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F3: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 1,280 shares of the Company's common stock, $.01 par value per share ("Common Stock"). Goldman Sachs and GS Group may be deemed to beneficially own indirectly in the aggregate 4,037,500 shares of Common Stock through the Limited Partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or managing partner. Goldman Sachs is the investment manager of certain of the Limited Partnerships. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. Goldman Sachs and GS Group each disclaims beneficial ownership of the shares of Common Stock owned by the Limited Partnerships except to the extent of its pecuniary interest therein. F4: GSCP II beneficially owns directly and its general partner, GS Advisors, may be deemed to beneficially own indirectly 2,604,933 shares of Common Stock. GSCP II Offshore beneficially owns directly and its general partner, GS Advisors II, may be deemed to beneficially own indirectly 1,035,573 shares of Common Stock. GSCP II Germany beneficially owns directly and its managing partner, GS oHG, may be deemed to beneficially own indirectly 96,083 shares of Common Stock. Bridge 1998 beneficially owns directly and its managing general partner, Stone GP, may be deemed to beneficially own indirectly 69,779 shares of Common Stock. Stone 1998 beneficially owns directly and its general partner, Stone GP, may be deemed to beneficially own indirectly 231,132 shares of Common Stock. Each of GS Advisors, GS Advisors II, GS oHG and Stone GP disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest in such securities. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by GS Capital Partners II, L.P. ("GSCP II"), GS Capital Partners II Offshore, L.P. ("GSCP II Offshore"), GS Capital Partners II (Germany) C.L.P. ("GSCP II Germany"), GS Advisors, L.L.C. ("GS Advisors"), GS Advisors II, L.L.C. ("GS Advisors II"), Goldman, Sachs & Co. oHG ("GS oHG"), Stone Street Fund 1998, L.P. ("Stone 1998"), Bridge Street Fund 1998, L.P. ("Bridge 1998", and together with GSCP II, GSCP II Offshore, GSCP II Germany, and Stone 1998, the "Limited Partnerships"), Stone Street 1998, L.L.C. ("Stone GP"), Goldman, Sachs & Co. ("Goldman Sachs") and The Goldman Sachs Group, Inc. ("GS Group"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
F2: This trade was omitted from the original Form 4 filed with the Securities and Exchange Commission on December 1, 2004. The securities reported herein as indirectly purchased are beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to MCG Capital Corp. (the "Company"). The Reporting Persons, other than Goldman Sachs and GS Group disclaim beneficial ownership of the securities beneficially owned by Goldman Sachs.
F3: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 1,280 shares of the Company's common stock, $.01 par value per share ("Common Stock"). Goldman Sachs and GS Group may be deemed to beneficially own indirectly in the aggregate 4,037,500 shares of Common Stock through the Limited Partnerships, of which affiliates of Goldman Sachs and GS Group are the general partner, managing general partner or managing partner. Goldman Sachs is the investment manager of certain of the Limited Partnerships. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. Goldman Sachs and GS Group each disclaims beneficial ownership of the shares of Common Stock owned by the Limited Partnerships except to the extent of its pecuniary interest therein.
F4: GSCP II beneficially owns directly and its general partner, GS Advisors, may be deemed to beneficially own indirectly 2,604,933 shares of Common Stock. GSCP II Offshore beneficially owns directly and its general partner, GS Advisors II, may be deemed to beneficially own indirectly 1,035,573 shares of Common Stock. GSCP II Germany beneficially owns directly and its managing partner, GS oHG, may be deemed to beneficially own indirectly 96,083 shares of Common Stock. Bridge 1998 beneficially owns directly and its managing general partner, Stone GP, may be deemed to beneficially own indirectly 69,779 shares of Common Stock. Stone 1998 beneficially owns directly and its general partner, Stone GP, may be deemed to beneficially own indirectly 231,132 shares of Common Stock. Each of GS Advisors, GS Advisors II, GS oHG and Stone GP disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest in such securities.
METAL MANAGEMENT INC
Report date May 21, 2003 · Filed May 23, 2003
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2003-05-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 8 |
Reported balance
After 2003-05-21 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2003-05-21 · Sale · Disposed 1,248,881 · Balance 8 F1: The securities reported herein as sold were sold and were beneficially owned directy by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Company. Goldman Sachs owns beneficially and directly and The Goldman Sachs Group, Inc. ("GS Group") may be deemed to own beneficially and indirectly 8 shares of Common Stock. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. As of May 21, 2003, the Reporting Persons ceased to beneficially own more than 10% of Common Stock reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended December 31, 2002 and are therefore no longer subject to Section 16. F2: Spear, Leeds & Kellogg, L.P. ("SLK") owns beneficially and directly and GS Group may be deemed to own beneficially and indirectly 4 shares of Common Stock. SLK is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs disclaims beneficial ownership of the securities owned directly by SLK, except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities reported herein as sold were sold and were beneficially owned directy by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Company. Goldman Sachs owns beneficially and directly and The Goldman Sachs Group, Inc. ("GS Group") may be deemed to own beneficially and indirectly 8 shares of Common Stock. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. As of May 21, 2003, the Reporting Persons ceased to beneficially own more than 10% of Common Stock reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended December 31, 2002 and are therefore no longer subject to Section 16.
F2: Spear, Leeds & Kellogg, L.P. ("SLK") owns beneficially and directly and GS Group may be deemed to own beneficially and indirectly 4 shares of Common Stock. SLK is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs disclaims beneficial ownership of the securities owned directly by SLK, except to the extent of its pecuniary interest therein.
MONEYGRAM INTERNATIONAL INC
Report date June 18, 2019 · Filed October 14, 2021 · Amendment
Jointly reported with GOLDMAN SACHS GROUP INC, GSCP VI Advisors, L.L.C., GS Advisors VI, L.L.C., GS Capital Partners VI Fund, L.P., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., GOLDMAN, SACHS MANAGEMENT GP GMBH, GS Capital Partners VI Parallel LP, GS Capital Partners VI GmbH & Co KG
Section 16 reporting ended · disclosed 2021-10-14. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 56,346 |
Reported balance
After 2019-06-18 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2019-06-18 · Purchase · Acquired 18,144 · Balance 56,346 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 38,202 |
Reported balance
After 2019-06-18 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2019-06-18 · Sale · Disposed 18,144 · Balance 38,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 56,346 |
Reported balance
After 2019-06-18 transaction · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · 2019-06-18 · Purchase · Acquired 18,144 · Balance 56,346 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 38,202 |
Reported balance
After 2019-06-18 transaction · row 4
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 4 · 2019-06-18 · Sale · Disposed 18,144 · Balance 38,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 39,702 |
Reported balance
After 2019-06-18 transaction · row 5
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 5 · 2019-06-18 · Purchase · Acquired 1,500 · Balance 39,702 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 38,202 |
Reported balance
After 2019-06-18 transaction · row 6
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 6 · 2019-06-18 · Sale · Disposed 1,500 · Balance 38,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 48,202 |
Reported balance
After 2019-06-20 transaction · row 7
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 7 · 2019-06-20 · Purchase · Acquired 10,000 · Balance 48,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 38,202 |
Reported balance
After 2019-06-20 transaction · row 8
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 8 · 2019-06-20 · Sale · Disposed 10,000 · Balance 38,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 48,202 |
Reported balance
After 2019-06-20 transaction · row 9
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 9 · 2019-06-20 · Purchase · Acquired 10,000 · Balance 48,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 38,202 |
Reported balance
After 2019-06-20 transaction · row 10
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 10 · 2019-06-20 · Sale · Disposed 10,000 · Balance 38,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 48,202 |
Reported balance
After 2019-06-20 transaction · row 11
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 11 · 2019-06-20 · Purchase · Acquired 10,000 · Balance 48,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 38,202 |
Reported balance
After 2019-06-20 transaction · row 12
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 12 · 2019-06-20 · Sale · Disposed 10,000 · Balance 38,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 51,202 |
Reported balance
After 2019-06-20 transaction · row 13
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 13 · 2019-06-20 · Purchase · Acquired 13,000 · Balance 51,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 38,202 |
Reported balance
After 2019-06-20 transaction · row 14
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 14 · 2019-06-20 · Sale · Disposed 13,000 · Balance 38,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 48,202 |
Reported balance
After 2019-06-20 transaction · row 15
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 15 · 2019-06-20 · Purchase · Acquired 10,000 · Balance 48,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 38,202 |
Reported balance
After 2019-06-20 transaction · row 16
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 16 · 2019-06-20 · Sale · Disposed 10,000 · Balance 38,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 65,202 |
Reported balance
After 2019-06-20 transaction · row 17
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 17 · 2019-06-20 · Purchase · Acquired 27,000 · Balance 65,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 38,202 |
Reported balance
After 2019-06-20 transaction · row 18
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 18 · 2019-06-20 · Sale · Disposed 27,000 · Balance 38,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 68,202 |
Reported balance
After 2019-06-21 transaction · row 19
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 19 · 2019-06-21 · Purchase · Acquired 30,000 · Balance 68,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 38,202 |
Reported balance
After 2019-06-21 transaction · row 20
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 20 · 2019-06-21 · Sale · Disposed 30,000 · Balance 38,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 96,974 |
Reported balance
After 2019-06-24 transaction · row 21
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 21 · 2019-06-24 · Purchase · Acquired 20,000 · Balance 96,974 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 76,974 |
Reported balance
After 2019-06-24 transaction · row 22
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 22 · 2019-06-24 · Sale · Disposed 20,000 · Balance 76,974 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 86,974 |
Reported balance
After 2019-06-24 transaction · row 23
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 23 · 2019-06-24 · Purchase · Acquired 10,000 · Balance 86,974 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 76,974 |
Reported balance
After 2019-06-24 transaction · row 24
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 24 · 2019-06-24 · Sale · Disposed 10,000 · Balance 76,974 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 96,974 |
Reported balance
After 2019-06-24 transaction · row 25
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 25 · 2019-06-24 · Purchase · Acquired 20,000 · Balance 96,974 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 76,974 |
Reported balance
After 2019-06-24 transaction · row 26
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 26 · 2019-06-24 · Sale · Disposed 20,000 · Balance 76,974 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 58,202 |
Reported balance
After 2019-06-25 transaction · row 27
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 27 · 2019-06-25 · Purchase · Acquired 20,000 · Balance 58,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 38,202 |
Reported balance
After 2019-06-25 transaction · row 28
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 28 · 2019-06-25 · Sale · Disposed 20,000 · Balance 38,202 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 674,897 |
Reported balance
After 2019-06-26 transaction · row 29
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 29 · 2019-06-26 · Purchase · Acquired 40,000 · Balance 674,897 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnotes | 634,897 |
Reported balance
After 2019-06-26 transaction · row 30
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 30 · 2019-06-26 · Sale · Disposed 40,000 · Balance 634,897 F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020. F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: These transactions in the common stock (the "Common Stock") of MoneyGram International, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business.
F2: Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer.
F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, GSCP VI Advisors, L.L.C., GS Capital Partners VI Fund, L.P., GS Advisors VI, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Capital Partners VI Offshore Fund, L.P., Goldman, Sachs Management GP GmbH, GS Capital Partners VI Parallel, L.P., GS Capital Partners VI GmbH & Co. KG, GSMP V Onshore US, Ltd., GS Mezzanine Partners V Onshore Fund, L.P., GS Mezzanine Partners V Onshore Fund, L.L.C., GSMP V Institutional US, Ltd., GS Mezzanine Partners V Institutional Fund, L.P., GS Mezzanine Partners V Institutional Fund, L.L.C., GSMP V Offshore US, Ltd., GS Mezzanine Partners V Offshore Fund, L.P., GS Mezzanine Partners V Offshore Fund, L.L.C., Broad Street Principal Investments L.L.C (together, with the foregoing entities, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group.
F4: (Continued from footnote 3) Goldman Sachs also serves as the manager and the investment manager of certain of the Reporting Persons other than GS Group. Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. The Reporting Persons ceased to be subject to Section 16 as greater than 10% beneficial owners on August 7, 2020.
F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
MRC GLOBAL INC.
Report date November 13, 2013 · Filed November 15, 2013
Jointly reported with GOLDMAN SACHS GROUP INC, GSCP V ADVISORS, L.L.C., GSCP V OFFSHORE ADVISORS, L.L.C., GS ADVISORS V, L.L.C., GOLDMAN, SACHS MANAGEMENT GP GMBH, GSCP VI Advisors, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Advisors VI, L.L.C., GS CAPITAL PARTNERS V FUND, L.P.
Section 16 reporting ended · disclosed 2013-11-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 7,017 |
Reported balance
After 2013-11-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2013-11-13 · Sale · Disposed 17,489,233 · Balance 7,017 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GSCP V Advisors, L.L.C. ("GSCP V Advisors"), GSCP V Offshore Advisors, L.L.C. ("GSCP V Offshore Advisors"), GS Advisors V, L.L.C. ("GS Advisors V"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GSCP VI Advisors, L.L.C. ("GSCP VI Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP VI Offshore Advisors"), GS Advisors VI, L.L.C. ("GS Advisors VI"), GS Capital Partners V Fund, L.P. ("GS Capital V"), GS Capital Partners V GmbH & Co. KG ("GS Germany V"), GS Capital Partners V Institutional, L.P. ("GS V Institutional") (continued in footnote 2), F2: GS Capital Partners V Offshore Fund, L.P. ("GS V Offshore"), GS Capital Partners VI Fund, L.P. ("GS Capital VI"), GS Capital Partners VI GmbH & Co. KG ("GS Germany VI"), GS Capital Partners VI Offshore Fund, L.P. ("GS VI Offshore"), GS Capital Partners VI Parallel, L.P. ("GS VI Parallel" and, together with GS Capital V, GS Germany V, GS V Institutional, GS V Offshore, GS Capital VI, GS Germany VI and GS VI Offshore, the "Funds" and, together with GS Group, Goldman Sachs, GSCP V Advisors, GSCP V Offshore Advisors, GS Advisors V, GS GmbH, GSCP VI Advisors, GSCP VI Offshore Advisors and GS Advisors VI, collectively, the "Reporting Persons"). F3: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F4: Pursuant to an underwriting agreement, dated November 6, 2013 (the "Underwriting Agreement"), and in connection with the registered public offering (the "Offering") of shares of common stock, par value $0.01 per share (the "Common Stock"), of MRC Global Inc. (the "Company"), pursuant to the prospectus supplement to the prospectus filed by the Company on November 8, 2013 (the "Prospectus Supplement"), which offering was consummated on November 13, 2013, the Funds sold 17,489,233 shares of Common Stock. The public offering price in the Offering of Common Stock was $28.90 per share of Common Stock and the underwriting discount was $0.40 per share of Common Stock. Accordingly, the Reporting Persons sold an aggregate of 17,489,233 shares of Common Stock and received a price per share of $28.50 (which is net of underwriting discounts and commissions) for an aggregate amount of $498,443,140.50. F5: GS Group may be deemed to beneficially own, in the aggregate, 968 shares of restricted stock, consisting of 484 shares of restricted stock granted to each of Christopher A.S. Crampton and John F. Daly in their capacity as directors of the Company pursuant to the Company's 2011 Omnibus Incentive Plan. Messrs. Crampton and Daly, each a managing director of Goldman Sachs, each has an understanding with GS Group pursuant to which he holds such securities for the benefit of GS Group. In addition, an additional 6,049 shares are beneficially owned directly by Goldman Sachs and indirectly by GS Group. Goldman Sachs is the investment manager of certain of the Funds. Goldman Sachs holds an open short position of 48 shares of Common Stock, due to an exempt transaction. F6: The Reporting Persons disclaim beneficial ownership of all shares of Common Stock in excess of their pecuniary interest, if any, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GSCP V Advisors, L.L.C. ("GSCP V Advisors"), GSCP V Offshore Advisors, L.L.C. ("GSCP V Offshore Advisors"), GS Advisors V, L.L.C. ("GS Advisors V"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GSCP VI Advisors, L.L.C. ("GSCP VI Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP VI Offshore Advisors"), GS Advisors VI, L.L.C. ("GS Advisors VI"), GS Capital Partners V Fund, L.P. ("GS Capital V"), GS Capital Partners V GmbH & Co. KG ("GS Germany V"), GS Capital Partners V Institutional, L.P. ("GS V Institutional") (continued in footnote 2),
F2: GS Capital Partners V Offshore Fund, L.P. ("GS V Offshore"), GS Capital Partners VI Fund, L.P. ("GS Capital VI"), GS Capital Partners VI GmbH & Co. KG ("GS Germany VI"), GS Capital Partners VI Offshore Fund, L.P. ("GS VI Offshore"), GS Capital Partners VI Parallel, L.P. ("GS VI Parallel" and, together with GS Capital V, GS Germany V, GS V Institutional, GS V Offshore, GS Capital VI, GS Germany VI and GS VI Offshore, the "Funds" and, together with GS Group, Goldman Sachs, GSCP V Advisors, GSCP V Offshore Advisors, GS Advisors V, GS GmbH, GSCP VI Advisors, GSCP VI Offshore Advisors and GS Advisors VI, collectively, the "Reporting Persons").
F3: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
F4: Pursuant to an underwriting agreement, dated November 6, 2013 (the "Underwriting Agreement"), and in connection with the registered public offering (the "Offering") of shares of common stock, par value $0.01 per share (the "Common Stock"), of MRC Global Inc. (the "Company"), pursuant to the prospectus supplement to the prospectus filed by the Company on November 8, 2013 (the "Prospectus Supplement"), which offering was consummated on November 13, 2013, the Funds sold 17,489,233 shares of Common Stock. The public offering price in the Offering of Common Stock was $28.90 per share of Common Stock and the underwriting discount was $0.40 per share of Common Stock. Accordingly, the Reporting Persons sold an aggregate of 17,489,233 shares of Common Stock and received a price per share of $28.50 (which is net of underwriting discounts and commissions) for an aggregate amount of $498,443,140.50.
F5: GS Group may be deemed to beneficially own, in the aggregate, 968 shares of restricted stock, consisting of 484 shares of restricted stock granted to each of Christopher A.S. Crampton and John F. Daly in their capacity as directors of the Company pursuant to the Company's 2011 Omnibus Incentive Plan. Messrs. Crampton and Daly, each a managing director of Goldman Sachs, each has an understanding with GS Group pursuant to which he holds such securities for the benefit of GS Group. In addition, an additional 6,049 shares are beneficially owned directly by Goldman Sachs and indirectly by GS Group. Goldman Sachs is the investment manager of certain of the Funds. Goldman Sachs holds an open short position of 48 shares of Common Stock, due to an exempt transaction.
F6: The Reporting Persons disclaim beneficial ownership of all shares of Common Stock in excess of their pecuniary interest, if any, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
MYR GROUP INC.
Report date October 30, 2008 · Filed November 03, 2008
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2008-11-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,899,846 |
Reported balance
After 2008-10-30 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2008-10-30 · Sale · Disposed 135,000 · Balance 1,899,846 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). The securities reported herein as indirectly sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to MYR Group Inc. (the "Company"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 1,899,846 shares of the Company's common stock, par value $0.01 per share (the "Common Stock"). Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F3: As of October 30, 2008, the Reporting Persons ceased to beneficially own more than 10% of the Common Stock reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended June 30, 2008 and are therefore no longer subject to Section 16. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). The securities reported herein as indirectly sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to MYR Group Inc. (the "Company"). Goldman Sachs is a wholly-owned subsidiary of GS Group.
F2: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 1,899,846 shares of the Company's common stock, par value $0.01 per share (the "Common Stock"). Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F3: As of October 30, 2008, the Reporting Persons ceased to beneficially own more than 10% of the Common Stock reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended June 30, 2008 and are therefore no longer subject to Section 16.
Meta Platforms, Inc.
Report date May 17, 2012 · Filed May 18, 2012
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2012-05-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 8,971,622 |
Reported balance
After 2012-05-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2012-05-17 · Sale · Disposed 5,243,185 · Balance 8,971,622 F1: In accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998) (the "Release"), this filing reflects the securities beneficially owned by certain operating units (collectively, the "Goldman Sachs Reporting Units") of The Goldman Sachs Group, Inc. and its subsidiaries and affiliates (collectively, "GSG"). This filing does not reflect securities, if any, beneficially owned by any operating units of GSG whose ownership of securities is disaggregated from that of the Goldman Sachs Reporting Units in accordance with the Release. F2: The Goldman Sachs Reporting Units disclaim beneficial ownership of the securities beneficially owned by (i) any client accounts with respect to which the Goldman Sachs Reporting Units or their employees have voting or investment discretion or both, or with respect to which there are limits on their voting or investment authority or both and (ii) certain investment entities of which the Goldman Sachs Reporting Units act as the general partners, managing general partner or other manager, to the extent interests in such entities are held by persons other than the Goldman Sachs Reporting Units. F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F4: Pursuant to an underwriting agreement, dated May 17, 2012 (the "Underwriting Agreement"), and in connection with the registered public offering (the "Offering") of shares of Class A common stock, par value $0.000006 (the "Common Stock"), of Facebook, Inc. (the "Company"), GS Group sold 5,243,185 shares of Common Stock. The public offering price in the Offering was $38.00 per share of Common Stock and the underwriting discount was $0.418 per share of Common Stock. Accordingly, GS Group sold an aggregate of 5,243,185 shares of Common Stock and received a price per share of $37.582 (which is net of the underwriting discount) for an aggregate amount of $197,049,378.67. Following such sale, GS Group beneficially owns directly 8,971,622 shares of Common Stock. F5: The Reporting Persons disclaim beneficial ownership of all shares of Common Stock in excess of their pecuniary interest, if any, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: In accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998) (the "Release"), this filing reflects the securities beneficially owned by certain operating units (collectively, the "Goldman Sachs Reporting Units") of The Goldman Sachs Group, Inc. and its subsidiaries and affiliates (collectively, "GSG"). This filing does not reflect securities, if any, beneficially owned by any operating units of GSG whose ownership of securities is disaggregated from that of the Goldman Sachs Reporting Units in accordance with the Release.
F2: The Goldman Sachs Reporting Units disclaim beneficial ownership of the securities beneficially owned by (i) any client accounts with respect to which the Goldman Sachs Reporting Units or their employees have voting or investment discretion or both, or with respect to which there are limits on their voting or investment authority or both and (ii) certain investment entities of which the Goldman Sachs Reporting Units act as the general partners, managing general partner or other manager, to the extent interests in such entities are held by persons other than the Goldman Sachs Reporting Units.
F3: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group.
F4: Pursuant to an underwriting agreement, dated May 17, 2012 (the "Underwriting Agreement"), and in connection with the registered public offering (the "Offering") of shares of Class A common stock, par value $0.000006 (the "Common Stock"), of Facebook, Inc. (the "Company"), GS Group sold 5,243,185 shares of Common Stock. The public offering price in the Offering was $38.00 per share of Common Stock and the underwriting discount was $0.418 per share of Common Stock. Accordingly, GS Group sold an aggregate of 5,243,185 shares of Common Stock and received a price per share of $37.582 (which is net of the underwriting discount) for an aggregate amount of $197,049,378.67. Following such sale, GS Group beneficially owns directly 8,971,622 shares of Common Stock.
F5: The Reporting Persons disclaim beneficial ownership of all shares of Common Stock in excess of their pecuniary interest, if any, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Mirion Technologies, Inc.
Report date June 04, 2024 · Filed June 06, 2024
Jointly reported with GS Sponsor II LLC, GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2024-06-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 17,793,000 |
Reported balance
After 2024-06-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-06-04 · Other · Acquired 1,768,000 · Balance 17,793,000 F1: On June 5, 2024, GS Sponsor II LLC (the "Sponsor") surrendered to Mirion Technologies, Inc. (the "Issuer") warrants to purchase 8,500,000 shares of the Issuer's Class A Common Stock ("Class A Common Stock") in exchange for 1,768,000 shares of Class A Common Stock. As a result of this exchange, the Reporting Persons ceased to be subject to Section 16 of the Securities Exchange Act of 1934. F2: These securities are or were held by Sponsor. Each of The Goldman Sachs Group, Inc. ("GS Group") and its subsidiary, Goldman, Sachs & Co. LLC ("Goldman Sachs"), may be deemed a beneficial owner of Issuer securities held by Sponsor, but each disclaims beneficial ownership thereof except to the extent of its pecuniary interest, if any. |
| Warrants to Purchase Class A Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 | Direct | 0 |
Reported balance
After 2024-06-04 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-06-04 · Other · Acquired 8,500,000 · Balance 0 F1: On June 5, 2024, GS Sponsor II LLC (the "Sponsor") surrendered to Mirion Technologies, Inc. (the "Issuer") warrants to purchase 8,500,000 shares of the Issuer's Class A Common Stock ("Class A Common Stock") in exchange for 1,768,000 shares of Class A Common Stock. As a result of this exchange, the Reporting Persons ceased to be subject to Section 16 of the Securities Exchange Act of 1934. F4: In connection with the completion of the Issuer's initial public offering, Sponsor purchased an aggregate of 8,500,000 private placement warrants, each exercisable to purchase (subject, initially, to the satisfaction of certain material conditions) one share of the Issuer's Class A Common Stock for $11.50 per share. Certain material conditions to the exercisability of these warrants were satisfied upon the occurrence of the Issuer's initial business combination and these warrants were exercisable (including by cash settlement) 30 days following such date. F2: These securities are or were held by Sponsor. Each of The Goldman Sachs Group, Inc. ("GS Group") and its subsidiary, Goldman, Sachs & Co. LLC ("Goldman Sachs"), may be deemed a beneficial owner of Issuer securities held by Sponsor, but each disclaims beneficial ownership thereof except to the extent of its pecuniary interest, if any. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 2,725,000 |
Reported balance
Holding disclosure · report date 2024-06-04 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,725,000 F3: These securities are held by GS Acquisition Holdings II Employee Participation LLC and GS Acquisition Holdings II Employee Participation 2 LLC (the "Employee Participation Vehicles"). Each of GS Group and Goldman Sachs may be deemed a beneficial owner of Issuer securities held by the Employee Participation Vehicles, but each disclaims beneficial ownership thereof except to the extent of its pecuniary interest, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: On June 5, 2024, GS Sponsor II LLC (the "Sponsor") surrendered to Mirion Technologies, Inc. (the "Issuer") warrants to purchase 8,500,000 shares of the Issuer's Class A Common Stock ("Class A Common Stock") in exchange for 1,768,000 shares of Class A Common Stock. As a result of this exchange, the Reporting Persons ceased to be subject to Section 16 of the Securities Exchange Act of 1934.
F2: These securities are or were held by Sponsor. Each of The Goldman Sachs Group, Inc. ("GS Group") and its subsidiary, Goldman, Sachs & Co. LLC ("Goldman Sachs"), may be deemed a beneficial owner of Issuer securities held by Sponsor, but each disclaims beneficial ownership thereof except to the extent of its pecuniary interest, if any.
F3: These securities are held by GS Acquisition Holdings II Employee Participation LLC and GS Acquisition Holdings II Employee Participation 2 LLC (the "Employee Participation Vehicles"). Each of GS Group and Goldman Sachs may be deemed a beneficial owner of Issuer securities held by the Employee Participation Vehicles, but each disclaims beneficial ownership thereof except to the extent of its pecuniary interest, if any.
F4: In connection with the completion of the Issuer's initial public offering, Sponsor purchased an aggregate of 8,500,000 private placement warrants, each exercisable to purchase (subject, initially, to the satisfaction of certain material conditions) one share of the Issuer's Class A Common Stock for $11.50 per share. Certain material conditions to the exercisability of these warrants were satisfied upon the occurrence of the Issuer's initial business combination and these warrants were exercisable (including by cash settlement) 30 days following such date.
NEIGHBORCARE INC
Report date December 16, 2003 · Filed December 23, 2003
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2003-12-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 4,219,667 |
Last balance in matching sequence
After 2003-12-19 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2003-12-16 · Conversion · Acquired 641,703 · Balance 4,272,667 F2: On December 22, 2003, NeighborCare, Inc. (the "Company") filed an 8-K with the Securities and Exchange Commission announcing that it is exercising its right to convert all of its outstanding Series A Convertible Preferred Stock ("Series A Preferred") into common stock, par value $0.02 per share ("Common Stock") of the Company. For each share of Series A Preferred held, shareholders will receive 8.9375 shares of Common Stock. This conversion ratio includes dividends accrued but unpaid on the Series A Preferred through the date of conversion. The conversion was deemed effective as of December 16, 2003. Accordingly, Goldman, Sachs & Co. ("Goldman Sachs") converted in aggregate 71,799 shares of Series A Preferred, representing all shares of Series A Preferred held by them, excluding accrued pay-in-kind dividends on the Series A Preferred, which have been included in the conversion ratio, into 641,703 shares of Common Stock. F1: As a result of the transactions reported herein, the Reporting Persons ceased to be the owners of more than 10% of the Company's Common Stock (as defined below) reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended June 30, 2003 and the Series A Convertible Preferred Stock reported to be outstanding on the Company's 8-K filed with the Securities and Exchange Commission on December 22, 2003, and are therefore no longer subject to Section 16. F3: The securities reported herein as sold were sold and were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Company. Goldman Sachs beneficially owns directly and The Goldman Sachs Group, Inc. ("GS Group") may be deemed to beneficially own indirectly 4,219,667 shares of Common Stock. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. Row 2 · 2003-12-19 · Sale · Disposed 12,500 · Balance 4,260,167 F1: As a result of the transactions reported herein, the Reporting Persons ceased to be the owners of more than 10% of the Company's Common Stock (as defined below) reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended June 30, 2003 and the Series A Convertible Preferred Stock reported to be outstanding on the Company's 8-K filed with the Securities and Exchange Commission on December 22, 2003, and are therefore no longer subject to Section 16. F2: On December 22, 2003, NeighborCare, Inc. (the "Company") filed an 8-K with the Securities and Exchange Commission announcing that it is exercising its right to convert all of its outstanding Series A Convertible Preferred Stock ("Series A Preferred") into common stock, par value $0.02 per share ("Common Stock") of the Company. For each share of Series A Preferred held, shareholders will receive 8.9375 shares of Common Stock. This conversion ratio includes dividends accrued but unpaid on the Series A Preferred through the date of conversion. The conversion was deemed effective as of December 16, 2003. Accordingly, Goldman, Sachs & Co. ("Goldman Sachs") converted in aggregate 71,799 shares of Series A Preferred, representing all shares of Series A Preferred held by them, excluding accrued pay-in-kind dividends on the Series A Preferred, which have been included in the conversion ratio, into 641,703 shares of Common Stock. F3: The securities reported herein as sold were sold and were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Company. Goldman Sachs beneficially owns directly and The Goldman Sachs Group, Inc. ("GS Group") may be deemed to beneficially own indirectly 4,219,667 shares of Common Stock. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. Row 3 · 2003-12-19 · Sale · Disposed 40,500 · Balance 4,219,667 F1: As a result of the transactions reported herein, the Reporting Persons ceased to be the owners of more than 10% of the Company's Common Stock (as defined below) reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended June 30, 2003 and the Series A Convertible Preferred Stock reported to be outstanding on the Company's 8-K filed with the Securities and Exchange Commission on December 22, 2003, and are therefore no longer subject to Section 16. F2: On December 22, 2003, NeighborCare, Inc. (the "Company") filed an 8-K with the Securities and Exchange Commission announcing that it is exercising its right to convert all of its outstanding Series A Convertible Preferred Stock ("Series A Preferred") into common stock, par value $0.02 per share ("Common Stock") of the Company. For each share of Series A Preferred held, shareholders will receive 8.9375 shares of Common Stock. This conversion ratio includes dividends accrued but unpaid on the Series A Preferred through the date of conversion. The conversion was deemed effective as of December 16, 2003. Accordingly, Goldman, Sachs & Co. ("Goldman Sachs") converted in aggregate 71,799 shares of Series A Preferred, representing all shares of Series A Preferred held by them, excluding accrued pay-in-kind dividends on the Series A Preferred, which have been included in the conversion ratio, into 641,703 shares of Common Stock. F3: The securities reported herein as sold were sold and were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Company. Goldman Sachs beneficially owns directly and The Goldman Sachs Group, Inc. ("GS Group") may be deemed to beneficially own indirectly 4,219,667 shares of Common Stock. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $12.60 | IndirectSee Footnotes | 0 |
Reported balance
After 2003-12-16 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2003-12-16 · Conversion · Disposed 71,799 · Balance 0 F2: On December 22, 2003, NeighborCare, Inc. (the "Company") filed an 8-K with the Securities and Exchange Commission announcing that it is exercising its right to convert all of its outstanding Series A Convertible Preferred Stock ("Series A Preferred") into common stock, par value $0.02 per share ("Common Stock") of the Company. For each share of Series A Preferred held, shareholders will receive 8.9375 shares of Common Stock. This conversion ratio includes dividends accrued but unpaid on the Series A Preferred through the date of conversion. The conversion was deemed effective as of December 16, 2003. Accordingly, Goldman, Sachs & Co. ("Goldman Sachs") converted in aggregate 71,799 shares of Series A Preferred, representing all shares of Series A Preferred held by them, excluding accrued pay-in-kind dividends on the Series A Preferred, which have been included in the conversion ratio, into 641,703 shares of Common Stock. F4: Each share of Series A Preferred is convertible, at any time at the option of the holder, into the number of shares of the Company's Common Stock which results from dividing (x) the liquidation preference of $100 per each such share plus all accrued and unpaid dividends through the date of conversion, which is currently $112.61 by (y) the conversion price per share of $12.60. The Series A Preferred accrues dividends at the annual rate of 6% payable in additional shares of Series A Preferred. The Company has the right to convert all of the shares of Series A Preferred to shares of Common Stock at any time after October 2, 2002, when the average trading price of the Company's Common Stock for 20 consecutive trading days exceeds $18.60 per share. The Series A Preferred are subject to mandatory redemption on October 2, 2010. F1: As a result of the transactions reported herein, the Reporting Persons ceased to be the owners of more than 10% of the Company's Common Stock (as defined below) reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended June 30, 2003 and the Series A Convertible Preferred Stock reported to be outstanding on the Company's 8-K filed with the Securities and Exchange Commission on December 22, 2003, and are therefore no longer subject to Section 16. F3: The securities reported herein as sold were sold and were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Company. Goldman Sachs beneficially owns directly and The Goldman Sachs Group, Inc. ("GS Group") may be deemed to beneficially own indirectly 4,219,667 shares of Common Stock. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.99 · Expires 2011-10-02 | IndirectSee Footnote | 39,134 |
Reported balance
Holding disclosure · report date 2003-12-16 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 39,134 F5: These options were granted pursuant to the Company's 2001 Stock Option Plan to a managing director of Goldman Sachs, in his capacity at the time of grant as a director of the Company. That director has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group. The options are immediately exercisable. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.73 · Expires 2012-10-02 | IndirectSee Footnote | 3,913 |
Reported balance
Holding disclosure · report date 2003-12-16 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 3,913 F5: These options were granted pursuant to the Company's 2001 Stock Option Plan to a managing director of Goldman Sachs, in his capacity at the time of grant as a director of the Company. That director has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group. The options are immediately exercisable. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: As a result of the transactions reported herein, the Reporting Persons ceased to be the owners of more than 10% of the Company's Common Stock (as defined below) reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended June 30, 2003 and the Series A Convertible Preferred Stock reported to be outstanding on the Company's 8-K filed with the Securities and Exchange Commission on December 22, 2003, and are therefore no longer subject to Section 16.
F2: On December 22, 2003, NeighborCare, Inc. (the "Company") filed an 8-K with the Securities and Exchange Commission announcing that it is exercising its right to convert all of its outstanding Series A Convertible Preferred Stock ("Series A Preferred") into common stock, par value $0.02 per share ("Common Stock") of the Company. For each share of Series A Preferred held, shareholders will receive 8.9375 shares of Common Stock. This conversion ratio includes dividends accrued but unpaid on the Series A Preferred through the date of conversion. The conversion was deemed effective as of December 16, 2003. Accordingly, Goldman, Sachs & Co. ("Goldman Sachs") converted in aggregate 71,799 shares of Series A Preferred, representing all shares of Series A Preferred held by them, excluding accrued pay-in-kind dividends on the Series A Preferred, which have been included in the conversion ratio, into 641,703 shares of Common Stock.
F3: The securities reported herein as sold were sold and were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Company. Goldman Sachs beneficially owns directly and The Goldman Sachs Group, Inc. ("GS Group") may be deemed to beneficially own indirectly 4,219,667 shares of Common Stock. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group.
F4: Each share of Series A Preferred is convertible, at any time at the option of the holder, into the number of shares of the Company's Common Stock which results from dividing (x) the liquidation preference of $100 per each such share plus all accrued and unpaid dividends through the date of conversion, which is currently $112.61 by (y) the conversion price per share of $12.60. The Series A Preferred accrues dividends at the annual rate of 6% payable in additional shares of Series A Preferred. The Company has the right to convert all of the shares of Series A Preferred to shares of Common Stock at any time after October 2, 2002, when the average trading price of the Company's Common Stock for 20 consecutive trading days exceeds $18.60 per share. The Series A Preferred are subject to mandatory redemption on October 2, 2010.
F5: These options were granted pursuant to the Company's 2001 Stock Option Plan to a managing director of Goldman Sachs, in his capacity at the time of grant as a director of the Company. That director has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group. The options are immediately exercisable. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group.
NEW ROYAL HOLDCO I INC.
Report date January 23, 2018 · Filed January 26, 2018
Jointly reported with GOLDMAN SACHS GROUP INC, WH ADVISORS, L.L.C. 2007, Whitehall Street Global Real Estate Limited Partnership 2007, W2007 FINANCE SUB, LLC, W2007/ACEP HOLDINGS, LLC
Section 16 reporting ended · disclosed 2018-01-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 80,163 |
Reported balance
After 2018-01-23 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-01-23 · Sale · Disposed 4,046,494 · Balance 80,163 F2: Pursuant to an underwriting agreement, dated January 18, 2018 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of common stock, par value $0.01 per share (the "Common Stock"), of Golden Entertainment, Inc., pursuant to the final prospectus supplement dated January 18, 2018, which offering was consummated on January 23, 2018 (the "Registered Public Offering"), the underwriters purchased and Holdco, as a selling stockholder, sold 4,046,494 shares of Common Stock. F3: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 80,163 shares of Common Stock and Goldman Sachs also has open short positions of 32,182 shares of Common Stock, reflecting changes due to exempt transactions. Affiliates of GS Group are the general partner, managing general partner or other manager of the GS Investing Entities. Goldman Sachs is an investment manager of certain of the GS Investing Entities. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), WH Advisors, L.L.C. 2007 ("WH Advisors"), Whitehall Street Global Real Estate Limited Partnership 2007 ("Whitehall"), W2007 Finance Sub, LLC ("Finance") and W2007/ACEP Holdings, LLC ("Holdco," and together with WH Advisors, Whitehall and Finance, the "GS Investing Entities"). GS Group, Goldman Sachs, WH Advisors, Whitehall, Finance and Holdco are defined collectively, as the "Reporting Persons." F4: The Reporting Persons disclaim beneficial ownership of all shares of Common Stock in excess of their pecuniary interest, if any, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), WH Advisors, L.L.C. 2007 ("WH Advisors"), Whitehall Street Global Real Estate Limited Partnership 2007 ("Whitehall"), W2007 Finance Sub, LLC ("Finance") and W2007/ACEP Holdings, LLC ("Holdco," and together with WH Advisors, Whitehall and Finance, the "GS Investing Entities"). GS Group, Goldman Sachs, WH Advisors, Whitehall, Finance and Holdco are defined collectively, as the "Reporting Persons."
F2: Pursuant to an underwriting agreement, dated January 18, 2018 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of common stock, par value $0.01 per share (the "Common Stock"), of Golden Entertainment, Inc., pursuant to the final prospectus supplement dated January 18, 2018, which offering was consummated on January 23, 2018 (the "Registered Public Offering"), the underwriters purchased and Holdco, as a selling stockholder, sold 4,046,494 shares of Common Stock.
F3: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 80,163 shares of Common Stock and Goldman Sachs also has open short positions of 32,182 shares of Common Stock, reflecting changes due to exempt transactions. Affiliates of GS Group are the general partner, managing general partner or other manager of the GS Investing Entities. Goldman Sachs is an investment manager of certain of the GS Investing Entities.
F4: The Reporting Persons disclaim beneficial ownership of all shares of Common Stock in excess of their pecuniary interest, if any, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
NewPage Holdings Inc.
Report date January 07, 2015 · Filed January 10, 2015
Jointly reported with GOLDMAN SACHS GROUP INC, PAPERCO HOLDINGS II, L.P., PAPERCO INVESTMENTS, L.P., GS Opportunity Partners, L.P., GS OPPORTUNITY PARTNERS OFFSHORE - B, L.P., GS OPPORTUNITY PARTNERS OFFSHORE - C, L.P., GS Opportunity Partners Offshore, L.P., GS OPPORTUNITY ADVISORS, LTD., GS OPPORTUNITY ADVISORS, L.L.C.
Section 16 reporting ended · disclosed 2015-01-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2015-01-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2015-01-07 · Other · Disposed 800,000 · Balance 0 F5: Upon closing of the Merger, each share of Common Stock, par value $0.001 per share (the "Common Stock") of the Company was converted into the right to receive merger consideration equal to its pro rata portion of: i) approximately $4 million in cash; ii) $650 million in principal amount of 11.75% Senior Secured Notes due 2019 to be offered by Verso Paper Holdings LLC and Verso Paper Inc. in connection with the Merger (subject to downward adjustment in certain circumstances in an amount not to exceed $27 million in value); and iii) shares of Verso common stock representing 20% of the number of outstanding Verso shares as of immediately prior to closing of the Merger. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), PaperCo Investments, L.P. ("PaperCo Investments"), PaperCo Holdings II, L.P. ("PaperCo Holdings"), GS Capital Partners VI Fund, L.P. ("GS Capital"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI GmbH & Co. KG ("GS Germany"), GS Opportunity Partners, L.P. ("GS Opportunity"), GS Opportunity Partners Offshore, L.P. ("GS Opportunity Offshore"), GS Opportunity Partners Offshore - B, L.P. ("GS Opportunity Offshore B"), GS Opportunity Partners Offshore - C, L.P. ("GS Opportunity Offshore C" and, together with GS Capital, GS Offshore, GS Parallel, GS Germany, GS Opportunity, GS Opportunity Offshore and GS Opportunity Offshore B, the "Limited Partnerships"), (continued in next footnote) F2: GSCP VI Advisors, L.L.C. ("GSCP Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors VI, L.L.C. ("GS Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Opportunity Advisors, Ltd. ("GS Opportunity Advisors I"), GS Opportunity Advisors, L.L.C. ("GS Opportunity Advisors II" and, together with GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH, GS Opportunity Advisors I, the Limited Partnerships, PaperCo Investments, PaperCo Holdings, Goldman Sachs and GS Group, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any. F3: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F4: On January 3, 2014, NewPage Holdings Inc. (the "Company"), Verso Paper Corp., currently named Verso Corporation ("Verso") and Verso Merger Sub Inc., an indirect, wholly owned subsidiary of Verso ("Merger Sub") entered into an Agreement and Plan of Merger (the "Merger Agreement"), pursuant to which Merger Sub merged with and into the Company on the terms and subject to the conditions set forth in the Merger Agreement, with the Company surviving the merger as an indirect, wholly owned subsidiary of Verso (the "Merger"). The Merger was consummated on January 7, 2015. F6: As a result of the Merger, as of January 7, 2015, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Stock and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), PaperCo Investments, L.P. ("PaperCo Investments"), PaperCo Holdings II, L.P. ("PaperCo Holdings"), GS Capital Partners VI Fund, L.P. ("GS Capital"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI GmbH & Co. KG ("GS Germany"), GS Opportunity Partners, L.P. ("GS Opportunity"), GS Opportunity Partners Offshore, L.P. ("GS Opportunity Offshore"), GS Opportunity Partners Offshore - B, L.P. ("GS Opportunity Offshore B"), GS Opportunity Partners Offshore - C, L.P. ("GS Opportunity Offshore C" and, together with GS Capital, GS Offshore, GS Parallel, GS Germany, GS Opportunity, GS Opportunity Offshore and GS Opportunity Offshore B, the "Limited Partnerships"), (continued in next footnote)
F2: GSCP VI Advisors, L.L.C. ("GSCP Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors VI, L.L.C. ("GS Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Opportunity Advisors, Ltd. ("GS Opportunity Advisors I"), GS Opportunity Advisors, L.L.C. ("GS Opportunity Advisors II" and, together with GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH, GS Opportunity Advisors I, the Limited Partnerships, PaperCo Investments, PaperCo Holdings, Goldman Sachs and GS Group, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any.
F3: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
F4: On January 3, 2014, NewPage Holdings Inc. (the "Company"), Verso Paper Corp., currently named Verso Corporation ("Verso") and Verso Merger Sub Inc., an indirect, wholly owned subsidiary of Verso ("Merger Sub") entered into an Agreement and Plan of Merger (the "Merger Agreement"), pursuant to which Merger Sub merged with and into the Company on the terms and subject to the conditions set forth in the Merger Agreement, with the Company surviving the merger as an indirect, wholly owned subsidiary of Verso (the "Merger"). The Merger was consummated on January 7, 2015.
F5: Upon closing of the Merger, each share of Common Stock, par value $0.001 per share (the "Common Stock") of the Company was converted into the right to receive merger consideration equal to its pro rata portion of: i) approximately $4 million in cash; ii) $650 million in principal amount of 11.75% Senior Secured Notes due 2019 to be offered by Verso Paper Holdings LLC and Verso Paper Inc. in connection with the Merger (subject to downward adjustment in certain circumstances in an amount not to exceed $27 million in value); and iii) shares of Verso common stock representing 20% of the number of outstanding Verso shares as of immediately prior to closing of the Merger.
F6: As a result of the Merger, as of January 7, 2015, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Stock and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended.
OPENLANE, Inc.
Report date August 13, 2013 · Filed August 15, 2013
Jointly reported with GOLDMAN SACHS GROUP INC, GS Capital Partners VI Fund, L.P., GS Capital Partners VI Offshore Fund, L.P., GS Capital Partners VI Parallel LP, GS Capital Partners VI GmbH & Co KG, GSCP VI Advisors, L.L.C., GSCP VI Offshore Advisors, L.L.C., GS Advisors VI, L.L.C., GOLDMAN, SACHS MANAGEMENT GP GMBH
Section 16 reporting ended · disclosed 2013-08-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 10,614,057 |
Reported balance
After 2013-08-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2013-08-13 · Sale · Disposed 4,371,975 · Balance 10,614,057 F2: In connection with the secondary offering (the "Secondary Offering") of common stock, par value $0.01 per share (the "Common Stock"), of KAR Auction Services, Inc. (the "Company") by a selling stockholder pursuant to an underwriting agreement (the "Underwriting Agreement") and final prospectus supplement, each dated August 7, 2013, KAR Holdings II, LLC ("KAR LLC"), as selling stockholder, sold 15,000,000 shares of Common Stock of the Company at $24.25 per share, which represents the $25.00 Secondary Offering price per share of Common Stock, less the underwriting discount of $0.75 per share of Common Stock. The Secondary Offering closed on August 13, 2013. F4: Pursuant to the Underwriting Agreement and in connection with the Secondary Offering, the underwriters exercised their option (the "Over-Allotment Option") to purchase additional shares of Common Stock from the selling stockholder. Goldman Sachs is one of several underwriters under the Underwriting Agreement. The Over-Allotment Option closed simultaneously with the Secondary Offering on August 13, 2013. KAR LLC sold an additional 2,250,000 shares of Common Stock pursuant to the underwriters' exercise of the Over-Allotment Option. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Capital Partners VI Fund, L.P. ("GS Capital"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI GmbH & Co. KG ("GS Germany", and together with GS Capital, GS Offshore and GS Parallel, the "Limited Partnerships"), GSCP VI Advisors, L.L.C. ("GSCP Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors VI, L.L.C. ("GS Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH", and together with GSCP Advisors, GSCP Offshore Advisors, GS Advisors, the Limited Partnerships, Goldman Sachs and GS Group, the "Reporting Persons"). F3: The common interests of KAR LLC are held by a private investor group, which includes the Limited Partnerships. Goldman Sachs is a wholly-owned subsidiary of GS Group. Goldman Sachs is the investment manager of the Limited Partnerships. Affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner or managing partner of the Limited Partnerships. F5: As of August 13, 2013, as a result of the Secondary Offering and the exercise of the Over-Allotment Option, GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 10,614,057 shares of Common Stock of the Company by reason of the indirect beneficial ownership of such shares by the Limited Partnerships. The Limited Partnerships may be deemed to indirectly beneficially own 10,614,057 shares of Common Stock by reason of the direct beneficial ownership of such shares by KAR LLC. F6: As of August 13, 2013, as a result of the Secondary Offering and the exercise of the Over-Allotment Option, GS Capital, and its general partner GSCP Advisors, may be deemed to beneficially own indirectly 4,954,544 shares of Common Stock by reason of the direct beneficial ownership of such shares by KAR LLC. GS Offshore, and its general partner GSCP Offshore Advisors, may be deemed to beneficially own indirectly 4,121,013 shares of Common Stock by reason of the direct beneficial ownership of such shares by KAR LLC. GS Parallel, and its general partner GS Advisors, may be deemed to beneficially own indirectly 1,362,415 shares of Common Stock by reason of the direct beneficial ownership of such shares by KAR LLC. GS Germany, and its general partner GS GmbH, may be deemed to beneficially own indirectly 176,085 shares of Common Stock by reason of the direct beneficial ownership of such shares by KAR LLC. F7: Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Capital Partners VI Fund, L.P. ("GS Capital"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Parallel, L.P. ("GS Parallel"), GS Capital Partners VI GmbH & Co. KG ("GS Germany", and together with GS Capital, GS Offshore and GS Parallel, the "Limited Partnerships"), GSCP VI Advisors, L.L.C. ("GSCP Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors VI, L.L.C. ("GS Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH", and together with GSCP Advisors, GSCP Offshore Advisors, GS Advisors, the Limited Partnerships, Goldman Sachs and GS Group, the "Reporting Persons").
F2: In connection with the secondary offering (the "Secondary Offering") of common stock, par value $0.01 per share (the "Common Stock"), of KAR Auction Services, Inc. (the "Company") by a selling stockholder pursuant to an underwriting agreement (the "Underwriting Agreement") and final prospectus supplement, each dated August 7, 2013, KAR Holdings II, LLC ("KAR LLC"), as selling stockholder, sold 15,000,000 shares of Common Stock of the Company at $24.25 per share, which represents the $25.00 Secondary Offering price per share of Common Stock, less the underwriting discount of $0.75 per share of Common Stock. The Secondary Offering closed on August 13, 2013.
F3: The common interests of KAR LLC are held by a private investor group, which includes the Limited Partnerships. Goldman Sachs is a wholly-owned subsidiary of GS Group. Goldman Sachs is the investment manager of the Limited Partnerships. Affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner or managing partner of the Limited Partnerships.
F4: Pursuant to the Underwriting Agreement and in connection with the Secondary Offering, the underwriters exercised their option (the "Over-Allotment Option") to purchase additional shares of Common Stock from the selling stockholder. Goldman Sachs is one of several underwriters under the Underwriting Agreement. The Over-Allotment Option closed simultaneously with the Secondary Offering on August 13, 2013. KAR LLC sold an additional 2,250,000 shares of Common Stock pursuant to the underwriters' exercise of the Over-Allotment Option.
F5: As of August 13, 2013, as a result of the Secondary Offering and the exercise of the Over-Allotment Option, GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 10,614,057 shares of Common Stock of the Company by reason of the indirect beneficial ownership of such shares by the Limited Partnerships. The Limited Partnerships may be deemed to indirectly beneficially own 10,614,057 shares of Common Stock by reason of the direct beneficial ownership of such shares by KAR LLC.
F6: As of August 13, 2013, as a result of the Secondary Offering and the exercise of the Over-Allotment Option, GS Capital, and its general partner GSCP Advisors, may be deemed to beneficially own indirectly 4,954,544 shares of Common Stock by reason of the direct beneficial ownership of such shares by KAR LLC. GS Offshore, and its general partner GSCP Offshore Advisors, may be deemed to beneficially own indirectly 4,121,013 shares of Common Stock by reason of the direct beneficial ownership of such shares by KAR LLC. GS Parallel, and its general partner GS Advisors, may be deemed to beneficially own indirectly 1,362,415 shares of Common Stock by reason of the direct beneficial ownership of such shares by KAR LLC. GS Germany, and its general partner GS GmbH, may be deemed to beneficially own indirectly 176,085 shares of Common Stock by reason of the direct beneficial ownership of such shares by KAR LLC.
F7: Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
Old QVC Group, Inc.
Report date August 06, 2026 · Filed August 10, 2026
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2026-08-10. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
OneWater Marine Inc.
Report date September 22, 2020 · Filed September 23, 2020
Jointly reported with GOLDMAN SACHS GROUP INC, GSSG Holdings LLC, SPECIAL SITUATIONS INVESTING GROUP II, LLC
Section 16 reporting ended · disclosed 2020-09-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stock, par value $0.01SEC Table I · non-derivative | IndirectSee Footnotes | 1,408 |
Reported balance
After 2020-09-22 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-09-22 · Sale · Disposed 1,013,165 · Balance 1,408 F3: Represents shares sold by SSIG to certain underwriters in connection with a registered offering on Form S-1 (333-248774) and pursuant to the underwriting agreement, dated September 17, 2020, for such offering. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GSSG Holdings LLC ("GSSG"), and Special Situations Investing Group II, LLC ("SSIG") (together, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group, and GSSG is a wholly owned subsidiary of GS Group. SSIG is a wholly owned subsidiary of GSSG. F2: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 1,408 shares of Class A common stock, par value $0.01 per share ("Class A common stock") of OneWater Marine Inc. (the "Issuer"). F4: Each of the Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interests in, such securities for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GSSG Holdings LLC ("GSSG"), and Special Situations Investing Group II, LLC ("SSIG") (together, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group, and GSSG is a wholly owned subsidiary of GS Group. SSIG is a wholly owned subsidiary of GSSG.
F2: Goldman Sachs and GS Group may be deemed to beneficially own indirectly, in the aggregate, 1,408 shares of Class A common stock, par value $0.01 per share ("Class A common stock") of OneWater Marine Inc. (the "Issuer").
F3: Represents shares sold by SSIG to certain underwriters in connection with a registered offering on Form S-1 (333-248774) and pursuant to the underwriting agreement, dated September 17, 2020, for such offering.
F4: Each of the Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interests in, such securities for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, or for any other purpose.
PRIMEENERGY RESOURCES CORP
Report date June 03, 2010 · Filed June 08, 2010
Jointly reported with GOLDMAN SACHS GROUP INC, GS CAPITAL PARTNERS V FUND, L.P., GS CAPITAL PARTNERS V OFFSHORE FUND, L.P., GS CAPITAL PARTNERS V INSTITUTIONAL, L.P., GS CAPITAL PARTNERS V GMBH & CO. KG, GSCP V ADVISORS, L.L.C., GSCP V OFFSHORE ADVISORS, L.L.C., GS ADVISORS V, L.L.C., GOLDMAN, SACHS MANAGEMENT GP GMBH
Section 16 reporting ended · disclosed 2010-06-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.10 par valueSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2010-06-03 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2010-06-03 · Sale · Disposed 623,521 · Balance 0 F4: Reflects changes due to exempt transactions. F1: For text of Footnote 1, see Exhibit 99.1. F2: For text of Footnote 2, see Exhibit 99.1. |
| Obligations to pay sale proceedsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnote | 0 |
Reported balance
After 2010-06-03 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2010-06-03 · Other · Disposed 592,345 · Balance 0 F3: For text of Footnote 3, see Exhibit 99.1. F1: For text of Footnote 1, see Exhibit 99.1. F2: For text of Footnote 2, see Exhibit 99.1. |
Filing footnotes · ownership attribution and instrument terms
F1: For text of Footnote 1, see Exhibit 99.1.
F2: For text of Footnote 2, see Exhibit 99.1.
F3: For text of Footnote 3, see Exhibit 99.1.
F4: Reflects changes due to exempt transactions.
Privia Health Group, Inc.
Report date May 08, 2023 · Filed May 10, 2023
Jointly reported with GOLDMAN SACHS GROUP INC, Bridge Street 2013 Holdings, L.P., Bridge Street 2013 Offshore, L.P., Bridge Street 2013, L.P., Bridge Street Opportunity Advisors, L.L.C., MBD 2013 Holdings, L.P., MBD 2013 Offshore, L.P., Broad Street Principal Investments, L.L.C.
Section 16 reporting ended · disclosed 2023-05-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 110,337 |
Reported balance
After 2023-05-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-05-08 · Sale · Disposed 24,819,473 · Balance 110,337 F1: Pursuant to an underwriting agreement, dated May 4, 2023 (the "Underwriting Agreement"), Broad Street, MBD Holdings and Bridge Street Holdings offered and sold an aggregate 24,819,473 shares of Common Stock as set forth in the final prospectus filed by the Issuer on May 5, 2023, which offering was consummated on May 8, 2023 (the "Offering"). The amount above represents the $22.00 public offering price per share of Common Stock in the Offering less the underwriting discount of $0.385 per share of Common Stock. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), MBD 2013, L.P. ("MBD Onshore"), MBD 2013 Offshore, L.P. ("MBD Offshore"), MBD 2013 Holdings, L.P. ("MBD Holdings"), Broad Street Principal Investments, L.L.C. ("Broad Street"), Bridge Street 2013, L.P. ("Bridge Street Onshore"), Bridge Street 2013 Offshore, L.P. ("Bridge Street Offshore"), Bridge Street 2013 Holdings, L.P. ("Bridge Street Holdings" and, together with MBD Onshore, MBD Offshore, MBD Holdings, Broad Street, Bridge Street Onshore and Bridge Street Offshore, the "GS Funds"), MBD Advisors, L.L.C. ("MBD Advisors"), and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street Advisors" and, together with GS Group, Goldman Sachs, the GS Funds and MBD Advisors, the "Reporting Persons"). F3: Because of the relationships among the Reporting Persons, each of GS Group and Goldman Sachs may be deemed a beneficial owner of all such shares of Common Stock, MBD Advisors, MBD Onshore and MBD Offshore may be deemed a beneficial owner of the shares held by MBD 2013 Holdings and Bridge Street Advisors, Bridge Street Onshore and Bridge Street Offshore may be deemed a beneficial owner of the shares held by Bridge Street Holdings. Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner, managing member or member of the GS Funds. Each of Goldman Sachs and Broad Street is a subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the GS Funds. F4: The Reporting Persons disclaim beneficial ownership of all shares of Common Stock except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F5: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to an underwriting agreement, dated May 4, 2023 (the "Underwriting Agreement"), Broad Street, MBD Holdings and Bridge Street Holdings offered and sold an aggregate 24,819,473 shares of Common Stock as set forth in the final prospectus filed by the Issuer on May 5, 2023, which offering was consummated on May 8, 2023 (the "Offering"). The amount above represents the $22.00 public offering price per share of Common Stock in the Offering less the underwriting discount of $0.385 per share of Common Stock.
F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), MBD 2013, L.P. ("MBD Onshore"), MBD 2013 Offshore, L.P. ("MBD Offshore"), MBD 2013 Holdings, L.P. ("MBD Holdings"), Broad Street Principal Investments, L.L.C. ("Broad Street"), Bridge Street 2013, L.P. ("Bridge Street Onshore"), Bridge Street 2013 Offshore, L.P. ("Bridge Street Offshore"), Bridge Street 2013 Holdings, L.P. ("Bridge Street Holdings" and, together with MBD Onshore, MBD Offshore, MBD Holdings, Broad Street, Bridge Street Onshore and Bridge Street Offshore, the "GS Funds"), MBD Advisors, L.L.C. ("MBD Advisors"), and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street Advisors" and, together with GS Group, Goldman Sachs, the GS Funds and MBD Advisors, the "Reporting Persons").
F3: Because of the relationships among the Reporting Persons, each of GS Group and Goldman Sachs may be deemed a beneficial owner of all such shares of Common Stock, MBD Advisors, MBD Onshore and MBD Offshore may be deemed a beneficial owner of the shares held by MBD 2013 Holdings and Bridge Street Advisors, Bridge Street Onshore and Bridge Street Offshore may be deemed a beneficial owner of the shares held by Bridge Street Holdings. Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner, managing member or member of the GS Funds. Each of Goldman Sachs and Broad Street is a subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the GS Funds.
F4: The Reporting Persons disclaim beneficial ownership of all shares of Common Stock except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F5: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
ProSight Global, Inc.
Report date August 04, 2021 · Filed August 07, 2021
Jointly reported with GOLDMAN SACHS GROUP INC, GS Capital Partners VI Fund, L.P., GS Capital Partners VI Parallel LP, GSCP VI Advisors, L.L.C., GSCP VI Offshore Advisors, L.L.C., ProSight Parallel Investment LLC, ProSight Equity Managment Inc., ProSight Investment LLC, GS Capital Partners VI Offshore Fund, L.P.
Section 16 reporting ended · disclosed 2021-08-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2021-08-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-08-04 · Other · Disposed 17,016,059 · Balance 0 F1: Pursuant to a merger on August 4, 2021 (the "Merger"), each share of common stock of the Issuer was converted into the right to receive $12.85 in cash, in accordance with the Agreement and Plan of Merger, dated as of January 14, 2021 ("Merger Agreement"), entered into among Pedal Parent, Inc. ("Parent"), Pedal Merger Sub, Inc., a wholly-owned subsidiary of Parent, and the Issuer. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GSCP VI Advisors, L.L.C. ("GSCP VI Advisors"), GS Advisors VI, L.L.C. ("GS Advisors VI"), GSCP VI Offshore Advisors, L.L.C. ("GSCP VI Offshore Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Capital Partners VI Fund, L.P. ("GS Capital VI"), GS Capital Partners VI Parallel, L.P. ("GS Capital VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GS VI Offshore"), GS Capital Partners VI GmbH & Co. KG ("GS Germany VI" and, together with GS Capital VI, GS Capital VI Parallel and GS VI Offshore, the "Funds"), (continued in next footnote) F3: ProSight Investment LLC ("ProSight Investment"), ProSight Parallel Investment LLC ("Parallel Investment") and ProSight Equity Management Inc. ("Equity Management"). GS Group, Goldman Sachs, GSCP VI Advisors, GS Advisors VI, GSCP VI Offshore Advisors, GS GmbH, the Funds, ProSight Investment, Parallel Investment and Equity Management are defined collectively as the "Reporting Persons." F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly securities of the Issuer by reason of direct beneficial ownership of such securities by ProSight Investment and Parallel Investment. Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner, managing member or member of the Funds. Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the Funds. F5: ProSight Investment and Parallel Investment had owned directly 14,821,997 and 2,183,019 shares, respectively, of Common Stock, which may be deemed to have been beneficially owned indirectly by their managing member, Equity Management. F6: Shares of Common Stock that correspond to certain of the Funds' membership interests in ProSight Investment may be deemed to be beneficially owned indirectly by: GS Capital VI, which may, in turn, be deemed to be beneficially owned indirectly by its general partner, GSCP VI Offshore Advisors; GS VI Offshore, which may, in turn, be deemed to be beneficially owned indirectly by its general partner GSCP VI Offshore Advisors; and GS Germany VI, which may, in turn, be deemed to be beneficially owned indirectly by its general partner, GS GmbH. F7: Shares of Common Stock that correspond to GS Parallel's membership interests in Parallel Investment may be deemed to be beneficially owned indirectly by GS Parallel, which may, in turn, be deemed to be beneficially owned indirectly by its general partner, GS Advisors VI. F8: The Reporting Persons disclaim beneficial ownership of all securities of the Issuer in excess of their pecuniary interest, if any, and this report shall not be deemed an admission that any such entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2021-08-04 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-08-04 · Other · Disposed 11,043 · Balance 0 F9: Represents vested restricted stock units ("RSUs") previously awarded by the Issuer to Anthony Arnold, a managing director of Goldman Sachs, for his service as a director of the Issuer and held by Mr. Arnold on behalf of GS Group. On August 4, 2021, the RSUs were cancelled pursuant to the Merger Agreement in exchange for an amount in cash equal to the product the number of shares of common stock subject to the award multiplied by $12.85 per share. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GSCP VI Advisors, L.L.C. ("GSCP VI Advisors"), GS Advisors VI, L.L.C. ("GS Advisors VI"), GSCP VI Offshore Advisors, L.L.C. ("GSCP VI Offshore Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Capital Partners VI Fund, L.P. ("GS Capital VI"), GS Capital Partners VI Parallel, L.P. ("GS Capital VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GS VI Offshore"), GS Capital Partners VI GmbH & Co. KG ("GS Germany VI" and, together with GS Capital VI, GS Capital VI Parallel and GS VI Offshore, the "Funds"), (continued in next footnote) F3: ProSight Investment LLC ("ProSight Investment"), ProSight Parallel Investment LLC ("Parallel Investment") and ProSight Equity Management Inc. ("Equity Management"). GS Group, Goldman Sachs, GSCP VI Advisors, GS Advisors VI, GSCP VI Offshore Advisors, GS GmbH, the Funds, ProSight Investment, Parallel Investment and Equity Management are defined collectively as the "Reporting Persons." F8: The Reporting Persons disclaim beneficial ownership of all securities of the Issuer in excess of their pecuniary interest, if any, and this report shall not be deemed an admission that any such entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to a merger on August 4, 2021 (the "Merger"), each share of common stock of the Issuer was converted into the right to receive $12.85 in cash, in accordance with the Agreement and Plan of Merger, dated as of January 14, 2021 ("Merger Agreement"), entered into among Pedal Parent, Inc. ("Parent"), Pedal Merger Sub, Inc., a wholly-owned subsidiary of Parent, and the Issuer.
F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GSCP VI Advisors, L.L.C. ("GSCP VI Advisors"), GS Advisors VI, L.L.C. ("GS Advisors VI"), GSCP VI Offshore Advisors, L.L.C. ("GSCP VI Offshore Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Capital Partners VI Fund, L.P. ("GS Capital VI"), GS Capital Partners VI Parallel, L.P. ("GS Capital VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GS VI Offshore"), GS Capital Partners VI GmbH & Co. KG ("GS Germany VI" and, together with GS Capital VI, GS Capital VI Parallel and GS VI Offshore, the "Funds"), (continued in next footnote)
F3: ProSight Investment LLC ("ProSight Investment"), ProSight Parallel Investment LLC ("Parallel Investment") and ProSight Equity Management Inc. ("Equity Management"). GS Group, Goldman Sachs, GSCP VI Advisors, GS Advisors VI, GSCP VI Offshore Advisors, GS GmbH, the Funds, ProSight Investment, Parallel Investment and Equity Management are defined collectively as the "Reporting Persons."
F4: Goldman Sachs and GS Group may be deemed to beneficially own indirectly securities of the Issuer by reason of direct beneficial ownership of such securities by ProSight Investment and Parallel Investment. Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner, managing member or member of the Funds. Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the Funds.
F5: ProSight Investment and Parallel Investment had owned directly 14,821,997 and 2,183,019 shares, respectively, of Common Stock, which may be deemed to have been beneficially owned indirectly by their managing member, Equity Management.
F6: Shares of Common Stock that correspond to certain of the Funds' membership interests in ProSight Investment may be deemed to be beneficially owned indirectly by: GS Capital VI, which may, in turn, be deemed to be beneficially owned indirectly by its general partner, GSCP VI Offshore Advisors; GS VI Offshore, which may, in turn, be deemed to be beneficially owned indirectly by its general partner GSCP VI Offshore Advisors; and GS Germany VI, which may, in turn, be deemed to be beneficially owned indirectly by its general partner, GS GmbH.
F7: Shares of Common Stock that correspond to GS Parallel's membership interests in Parallel Investment may be deemed to be beneficially owned indirectly by GS Parallel, which may, in turn, be deemed to be beneficially owned indirectly by its general partner, GS Advisors VI.
F8: The Reporting Persons disclaim beneficial ownership of all securities of the Issuer in excess of their pecuniary interest, if any, and this report shall not be deemed an admission that any such entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F9: Represents vested restricted stock units ("RSUs") previously awarded by the Issuer to Anthony Arnold, a managing director of Goldman Sachs, for his service as a director of the Issuer and held by Mr. Arnold on behalf of GS Group. On August 4, 2021, the RSUs were cancelled pursuant to the Merger Agreement in exchange for an amount in cash equal to the product the number of shares of common stock subject to the award multiplied by $12.85 per share.
R H DONNELLEY CORP
Report date January 27, 2006 · Filed January 31, 2006
Jointly reported with GOLDMAN SACHS GROUP INC, GS ADVISORS 2000 LLC, GOLDMAN, SACHS MANAGEMENT GP GMBH, GS EMPLOYEE FUNDS 2000 GP LLC, GS CAPITAL PARTNERS 2000 LP, GS CAPITAL PARTNERS 2000 OFFSHORE LP, GS CAPITAL PARTNERS 2000 GMBH & CO BETEILIGUNGS KG, GS CAPITAL PARTNERS 2000 EMPLOYEE FUND LP
Section 16 reporting ended · disclosed 2006-01-31. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Convertible Cumulative Preferred StockSEC Table II · derivative / convertible security | IndirectSee | 0 |
Reported balance
After 2006-01-27 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2006-01-27 · Sale · Disposed 100,301 · Balance 0 F5: Each share of Preferred Stock (as defined below) was convertible at any time at the option of the holder into a number of fully paid and nonassessable shares of Common Stock equal to $1,000 for each share of Preferred Stock outstanding, plus an amount equal to all accrued but unpaid dividends thereon as of September 30, 2005, divided by $24.05. The Certificate of Designations governing the Preferred Stock contains customary anti-dilution protection for the shares of Preferred Stock. The Preferred Stock was redeemable by the Company, at its option, at any time after January 3, 2013. F6: On January 27, 2006, pursuant to the Stock Purchase and Support Agreement, dated as of October 3, 2005, among the Company, R.H. Donnelley Inc. and the Purchasers, the Purchasers sold the following shares of Convertible Cumulative Preferred Stock ("Preferred Stock") to the Company for $3,351.14 per share: GS Capital sold 55,313 shares of Preferred Stock, which were convertible into 2,857,788 shares of Common Stock; GS Offshore sold 20,098 shares of Preferred Stock, which were convertible into 1,038,378 shares of Common Stock; GS Germany sold 2,311 shares of Preferred Stock, which were convertible into 119,399 shares of Common Stock; GS Employee sold 17,564 shares of Preferred Stock, which were convertible into 907,457 shares of Common Stock; and GS Direct sold 5,015 shares of Preferred Stock, which were convertible into 259,103 shares of Common Stock. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Advisors 2000, L.L.C. ("GS Advisors"), Goldman, Sachs & Co. oHG ("GS oHG"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Employee Funds 2000 GP, L.L.C. ("GS Employee 2000"), GS Capital Partners 2000, L.P. ("GS Capital"), GS Capital Partners 2000 Offshore, L.P. ("GS Offshore"), GS Capital Partners 2000 GmbH & Co. Beteiligungs KG ("GS Germany"), GS Capital Partners 2000 Employee Fund, L.P. ("GS Employee"), Goldman Sachs Direct Investment Fund 2000, L.P. ("GS Direct" and, together with GS Capital, GS Offshore, GS Germany and GS Employee, the "Purchasers") (GS Group, Goldman Sachs, GS Advisors, GS oHG, GS GmbH, GS Employee 2000, and the Purchasers, collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F10: Affiliates of GS Group and Goldman Sachs are the general partners, managing general partners or managing partners of the Purchasers. Goldman Sachs is the investment manager of each of the Purchasers. Goldman Sachs is a direct and indirect wholly owned subsidiary of GS Group. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities owned by the Purchasers except to the extent of their pecuniary interest therein. Each of the Reporting Persons other than Goldman Sachs and GS Group disclaims beneficial ownership of the shares of Common Stock directly owned by Goldman Sachs and GS Group. |
| Common StockSEC Table I · non-derivative | IndirectSee | 12,058 |
Reported balance
Holding disclosure · report date 2006-01-27 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 12,058 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Advisors 2000, L.L.C. ("GS Advisors"), Goldman, Sachs & Co. oHG ("GS oHG"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Employee Funds 2000 GP, L.L.C. ("GS Employee 2000"), GS Capital Partners 2000, L.P. ("GS Capital"), GS Capital Partners 2000 Offshore, L.P. ("GS Offshore"), GS Capital Partners 2000 GmbH & Co. Beteiligungs KG ("GS Germany"), GS Capital Partners 2000 Employee Fund, L.P. ("GS Employee"), Goldman Sachs Direct Investment Fund 2000, L.P. ("GS Direct" and, together with GS Capital, GS Offshore, GS Germany and GS Employee, the "Purchasers") (GS Group, Goldman Sachs, GS Advisors, GS oHG, GS GmbH, GS Employee 2000, and the Purchasers, collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F2: GS Group may be deemed to beneficially own, in aggregate, (i) 9,000 shares of R.H. Donnelley Corporation (the "Company"), common stock, par value $1.00 per share ("Common Stock") which were granted pursuant to the R.H. Donnelley Corporation 2001 Stock Award and Incentive Plan, consisting of grants of 1,500 deferred shares to each of Robert R. Gheewalla, a managing director of Goldman Sachs and Terence M. O'Toole, formerly a managing director of Goldman Sachs, in their capacity as directors of the Company, on the grant dates of January 3, 2003, May 1, 2003 and May 5, 2004 and (ii) 3,000 shares of Common Stock which were granted pursuant to the R.H. Donnelley Corporation 2005 Stock Award and Incentive Plan, consisting of grants of 1,500 deferred shares to each of Robert R. Gheewalla and Terence M. O'Toole, in their capacity as directors of the Company, on the grant date of April 26, 2005. Each grant of 1,500 deferred shares vests in (con't. next footnote) F3: equal annual installments at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders, following the date of grant. F4: Goldman Sachs owns beneficially and directly and GS Group may be deemed to own beneficially and indirectly 58 shares of Common Stock. Goldman Sachs also has open short positions of 9,015 shares of Common Stock. Goldman Sachs is a direct and indirect wholly owned subsidiary of GS Group. Each of the Reporting Persons, other than Goldman Sachs and GS Group, disclaims beneficial ownership of the shares of Common Stock directly owned by Goldman Sachs and GS Group. |
| Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $28.62 · Expires 2008-01-03 | IndirectSee | 1,072,500 |
Reported balance
Holding disclosure · report date 2006-01-27 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 1,072,500 F7: Immediately exercisable. F8: GS Group may be deemed to own beneficially and indirectly an aggregate of 1,650,000 shares of Common Stock by reason of the Purchasers' beneficial ownership of (i) warrants at an exercise price of $28.62 per share ("Warrants") to purchase 1,072,500 shares of Common Stock and (ii) warrants at an exercise of $26.28 per share (the "November Warrants") to purchase 577,500 shares of Common Stock. F9: Goldman Sachs may be deemed to own beneficially and indirectly an aggregate of 1,650,000 shares of Common Stock by reason of the Purchasers' beneficial ownership of (i) Warrants to purchase 1,072,500 shares of Common Stock and (ii) November Warrants to purchase 577,500 shares of Common Stock. F10: Affiliates of GS Group and Goldman Sachs are the general partners, managing general partners or managing partners of the Purchasers. Goldman Sachs is the investment manager of each of the Purchasers. Goldman Sachs is a direct and indirect wholly owned subsidiary of GS Group. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities owned by the Purchasers except to the extent of their pecuniary interest therein. Each of the Reporting Persons other than Goldman Sachs and GS Group disclaims beneficial ownership of the shares of Common Stock directly owned by Goldman Sachs and GS Group. F11: GS Capital may be deemed to own beneficially and directly and its general partner, GS Advisors, may be deemed to own beneficially and indirectly an aggregate of 909,912 shares of Common Stock by reason of GS Capital's beneficial ownership of (i) Warrants to purchase 591,442 shares of Common Stock and (ii) November Warrants to purchase 318,470 shares of Common Stock. GS Advisors disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F12: GS Offshore may be deemed to own beneficially and directly, and its general partner, GS Advisors, may be deemed to own beneficially and indirectly an aggregate of 330,627 shares of Common Stock by reason of GS Offshore's beneficial ownership of (i) Warrants to purchase 214,908 shares of Common Stock and (ii) November Warrants to purchase 115,719 shares of Common Stock. GS Advisors disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F13: GS Germany may be deemed to own beneficially and directly and each of (a) GS GmbH, the managing partner of GS Germany and (b) GS oHG, the sole stockholder of GS GmbH, may be deemed to own beneficially and indirectly an aggregate of 38,032 shares of Common Stock by reason of GS Germany's beneficial ownership of (i) Warrants to purchase 24,721 shares of Common Stock and (ii) November Warrants to purchase 13,311 shares of Common Stock. Each of GS GmbH and GS oHG disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F14: GS Employee may be deemed to own beneficially and directly and its general partner, GS Employee 2000, may be deemed to own beneficially and indirectly an aggregate of 288,929 shares of Common Stock by reason of GS Employee's beneficial ownership of (i) Warrants to purchase 187,804 shares of Common Stock and (ii) November Warrants to purchase 101,125 shares of Common Stock. GS Employee 2000 disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F15: GS Direct may be deemed to own beneficially and directly, and its general partner, GS Employee 2000, may be deemed to own beneficially and indirectly an aggregate of 82,500 shares of Common Stock by reason of GS Direct's beneficial ownership of (i) Warrants to purchase 53,625 shares of Common Stock and (ii) November Warrants to purchase 28,875 shares of Common Stock. GS Employee 2000 disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
| Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $26.28 · Expires 2008-01-03 | IndirectSee | 577,500 |
Reported balance
Holding disclosure · report date 2006-01-27 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 577,500 F7: Immediately exercisable. F8: GS Group may be deemed to own beneficially and indirectly an aggregate of 1,650,000 shares of Common Stock by reason of the Purchasers' beneficial ownership of (i) warrants at an exercise price of $28.62 per share ("Warrants") to purchase 1,072,500 shares of Common Stock and (ii) warrants at an exercise of $26.28 per share (the "November Warrants") to purchase 577,500 shares of Common Stock. F9: Goldman Sachs may be deemed to own beneficially and indirectly an aggregate of 1,650,000 shares of Common Stock by reason of the Purchasers' beneficial ownership of (i) Warrants to purchase 1,072,500 shares of Common Stock and (ii) November Warrants to purchase 577,500 shares of Common Stock. F10: Affiliates of GS Group and Goldman Sachs are the general partners, managing general partners or managing partners of the Purchasers. Goldman Sachs is the investment manager of each of the Purchasers. Goldman Sachs is a direct and indirect wholly owned subsidiary of GS Group. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities owned by the Purchasers except to the extent of their pecuniary interest therein. Each of the Reporting Persons other than Goldman Sachs and GS Group disclaims beneficial ownership of the shares of Common Stock directly owned by Goldman Sachs and GS Group. F11: GS Capital may be deemed to own beneficially and directly and its general partner, GS Advisors, may be deemed to own beneficially and indirectly an aggregate of 909,912 shares of Common Stock by reason of GS Capital's beneficial ownership of (i) Warrants to purchase 591,442 shares of Common Stock and (ii) November Warrants to purchase 318,470 shares of Common Stock. GS Advisors disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F12: GS Offshore may be deemed to own beneficially and directly, and its general partner, GS Advisors, may be deemed to own beneficially and indirectly an aggregate of 330,627 shares of Common Stock by reason of GS Offshore's beneficial ownership of (i) Warrants to purchase 214,908 shares of Common Stock and (ii) November Warrants to purchase 115,719 shares of Common Stock. GS Advisors disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F13: GS Germany may be deemed to own beneficially and directly and each of (a) GS GmbH, the managing partner of GS Germany and (b) GS oHG, the sole stockholder of GS GmbH, may be deemed to own beneficially and indirectly an aggregate of 38,032 shares of Common Stock by reason of GS Germany's beneficial ownership of (i) Warrants to purchase 24,721 shares of Common Stock and (ii) November Warrants to purchase 13,311 shares of Common Stock. Each of GS GmbH and GS oHG disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F14: GS Employee may be deemed to own beneficially and directly and its general partner, GS Employee 2000, may be deemed to own beneficially and indirectly an aggregate of 288,929 shares of Common Stock by reason of GS Employee's beneficial ownership of (i) Warrants to purchase 187,804 shares of Common Stock and (ii) November Warrants to purchase 101,125 shares of Common Stock. GS Employee 2000 disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F15: GS Direct may be deemed to own beneficially and directly, and its general partner, GS Employee 2000, may be deemed to own beneficially and indirectly an aggregate of 82,500 shares of Common Stock by reason of GS Direct's beneficial ownership of (i) Warrants to purchase 53,625 shares of Common Stock and (ii) November Warrants to purchase 28,875 shares of Common Stock. GS Employee 2000 disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.59 · Expires 2010-05-01 | IndirectSee | 1,500 |
Reported balance
Holding disclosure · report date 2006-01-27 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 1,500 F16: These options were granted pursuant to the R.H. Donnelley Corporation 2001 Stock Award and Incentive Plan to Robert R. Gheewalla, a managing director of Goldman Sachs, in his capacity as a director of the Company. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The options become exercisable as follows: one third (500 options) at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders following the date of grant, which was May 1, 2003. Robert R. Gheewalla has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group. |
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.59 · Expires 2010-05-01 | IndirectSee | 1,500 |
Reported balance
Holding disclosure · report date 2006-01-27 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 1,500 F17: These options were granted pursuant to the R.H. Donnelley Corporation 2001 Stock Award and Incentive Plan to Terence M. O'Toole, formerly a managing director of Goldman Sachs, in his capacity as a director of the Company. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The options become exercisable as follows: one third (500 options) at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders following the date of grant, which was May 1, 2003. Terence M. O'Toole has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group. |
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $47.06 · Expires 2011-05-05 | IndirectSee | 1,500 |
Reported balance
Holding disclosure · report date 2006-01-27 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 1,500 F18: These options were granted pursuant to the R.H. Donnelley Corporation 2001 Stock Award and Incentive Plan to Robert R. Gheewalla, a managing director of Goldman Sachs, in his capacity as a director of the Company. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The options become exercisable as follows: one third (500 options) at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders following the date of grant, which was May 5, 2004. Robert R. Gheewalla has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group. |
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $47.06 · Expires 2011-05-05 | IndirectSee | 1,500 |
Reported balance
Holding disclosure · report date 2006-01-27 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 1,500 F19: These options were granted pursuant to the R.H. Donnelley Corporation 2001 Stock Award and Incentive Plan to Terence M. O'Toole, formerly a managing director of Goldman Sachs, in his capacity as a director of the Company. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The options become exercisable as follows: one third (500 options) at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders following the date of grant, which was May 5, 2004. Terence M. O'Toole has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group. |
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.21 · Expires 2013-01-03 | IndirectSee | 1,500 |
Reported balance
Holding disclosure · report date 2006-01-27 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 1,500 F20: These options were granted pursuant to the R.H. Donnelley Corporation 2001 Stock Award and Incentive Plan to Robert R. Gheewalla, a managing director of Goldman Sachs, in his capacity as a director of the Company. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The options become exercisable as follows: one third (500 options) at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders following the date of grant, which was January 3, 2003. Robert R. Gheewalla has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group. |
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.21 · Expires 2013-01-03 | IndirectSee | 1,500 |
Reported balance
Holding disclosure · report date 2006-01-27 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 1,500 F21: These options were granted pursuant to the R.H. Donnelley Corporation 2001 Stock Award and Incentive Plan to Terence M. O'Toole, formerly a managing director of Goldman Sachs, in his capacity as a director of the Company. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The options become exercisable as follows: one third (500 options) at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders following the date of grant, which was January 3, 2003. Terence M. O'Toole has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group. |
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $57.11 · Expires 2012-04-26 | IndirectSee | 1,500 |
Reported balance
Holding disclosure · report date 2006-01-27 · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · Balance 1,500 F22: These options were granted pursuant to the R.H. Donnelley Corporation 2005 Stock Award and Incentive Plan to Robert R. Gheewalla, a managing director of Goldman Sachs, in his capacity as a director of the Company. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The options become exercisable as follows: one third (500 options) at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders following the date of grant, which was April 26, 2005. Robert R. Gheewalla has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group. |
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $57.11 · Expires 2012-04-26 | IndirectSee | 1,500 |
Reported balance
Holding disclosure · report date 2006-01-27 · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · Balance 1,500 F23: These options were granted pursuant to the R.H. Donnelley Corporation 2005 Stock Award and Incentive Plan to Terence M. O'Toole, formerly a managing director of Goldman Sachs in his capacity as a director of the Company. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The options become exercisable as follows: one third (500 options) at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders following the date of grant, which was April 26, 2005. Terence M. O'Toole has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Advisors 2000, L.L.C. ("GS Advisors"), Goldman, Sachs & Co. oHG ("GS oHG"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Employee Funds 2000 GP, L.L.C. ("GS Employee 2000"), GS Capital Partners 2000, L.P. ("GS Capital"), GS Capital Partners 2000 Offshore, L.P. ("GS Offshore"), GS Capital Partners 2000 GmbH & Co. Beteiligungs KG ("GS Germany"), GS Capital Partners 2000 Employee Fund, L.P. ("GS Employee"), Goldman Sachs Direct Investment Fund 2000, L.P. ("GS Direct" and, together with GS Capital, GS Offshore, GS Germany and GS Employee, the "Purchasers") (GS Group, Goldman Sachs, GS Advisors, GS oHG, GS GmbH, GS Employee 2000, and the Purchasers, collectively, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
F2: GS Group may be deemed to beneficially own, in aggregate, (i) 9,000 shares of R.H. Donnelley Corporation (the "Company"), common stock, par value $1.00 per share ("Common Stock") which were granted pursuant to the R.H. Donnelley Corporation 2001 Stock Award and Incentive Plan, consisting of grants of 1,500 deferred shares to each of Robert R. Gheewalla, a managing director of Goldman Sachs and Terence M. O'Toole, formerly a managing director of Goldman Sachs, in their capacity as directors of the Company, on the grant dates of January 3, 2003, May 1, 2003 and May 5, 2004 and (ii) 3,000 shares of Common Stock which were granted pursuant to the R.H. Donnelley Corporation 2005 Stock Award and Incentive Plan, consisting of grants of 1,500 deferred shares to each of Robert R. Gheewalla and Terence M. O'Toole, in their capacity as directors of the Company, on the grant date of April 26, 2005. Each grant of 1,500 deferred shares vests in (con't. next footnote)
F3: equal annual installments at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders, following the date of grant.
F4: Goldman Sachs owns beneficially and directly and GS Group may be deemed to own beneficially and indirectly 58 shares of Common Stock. Goldman Sachs also has open short positions of 9,015 shares of Common Stock. Goldman Sachs is a direct and indirect wholly owned subsidiary of GS Group. Each of the Reporting Persons, other than Goldman Sachs and GS Group, disclaims beneficial ownership of the shares of Common Stock directly owned by Goldman Sachs and GS Group.
F5: Each share of Preferred Stock (as defined below) was convertible at any time at the option of the holder into a number of fully paid and nonassessable shares of Common Stock equal to $1,000 for each share of Preferred Stock outstanding, plus an amount equal to all accrued but unpaid dividends thereon as of September 30, 2005, divided by $24.05. The Certificate of Designations governing the Preferred Stock contains customary anti-dilution protection for the shares of Preferred Stock. The Preferred Stock was redeemable by the Company, at its option, at any time after January 3, 2013.
F6: On January 27, 2006, pursuant to the Stock Purchase and Support Agreement, dated as of October 3, 2005, among the Company, R.H. Donnelley Inc. and the Purchasers, the Purchasers sold the following shares of Convertible Cumulative Preferred Stock ("Preferred Stock") to the Company for $3,351.14 per share: GS Capital sold 55,313 shares of Preferred Stock, which were convertible into 2,857,788 shares of Common Stock; GS Offshore sold 20,098 shares of Preferred Stock, which were convertible into 1,038,378 shares of Common Stock; GS Germany sold 2,311 shares of Preferred Stock, which were convertible into 119,399 shares of Common Stock; GS Employee sold 17,564 shares of Preferred Stock, which were convertible into 907,457 shares of Common Stock; and GS Direct sold 5,015 shares of Preferred Stock, which were convertible into 259,103 shares of Common Stock.
F7: Immediately exercisable.
F8: GS Group may be deemed to own beneficially and indirectly an aggregate of 1,650,000 shares of Common Stock by reason of the Purchasers' beneficial ownership of (i) warrants at an exercise price of $28.62 per share ("Warrants") to purchase 1,072,500 shares of Common Stock and (ii) warrants at an exercise of $26.28 per share (the "November Warrants") to purchase 577,500 shares of Common Stock.
F9: Goldman Sachs may be deemed to own beneficially and indirectly an aggregate of 1,650,000 shares of Common Stock by reason of the Purchasers' beneficial ownership of (i) Warrants to purchase 1,072,500 shares of Common Stock and (ii) November Warrants to purchase 577,500 shares of Common Stock.
F10: Affiliates of GS Group and Goldman Sachs are the general partners, managing general partners or managing partners of the Purchasers. Goldman Sachs is the investment manager of each of the Purchasers. Goldman Sachs is a direct and indirect wholly owned subsidiary of GS Group. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities owned by the Purchasers except to the extent of their pecuniary interest therein. Each of the Reporting Persons other than Goldman Sachs and GS Group disclaims beneficial ownership of the shares of Common Stock directly owned by Goldman Sachs and GS Group.
F11: GS Capital may be deemed to own beneficially and directly and its general partner, GS Advisors, may be deemed to own beneficially and indirectly an aggregate of 909,912 shares of Common Stock by reason of GS Capital's beneficial ownership of (i) Warrants to purchase 591,442 shares of Common Stock and (ii) November Warrants to purchase 318,470 shares of Common Stock. GS Advisors disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F12: GS Offshore may be deemed to own beneficially and directly, and its general partner, GS Advisors, may be deemed to own beneficially and indirectly an aggregate of 330,627 shares of Common Stock by reason of GS Offshore's beneficial ownership of (i) Warrants to purchase 214,908 shares of Common Stock and (ii) November Warrants to purchase 115,719 shares of Common Stock. GS Advisors disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F13: GS Germany may be deemed to own beneficially and directly and each of (a) GS GmbH, the managing partner of GS Germany and (b) GS oHG, the sole stockholder of GS GmbH, may be deemed to own beneficially and indirectly an aggregate of 38,032 shares of Common Stock by reason of GS Germany's beneficial ownership of (i) Warrants to purchase 24,721 shares of Common Stock and (ii) November Warrants to purchase 13,311 shares of Common Stock. Each of GS GmbH and GS oHG disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F14: GS Employee may be deemed to own beneficially and directly and its general partner, GS Employee 2000, may be deemed to own beneficially and indirectly an aggregate of 288,929 shares of Common Stock by reason of GS Employee's beneficial ownership of (i) Warrants to purchase 187,804 shares of Common Stock and (ii) November Warrants to purchase 101,125 shares of Common Stock. GS Employee 2000 disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F15: GS Direct may be deemed to own beneficially and directly, and its general partner, GS Employee 2000, may be deemed to own beneficially and indirectly an aggregate of 82,500 shares of Common Stock by reason of GS Direct's beneficial ownership of (i) Warrants to purchase 53,625 shares of Common Stock and (ii) November Warrants to purchase 28,875 shares of Common Stock. GS Employee 2000 disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F16: These options were granted pursuant to the R.H. Donnelley Corporation 2001 Stock Award and Incentive Plan to Robert R. Gheewalla, a managing director of Goldman Sachs, in his capacity as a director of the Company. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The options become exercisable as follows: one third (500 options) at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders following the date of grant, which was May 1, 2003. Robert R. Gheewalla has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group.
F17: These options were granted pursuant to the R.H. Donnelley Corporation 2001 Stock Award and Incentive Plan to Terence M. O'Toole, formerly a managing director of Goldman Sachs, in his capacity as a director of the Company. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The options become exercisable as follows: one third (500 options) at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders following the date of grant, which was May 1, 2003. Terence M. O'Toole has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group.
F18: These options were granted pursuant to the R.H. Donnelley Corporation 2001 Stock Award and Incentive Plan to Robert R. Gheewalla, a managing director of Goldman Sachs, in his capacity as a director of the Company. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The options become exercisable as follows: one third (500 options) at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders following the date of grant, which was May 5, 2004. Robert R. Gheewalla has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group.
F19: These options were granted pursuant to the R.H. Donnelley Corporation 2001 Stock Award and Incentive Plan to Terence M. O'Toole, formerly a managing director of Goldman Sachs, in his capacity as a director of the Company. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The options become exercisable as follows: one third (500 options) at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders following the date of grant, which was May 5, 2004. Terence M. O'Toole has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group.
F20: These options were granted pursuant to the R.H. Donnelley Corporation 2001 Stock Award and Incentive Plan to Robert R. Gheewalla, a managing director of Goldman Sachs, in his capacity as a director of the Company. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The options become exercisable as follows: one third (500 options) at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders following the date of grant, which was January 3, 2003. Robert R. Gheewalla has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group.
F21: These options were granted pursuant to the R.H. Donnelley Corporation 2001 Stock Award and Incentive Plan to Terence M. O'Toole, formerly a managing director of Goldman Sachs, in his capacity as a director of the Company. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The options become exercisable as follows: one third (500 options) at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders following the date of grant, which was January 3, 2003. Terence M. O'Toole has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group.
F22: These options were granted pursuant to the R.H. Donnelley Corporation 2005 Stock Award and Incentive Plan to Robert R. Gheewalla, a managing director of Goldman Sachs, in his capacity as a director of the Company. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The options become exercisable as follows: one third (500 options) at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders following the date of grant, which was April 26, 2005. Robert R. Gheewalla has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group.
F23: These options were granted pursuant to the R.H. Donnelley Corporation 2005 Stock Award and Incentive Plan to Terence M. O'Toole, formerly a managing director of Goldman Sachs in his capacity as a director of the Company. Goldman Sachs is a direct and indirect wholly-owned subsidiary of GS Group. The options become exercisable as follows: one third (500 options) at the close of business of the day preceding each of the Company's next three Annual Meetings of Shareholders following the date of grant, which was April 26, 2005. Terence M. O'Toole has an understanding with GS Group pursuant to which he holds such options for the benefit of GS Group.
RALPH LAUREN CORP
Report date March 02, 2004 · Filed March 04, 2004
Jointly reported with GOLDMAN SACHS GROUP INC, GS CAPITAL PARTNERS LP, BRIDGE STREET FUND 1994 L P, STONE STREET FUND 1994 L P, GS ADVISORS LLC, STONE STREET 1994 LLC
Section 16 reporting ended · disclosed 2004-03-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 10,573,270 |
Reported balance
After 2004-03-02 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2004-03-02 · Conversion · Acquired 10,570,979 · Balance 10,573,270 F2: In connection with the exercise by the Limited Partnerships of their demand registration rights pursuant to a registration rights agreement, dated as of June 9, 1997, by and among Polo Ralph Lauren Corporation (the "Company") and the other parties signatory thereto, with respect to an aggregate of 10,570,979 shares of Class A Common Stock, the Company filed a registration statement on Form S-3 (Registration No. 333-112730) on February 12, 2004. On February 25, 2004, the Limited Partnerships entered into an underwriting agreement (the "Underwriting Agreement") with the Company and the several underwriters (including Goldman Sachs) party to the Underwriting Agreement (collectively, the "Underwriters"). The Underwriting Agreement provided for the sale by the Limited Partnerships to the Underwriters of 9,192,156 shares of Class A Common Stock (the "Firm Shares") pursuant to an underwritten public offering. F3: In addition, pursuant to the Underwriting Agreement, the Limited Partnerships granted the Underwriters an option (the "Over-Allotment Option"), exercisable within 30 days after the date of the Underwriting Agreement, to purchase, in whole or in part, an additional 1,378,823 shares of Class A Common Stock (the "Option Shares") at the same purchase price per share. On February 26, 2004, the Underwriters elected to exercise the Over-Allotment Option in full. In connection with the sale of the Firm Shares and the Option Shares (the "Offering"), the Limited Partnerships converted all of the shares of Class C Common Stock held by them into shares of Class A Common Stock. The consummation of the Offering occurred on March 2, 2004. Affiliates of Goldman Sachs and GS Group are the general partner or managing general partner of the Limited Partnerships. F4: Accordingly, on March 2, 2004, (i) 9,983,708 shares of Class C Common Stock beneficially owned directly by GSCP were converted into an equal number of Class A Common Stock and GSCP sold 9,983,708 shares of Class A Common Stock in the Offering (ii) 300,393 shares of Class C Common Stock beneficially owned directly by Bridge Street were converted into an equal number of shares of Class A Common Stock and Bridge Street sold 300,393 shares of Class A Common Stock in the Offering, and (iii) 286,878 shares of Class C Common Stock beneficially owned directly by Stone Street were converted into an equal number of shares of Class A Common Stock and Stone Street sold 286,878 shares of Class A Common Stock in the Offering. Affiliates of Goldman Sachs and GS Group are the general partner or managing general partner of the Limited Partnerships. F6: Shares of Class C Common Stock are convertible at any time at the option of the holder into an equal number of shares of Class A Common Stock. F1: This statement is being filed by GS Capital Partners, L.P. ("GSCP"), Bridge Street Fund 1994, L.P. ("Bridge Street"), Stone Street Fund 1994, L.P. ("Stone Street" and, together with GSCP and Bridge Street, the "Limited Partnerships"), Stone Street 1994, L.L.C. ("Stone 1994 LLC"), GS Advisors, L.L.C. ("GS Advisors"), Goldman, Sachs & Co. ("Goldman Sachs") and The Goldman Sachs Group, Inc. ("GS Group" and, together with the Limited Partnerships Stone 1994 LLC, GS Advisors and Goldman Sachs, the "Reporting Persons"). F5: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 2,291 shares of Class A Common Stock. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. The Reporting Persons, other than Goldman Sachs and GS Group, disclaim beneficial ownership of the securities owned directly by Goldman Sachs. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 2,291 |
Reported balance
After 2004-03-02 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2004-03-02 · Sale · Disposed 10,570,979 · Balance 2,291 F2: In connection with the exercise by the Limited Partnerships of their demand registration rights pursuant to a registration rights agreement, dated as of June 9, 1997, by and among Polo Ralph Lauren Corporation (the "Company") and the other parties signatory thereto, with respect to an aggregate of 10,570,979 shares of Class A Common Stock, the Company filed a registration statement on Form S-3 (Registration No. 333-112730) on February 12, 2004. On February 25, 2004, the Limited Partnerships entered into an underwriting agreement (the "Underwriting Agreement") with the Company and the several underwriters (including Goldman Sachs) party to the Underwriting Agreement (collectively, the "Underwriters"). The Underwriting Agreement provided for the sale by the Limited Partnerships to the Underwriters of 9,192,156 shares of Class A Common Stock (the "Firm Shares") pursuant to an underwritten public offering. F3: In addition, pursuant to the Underwriting Agreement, the Limited Partnerships granted the Underwriters an option (the "Over-Allotment Option"), exercisable within 30 days after the date of the Underwriting Agreement, to purchase, in whole or in part, an additional 1,378,823 shares of Class A Common Stock (the "Option Shares") at the same purchase price per share. On February 26, 2004, the Underwriters elected to exercise the Over-Allotment Option in full. In connection with the sale of the Firm Shares and the Option Shares (the "Offering"), the Limited Partnerships converted all of the shares of Class C Common Stock held by them into shares of Class A Common Stock. The consummation of the Offering occurred on March 2, 2004. Affiliates of Goldman Sachs and GS Group are the general partner or managing general partner of the Limited Partnerships. F4: Accordingly, on March 2, 2004, (i) 9,983,708 shares of Class C Common Stock beneficially owned directly by GSCP were converted into an equal number of Class A Common Stock and GSCP sold 9,983,708 shares of Class A Common Stock in the Offering (ii) 300,393 shares of Class C Common Stock beneficially owned directly by Bridge Street were converted into an equal number of shares of Class A Common Stock and Bridge Street sold 300,393 shares of Class A Common Stock in the Offering, and (iii) 286,878 shares of Class C Common Stock beneficially owned directly by Stone Street were converted into an equal number of shares of Class A Common Stock and Stone Street sold 286,878 shares of Class A Common Stock in the Offering. Affiliates of Goldman Sachs and GS Group are the general partner or managing general partner of the Limited Partnerships. F5: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 2,291 shares of Class A Common Stock. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. The Reporting Persons, other than Goldman Sachs and GS Group, disclaim beneficial ownership of the securities owned directly by Goldman Sachs. |
| Class C Common StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2004-03-02 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2004-03-02 · Conversion · Disposed 10,570,979 · Balance 0 F6: Shares of Class C Common Stock are convertible at any time at the option of the holder into an equal number of shares of Class A Common Stock. F2: In connection with the exercise by the Limited Partnerships of their demand registration rights pursuant to a registration rights agreement, dated as of June 9, 1997, by and among Polo Ralph Lauren Corporation (the "Company") and the other parties signatory thereto, with respect to an aggregate of 10,570,979 shares of Class A Common Stock, the Company filed a registration statement on Form S-3 (Registration No. 333-112730) on February 12, 2004. On February 25, 2004, the Limited Partnerships entered into an underwriting agreement (the "Underwriting Agreement") with the Company and the several underwriters (including Goldman Sachs) party to the Underwriting Agreement (collectively, the "Underwriters"). The Underwriting Agreement provided for the sale by the Limited Partnerships to the Underwriters of 9,192,156 shares of Class A Common Stock (the "Firm Shares") pursuant to an underwritten public offering. F3: In addition, pursuant to the Underwriting Agreement, the Limited Partnerships granted the Underwriters an option (the "Over-Allotment Option"), exercisable within 30 days after the date of the Underwriting Agreement, to purchase, in whole or in part, an additional 1,378,823 shares of Class A Common Stock (the "Option Shares") at the same purchase price per share. On February 26, 2004, the Underwriters elected to exercise the Over-Allotment Option in full. In connection with the sale of the Firm Shares and the Option Shares (the "Offering"), the Limited Partnerships converted all of the shares of Class C Common Stock held by them into shares of Class A Common Stock. The consummation of the Offering occurred on March 2, 2004. Affiliates of Goldman Sachs and GS Group are the general partner or managing general partner of the Limited Partnerships. F4: Accordingly, on March 2, 2004, (i) 9,983,708 shares of Class C Common Stock beneficially owned directly by GSCP were converted into an equal number of Class A Common Stock and GSCP sold 9,983,708 shares of Class A Common Stock in the Offering (ii) 300,393 shares of Class C Common Stock beneficially owned directly by Bridge Street were converted into an equal number of shares of Class A Common Stock and Bridge Street sold 300,393 shares of Class A Common Stock in the Offering, and (iii) 286,878 shares of Class C Common Stock beneficially owned directly by Stone Street were converted into an equal number of shares of Class A Common Stock and Stone Street sold 286,878 shares of Class A Common Stock in the Offering. Affiliates of Goldman Sachs and GS Group are the general partner or managing general partner of the Limited Partnerships. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by GS Capital Partners, L.P. ("GSCP"), Bridge Street Fund 1994, L.P. ("Bridge Street"), Stone Street Fund 1994, L.P. ("Stone Street" and, together with GSCP and Bridge Street, the "Limited Partnerships"), Stone Street 1994, L.L.C. ("Stone 1994 LLC"), GS Advisors, L.L.C. ("GS Advisors"), Goldman, Sachs & Co. ("Goldman Sachs") and The Goldman Sachs Group, Inc. ("GS Group" and, together with the Limited Partnerships Stone 1994 LLC, GS Advisors and Goldman Sachs, the "Reporting Persons").
F2: In connection with the exercise by the Limited Partnerships of their demand registration rights pursuant to a registration rights agreement, dated as of June 9, 1997, by and among Polo Ralph Lauren Corporation (the "Company") and the other parties signatory thereto, with respect to an aggregate of 10,570,979 shares of Class A Common Stock, the Company filed a registration statement on Form S-3 (Registration No. 333-112730) on February 12, 2004. On February 25, 2004, the Limited Partnerships entered into an underwriting agreement (the "Underwriting Agreement") with the Company and the several underwriters (including Goldman Sachs) party to the Underwriting Agreement (collectively, the "Underwriters"). The Underwriting Agreement provided for the sale by the Limited Partnerships to the Underwriters of 9,192,156 shares of Class A Common Stock (the "Firm Shares") pursuant to an underwritten public offering.
F3: In addition, pursuant to the Underwriting Agreement, the Limited Partnerships granted the Underwriters an option (the "Over-Allotment Option"), exercisable within 30 days after the date of the Underwriting Agreement, to purchase, in whole or in part, an additional 1,378,823 shares of Class A Common Stock (the "Option Shares") at the same purchase price per share. On February 26, 2004, the Underwriters elected to exercise the Over-Allotment Option in full. In connection with the sale of the Firm Shares and the Option Shares (the "Offering"), the Limited Partnerships converted all of the shares of Class C Common Stock held by them into shares of Class A Common Stock. The consummation of the Offering occurred on March 2, 2004. Affiliates of Goldman Sachs and GS Group are the general partner or managing general partner of the Limited Partnerships.
F4: Accordingly, on March 2, 2004, (i) 9,983,708 shares of Class C Common Stock beneficially owned directly by GSCP were converted into an equal number of Class A Common Stock and GSCP sold 9,983,708 shares of Class A Common Stock in the Offering (ii) 300,393 shares of Class C Common Stock beneficially owned directly by Bridge Street were converted into an equal number of shares of Class A Common Stock and Bridge Street sold 300,393 shares of Class A Common Stock in the Offering, and (iii) 286,878 shares of Class C Common Stock beneficially owned directly by Stone Street were converted into an equal number of shares of Class A Common Stock and Stone Street sold 286,878 shares of Class A Common Stock in the Offering. Affiliates of Goldman Sachs and GS Group are the general partner or managing general partner of the Limited Partnerships.
F5: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 2,291 shares of Class A Common Stock. Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. The Reporting Persons, other than Goldman Sachs and GS Group, disclaim beneficial ownership of the securities owned directly by Goldman Sachs.
F6: Shares of Class C Common Stock are convertible at any time at the option of the holder into an equal number of shares of Class A Common Stock.
RECKSON ASSOCIATES REALTY CORP
Report date October 15, 2003 · Filed October 17, 2003
Jointly reported with GOLDMAN SACHS GROUP INC, GOLDMAN SACHS INTERNATIONAL
Section 16 reporting ended · disclosed 2003-10-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 51,666 |
Reported balance
After 2003-10-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2003-10-15 · Purchase · Acquired 950,000 · Balance 51,666 F1: The securities reported herein as purchased and sold were purchased and sold and were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Company (as defined below). Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. As of October 15, 2003, the Reporting Persons ceased to be the owners of more than 10% of the shares of the Class B Common Stock (as defined below) reported to be outstanding in the Company's (as defined below) Quarterly Report on Form 10-Q for the period ended June 30, 2003, and are therefore no longer subject to Section 16. F2: Goldman Sachs beneficially owns directly and The Goldman Sachs Group, Inc. ("GS Group") may be deemed to beneficially own indirectly 41,483 shares of Class A Common Stock of Reckson Associates Realty Corp. ("Class A Common Stock"), which reflects exempt acquisitions and dispositions for a net decrease of 2,757 shares of Class A Common Stock, in connection with basket transactions, and 839,300 shares of Class B Common Stock of Reckson Associates Realty Corp. ("Class B Common Stock"). Goldman Sachs also has open short positions of 839,403 shares of Class A Common Stock, which includes exempt closing of a net position of 1,621 shares of Class A Common Stock in connection with basket transactions, in addition to the transaction reported on Table I of this Form 4. The Reporting Persons, other than Goldman Sachs and GS Group, disclaim beneficial ownership of the securities owned by Goldman Sachs. F3: Goldman Sachs International ("GSI") beneficially owns directly and GS Group may be deemed to beneficially own indirectly 10,183 shares of Class A Common Stock, which reflects exempt acquisitions and dispositions for a net increase of 2,409 shares of Class A Common Stock in connection with basket transactions. GSI also has open short positions of 661 shares of Class A Common Stock. GSI is an indirect wholly-owned subsidiary of GS Group. The Reporting Persons, other than GSI and GS Group, disclaim beneficial ownership of the securities owned by GSI. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 839,300 |
Reported balance
After 2003-10-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2003-10-15 · Sale · Disposed 950,000 · Balance 839,300 F4: The shares of Class B Common Stock are exchangeable at any time, at the option of the holder, into an equal number of shares of Class A Common Stock, subject to customary antidilution adjustments. Reckson Associates Realty Corp. (the "Company"), at its option, may redeem any or all of the Class B Common Stock in exchange for an equal number of shares of the Company's Class A Common stock at any time following November 23, 2003 at which time the Company anticipates that it will exercise its option to redeem all of its Class B Common Stock outstanding. F1: The securities reported herein as purchased and sold were purchased and sold and were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Company (as defined below). Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. As of October 15, 2003, the Reporting Persons ceased to be the owners of more than 10% of the shares of the Class B Common Stock (as defined below) reported to be outstanding in the Company's (as defined below) Quarterly Report on Form 10-Q for the period ended June 30, 2003, and are therefore no longer subject to Section 16. F2: Goldman Sachs beneficially owns directly and The Goldman Sachs Group, Inc. ("GS Group") may be deemed to beneficially own indirectly 41,483 shares of Class A Common Stock of Reckson Associates Realty Corp. ("Class A Common Stock"), which reflects exempt acquisitions and dispositions for a net decrease of 2,757 shares of Class A Common Stock, in connection with basket transactions, and 839,300 shares of Class B Common Stock of Reckson Associates Realty Corp. ("Class B Common Stock"). Goldman Sachs also has open short positions of 839,403 shares of Class A Common Stock, which includes exempt closing of a net position of 1,621 shares of Class A Common Stock in connection with basket transactions, in addition to the transaction reported on Table I of this Form 4. The Reporting Persons, other than Goldman Sachs and GS Group, disclaim beneficial ownership of the securities owned by Goldman Sachs. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities reported herein as purchased and sold were purchased and sold and were beneficially owned directly by Goldman, Sachs & Co. ("Goldman Sachs"). Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to the Company (as defined below). Goldman Sachs is an indirect wholly-owned subsidiary of GS Group. As of October 15, 2003, the Reporting Persons ceased to be the owners of more than 10% of the shares of the Class B Common Stock (as defined below) reported to be outstanding in the Company's (as defined below) Quarterly Report on Form 10-Q for the period ended June 30, 2003, and are therefore no longer subject to Section 16.
F2: Goldman Sachs beneficially owns directly and The Goldman Sachs Group, Inc. ("GS Group") may be deemed to beneficially own indirectly 41,483 shares of Class A Common Stock of Reckson Associates Realty Corp. ("Class A Common Stock"), which reflects exempt acquisitions and dispositions for a net decrease of 2,757 shares of Class A Common Stock, in connection with basket transactions, and 839,300 shares of Class B Common Stock of Reckson Associates Realty Corp. ("Class B Common Stock"). Goldman Sachs also has open short positions of 839,403 shares of Class A Common Stock, which includes exempt closing of a net position of 1,621 shares of Class A Common Stock in connection with basket transactions, in addition to the transaction reported on Table I of this Form 4. The Reporting Persons, other than Goldman Sachs and GS Group, disclaim beneficial ownership of the securities owned by Goldman Sachs.
F3: Goldman Sachs International ("GSI") beneficially owns directly and GS Group may be deemed to beneficially own indirectly 10,183 shares of Class A Common Stock, which reflects exempt acquisitions and dispositions for a net increase of 2,409 shares of Class A Common Stock in connection with basket transactions. GSI also has open short positions of 661 shares of Class A Common Stock. GSI is an indirect wholly-owned subsidiary of GS Group. The Reporting Persons, other than GSI and GS Group, disclaim beneficial ownership of the securities owned by GSI.
F4: The shares of Class B Common Stock are exchangeable at any time, at the option of the holder, into an equal number of shares of Class A Common Stock, subject to customary antidilution adjustments. Reckson Associates Realty Corp. (the "Company"), at its option, may redeem any or all of the Class B Common Stock in exchange for an equal number of shares of the Company's Class A Common stock at any time following November 23, 2003 at which time the Company anticipates that it will exercise its option to redeem all of its Class B Common Stock outstanding.
REPUBLIC AIRWAYS HOLDINGS INC.
Report date February 12, 2009 · Filed February 18, 2009
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2009-02-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, No Par ValueSEC Table I · non-derivative | IndirectSee footnote | 11,617,556 |
Last balance in matching sequence
After 2009-02-13 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2009-02-12 · Purchase · Acquired 528,900 · Balance 14,751,556 F2: Reflects the purchase of 528,900 shares of the Comany's common stock, no par value per share (the "Common Stock") by Goldman Sachs at a weighted average purchase price of $0.0486 per share, at prices ranging from $0.0400 to $0.0605 per share. F6: The Reporting Persons will provide, upon request by the staff of the Securities and Exchange Commission (the "Commission"), the Company, or a security holder of the Company, full information regarding the number of shares purchased or sold at each separate price. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). The securities reported herein as indirectly purchased or sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to Mesa Air Group, Inc. (the "Company"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Row 2 · 2009-02-12 · Sale · Disposed 3,141,000 · Balance 11,610,556 F3: Reflects the sale of 3,141,000 shares of Common Stock by Goldman Sachs at a weighted average sale price of $0.0461 per share, at prices ranging from $0.0400 to $0.0605 per share. F6: The Reporting Persons will provide, upon request by the staff of the Securities and Exchange Commission (the "Commission"), the Company, or a security holder of the Company, full information regarding the number of shares purchased or sold at each separate price. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). The securities reported herein as indirectly purchased or sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to Mesa Air Group, Inc. (the "Company"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Row 3 · 2009-02-13 · Purchase · Acquired 7,000 · Balance 11,617,556 F4: Reflects the purchase of 7,000 shares of Common Stock by Goldman Sachs at a weighted average purchase price of $0.0415 per share, at prices ranging from $0.0401 to $0.0499 per share. F6: The Reporting Persons will provide, upon request by the staff of the Securities and Exchange Commission (the "Commission"), the Company, or a security holder of the Company, full information regarding the number of shares purchased or sold at each separate price. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). The securities reported herein as indirectly purchased or sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to Mesa Air Group, Inc. (the "Company"). Goldman Sachs is a wholly-owned subsidiary of GS Group. |
| Common Stock, No Par ValueSEC Table I · non-derivative | IndirectSee footnotes | 10,109,356 |
Reported balance
After 2009-02-13 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2009-02-13 · Sale · Disposed 1,508,200 · Balance 10,109,356 F5: Reflects the sale of 1,508,200 shares of Common Stock by Goldman Sachs at a weighted average sale price of $0.0403 per share, at prices ranging from $0.0400 to $0.0499 per share. F6: The Reporting Persons will provide, upon request by the staff of the Securities and Exchange Commission (the "Commission"), the Company, or a security holder of the Company, full information regarding the number of shares purchased or sold at each separate price. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). The securities reported herein as indirectly purchased or sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to Mesa Air Group, Inc. (the "Company"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F7: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 10,109,356 shares of Common Stock. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F8: As of February 13, 2009, the Reporting Persons ceased to beneficially own more than 10% of the shares of Common Stock outstanding per the information reported in the Company's Current Report on Form 8-K filed with the Commission on February 12, 2009, and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). The securities reported herein as indirectly purchased or sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to Mesa Air Group, Inc. (the "Company"). Goldman Sachs is a wholly-owned subsidiary of GS Group.
F2: Reflects the purchase of 528,900 shares of the Comany's common stock, no par value per share (the "Common Stock") by Goldman Sachs at a weighted average purchase price of $0.0486 per share, at prices ranging from $0.0400 to $0.0605 per share.
F3: Reflects the sale of 3,141,000 shares of Common Stock by Goldman Sachs at a weighted average sale price of $0.0461 per share, at prices ranging from $0.0400 to $0.0605 per share.
F4: Reflects the purchase of 7,000 shares of Common Stock by Goldman Sachs at a weighted average purchase price of $0.0415 per share, at prices ranging from $0.0401 to $0.0499 per share.
F5: Reflects the sale of 1,508,200 shares of Common Stock by Goldman Sachs at a weighted average sale price of $0.0403 per share, at prices ranging from $0.0400 to $0.0499 per share.
F6: The Reporting Persons will provide, upon request by the staff of the Securities and Exchange Commission (the "Commission"), the Company, or a security holder of the Company, full information regarding the number of shares purchased or sold at each separate price.
F7: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 10,109,356 shares of Common Stock. Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F8: As of February 13, 2009, the Reporting Persons ceased to beneficially own more than 10% of the shares of Common Stock outstanding per the information reported in the Company's Current Report on Form 8-K filed with the Commission on February 12, 2009, and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended.
Rekor Systems, Inc.
Report date May 12, 2021 · Filed May 20, 2021
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2021-05-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,936,957.64 |
Last balance in matching sequence
After 2021-05-12 transaction · row 7
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
7 source rowsRow 1 · 2021-05-12 · Purchase · Acquired 25 · Balance 4,334,477.64 F1: The amount of profit, if any, potentially recoverable by Rekor Systems, Inc. (the "Issuer") from the reported transactions will be remitted to the Issuer. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F3: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 2 · 2021-05-12 · Purchase · Acquired 1,500 · Balance 4,335,977.64 F1: The amount of profit, if any, potentially recoverable by Rekor Systems, Inc. (the "Issuer") from the reported transactions will be remitted to the Issuer. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F3: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 3 · 2021-05-12 · Purchase · Acquired 375 · Balance 4,336,352.64 F1: The amount of profit, if any, potentially recoverable by Rekor Systems, Inc. (the "Issuer") from the reported transactions will be remitted to the Issuer. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F3: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 4 · 2021-05-12 · Purchase · Acquired 500 · Balance 4,336,852.64 F1: The amount of profit, if any, potentially recoverable by Rekor Systems, Inc. (the "Issuer") from the reported transactions will be remitted to the Issuer. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F3: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 5 · 2021-05-12 · Purchase · Acquired 80 · Balance 4,336,932.64 F1: The amount of profit, if any, potentially recoverable by Rekor Systems, Inc. (the "Issuer") from the reported transactions will be remitted to the Issuer. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F3: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 6 · 2021-05-12 · Purchase · Acquired 25 · Balance 4,336,957.64 F1: The amount of profit, if any, potentially recoverable by Rekor Systems, Inc. (the "Issuer") from the reported transactions will be remitted to the Issuer. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F3: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 7 · 2021-05-12 · Sale · Disposed 400,000 · Balance 3,936,957.64 F1: The amount of profit, if any, potentially recoverable by Rekor Systems, Inc. (the "Issuer") from the reported transactions will be remitted to the Issuer. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F3: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: The amount of profit, if any, potentially recoverable by Rekor Systems, Inc. (the "Issuer") from the reported transactions will be remitted to the Issuer.
F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F3: The Common Stock of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group.
SYNTEC OPTICS HOLDINGS, INC.
Report date January 19, 2023 · Filed January 23, 2023
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2023-01-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| WarrantsSEC Table II · derivative / convertible security | IndirectSee Footnote | 46,219 |
Reported balance
After 2023-01-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-01-19 · Sale · Disposed 140,000 · Balance 46,219 F1: Each warrant of Omnilit Acquisition Corp. (the "Issuer") entitles the holder to purchase one share of Class A Common Stock at $11.50. The warrants become exercisable on the later of 30 days after the completion of the initial Business Combination or 12 months from the closing of the IPO and expire five years after the completion of the initial Business Combination. F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F3: The warrants of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: Each warrant of Omnilit Acquisition Corp. (the "Issuer") entitles the holder to purchase one share of Class A Common Stock at $11.50. The warrants become exercisable on the later of 30 days after the completion of the initial Business Combination or 12 months from the closing of the IPO and expire five years after the completion of the initial Business Combination.
F2: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F3: The warrants of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group.
Smartbird, Inc.
Report date November 23, 2021 · Filed November 26, 2021
Jointly reported with GOLDMAN SACHS GROUP INC, GOLDMAN SACHS INTERNATIONAL
Section 16 reporting ended · disclosed 2021-11-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 2,981,684.65 |
Last balance in matching sequence
After 2021-11-23 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2021-11-23 · Sale · Disposed 15,263 · Balance 2,989,921.65 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs") and Goldman Sachs International ("GSI", together with GS Group, and Goldman Sachs, the "Reporting Persons"). Goldman Sachs and GSI are both subsidiaries of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.49 to $19.31, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2), (4) and (5) to this Form 4. F3: GS Group may be deemed to beneficially own indirectly, the number of shares of common stock of the Issuer (the "Common Stock") reported as held by GSI and/or Goldman Sachs, respectively. Goldman Sachs, GSI and GS Group may be deemed to beneficially own indirectly, in the aggregate, 2,981,684.65 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 171,792 shares of Common Stock held by GSI and (ii) 2,809,892.65 shares of Common Stock held by Goldman Sachs. Row 2 · 2021-11-23 · Sale · Disposed 6,963 · Balance 2,982,958.65 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs") and Goldman Sachs International ("GSI", together with GS Group, and Goldman Sachs, the "Reporting Persons"). Goldman Sachs and GSI are both subsidiaries of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.49 to $19.71, inclusive. F3: GS Group may be deemed to beneficially own indirectly, the number of shares of common stock of the Issuer (the "Common Stock") reported as held by GSI and/or Goldman Sachs, respectively. Goldman Sachs, GSI and GS Group may be deemed to beneficially own indirectly, in the aggregate, 2,981,684.65 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 171,792 shares of Common Stock held by GSI and (ii) 2,809,892.65 shares of Common Stock held by Goldman Sachs. Row 3 · 2021-11-23 · Sale · Disposed 1,274 · Balance 2,981,684.65 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs") and Goldman Sachs International ("GSI", together with GS Group, and Goldman Sachs, the "Reporting Persons"). Goldman Sachs and GSI are both subsidiaries of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.31 to $21.11, inclusive. F3: GS Group may be deemed to beneficially own indirectly, the number of shares of common stock of the Issuer (the "Common Stock") reported as held by GSI and/or Goldman Sachs, respectively. Goldman Sachs, GSI and GS Group may be deemed to beneficially own indirectly, in the aggregate, 2,981,684.65 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 171,792 shares of Common Stock held by GSI and (ii) 2,809,892.65 shares of Common Stock held by Goldman Sachs. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs") and Goldman Sachs International ("GSI", together with GS Group, and Goldman Sachs, the "Reporting Persons"). Goldman Sachs and GSI are both subsidiaries of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.49 to $19.31, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2), (4) and (5) to this Form 4.
F3: GS Group may be deemed to beneficially own indirectly, the number of shares of common stock of the Issuer (the "Common Stock") reported as held by GSI and/or Goldman Sachs, respectively. Goldman Sachs, GSI and GS Group may be deemed to beneficially own indirectly, in the aggregate, 2,981,684.65 shares of the Common Stock of the Issuer by reason of the direct or indirect beneficial ownership of such shares as follows: (i) 171,792 shares of Common Stock held by GSI and (ii) 2,809,892.65 shares of Common Stock held by Goldman Sachs.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.49 to $19.71, inclusive.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.31 to $21.11, inclusive.
Sterling Check Corp.
Report date October 31, 2024 · Filed November 04, 2024
Jointly reported with GOLDMAN SACHS GROUP INC, Broad Street Control Advisors, L.L.C., Checkers Control Partnership, L.P., Broad Street Principal Investments, L.L.C.
Section 16 reporting ended · disclosed 2024-11-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2024-10-31 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-10-31 · Sale · Disposed 49,807,744 · Balance 0 F1: The shares of Company common stock ("Company Common Stock") were disposed of pursuant to the Agreement and Plan of Merger, dated as of February 28, 2024 (the "Merger Agreement"), by and among Sterling Check Corp., a Delaware corporation (the "Company"), First Advantage Corporation, a Delaware corporation ("Parent"), and Starter Merger Sub, Inc., a Delaware corporation and an indirect wholly-owned subsidiary of Parent, whereby at the effective time of the merger contemplated therein (the "Effective Time"), [Footnote continued below] F2: [Footnote continued from above] each share of Company Common Stock issued and outstanding immediately prior to the Effective Time was converted into the right to receive, at the election of the holder of such share of Company Common Stock, and subject to proration in accordance with the Merger Agreement: (i) $16.73 per share in cash, without interest (the "Cash Consideration") or (ii) 0.979 shares of common stock, par value $0.001 per share, of Parent, together with cash in lieu of fractional shares, if any, at the rate per share of common stock of Parent of the last reported sale price of common stock of Parent on NASDAQ (as reported in The Wall Street Journal or, if not reported therein, in another authoritative source mutually selected by Parent and the Company) on the last complete trading day prior to the date of the Effective Time (the "Stock Consideration"). F3: Each of Goldman Sachs, BSPI and BSCA (each as defined below) is a wholly owned subsidiary of GS Group (as defined below). Goldman Sachs is the manager of each of BSPI and BSCA and the investment manager of Checkers. BSCA is the general partner of Checkers. Because of the relationships among the Reporting Persons, each of GS Group and Goldman Sachs may be deemed a beneficial owner of Common Stock held by Checkers, BSPI and BSCA, and BSCA may be deemed a beneficial owner of Common Stock held by Checkers. F4: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), Checkers Control Partnership, L.P. ("Checkers"), and Broad Street Control Advisors, L.L.C. ("BSCA" and, together with GS Group, Goldman Sachs, BSPI and Checkers, the "Reporting Persons"). F5: Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F6: As of October 31, 2024, after giving effect to the sale described in this Form 4, each of Checkers, BSPI and BSCA holds 0 shares of Company Common Stock. As of October 31, 2024, GS Group and Goldman Sachs are deemed to beneficially own 0 shares of Company Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Company common stock ("Company Common Stock") were disposed of pursuant to the Agreement and Plan of Merger, dated as of February 28, 2024 (the "Merger Agreement"), by and among Sterling Check Corp., a Delaware corporation (the "Company"), First Advantage Corporation, a Delaware corporation ("Parent"), and Starter Merger Sub, Inc., a Delaware corporation and an indirect wholly-owned subsidiary of Parent, whereby at the effective time of the merger contemplated therein (the "Effective Time"), [Footnote continued below]
F2: [Footnote continued from above] each share of Company Common Stock issued and outstanding immediately prior to the Effective Time was converted into the right to receive, at the election of the holder of such share of Company Common Stock, and subject to proration in accordance with the Merger Agreement: (i) $16.73 per share in cash, without interest (the "Cash Consideration") or (ii) 0.979 shares of common stock, par value $0.001 per share, of Parent, together with cash in lieu of fractional shares, if any, at the rate per share of common stock of Parent of the last reported sale price of common stock of Parent on NASDAQ (as reported in The Wall Street Journal or, if not reported therein, in another authoritative source mutually selected by Parent and the Company) on the last complete trading day prior to the date of the Effective Time (the "Stock Consideration").
F3: Each of Goldman Sachs, BSPI and BSCA (each as defined below) is a wholly owned subsidiary of GS Group (as defined below). Goldman Sachs is the manager of each of BSPI and BSCA and the investment manager of Checkers. BSCA is the general partner of Checkers. Because of the relationships among the Reporting Persons, each of GS Group and Goldman Sachs may be deemed a beneficial owner of Common Stock held by Checkers, BSPI and BSCA, and BSCA may be deemed a beneficial owner of Common Stock held by Checkers.
F4: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), Broad Street Principal Investments, L.L.C. ("BSPI"), Checkers Control Partnership, L.P. ("Checkers"), and Broad Street Control Advisors, L.L.C. ("BSCA" and, together with GS Group, Goldman Sachs, BSPI and Checkers, the "Reporting Persons").
F5: Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F6: As of October 31, 2024, after giving effect to the sale described in this Form 4, each of Checkers, BSPI and BSCA holds 0 shares of Company Common Stock. As of October 31, 2024, GS Group and Goldman Sachs are deemed to beneficially own 0 shares of Company Common Stock.
Sweetgreen, Inc.
Report date April 07, 2026 · Filed April 10, 2026
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2026-04-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common Stock, par value $0.001 per shareSEC Table I · non-derivative | IndirectSee footnotes | 11,900,255 |
Last balance in matching sequence
After 2026-04-07 transaction · row 30
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
30 source rowsRow 1 · 2026-04-07 · Purchase · Acquired 566,000 · Balance 11,871,702 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 2 · 2026-04-07 · Purchase · Acquired 11,243 · Balance 11,882,945 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 3 · 2026-04-07 · Purchase · Acquired 2,063 · Balance 11,885,008 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 4 · 2026-04-07 · Purchase · Acquired 1,603 · Balance 11,886,611 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 5 · 2026-04-07 · Purchase · Acquired 1,502 · Balance 11,888,113 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 6 · 2026-04-07 · Purchase · Acquired 1,496 · Balance 11,889,609 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 7 · 2026-04-07 · Purchase · Acquired 1,233 · Balance 11,890,842 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 8 · 2026-04-07 · Purchase · Acquired 1,020 · Balance 11,891,862 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 9 · 2026-04-07 · Purchase · Acquired 951 · Balance 11,892,813 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 10 · 2026-04-07 · Purchase · Acquired 901 · Balance 11,893,714 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 11 · 2026-04-07 · Purchase · Acquired 901 · Balance 11,894,615 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 12 · 2026-04-07 · Purchase · Acquired 721 · Balance 11,895,336 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 13 · 2026-04-07 · Purchase · Acquired 600 · Balance 11,895,936 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 14 · 2026-04-07 · Purchase · Acquired 375 · Balance 11,896,311 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 15 · 2026-04-07 · Purchase · Acquired 366 · Balance 11,896,677 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 16 · 2026-04-07 · Purchase · Acquired 341 · Balance 11,897,018 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 17 · 2026-04-07 · Purchase · Acquired 300 · Balance 11,897,318 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 18 · 2026-04-07 · Purchase · Acquired 295 · Balance 11,897,613 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 19 · 2026-04-07 · Purchase · Acquired 290 · Balance 11,897,903 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 20 · 2026-04-07 · Purchase · Acquired 288 · Balance 11,898,191 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 21 · 2026-04-07 · Purchase · Acquired 272 · Balance 11,898,463 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 22 · 2026-04-07 · Purchase · Acquired 260 · Balance 11,898,723 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 23 · 2026-04-07 · Purchase · Acquired 221 · Balance 11,898,944 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 24 · 2026-04-07 · Purchase · Acquired 201 · Balance 11,899,145 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 25 · 2026-04-07 · Purchase · Acquired 200 · Balance 11,899,345 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 26 · 2026-04-07 · Purchase · Acquired 200 · Balance 11,899,545 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 27 · 2026-04-07 · Purchase · Acquired 196 · Balance 11,899,741 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 28 · 2026-04-07 · Purchase · Acquired 188 · Balance 11,899,929 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 29 · 2026-04-07 · Purchase · Acquired 166 · Balance 11,900,095 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Row 30 · 2026-04-07 · Purchase · Acquired 160 · Balance 11,900,255 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock").
F2: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business.
F3: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer.
F4: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group.
TAPESTRY PHARMACEUTICALS, INC
Report date October 15, 2008 · Filed October 20, 2008
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2008-10-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,890,965 |
Reported balance
After 2008-10-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2008-10-15 · Sale · Disposed 50,000 · Balance 1,890,965 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). The securities reported herein as indirectly sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to Tapestry Pharmaceuticals, Inc. (the "Company"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 1,635,965 shares of the Company's common stock, par value $0.0075 per share (the "Common Stock"). Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,825,965 |
Reported balance
After 2008-10-15 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2008-10-15 · Sale · Disposed 65,000 · Balance 1,825,965 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). The securities reported herein as indirectly sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to Tapestry Pharmaceuticals, Inc. (the "Company"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 1,635,965 shares of the Company's common stock, par value $0.0075 per share (the "Common Stock"). Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,635,965 |
Reported balance
After 2008-10-16 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2008-10-16 · Sale · Disposed 190,000 · Balance 1,635,965 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). The securities reported herein as indirectly sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to Tapestry Pharmaceuticals, Inc. (the "Company"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 1,635,965 shares of the Company's common stock, par value $0.0075 per share (the "Common Stock"). Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F3: As of October 16, 2008, the Reporting Persons ceased to beneficially own more than 10% of Common Stock reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended September 26, 2007 and are therefore no longer subject to Section 16. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Group, the "Reporting Persons"). The securities reported herein as indirectly sold were beneficially owned directly by Goldman Sachs. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any, to Tapestry Pharmaceuticals, Inc. (the "Company"). Goldman Sachs is a wholly-owned subsidiary of GS Group.
F2: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 1,635,965 shares of the Company's common stock, par value $0.0075 per share (the "Common Stock"). Each of Goldman Sachs and GS Group disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F3: As of October 16, 2008, the Reporting Persons ceased to beneficially own more than 10% of Common Stock reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended September 26, 2007 and are therefore no longer subject to Section 16.
TIPTREE INC.
Report date June 23, 2016 · Filed June 27, 2016
Jointly reported with GOLDMAN SACHS GROUP INC, GS Advisors VI, L.L.C., GSCP VI Advisors, L.L.C., GSCP VI Offshore Advisors, L.L.C., GOLDMAN, SACHS MANAGEMENT GP GMBH, GS Capital Partners VI Fund, L.P., GS Capital Partners VI Offshore Fund, L.P., GS Capital Partners VI GmbH & Co KG, GS Capital Partners VI Parallel LP
Section 16 reporting ended · disclosed 2016-06-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnotes | 35,910 |
Reported balance
After 2016-06-23 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2016-06-23 · Sale · Disposed 5,596,000 · Balance 35,910 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Advisors VI, L.L.C. ("GS Advisors"), GSCP VI Advisors, L.L.C. ("GSCP VI Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP VI Offshore Advisors"), Goldman, Sachs Management GP GMBH ("GS GmbH"), GS Capital Partners VI Fund, L.P. ("GS Capital VI"), GS Capital Partners VI Offshore Fund, L.P. ("GS Capital VI Offshore"), GS Capital Partners VI GmbH & Co. KG ("GS Germany VI"), GS Capital Partners VI Parallel, L.P. ("GS Capital VI Parallel"), GSCP VI Parallel ProSight, L.L.C. ("GS Capital VI Parallel ProSight" and together with GS Capital VI, GS Capital VI Offshore, GS Germany VI and GS Capital VI Parallel, the "Funds"), ProSight Equity Management Inc. ("ProSight Equity"), ProSight Investment LLC ("ProSight Investment") and ProSight Parallel Investment LLC ("ProSight Parallel Investment" and collectively, the "Reporting Persons"). (continued in Footnote 2) F2: Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any. ProSight Investment and ProSight Parallel Investment are shareholders of ProSight Global Holdings Ltd. ("ProSight Global"). ProSight Equity is the manager of ProSight Investment and ProSight Parallel Investment. The Funds own ProSight Investment and ProSight Parallel Investment. F3: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F4: The 5,596,000 of the shares of Class A Common Stock, par value $0.001 per share ("Common Stock"), of Tiptree Financial Inc. (the "Company") whose disposition is being reported in this Form 4 were previously owned by indirect subsidiaries (the "Sellers") of ProSight Global. Pursuant to that certain Stock Purchase Agreement, dated as of June 23, 2016 (the "Purchase Agreement"), by and among the Company, Caroline Holdings LLC, a Delaware limited liability company (the "Buyer"), the Sellers, and ProSight Specialty Insurance Group, Inc., the Sellers sold to the Buyer and the Buyer purchased from the Sellers, 5,596,000 shares of Common Stock for an aggregate purchase price of $36,374,000. As a result of the foregoing, as of June 23, 2016, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Stock and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended. F5: Each of (i) GS Capital VI and its general partner, GSCP VI Advisors, (ii) GS Capital VI Offshore and its general partner, GSCP VI Offshore Advisors, (iii) GS Capital VI Parallel and its general partner, GS Advisors, (iv) GS Germany VI and its general partner, GS GmbH, and (v) GS Capital VI Parallel ProSight may be deemed to have beneficially owned indirectly the 5,596,000 shares of Common Stock that were sold by the Sellers pursuant to the Purchase Agreement. F6: For purposes of Rule 13d-3(a) and Rule 16a-1(a) only (and not for any other applicable purpose), GS Group and Goldman Sachs may be deemed to have beneficially owned indirectly the 5,596,000 shares of Common Stock that were sold by the Sellers pursuant to the Purchase Agreement because (i) the Funds own ProSight Investment and ProSight Parallel Investment, (ii) GS Advisors, GSCP VI Advisors, GSCP VI Offshore Advisors and GS GmbH are affiliates of GS Group and Goldman Sachs, (iii) Goldman Sachs is the investment manager of certain of the Funds and (iv) of the relationship between ProSight Equity and Goldman Sachs. Goldman Sachs is a subsidiary of GS Group. F7: As of June 23, 2016, Goldman Sachs beneficially owned directly, and GS Group may have been deemed to have beneficially owned indirectly, 35,910 shares of Common Stock, and Goldman Sachs also had open short positions of 57,366 shares of Common Stock, reflecting changes due to exempt transactions. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Advisors VI, L.L.C. ("GS Advisors"), GSCP VI Advisors, L.L.C. ("GSCP VI Advisors"), GSCP VI Offshore Advisors, L.L.C. ("GSCP VI Offshore Advisors"), Goldman, Sachs Management GP GMBH ("GS GmbH"), GS Capital Partners VI Fund, L.P. ("GS Capital VI"), GS Capital Partners VI Offshore Fund, L.P. ("GS Capital VI Offshore"), GS Capital Partners VI GmbH & Co. KG ("GS Germany VI"), GS Capital Partners VI Parallel, L.P. ("GS Capital VI Parallel"), GSCP VI Parallel ProSight, L.L.C. ("GS Capital VI Parallel ProSight" and together with GS Capital VI, GS Capital VI Offshore, GS Germany VI and GS Capital VI Parallel, the "Funds"), ProSight Equity Management Inc. ("ProSight Equity"), ProSight Investment LLC ("ProSight Investment") and ProSight Parallel Investment LLC ("ProSight Parallel Investment" and collectively, the "Reporting Persons"). (continued in Footnote 2)
F2: Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any. ProSight Investment and ProSight Parallel Investment are shareholders of ProSight Global Holdings Ltd. ("ProSight Global"). ProSight Equity is the manager of ProSight Investment and ProSight Parallel Investment. The Funds own ProSight Investment and ProSight Parallel Investment.
F3: Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
F4: The 5,596,000 of the shares of Class A Common Stock, par value $0.001 per share ("Common Stock"), of Tiptree Financial Inc. (the "Company") whose disposition is being reported in this Form 4 were previously owned by indirect subsidiaries (the "Sellers") of ProSight Global. Pursuant to that certain Stock Purchase Agreement, dated as of June 23, 2016 (the "Purchase Agreement"), by and among the Company, Caroline Holdings LLC, a Delaware limited liability company (the "Buyer"), the Sellers, and ProSight Specialty Insurance Group, Inc., the Sellers sold to the Buyer and the Buyer purchased from the Sellers, 5,596,000 shares of Common Stock for an aggregate purchase price of $36,374,000. As a result of the foregoing, as of June 23, 2016, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Stock and are therefore no longer subject to Section 16 of the Securities Exchange Act of 1934, as amended.
F5: Each of (i) GS Capital VI and its general partner, GSCP VI Advisors, (ii) GS Capital VI Offshore and its general partner, GSCP VI Offshore Advisors, (iii) GS Capital VI Parallel and its general partner, GS Advisors, (iv) GS Germany VI and its general partner, GS GmbH, and (v) GS Capital VI Parallel ProSight may be deemed to have beneficially owned indirectly the 5,596,000 shares of Common Stock that were sold by the Sellers pursuant to the Purchase Agreement.
F6: For purposes of Rule 13d-3(a) and Rule 16a-1(a) only (and not for any other applicable purpose), GS Group and Goldman Sachs may be deemed to have beneficially owned indirectly the 5,596,000 shares of Common Stock that were sold by the Sellers pursuant to the Purchase Agreement because (i) the Funds own ProSight Investment and ProSight Parallel Investment, (ii) GS Advisors, GSCP VI Advisors, GSCP VI Offshore Advisors and GS GmbH are affiliates of GS Group and Goldman Sachs, (iii) Goldman Sachs is the investment manager of certain of the Funds and (iv) of the relationship between ProSight Equity and Goldman Sachs. Goldman Sachs is a subsidiary of GS Group.
F7: As of June 23, 2016, Goldman Sachs beneficially owned directly, and GS Group may have been deemed to have beneficially owned indirectly, 35,910 shares of Common Stock, and Goldman Sachs also had open short positions of 57,366 shares of Common Stock, reflecting changes due to exempt transactions.
TransUnion
Report date March 08, 2018 · Filed March 12, 2018
Jointly reported with GOLDMAN SACHS GROUP INC, GS Capital Partners VI Fund, L.P., GS Capital Partners VI Parallel LP, GS Advisors VI, L.L.C., SpartanShield Holdings, GS Capital Partners VI GmbH & Co KG, GOLDMAN, SACHS MANAGEMENT GP GMBH, MBD 2011 Holdings, L.P., MBD 2011 Offshore Advisors, Inc.
Section 16 reporting ended · disclosed 2018-03-12. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 25,713 |
Reported balance
After 2018-03-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-03-08 · Sale · Disposed 19,852,972 · Balance 25,713 F4: Pursuant to an underwriting agreement, dated March 5, 2018 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of common stock, par value $0.01 per share (the "Common Stock"), of TransUnion (the "Company"), pursuant to the final prospectus supplement dated March 5, 2018, which offering was consummated on March 8, 2018 (the "Registered Public Offering"), the underwriters purchased shares of Common Stock from the selling stockholders, which included GS Capital VI, GS Capital VI Parallel and SpartanShield. GS Capital VI, GS Capital VI Parallel and SpartanShield sold an aggregate of 19,852,972, shares of Common Stock, consisting of 7,747,697 shares of Common Stock sold by GS Capital VI, 2,130,484 shares of Common Stock sold by GS Capital VI Parallel and 9,974,791 shares of Common Stock sold by Spartanshield. F5: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 1,057 shares of Common Stock. Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner, managing member or member of the Funds. Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 24,656 shares of Common Stock and Goldman Sachs also had open short positions of 5,339 shares of Common Stock, reflecting changes due to exempt transactions. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GSCP VI Advisors, L.L.C. ("GSCP VI Advisors"), GS Advisors VI, L.L.C. ("GS Advisors VI"), GSCP VI Offshore Advisors, L.L.C. ("GSCP VI Offshore Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), MBD 2011 Offshore Advisors, Inc. ("MBD Advisors"), Opportunity Partners Offshore-B Co-Invest AIV Advisors, Ltd. ("Opportunity Advisors"), SpartanShield Holdings ("SpartanShield"), GS Capital Partners VI Fund, L.P. ("GS Capital VI"), GS Capital Partners VI Parallel, L.P. ("GS Capital VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GS VI Offshore"), GS Capital Partners VI GmbH & Co. KG ("GS Germany VI"), MBD 2011 Holdings, L.P. ("MBD 2011"), Bridge Street 2012 Holdings, L.P. ("Bridge Street"), (continued in next footnote) F2: Opportunity Partners Offshore-B Co-Invest AIV, L.P. ("Opportunity," and, together with GS Capital VI, GS Capital VI Parallel, GS VI Offshore, GS Germany VI, MBD 2011 and Bridge Street, the "Funds"). GS Group, Goldman Sachs, GSCP VI Advisors, GS Advisors VI, GSCP VI Offshore Advisors, GS GmbH, MBD Advisors, Bridge Street Advisors, Opportunity Advisors, SpartanShield and the Funds are defined collectively as the "Reporting Persons." F3: Due to the electronic system's limitation of 10 Reporting Persons per filing, this statement is being filed in duplicate. F6: The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F7: As of March 8, 2018, the Reporting Persons are no longer beneficial owners of more than 10% of the Common Stock of the Company. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs & Co. LLC ("Goldman Sachs"), GSCP VI Advisors, L.L.C. ("GSCP VI Advisors"), GS Advisors VI, L.L.C. ("GS Advisors VI"), GSCP VI Offshore Advisors, L.L.C. ("GSCP VI Offshore Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), MBD 2011 Offshore Advisors, Inc. ("MBD Advisors"), Opportunity Partners Offshore-B Co-Invest AIV Advisors, Ltd. ("Opportunity Advisors"), SpartanShield Holdings ("SpartanShield"), GS Capital Partners VI Fund, L.P. ("GS Capital VI"), GS Capital Partners VI Parallel, L.P. ("GS Capital VI Parallel"), GS Capital Partners VI Offshore Fund, L.P. ("GS VI Offshore"), GS Capital Partners VI GmbH & Co. KG ("GS Germany VI"), MBD 2011 Holdings, L.P. ("MBD 2011"), Bridge Street 2012 Holdings, L.P. ("Bridge Street"), (continued in next footnote)
F2: Opportunity Partners Offshore-B Co-Invest AIV, L.P. ("Opportunity," and, together with GS Capital VI, GS Capital VI Parallel, GS VI Offshore, GS Germany VI, MBD 2011 and Bridge Street, the "Funds"). GS Group, Goldman Sachs, GSCP VI Advisors, GS Advisors VI, GSCP VI Offshore Advisors, GS GmbH, MBD Advisors, Bridge Street Advisors, Opportunity Advisors, SpartanShield and the Funds are defined collectively as the "Reporting Persons."
F3: Due to the electronic system's limitation of 10 Reporting Persons per filing, this statement is being filed in duplicate.
F4: Pursuant to an underwriting agreement, dated March 5, 2018 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of common stock, par value $0.01 per share (the "Common Stock"), of TransUnion (the "Company"), pursuant to the final prospectus supplement dated March 5, 2018, which offering was consummated on March 8, 2018 (the "Registered Public Offering"), the underwriters purchased shares of Common Stock from the selling stockholders, which included GS Capital VI, GS Capital VI Parallel and SpartanShield. GS Capital VI, GS Capital VI Parallel and SpartanShield sold an aggregate of 19,852,972, shares of Common Stock, consisting of 7,747,697 shares of Common Stock sold by GS Capital VI, 2,130,484 shares of Common Stock sold by GS Capital VI Parallel and 9,974,791 shares of Common Stock sold by Spartanshield.
F5: Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 1,057 shares of Common Stock. Affiliates of Goldman Sachs and GS Group are the general partner, managing general partner, managing partner, managing member or member of the Funds. Goldman Sachs is a subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the Funds. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 24,656 shares of Common Stock and Goldman Sachs also had open short positions of 5,339 shares of Common Stock, reflecting changes due to exempt transactions.
F6: The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F7: As of March 8, 2018, the Reporting Persons are no longer beneficial owners of more than 10% of the Common Stock of the Company.
VISTEON CORP
Report date October 01, 2010 · Filed October 05, 2010
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2010-10-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2010-10-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2010-10-01 · Other · Disposed 5,079,455 · Balance 0 F2: On October 1, 2010 (the "Effective Date"), the Fifth Amended Plan of Reorganization (the "Fifth Amended Plan") of Visteon Corporation (the "Issuer") became effective, and the Issuer emerged from chapter 11 bankruptcy protection. On the Effective Date, pursuant to the Fifth Amended Plan, all of the shares of the Issuer's common stock, par value $1.00 per share (the "Common Stock"), were cancelled. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F3: The Issuer, certain investors (the "Investors"), including the High Yield Distressed Investing Group of Goldman Sachs, and certain additional purchasers ("Additional Purchasers") are parties to an Equity Commitment Agreement dated as of May 6, 2010 (as amended, the "Equity Commitment Agreement"). Pursuant to the Equity Commitment Agreement and its amendments, among other terms, the Investors and Additional Purchasers agreed to purchase certain shares of the Common Stock of a reorganized Issuer. On the Effective Date, any "group" pursuant to Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, that may have existed as a result of the Reporting Persons' entry into the Equity Commitment Agreement dissolved. |
| New Common StockSEC Table I · non-derivative | IndirectSee footnotes | 127,368 |
Reported balance
After 2010-10-01 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2010-10-01 · Other · Acquired 127,368 · Balance 127,368 F5: On the Effective Date, pursuant to the Fifth Amended Plan, the Issuer issued to Goldman Sachs (i) 127,368 shares of New Common Stock, (ii) 61,538 five-year warrants to purchase New Common Stock at an exercise price of $58.80 per share (the "Old Equity Warrants"), and (iii) 353,730 ten-year warrants to purchase New Common Stock at an exercise price of $9.66 per share (the "Guaranty Warrants" and, together with the Old Equity Warrants, the "Plan Warrants"). The shares of New Common Stock and the Plan Warrants issued as described in this paragraph were issued under the Fifth Amended Plan in respect of the Common Stock and certain claims against the Issuer held by Goldman Sachs. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On October 1, 2010 (the "Effective Date"), the Fifth Amended Plan of Reorganization (the "Fifth Amended Plan") of Visteon Corporation (the "Issuer") became effective, and the Issuer emerged from chapter 11 bankruptcy protection. On the Effective Date, pursuant to the Fifth Amended Plan, all of the shares of the Issuer's common stock, par value $1.00 per share (the "Common Stock"), were cancelled. F3: The Issuer, certain investors (the "Investors"), including the High Yield Distressed Investing Group of Goldman Sachs, and certain additional purchasers ("Additional Purchasers") are parties to an Equity Commitment Agreement dated as of May 6, 2010 (as amended, the "Equity Commitment Agreement"). Pursuant to the Equity Commitment Agreement and its amendments, among other terms, the Investors and Additional Purchasers agreed to purchase certain shares of the Common Stock of a reorganized Issuer. On the Effective Date, any "group" pursuant to Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, that may have existed as a result of the Reporting Persons' entry into the Equity Commitment Agreement dissolved. F4: As of October 1, 2010, Goldman Sachs beneficially owned directly, and GS Group may be deemed to have beneficially owned indirectly, an aggregate of 2,719,289 shares of common stock, par value $0.01 per share (the "New Common Stock"), of the Issuer, which represents approximately 5.36% of the shares of New Common Stock outstanding. Therefore, the Reporting Persons are no longer subject to Section 16. |
| New Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,304,021 |
Reported balance
After 2010-10-01 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2010-10-01 · Purchase · Acquired 2,176,653 · Balance 2,304,021 F5: On the Effective Date, pursuant to the Fifth Amended Plan, the Issuer issued to Goldman Sachs (i) 127,368 shares of New Common Stock, (ii) 61,538 five-year warrants to purchase New Common Stock at an exercise price of $58.80 per share (the "Old Equity Warrants"), and (iii) 353,730 ten-year warrants to purchase New Common Stock at an exercise price of $9.66 per share (the "Guaranty Warrants" and, together with the Old Equity Warrants, the "Plan Warrants"). The shares of New Common Stock and the Plan Warrants issued as described in this paragraph were issued under the Fifth Amended Plan in respect of the Common Stock and certain claims against the Issuer held by Goldman Sachs. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On October 1, 2010 (the "Effective Date"), the Fifth Amended Plan of Reorganization (the "Fifth Amended Plan") of Visteon Corporation (the "Issuer") became effective, and the Issuer emerged from chapter 11 bankruptcy protection. On the Effective Date, pursuant to the Fifth Amended Plan, all of the shares of the Issuer's common stock, par value $1.00 per share (the "Common Stock"), were cancelled. F3: The Issuer, certain investors (the "Investors"), including the High Yield Distressed Investing Group of Goldman Sachs, and certain additional purchasers ("Additional Purchasers") are parties to an Equity Commitment Agreement dated as of May 6, 2010 (as amended, the "Equity Commitment Agreement"). Pursuant to the Equity Commitment Agreement and its amendments, among other terms, the Investors and Additional Purchasers agreed to purchase certain shares of the Common Stock of a reorganized Issuer. On the Effective Date, any "group" pursuant to Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, that may have existed as a result of the Reporting Persons' entry into the Equity Commitment Agreement dissolved. F4: As of October 1, 2010, Goldman Sachs beneficially owned directly, and GS Group may be deemed to have beneficially owned indirectly, an aggregate of 2,719,289 shares of common stock, par value $0.01 per share (the "New Common Stock"), of the Issuer, which represents approximately 5.36% of the shares of New Common Stock outstanding. Therefore, the Reporting Persons are no longer subject to Section 16. F6: On the Effective Date, pursuant to the Equity Commitment Agreement and the Fifth Amended Plan, Goldman Sachs acquired from the Issuer 2,176,653 shares of New Common Stock in a private offering exempt from registration under Section 5 of the Securities Act of 1933 (as amended, the "Securities Act"). These shares were offered and sold only to "qualified institutional buyers" (as defined by Rule 144A under the Securities Act), and have not been registered under the Securities Act or the securities laws of any other jurisdiction. As a result, these shares constitute "restricted securities" (as defined by Rule 144 under the Securities Act) and may not be offered or sold absent registration or an applicable exemption from the registration requirements of the Securities Act. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $58.80 · Expires 2015-10-01 | IndirectSee footnotes | 61,538 |
Reported balance
After 2010-10-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2010-10-01 · Other · Acquired 61,538 · Balance 61,538 F5: On the Effective Date, pursuant to the Fifth Amended Plan, the Issuer issued to Goldman Sachs (i) 127,368 shares of New Common Stock, (ii) 61,538 five-year warrants to purchase New Common Stock at an exercise price of $58.80 per share (the "Old Equity Warrants"), and (iii) 353,730 ten-year warrants to purchase New Common Stock at an exercise price of $9.66 per share (the "Guaranty Warrants" and, together with the Old Equity Warrants, the "Plan Warrants"). The shares of New Common Stock and the Plan Warrants issued as described in this paragraph were issued under the Fifth Amended Plan in respect of the Common Stock and certain claims against the Issuer held by Goldman Sachs. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On October 1, 2010 (the "Effective Date"), the Fifth Amended Plan of Reorganization (the "Fifth Amended Plan") of Visteon Corporation (the "Issuer") became effective, and the Issuer emerged from chapter 11 bankruptcy protection. On the Effective Date, pursuant to the Fifth Amended Plan, all of the shares of the Issuer's common stock, par value $1.00 per share (the "Common Stock"), were cancelled. F3: The Issuer, certain investors (the "Investors"), including the High Yield Distressed Investing Group of Goldman Sachs, and certain additional purchasers ("Additional Purchasers") are parties to an Equity Commitment Agreement dated as of May 6, 2010 (as amended, the "Equity Commitment Agreement"). Pursuant to the Equity Commitment Agreement and its amendments, among other terms, the Investors and Additional Purchasers agreed to purchase certain shares of the Common Stock of a reorganized Issuer. On the Effective Date, any "group" pursuant to Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, that may have existed as a result of the Reporting Persons' entry into the Equity Commitment Agreement dissolved. F4: As of October 1, 2010, Goldman Sachs beneficially owned directly, and GS Group may be deemed to have beneficially owned indirectly, an aggregate of 2,719,289 shares of common stock, par value $0.01 per share (the "New Common Stock"), of the Issuer, which represents approximately 5.36% of the shares of New Common Stock outstanding. Therefore, the Reporting Persons are no longer subject to Section 16. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $9.66 · Expires 2020-10-01 | IndirectSee footnotes | 353,730 |
Reported balance
After 2010-10-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2010-10-01 · Other · Acquired 353,730 · Balance 353,730 F5: On the Effective Date, pursuant to the Fifth Amended Plan, the Issuer issued to Goldman Sachs (i) 127,368 shares of New Common Stock, (ii) 61,538 five-year warrants to purchase New Common Stock at an exercise price of $58.80 per share (the "Old Equity Warrants"), and (iii) 353,730 ten-year warrants to purchase New Common Stock at an exercise price of $9.66 per share (the "Guaranty Warrants" and, together with the Old Equity Warrants, the "Plan Warrants"). The shares of New Common Stock and the Plan Warrants issued as described in this paragraph were issued under the Fifth Amended Plan in respect of the Common Stock and certain claims against the Issuer held by Goldman Sachs. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On October 1, 2010 (the "Effective Date"), the Fifth Amended Plan of Reorganization (the "Fifth Amended Plan") of Visteon Corporation (the "Issuer") became effective, and the Issuer emerged from chapter 11 bankruptcy protection. On the Effective Date, pursuant to the Fifth Amended Plan, all of the shares of the Issuer's common stock, par value $1.00 per share (the "Common Stock"), were cancelled. F3: The Issuer, certain investors (the "Investors"), including the High Yield Distressed Investing Group of Goldman Sachs, and certain additional purchasers ("Additional Purchasers") are parties to an Equity Commitment Agreement dated as of May 6, 2010 (as amended, the "Equity Commitment Agreement"). Pursuant to the Equity Commitment Agreement and its amendments, among other terms, the Investors and Additional Purchasers agreed to purchase certain shares of the Common Stock of a reorganized Issuer. On the Effective Date, any "group" pursuant to Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, that may have existed as a result of the Reporting Persons' entry into the Equity Commitment Agreement dissolved. F4: As of October 1, 2010, Goldman Sachs beneficially owned directly, and GS Group may be deemed to have beneficially owned indirectly, an aggregate of 2,719,289 shares of common stock, par value $0.01 per share (the "New Common Stock"), of the Issuer, which represents approximately 5.36% of the shares of New Common Stock outstanding. Therefore, the Reporting Persons are no longer subject to Section 16. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group.
F2: On October 1, 2010 (the "Effective Date"), the Fifth Amended Plan of Reorganization (the "Fifth Amended Plan") of Visteon Corporation (the "Issuer") became effective, and the Issuer emerged from chapter 11 bankruptcy protection. On the Effective Date, pursuant to the Fifth Amended Plan, all of the shares of the Issuer's common stock, par value $1.00 per share (the "Common Stock"), were cancelled.
F3: The Issuer, certain investors (the "Investors"), including the High Yield Distressed Investing Group of Goldman Sachs, and certain additional purchasers ("Additional Purchasers") are parties to an Equity Commitment Agreement dated as of May 6, 2010 (as amended, the "Equity Commitment Agreement"). Pursuant to the Equity Commitment Agreement and its amendments, among other terms, the Investors and Additional Purchasers agreed to purchase certain shares of the Common Stock of a reorganized Issuer. On the Effective Date, any "group" pursuant to Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, that may have existed as a result of the Reporting Persons' entry into the Equity Commitment Agreement dissolved.
F4: As of October 1, 2010, Goldman Sachs beneficially owned directly, and GS Group may be deemed to have beneficially owned indirectly, an aggregate of 2,719,289 shares of common stock, par value $0.01 per share (the "New Common Stock"), of the Issuer, which represents approximately 5.36% of the shares of New Common Stock outstanding. Therefore, the Reporting Persons are no longer subject to Section 16.
F5: On the Effective Date, pursuant to the Fifth Amended Plan, the Issuer issued to Goldman Sachs (i) 127,368 shares of New Common Stock, (ii) 61,538 five-year warrants to purchase New Common Stock at an exercise price of $58.80 per share (the "Old Equity Warrants"), and (iii) 353,730 ten-year warrants to purchase New Common Stock at an exercise price of $9.66 per share (the "Guaranty Warrants" and, together with the Old Equity Warrants, the "Plan Warrants"). The shares of New Common Stock and the Plan Warrants issued as described in this paragraph were issued under the Fifth Amended Plan in respect of the Common Stock and certain claims against the Issuer held by Goldman Sachs.
F6: On the Effective Date, pursuant to the Equity Commitment Agreement and the Fifth Amended Plan, Goldman Sachs acquired from the Issuer 2,176,653 shares of New Common Stock in a private offering exempt from registration under Section 5 of the Securities Act of 1933 (as amended, the "Securities Act"). These shares were offered and sold only to "qualified institutional buyers" (as defined by Rule 144A under the Securities Act), and have not been registered under the Securities Act or the securities laws of any other jurisdiction. As a result, these shares constitute "restricted securities" (as defined by Rule 144 under the Securities Act) and may not be offered or sold absent registration or an applicable exemption from the registration requirements of the Securities Act.
VIVEVE MEDICAL, INC.
Report date September 19, 2019 · Filed February 19, 2020 · Amendment
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2020-02-19. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common UnitsSEC Table I · non-derivative | IndirectSee Footnotes | 92,425 |
Last balance in matching sequence
After 2019-09-27 transaction · row 8
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
8 source rowsRow 1 · 2019-09-20 · Sale · Disposed 1,658 · Balance 51,384 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. F3: This submission is made to amend the Reporting Persons' submission of a Statement of Beneficial Ownership of securities filed on September 30, 2019 and October 23, 2019 (the "Original Submission"). After making the Original Submission, the Reporting Persons determined in consultation with Viveve Medical, Inc. ("Issuer") that the Reporting Persons' ownership did not at any time exceed 10% of Issuer's outstanding securities. As such, none of the transactions previously reported in the Reporting Persons' Original Submission were subject to reporting under Section 16. Row 2 · 2019-09-23 · Purchase · Acquired 39,600 · Balance 90,984 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. F3: This submission is made to amend the Reporting Persons' submission of a Statement of Beneficial Ownership of securities filed on September 30, 2019 and October 23, 2019 (the "Original Submission"). After making the Original Submission, the Reporting Persons determined in consultation with Viveve Medical, Inc. ("Issuer") that the Reporting Persons' ownership did not at any time exceed 10% of Issuer's outstanding securities. As such, none of the transactions previously reported in the Reporting Persons' Original Submission were subject to reporting under Section 16. Row 3 · 2019-09-23 · Sale · Disposed 800 · Balance 90,184 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. F3: This submission is made to amend the Reporting Persons' submission of a Statement of Beneficial Ownership of securities filed on September 30, 2019 and October 23, 2019 (the "Original Submission"). After making the Original Submission, the Reporting Persons determined in consultation with Viveve Medical, Inc. ("Issuer") that the Reporting Persons' ownership did not at any time exceed 10% of Issuer's outstanding securities. As such, none of the transactions previously reported in the Reporting Persons' Original Submission were subject to reporting under Section 16. Row 4 · 2019-09-24 · Purchase · Acquired 26,200 · Balance 116,384 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. F3: This submission is made to amend the Reporting Persons' submission of a Statement of Beneficial Ownership of securities filed on September 30, 2019 and October 23, 2019 (the "Original Submission"). After making the Original Submission, the Reporting Persons determined in consultation with Viveve Medical, Inc. ("Issuer") that the Reporting Persons' ownership did not at any time exceed 10% of Issuer's outstanding securities. As such, none of the transactions previously reported in the Reporting Persons' Original Submission were subject to reporting under Section 16. Row 5 · 2019-09-24 · Sale · Disposed 800 · Balance 115,584 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. F3: This submission is made to amend the Reporting Persons' submission of a Statement of Beneficial Ownership of securities filed on September 30, 2019 and October 23, 2019 (the "Original Submission"). After making the Original Submission, the Reporting Persons determined in consultation with Viveve Medical, Inc. ("Issuer") that the Reporting Persons' ownership did not at any time exceed 10% of Issuer's outstanding securities. As such, none of the transactions previously reported in the Reporting Persons' Original Submission were subject to reporting under Section 16. Row 6 · 2019-09-25 · Sale · Disposed 10,799 · Balance 104,785 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. F3: This submission is made to amend the Reporting Persons' submission of a Statement of Beneficial Ownership of securities filed on September 30, 2019 and October 23, 2019 (the "Original Submission"). After making the Original Submission, the Reporting Persons determined in consultation with Viveve Medical, Inc. ("Issuer") that the Reporting Persons' ownership did not at any time exceed 10% of Issuer's outstanding securities. As such, none of the transactions previously reported in the Reporting Persons' Original Submission were subject to reporting under Section 16. Row 7 · 2019-09-26 · Sale · Disposed 7,001 · Balance 97,784 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. F3: This submission is made to amend the Reporting Persons' submission of a Statement of Beneficial Ownership of securities filed on September 30, 2019 and October 23, 2019 (the "Original Submission"). After making the Original Submission, the Reporting Persons determined in consultation with Viveve Medical, Inc. ("Issuer") that the Reporting Persons' ownership did not at any time exceed 10% of Issuer's outstanding securities. As such, none of the transactions previously reported in the Reporting Persons' Original Submission were subject to reporting under Section 16. Row 8 · 2019-09-27 · Sale · Disposed 5,359 · Balance 92,425 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group. F3: This submission is made to amend the Reporting Persons' submission of a Statement of Beneficial Ownership of securities filed on September 30, 2019 and October 23, 2019 (the "Original Submission"). After making the Original Submission, the Reporting Persons determined in consultation with Viveve Medical, Inc. ("Issuer") that the Reporting Persons' ownership did not at any time exceed 10% of Issuer's outstanding securities. As such, none of the transactions previously reported in the Reporting Persons' Original Submission were subject to reporting under Section 16. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC ("Goldman Sachs" and together with GS Group, the "Reporting Persons"). Goldman Sachs is a subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
F2: The Common Units of the Issuer reported herein as indirectly purchased were beneficially owned directly by Goldman Sachs and indirectly by GS Group.
F3: This submission is made to amend the Reporting Persons' submission of a Statement of Beneficial Ownership of securities filed on September 30, 2019 and October 23, 2019 (the "Original Submission"). After making the Original Submission, the Reporting Persons determined in consultation with Viveve Medical, Inc. ("Issuer") that the Reporting Persons' ownership did not at any time exceed 10% of Issuer's outstanding securities. As such, none of the transactions previously reported in the Reporting Persons' Original Submission were subject to reporting under Section 16.
VIXEL CORP
Report date November 17, 2003 · Filed November 28, 2003
Jointly reported with GOLDMAN SACHS GROUP INC, GS EMPLOYEE FUNDS 2000 GP LLC, GOLDMAN SACHS DIRECT INVESTMENT FUND 2000 LP
Section 16 reporting ended · disclosed 2003-11-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.10 | IndirectSee Footnote | 0 |
Reported balance
After 2003-11-17 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2003-11-17 · Other · Disposed 2,947,650 · Balance 0 F1: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of October 8, 2003, by and among Emulex Corporation, Aviary Acquisition Corp. and Vixel Corporation, the shares of Series B Convertible Preferred Stock ("Series B Stock") beneficially owned by the Reporting Persons were tendered at a price of $10.00 per share. F3: On February 19, 2003, pursuant to a Series B Convertible Preferred Stock and Warrant Purchase Agreement, dated as of February 14, 2003, by and among Vixel Corporation (the "Company"), the Purchasers and the other investors' signatory thereto (the "Purchase Agreement"), the Purchasers purchased 2,863,524 shares of Series B Stock and Warrants to purchase an aggregate of 859,058 shares of common stock, par value $0.0015 per share of the Company (the "Common Stock") for an aggregate purchase price of $6,013,400. Each share of Series B Stock was convertible at any time at the option of the holder thereof into one (1) fully paid and nonassessable share of Common Stock, plus an amount equal to all accrued but unpaid dividends thereon as of the date of conversion. The number of shares of Common Stock underlying the Series B Stock beneficially owned directly by the Purchasers increased an aggregate of 84,126 shares as dividends accumulated on the Series B Stock |
| Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.63 · Expires 2008-02-13 | IndirectSee Footnote | 0 |
Reported balance
After 2003-11-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2003-11-17 · Other · Disposed 859,058 · Balance 0 F2: Pursuant to the terms of the Merger Agreement, the warrants to purchase shares of Common Stock ("Warrants") beneficially owned by the Reporting Persons have been exchanged for $7.67 for each share of Common Stock into which the Warrants were exercisable F3: On February 19, 2003, pursuant to a Series B Convertible Preferred Stock and Warrant Purchase Agreement, dated as of February 14, 2003, by and among Vixel Corporation (the "Company"), the Purchasers and the other investors' signatory thereto (the "Purchase Agreement"), the Purchasers purchased 2,863,524 shares of Series B Stock and Warrants to purchase an aggregate of 859,058 shares of common stock, par value $0.0015 per share of the Company (the "Common Stock") for an aggregate purchase price of $6,013,400. Each share of Series B Stock was convertible at any time at the option of the holder thereof into one (1) fully paid and nonassessable share of Common Stock, plus an amount equal to all accrued but unpaid dividends thereon as of the date of conversion. The number of shares of Common Stock underlying the Series B Stock beneficially owned directly by the Purchasers increased an aggregate of 84,126 shares as dividends accumulated on the Series B Stock |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of October 8, 2003, by and among Emulex Corporation, Aviary Acquisition Corp. and Vixel Corporation, the shares of Series B Convertible Preferred Stock ("Series B Stock") beneficially owned by the Reporting Persons were tendered at a price of $10.00 per share.
F2: Pursuant to the terms of the Merger Agreement, the warrants to purchase shares of Common Stock ("Warrants") beneficially owned by the Reporting Persons have been exchanged for $7.67 for each share of Common Stock into which the Warrants were exercisable
F3: On February 19, 2003, pursuant to a Series B Convertible Preferred Stock and Warrant Purchase Agreement, dated as of February 14, 2003, by and among Vixel Corporation (the "Company"), the Purchasers and the other investors' signatory thereto (the "Purchase Agreement"), the Purchasers purchased 2,863,524 shares of Series B Stock and Warrants to purchase an aggregate of 859,058 shares of common stock, par value $0.0015 per share of the Company (the "Common Stock") for an aggregate purchase price of $6,013,400. Each share of Series B Stock was convertible at any time at the option of the holder thereof into one (1) fully paid and nonassessable share of Common Stock, plus an amount equal to all accrued but unpaid dividends thereon as of the date of conversion. The number of shares of Common Stock underlying the Series B Stock beneficially owned directly by the Purchasers increased an aggregate of 84,126 shares as dividends accumulated on the Series B Stock
VYYO INC
Report date December 07, 2007 · Filed December 12, 2007
Jointly reported with GOLDMAN SACHS GROUP INC
Section 16 reporting ended · disclosed 2007-12-12. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2007-12-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2007-12-07 · Sale · Disposed 1,651,982 · Balance 0 F3: On December 7, 2007, as a result of the Fund Transfer, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Stock of the Company. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On December 7, 2007, Goldman Sachs sold (the "Fund Shares") 1,651,982 shares of common stock, $0.0001 par value per share ("Common Stock") of Vyyo, Inc. (the "Company"), and $35,000,000 in aggregate principal amount of the Company's 5% Convertible Note due March 27, 2012 ("Convertible Note") to Goldman Sachs Investment Partners Master Fund, L.P. ("GSIP"), a separate business unit within the Goldman organization. The price paid by GSIP to Goldman Sachs was $3.97 per share, which was the closing price of the Common Stock on the Nasdaq National Market on December 6, 2007. The price paid by GSIP to Goldman Sachs for the Convertible Note was $87.1601 per $100 of principal amount of the Convertible Note. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any to the Company. |
| 5% Convertible Note due March 27, 2012SEC Table II · derivative / convertible security · Conversion / exercise price $10.00 · Expires 2012-03-27 | IndirectSee footnotes | 0 |
Reported balance
After 2007-12-07 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2007-12-07 · Sale · Disposed Not disclosed · Balance 0 F5: Immediately exercisable F4: The Convertible Note is convertible at any time at the holder's option into shares of Common Stock determined by dividing the aggregate principal amount by a conversion price of $10.00 per share, subject to adjustment. Pursuant to the terms of the Convertible Note, the holder of the Convertible Note shall not have the right to convert any portion of the Convertible Note into Common Stock to the extent that after giving effect to such conversion and taking into account all other shares of Common Stock beneficially owned by the holder, such holder would beneficially own in excess of 14.8% of the Common Stock outstanding. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. F2: On December 7, 2007, Goldman Sachs sold (the "Fund Shares") 1,651,982 shares of common stock, $0.0001 par value per share ("Common Stock") of Vyyo, Inc. (the "Company"), and $35,000,000 in aggregate principal amount of the Company's 5% Convertible Note due March 27, 2012 ("Convertible Note") to Goldman Sachs Investment Partners Master Fund, L.P. ("GSIP"), a separate business unit within the Goldman organization. The price paid by GSIP to Goldman Sachs was $3.97 per share, which was the closing price of the Common Stock on the Nasdaq National Market on December 6, 2007. The price paid by GSIP to Goldman Sachs for the Convertible Note was $87.1601 per $100 of principal amount of the Convertible Note. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any to the Company. F3: On December 7, 2007, as a result of the Fund Transfer, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Stock of the Company. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group.
F2: On December 7, 2007, Goldman Sachs sold (the "Fund Shares") 1,651,982 shares of common stock, $0.0001 par value per share ("Common Stock") of Vyyo, Inc. (the "Company"), and $35,000,000 in aggregate principal amount of the Company's 5% Convertible Note due March 27, 2012 ("Convertible Note") to Goldman Sachs Investment Partners Master Fund, L.P. ("GSIP"), a separate business unit within the Goldman organization. The price paid by GSIP to Goldman Sachs was $3.97 per share, which was the closing price of the Common Stock on the Nasdaq National Market on December 6, 2007. The price paid by GSIP to Goldman Sachs for the Convertible Note was $87.1601 per $100 of principal amount of the Convertible Note. Without admitting any legal obligation, Goldman Sachs will remit appropriate profits, if any to the Company.
F3: On December 7, 2007, as a result of the Fund Transfer, the Reporting Persons ceased to be the beneficial owners of more than 10% of the Common Stock of the Company.
F4: The Convertible Note is convertible at any time at the holder's option into shares of Common Stock determined by dividing the aggregate principal amount by a conversion price of $10.00 per share, subject to adjustment. Pursuant to the terms of the Convertible Note, the holder of the Convertible Note shall not have the right to convert any portion of the Convertible Note into Common Stock to the extent that after giving effect to such conversion and taking into account all other shares of Common Stock beneficially owned by the holder, such holder would beneficially own in excess of 14.8% of the Common Stock outstanding.
F5: Immediately exercisable
WASTE INDUSTRIES USA INC
Report date May 09, 2008 · Filed May 14, 2008
Jointly reported with GOLDMAN SACHS GROUP INC, GS Direct, L.L.C.
Section 16 reporting ended · disclosed 2008-05-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 1,043,292 |
Reported balance
After 2008-05-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2008-05-09 · Purchase · Acquired 1,038,792 · Balance 1,043,292 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), and GS Direct, L.L.C. ("GS Direct" and collectively with GS Group and Goldman Sachs, the "Reporting Persons"). F2: On May 9, 2008, pursuant to the terms of the merger agreement by and among the Issuer, Marlin HoldCo LP and Marlin MergeCo Inc. ("Merger Sub"), Articles of Merger were filed with the North Carolina Secretary of State and, as a result thereof, Merger Sub was merged with and into the Issuer (the "Merger"), with the Issuer continuing as the surviving corporation and the indirect wholly-owned subsidiary of Marlin HoldCo LP. As a result of the Merger, the Issuer no longer has any securities registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended, and accordingly each Reporting Person no longer will be deemed to constitute a "group" with Lonnie C. Poole Jr., the Chairman of the Issuer, Jim W. Perry, the President, Chief Executive Officer and a Director of the Issuer, and certain Poole family members and entities (together with Mr. Poole, the "Poole Members"). F3: Immediately before the Merger, GS Direct acquired 1,038,792 shares of Common Stock from certain shareholders, and GS Direct exchanged such shares, at a value of $38.00 per share, for equity of Marlin HoldCo LP, a parent holding company of Merger Sub, and such shares were subsequently cancelled. F5: Each of the Reporting Persons disclaims membership in any "group" with any other person and disclaims beneficial ownership of any securities of the Issuer except to the extent of its pecuniary interest therein, if any. Each Reporting Person also disclaims beneficial ownership of any shares of Common Stock that may be or are beneficially owned by, among others, the Poole Members, Mr. Perry, and any other persons other than the Reporting Persons. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 4,500 |
Reported balance
After 2008-05-09 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2008-05-09 · Other · Disposed 1,038,792 · Balance 4,500 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), and GS Direct, L.L.C. ("GS Direct" and collectively with GS Group and Goldman Sachs, the "Reporting Persons"). F2: On May 9, 2008, pursuant to the terms of the merger agreement by and among the Issuer, Marlin HoldCo LP and Marlin MergeCo Inc. ("Merger Sub"), Articles of Merger were filed with the North Carolina Secretary of State and, as a result thereof, Merger Sub was merged with and into the Issuer (the "Merger"), with the Issuer continuing as the surviving corporation and the indirect wholly-owned subsidiary of Marlin HoldCo LP. As a result of the Merger, the Issuer no longer has any securities registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended, and accordingly each Reporting Person no longer will be deemed to constitute a "group" with Lonnie C. Poole Jr., the Chairman of the Issuer, Jim W. Perry, the President, Chief Executive Officer and a Director of the Issuer, and certain Poole family members and entities (together with Mr. Poole, the "Poole Members"). F3: Immediately before the Merger, GS Direct acquired 1,038,792 shares of Common Stock from certain shareholders, and GS Direct exchanged such shares, at a value of $38.00 per share, for equity of Marlin HoldCo LP, a parent holding company of Merger Sub, and such shares were subsequently cancelled. F5: Each of the Reporting Persons disclaims membership in any "group" with any other person and disclaims beneficial ownership of any securities of the Issuer except to the extent of its pecuniary interest therein, if any. Each Reporting Person also disclaims beneficial ownership of any shares of Common Stock that may be or are beneficially owned by, among others, the Poole Members, Mr. Perry, and any other persons other than the Reporting Persons. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2008-05-09 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2008-05-09 · Disposition to issuer · Disposed 4,500 · Balance 0 F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), and GS Direct, L.L.C. ("GS Direct" and collectively with GS Group and Goldman Sachs, the "Reporting Persons"). F2: On May 9, 2008, pursuant to the terms of the merger agreement by and among the Issuer, Marlin HoldCo LP and Marlin MergeCo Inc. ("Merger Sub"), Articles of Merger were filed with the North Carolina Secretary of State and, as a result thereof, Merger Sub was merged with and into the Issuer (the "Merger"), with the Issuer continuing as the surviving corporation and the indirect wholly-owned subsidiary of Marlin HoldCo LP. As a result of the Merger, the Issuer no longer has any securities registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended, and accordingly each Reporting Person no longer will be deemed to constitute a "group" with Lonnie C. Poole Jr., the Chairman of the Issuer, Jim W. Perry, the President, Chief Executive Officer and a Director of the Issuer, and certain Poole family members and entities (together with Mr. Poole, the "Poole Members"). F4: In connection with the Merger, certain shares of Common Stock beneficially owned directly by Goldman Sachs, and which may be deemed to be beneficially owned indirectly by GS Group, were cancelled and converted into the right to receive $38.00 per share in cash and open short positions held by Goldman Sachs or another wholly-owned subsidiary of GS Group were closed for $38.00 per share. F5: Each of the Reporting Persons disclaims membership in any "group" with any other person and disclaims beneficial ownership of any securities of the Issuer except to the extent of its pecuniary interest therein, if any. Each Reporting Person also disclaims beneficial ownership of any shares of Common Stock that may be or are beneficially owned by, among others, the Poole Members, Mr. Perry, and any other persons other than the Reporting Persons. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), and GS Direct, L.L.C. ("GS Direct" and collectively with GS Group and Goldman Sachs, the "Reporting Persons").
F2: On May 9, 2008, pursuant to the terms of the merger agreement by and among the Issuer, Marlin HoldCo LP and Marlin MergeCo Inc. ("Merger Sub"), Articles of Merger were filed with the North Carolina Secretary of State and, as a result thereof, Merger Sub was merged with and into the Issuer (the "Merger"), with the Issuer continuing as the surviving corporation and the indirect wholly-owned subsidiary of Marlin HoldCo LP. As a result of the Merger, the Issuer no longer has any securities registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended, and accordingly each Reporting Person no longer will be deemed to constitute a "group" with Lonnie C. Poole Jr., the Chairman of the Issuer, Jim W. Perry, the President, Chief Executive Officer and a Director of the Issuer, and certain Poole family members and entities (together with Mr. Poole, the "Poole Members").
F3: Immediately before the Merger, GS Direct acquired 1,038,792 shares of Common Stock from certain shareholders, and GS Direct exchanged such shares, at a value of $38.00 per share, for equity of Marlin HoldCo LP, a parent holding company of Merger Sub, and such shares were subsequently cancelled.
F4: In connection with the Merger, certain shares of Common Stock beneficially owned directly by Goldman Sachs, and which may be deemed to be beneficially owned indirectly by GS Group, were cancelled and converted into the right to receive $38.00 per share in cash and open short positions held by Goldman Sachs or another wholly-owned subsidiary of GS Group were closed for $38.00 per share.
F5: Each of the Reporting Persons disclaims membership in any "group" with any other person and disclaims beneficial ownership of any securities of the Issuer except to the extent of its pecuniary interest therein, if any. Each Reporting Person also disclaims beneficial ownership of any shares of Common Stock that may be or are beneficially owned by, among others, the Poole Members, Mr. Perry, and any other persons other than the Reporting Persons.
ZIMMER BIOMET HOLDINGS, INC.
Report date February 10, 2016 · Filed February 13, 2016
Jointly reported with GOLDMAN SACHS GROUP INC, GS Capital Partners VI Fund, L.P., GS Capital Partners VI Offshore Fund, L.P., GS Capital Partners VI Parallel LP, GS Capital Partners VI GmbH & Co KG, GS LVB CO-INVEST, LP, GOLDMAN SACHS BMET INVESTORS LP, GOLDMAN SACHS BMET INVESTORS OFFSHORE HOLDINGS, LP, PEP BASS HOLDINGS LLC
Section 16 reporting ended · disclosed 2016-02-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 3,856,574 |
Reported balance
After 2016-02-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2016-02-10 · Sale · Disposed 3,675,850 · Balance 3,856,574 F3: Pursuant to an underwriting agreement, dated February 4, 2016 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of Common Stock, par value $0.001 per share (the "Common Stock"), of Zimmer Biomet Holdings, Inc. (the "Company") pursuant to the final prospectus dated February 4, 2016, which offering was consummated on February 10, 2016 (the "Offering"), the GS Entities sold an aggregate of 3,675,850 shares of Common Stock, with (i) GS Capital selling 1,218,372 shares of Common Stock, (ii) GS Germany selling 43,301 shares of Common Stock, (iii) GS Offshore selling 1,013,398 shares of Common Stock, (continued in footnote 4) F4: (iv) GS Parallel selling 335,030 shares of Common Stock, (v) GS LVB selling 173,833 shares of Common Stock, (vi) GS BMET selling 177,378 shares of Common Stock, (vii) GS BMET Offshore selling 519,133 shares of Common Stock, (viii) GS PEP selling 124,916 shares of Common Stock, (ix) GS 2004 selling 17,726 shares of Common Stock, (x) GS 2005 selling 25,321 shares of Common Stock and (xi) GS IX selling 27,442 shares of Common Stock. F5: The price represents the price paid to the GS Entities by the underwriter. The price to the public in the Offering was $96.45. F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Capital Partners VI Fund, L.P. ("GS Capital"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Parallel L.P. ("GS Parallel"), GS Capital Partners VI GmbH & Co. KG ("GS Germany"), GS LVB Co-Invest, L.P. ("GS LVB"), Goldman Sachs BMET Investors, L.P. ("GS BMET"), Goldman Sachs BMET Investors Offshore Holdings, L.P. ("GS BMET Offshore"), PEP Bass Holdings, LLC ("GS PEP"), Private Equity Partners 2004 Direct Investment Fund, L.P. ("GS 2004"), Private Equity Partners 2005 Direct L.P. ("GS 2005") and Private Equity Partners IX Direct L.P. ("GS IX", and together with GS Capital, GS Offshore, GS Parallel, GS Germany, GS LVB, GS BMET, GS BMET Offshore, GS PEP, GS 2004 and GS 2005, the "GS Entities"); (continued in footnote 2) F2: GSCP VI Advisors, L.L.C., GSCP VI Offshore Advisors, L.L.C. , GS Advisors VI, L.L.C. and Goldman, Sachs Management GP GmbH (together with the GS Entities, GS Group and Goldman Sachs, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate. F6: Effective February 4, 2016, LVB Acquisition Holding, LLC ("LVB Holding") distributed all of its shares of Common Stock of the Company pro rata to its members, including the GS entities, pursuant to the terms of its limited liability company operating agreement. In lieu of distributing fractional interests in Common Stock to its members, cash was distributed to the GS Entities in respect of an aggregate of approximately 4 fractional shares. F7: Goldman Sachs is a wholly-owned subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the GS Entities. Affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner or investment manager of the GS Entities. F8: GS Group and Goldman Sachs may be deemed to beneficially own indirectly 3,675,858 shares of Common Stock, by reason of the beneficial ownership of such shares by the GS Entities. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 180,716 shares of Common Stock and Goldman Sachs also has open short positions of 169,667 shares of Common Stock, due to exempt transactions. F9: GS Capital beneficially owns directly 1,218,373 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS Capital's general partner GSCP VI Advisors, L.L.C. GS Germany beneficially owns directly 43,302 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS Germany's general partner Goldman, Sachs Management GP GmbH. GS Offshore beneficially owns directly 1,013,399 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS Offshore's general partner GSCP VI Offshore Advisors, L.L.C. GS Parallel beneficially owns directly 335,030 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS Parallel's general partner GS Advisors VI, L.L.C. GS LVB beneficially owns directly 173,834 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS LVB's general partner MBD Advisors, L.L.C. F10: GS BMET beneficially owns directly 177,379 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS BMET's general partner MBD Advisors, L.L.C. GS BMET Offshore beneficially owns directly 519,134 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS BMET Offshore's general partner MBD 2011 Offshore Advisors, Inc. GS PEP beneficially owns directly 124,916 shares of Common Stock, GS 2004 beneficially owns directly 17,727 shares of Common Stock, GS 2005 beneficially owns directly 25,322 shares of Common Stock and GS IX beneficially owns directly 27,442 shares of Common Stock, each which may be deemed to be beneficially owned indirectly by GSAM Gen-Par, L.L.C., GS PEP's manager and GS 2004, GS 2005 and GS IX's general partner. F11: The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F12: As of February 10, 2016, the Reporting Persons are no longer beneficial owners of more than 10% of the Common Stock of the Company. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GS Capital Partners VI Fund, L.P. ("GS Capital"), GS Capital Partners VI Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners VI Parallel L.P. ("GS Parallel"), GS Capital Partners VI GmbH & Co. KG ("GS Germany"), GS LVB Co-Invest, L.P. ("GS LVB"), Goldman Sachs BMET Investors, L.P. ("GS BMET"), Goldman Sachs BMET Investors Offshore Holdings, L.P. ("GS BMET Offshore"), PEP Bass Holdings, LLC ("GS PEP"), Private Equity Partners 2004 Direct Investment Fund, L.P. ("GS 2004"), Private Equity Partners 2005 Direct L.P. ("GS 2005") and Private Equity Partners IX Direct L.P. ("GS IX", and together with GS Capital, GS Offshore, GS Parallel, GS Germany, GS LVB, GS BMET, GS BMET Offshore, GS PEP, GS 2004 and GS 2005, the "GS Entities"); (continued in footnote 2)
F2: GSCP VI Advisors, L.L.C., GSCP VI Offshore Advisors, L.L.C. , GS Advisors VI, L.L.C. and Goldman, Sachs Management GP GmbH (together with the GS Entities, GS Group and Goldman Sachs, the "Reporting Persons"). Due to the electronic system's limitation of 10 Reporting Persons per joint filing, this statement is being filed in duplicate.
F3: Pursuant to an underwriting agreement, dated February 4, 2016 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of Common Stock, par value $0.001 per share (the "Common Stock"), of Zimmer Biomet Holdings, Inc. (the "Company") pursuant to the final prospectus dated February 4, 2016, which offering was consummated on February 10, 2016 (the "Offering"), the GS Entities sold an aggregate of 3,675,850 shares of Common Stock, with (i) GS Capital selling 1,218,372 shares of Common Stock, (ii) GS Germany selling 43,301 shares of Common Stock, (iii) GS Offshore selling 1,013,398 shares of Common Stock, (continued in footnote 4)
F4: (iv) GS Parallel selling 335,030 shares of Common Stock, (v) GS LVB selling 173,833 shares of Common Stock, (vi) GS BMET selling 177,378 shares of Common Stock, (vii) GS BMET Offshore selling 519,133 shares of Common Stock, (viii) GS PEP selling 124,916 shares of Common Stock, (ix) GS 2004 selling 17,726 shares of Common Stock, (x) GS 2005 selling 25,321 shares of Common Stock and (xi) GS IX selling 27,442 shares of Common Stock.
F5: The price represents the price paid to the GS Entities by the underwriter. The price to the public in the Offering was $96.45.
F6: Effective February 4, 2016, LVB Acquisition Holding, LLC ("LVB Holding") distributed all of its shares of Common Stock of the Company pro rata to its members, including the GS entities, pursuant to the terms of its limited liability company operating agreement. In lieu of distributing fractional interests in Common Stock to its members, cash was distributed to the GS Entities in respect of an aggregate of approximately 4 fractional shares.
F7: Goldman Sachs is a wholly-owned subsidiary of GS Group. Goldman Sachs is the investment manager of certain of the GS Entities. Affiliates of Goldman Sachs and GS Group are the general partner, managing limited partner, managing partner or investment manager of the GS Entities.
F8: GS Group and Goldman Sachs may be deemed to beneficially own indirectly 3,675,858 shares of Common Stock, by reason of the beneficial ownership of such shares by the GS Entities. Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 180,716 shares of Common Stock and Goldman Sachs also has open short positions of 169,667 shares of Common Stock, due to exempt transactions.
F9: GS Capital beneficially owns directly 1,218,373 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS Capital's general partner GSCP VI Advisors, L.L.C. GS Germany beneficially owns directly 43,302 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS Germany's general partner Goldman, Sachs Management GP GmbH. GS Offshore beneficially owns directly 1,013,399 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS Offshore's general partner GSCP VI Offshore Advisors, L.L.C. GS Parallel beneficially owns directly 335,030 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS Parallel's general partner GS Advisors VI, L.L.C. GS LVB beneficially owns directly 173,834 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS LVB's general partner MBD Advisors, L.L.C.
F10: GS BMET beneficially owns directly 177,379 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS BMET's general partner MBD Advisors, L.L.C. GS BMET Offshore beneficially owns directly 519,134 shares of Common Stock, which may be deemed to be beneficially owned indirectly by GS BMET Offshore's general partner MBD 2011 Offshore Advisors, Inc. GS PEP beneficially owns directly 124,916 shares of Common Stock, GS 2004 beneficially owns directly 17,727 shares of Common Stock, GS 2005 beneficially owns directly 25,322 shares of Common Stock and GS IX beneficially owns directly 27,442 shares of Common Stock, each which may be deemed to be beneficially owned indirectly by GSAM Gen-Par, L.L.C., GS PEP's manager and GS 2004, GS 2005 and GS IX's general partner.
F11: The Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F12: As of February 10, 2016, the Reporting Persons are no longer beneficial owners of more than 10% of the Common Stock of the Company.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 05, 2026 Filed Aug 28, 2026 21:38 UTC Amendment | Attovia Therapeutics, Inc. ATTO · Entity 4984 | SaleCommon Stock | 400 | $22.02 | $8,808.00 |
DisclosureSEC source: 0000886982-26-000522 · wk-form4a_1787953085.xml · nonDerivative · entry 14 GOLDMAN SACHS GROUP INC · CIK 0000886982 · Former 10% Owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · Former 10% Owner GOLDMAN SACHS ASSET MANAGEMENT, L.P. · CIK 0001229262 · Former 10% Owner Broad Street Principal Investments, L.L.C. · CIK 0001575993 · Former 10% Owner WSLS OFFSHORE INVESTMENTS, SLP · CIK 0002148330 · Former 10% Owner West Street Life Sciences I, L.P. · CIK 0001951154 · Former 10% Owner WSLS EMP OFFSHORE INVESTMENTS, L.P. · CIK 0002148329 · Former 10% Owner WSLS EMP ONSHORE INVESTMENTS, L.P. · CIK 0002148331 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 67,500 F1 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3 · ownership.nature: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. Read SEC document |
| August 05, 2026 Filed Aug 28, 2026 21:38 UTC Amendment | Attovia Therapeutics, Inc. ATTO · Entity 4984 | SaleCommon Stock | 6,970 | $22.03 | $153,549.10 |
DisclosureSEC source: 0000886982-26-000522 · wk-form4a_1787953085.xml · nonDerivative · entry 13 GOLDMAN SACHS GROUP INC · CIK 0000886982 · Former 10% Owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · Former 10% Owner GOLDMAN SACHS ASSET MANAGEMENT, L.P. · CIK 0001229262 · Former 10% Owner Broad Street Principal Investments, L.L.C. · CIK 0001575993 · Former 10% Owner WSLS OFFSHORE INVESTMENTS, SLP · CIK 0002148330 · Former 10% Owner West Street Life Sciences I, L.P. · CIK 0001951154 · Former 10% Owner WSLS EMP OFFSHORE INVESTMENTS, L.P. · CIK 0002148329 · Former 10% Owner WSLS EMP ONSHORE INVESTMENTS, L.P. · CIK 0002148331 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 67,900 F1 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3 · ownership.nature: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. Read SEC document |
| August 05, 2026 Filed Aug 28, 2026 21:38 UTC Amendment | Attovia Therapeutics, Inc. ATTO · Entity 4984 | SaleCommon Stock | 672 | $22.02 | $14,797.44 |
DisclosureSEC source: 0000886982-26-000522 · wk-form4a_1787953085.xml · nonDerivative · entry 12 GOLDMAN SACHS GROUP INC · CIK 0000886982 · Former 10% Owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · Former 10% Owner GOLDMAN SACHS ASSET MANAGEMENT, L.P. · CIK 0001229262 · Former 10% Owner Broad Street Principal Investments, L.L.C. · CIK 0001575993 · Former 10% Owner WSLS OFFSHORE INVESTMENTS, SLP · CIK 0002148330 · Former 10% Owner West Street Life Sciences I, L.P. · CIK 0001951154 · Former 10% Owner WSLS EMP OFFSHORE INVESTMENTS, L.P. · CIK 0002148329 · Former 10% Owner WSLS EMP ONSHORE INVESTMENTS, L.P. · CIK 0002148331 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 74,870 F1 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3 · ownership.nature: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. Read SEC document |
| August 05, 2026 Filed Aug 28, 2026 21:38 UTC Amendment | Attovia Therapeutics, Inc. ATTO · Entity 4984 | SaleCommon Stock | 753 | $21.97 | $16,543.41 |
DisclosureSEC source: 0000886982-26-000522 · wk-form4a_1787953085.xml · nonDerivative · entry 11 GOLDMAN SACHS GROUP INC · CIK 0000886982 · Former 10% Owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · Former 10% Owner GOLDMAN SACHS ASSET MANAGEMENT, L.P. · CIK 0001229262 · Former 10% Owner Broad Street Principal Investments, L.L.C. · CIK 0001575993 · Former 10% Owner WSLS OFFSHORE INVESTMENTS, SLP · CIK 0002148330 · Former 10% Owner West Street Life Sciences I, L.P. · CIK 0001951154 · Former 10% Owner WSLS EMP OFFSHORE INVESTMENTS, L.P. · CIK 0002148329 · Former 10% Owner WSLS EMP ONSHORE INVESTMENTS, L.P. · CIK 0002148331 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 75,542 F1 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3 · ownership.nature: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. Read SEC document |
| August 05, 2026 Filed Aug 28, 2026 21:38 UTC Amendment | Attovia Therapeutics, Inc. ATTO · Entity 4984 | SaleCommon Stock | 100 | $22.11 | $2,211.00 |
DisclosureSEC source: 0000886982-26-000522 · wk-form4a_1787953085.xml · nonDerivative · entry 10 GOLDMAN SACHS GROUP INC · CIK 0000886982 · Former 10% Owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · Former 10% Owner GOLDMAN SACHS ASSET MANAGEMENT, L.P. · CIK 0001229262 · Former 10% Owner Broad Street Principal Investments, L.L.C. · CIK 0001575993 · Former 10% Owner WSLS OFFSHORE INVESTMENTS, SLP · CIK 0002148330 · Former 10% Owner West Street Life Sciences I, L.P. · CIK 0001951154 · Former 10% Owner WSLS EMP OFFSHORE INVESTMENTS, L.P. · CIK 0002148329 · Former 10% Owner WSLS EMP ONSHORE INVESTMENTS, L.P. · CIK 0002148331 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 76,295 F1 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3 · ownership.nature: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. Read SEC document |
| August 05, 2026 Filed Aug 28, 2026 21:38 UTC Amendment | Attovia Therapeutics, Inc. ATTO · Entity 4984 | SaleCommon Stock | 480 | $21.55 | $10,344.00 |
DisclosureSEC source: 0000886982-26-000522 · wk-form4a_1787953085.xml · nonDerivative · entry 9 GOLDMAN SACHS GROUP INC · CIK 0000886982 · Former 10% Owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · Former 10% Owner GOLDMAN SACHS ASSET MANAGEMENT, L.P. · CIK 0001229262 · Former 10% Owner Broad Street Principal Investments, L.L.C. · CIK 0001575993 · Former 10% Owner WSLS OFFSHORE INVESTMENTS, SLP · CIK 0002148330 · Former 10% Owner West Street Life Sciences I, L.P. · CIK 0001951154 · Former 10% Owner WSLS EMP OFFSHORE INVESTMENTS, L.P. · CIK 0002148329 · Former 10% Owner WSLS EMP ONSHORE INVESTMENTS, L.P. · CIK 0002148331 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 76,395 F1 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3 · ownership.nature: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. Read SEC document |
| August 05, 2026 Filed Aug 28, 2026 21:38 UTC Amendment | Attovia Therapeutics, Inc. ATTO · Entity 4984 | SaleCommon Stock | 200 | $22.10 | $4,420.00 |
DisclosureSEC source: 0000886982-26-000522 · wk-form4a_1787953085.xml · nonDerivative · entry 8 GOLDMAN SACHS GROUP INC · CIK 0000886982 · Former 10% Owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · Former 10% Owner GOLDMAN SACHS ASSET MANAGEMENT, L.P. · CIK 0001229262 · Former 10% Owner Broad Street Principal Investments, L.L.C. · CIK 0001575993 · Former 10% Owner WSLS OFFSHORE INVESTMENTS, SLP · CIK 0002148330 · Former 10% Owner West Street Life Sciences I, L.P. · CIK 0001951154 · Former 10% Owner WSLS EMP OFFSHORE INVESTMENTS, L.P. · CIK 0002148329 · Former 10% Owner WSLS EMP ONSHORE INVESTMENTS, L.P. · CIK 0002148331 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 76,875 F1 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3 · ownership.nature: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. Read SEC document |
| August 05, 2026 Filed Aug 28, 2026 21:38 UTC Amendment | Attovia Therapeutics, Inc. ATTO · Entity 4984 | SaleCommon Stock | 3,402 | $22.02 | $74,912.04 |
DisclosureSEC source: 0000886982-26-000522 · wk-form4a_1787953085.xml · nonDerivative · entry 7 GOLDMAN SACHS GROUP INC · CIK 0000886982 · Former 10% Owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · Former 10% Owner GOLDMAN SACHS ASSET MANAGEMENT, L.P. · CIK 0001229262 · Former 10% Owner Broad Street Principal Investments, L.L.C. · CIK 0001575993 · Former 10% Owner WSLS OFFSHORE INVESTMENTS, SLP · CIK 0002148330 · Former 10% Owner West Street Life Sciences I, L.P. · CIK 0001951154 · Former 10% Owner WSLS EMP OFFSHORE INVESTMENTS, L.P. · CIK 0002148329 · Former 10% Owner WSLS EMP ONSHORE INVESTMENTS, L.P. · CIK 0002148331 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 77,075 F1 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3 · ownership.nature: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. Read SEC document |
| August 05, 2026 Filed Aug 28, 2026 21:38 UTC Amendment | Attovia Therapeutics, Inc. ATTO · Entity 4984 | SaleCommon Stock | 1,556 | $22.06 | $34,325.36 |
DisclosureSEC source: 0000886982-26-000522 · wk-form4a_1787953085.xml · nonDerivative · entry 6 GOLDMAN SACHS GROUP INC · CIK 0000886982 · Former 10% Owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · Former 10% Owner GOLDMAN SACHS ASSET MANAGEMENT, L.P. · CIK 0001229262 · Former 10% Owner Broad Street Principal Investments, L.L.C. · CIK 0001575993 · Former 10% Owner WSLS OFFSHORE INVESTMENTS, SLP · CIK 0002148330 · Former 10% Owner West Street Life Sciences I, L.P. · CIK 0001951154 · Former 10% Owner WSLS EMP OFFSHORE INVESTMENTS, L.P. · CIK 0002148329 · Former 10% Owner WSLS EMP ONSHORE INVESTMENTS, L.P. · CIK 0002148331 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 80,477 F1 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3 · ownership.nature: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. Read SEC document |
| August 05, 2026 Filed Aug 28, 2026 21:38 UTC Amendment | Attovia Therapeutics, Inc. ATTO · Entity 4984 | SaleCommon Stock | 200 | $22.05 | $4,410.00 |
DisclosureSEC source: 0000886982-26-000522 · wk-form4a_1787953085.xml · nonDerivative · entry 5 GOLDMAN SACHS GROUP INC · CIK 0000886982 · Former 10% Owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · Former 10% Owner GOLDMAN SACHS ASSET MANAGEMENT, L.P. · CIK 0001229262 · Former 10% Owner Broad Street Principal Investments, L.L.C. · CIK 0001575993 · Former 10% Owner WSLS OFFSHORE INVESTMENTS, SLP · CIK 0002148330 · Former 10% Owner West Street Life Sciences I, L.P. · CIK 0001951154 · Former 10% Owner WSLS EMP OFFSHORE INVESTMENTS, L.P. · CIK 0002148329 · Former 10% Owner WSLS EMP ONSHORE INVESTMENTS, L.P. · CIK 0002148331 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 82,033 F1 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3 · ownership.nature: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. Read SEC document |
| August 05, 2026 Filed Aug 28, 2026 21:38 UTC Amendment | Attovia Therapeutics, Inc. ATTO · Entity 4984 | SaleCommon Stock | 1,332 | $22.03 | $29,343.96 |
DisclosureSEC source: 0000886982-26-000522 · wk-form4a_1787953085.xml · nonDerivative · entry 4 GOLDMAN SACHS GROUP INC · CIK 0000886982 · Former 10% Owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · Former 10% Owner GOLDMAN SACHS ASSET MANAGEMENT, L.P. · CIK 0001229262 · Former 10% Owner Broad Street Principal Investments, L.L.C. · CIK 0001575993 · Former 10% Owner WSLS OFFSHORE INVESTMENTS, SLP · CIK 0002148330 · Former 10% Owner West Street Life Sciences I, L.P. · CIK 0001951154 · Former 10% Owner WSLS EMP OFFSHORE INVESTMENTS, L.P. · CIK 0002148329 · Former 10% Owner WSLS EMP ONSHORE INVESTMENTS, L.P. · CIK 0002148331 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 82,233 F1 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3 · ownership.nature: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. Read SEC document |
| August 05, 2026 Filed Aug 28, 2026 21:38 UTC Amendment | Attovia Therapeutics, Inc. ATTO · Entity 4984 | SaleCommon Stock | 447 | $21.87 | $9,775.89 |
DisclosureSEC source: 0000886982-26-000522 · wk-form4a_1787953085.xml · nonDerivative · entry 3 GOLDMAN SACHS GROUP INC · CIK 0000886982 · Former 10% Owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · Former 10% Owner GOLDMAN SACHS ASSET MANAGEMENT, L.P. · CIK 0001229262 · Former 10% Owner Broad Street Principal Investments, L.L.C. · CIK 0001575993 · Former 10% Owner WSLS OFFSHORE INVESTMENTS, SLP · CIK 0002148330 · Former 10% Owner West Street Life Sciences I, L.P. · CIK 0001951154 · Former 10% Owner WSLS EMP OFFSHORE INVESTMENTS, L.P. · CIK 0002148329 · Former 10% Owner WSLS EMP ONSHORE INVESTMENTS, L.P. · CIK 0002148331 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 83,565 F1 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3 · ownership.nature: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. Read SEC document |
| August 05, 2026 Filed Aug 28, 2026 21:38 UTC Amendment | Attovia Therapeutics, Inc. ATTO · Entity 4984 | SaleCommon Stock | 988 | $22.03 | $21,765.64 |
DisclosureSEC source: 0000886982-26-000522 · wk-form4a_1787953085.xml · nonDerivative · entry 2 GOLDMAN SACHS GROUP INC · CIK 0000886982 · Former 10% Owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · Former 10% Owner GOLDMAN SACHS ASSET MANAGEMENT, L.P. · CIK 0001229262 · Former 10% Owner Broad Street Principal Investments, L.L.C. · CIK 0001575993 · Former 10% Owner WSLS OFFSHORE INVESTMENTS, SLP · CIK 0002148330 · Former 10% Owner West Street Life Sciences I, L.P. · CIK 0001951154 · Former 10% Owner WSLS EMP OFFSHORE INVESTMENTS, L.P. · CIK 0002148329 · Former 10% Owner WSLS EMP ONSHORE INVESTMENTS, L.P. · CIK 0002148331 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 84,012 F1 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F3 · ownership.nature: GS&Co's transactions in or with respect to the Issuer's common stock on August 5, 2026 consisted of purchases of a total of 85,000 shares, sales of a total of 105,807 shares, and establishment of long equity swap positions with respect to a total of 105,807 shares. The equity swap positions were inadvertently omitted from the Reporting Persons' original Form 4. Read SEC document |
| August 05, 2026 Filed Aug 28, 2026 21:38 UTC Amendment | Attovia Therapeutics, Inc. ATTO · Entity 4984 | PurchaseCommon Stock | 85,000 | $21.00 | $1,785,000.00 |
DisclosureSEC source: 0000886982-26-000522 · wk-form4a_1787953085.xml · nonDerivative · entry 1 GOLDMAN SACHS GROUP INC · CIK 0000886982 · Former 10% Owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · Former 10% Owner GOLDMAN SACHS ASSET MANAGEMENT, L.P. · CIK 0001229262 · Former 10% Owner Broad Street Principal Investments, L.L.C. · CIK 0001575993 · Former 10% Owner WSLS OFFSHORE INVESTMENTS, SLP · CIK 0002148330 · Former 10% Owner West Street Life Sciences I, L.P. · CIK 0001951154 · Former 10% Owner WSLS EMP OFFSHORE INVESTMENTS, L.P. · CIK 0002148329 · Former 10% Owner WSLS EMP ONSHORE INVESTMENTS, L.P. · CIK 0002148331 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 85,000 F1 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. F2 · ownership.nature: These transactions in or with respect to the common stock of the Issuer were effected by Goldman Sachs & Co. LLC ("GS&Co") acting as a market maker in the ordinary course of business. Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. Read SEC document |
| June 15, 2026 Filed Jun 17, 2026 23:19 UTC | Aperture AC APUR · Entity 6532 | SaleClass A Ordinary Shares, par value of $0.0001 per share | 25 | $9.90 | $247.50 |
DisclosureSEC source: 0000886982-26-000291 · wk-form4_1781738345.xml · nonDerivative · entry 3 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 1,057,597 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On June 15, 2026, the Reporting Persons experienced an increase in their beneficial ownership of Aperture AC (the "Issuer") to above 10% of the outstanding Class A Ordinary Shares ("Ordinary Shares"). F2 · security: These transactions in the Ordinary Shares of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: The Ordinary Shares of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. F4 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. Read SEC document |
| June 15, 2026 Filed Jun 17, 2026 23:19 UTC | Aperture AC APUR · Entity 6532 | SaleClass A Ordinary Shares, par value of $0.0001 per share | 22 | $9.90 | $217.80 |
DisclosureSEC source: 0000886982-26-000291 · wk-form4_1781738345.xml · nonDerivative · entry 2 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 1,057,622 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On June 15, 2026, the Reporting Persons experienced an increase in their beneficial ownership of Aperture AC (the "Issuer") to above 10% of the outstanding Class A Ordinary Shares ("Ordinary Shares"). F2 · security: These transactions in the Ordinary Shares of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: The Ordinary Shares of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. F4 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. Read SEC document |
| June 15, 2026 Filed Jun 17, 2026 23:19 UTC | Aperture AC APUR · Entity 6532 | SaleClass A Ordinary Shares, par value of $0.0001 per share | 1 | $9.90 | $9.90 |
DisclosureSEC source: 0000886982-26-000291 · wk-form4_1781738345.xml · nonDerivative · entry 1 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 1,057,644 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On June 15, 2026, the Reporting Persons experienced an increase in their beneficial ownership of Aperture AC (the "Issuer") to above 10% of the outstanding Class A Ordinary Shares ("Ordinary Shares"). F2 · security: These transactions in the Ordinary Shares of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: The Ordinary Shares of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. F4 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. Read SEC document |
| April 20, 2026 Filed Apr 23, 2026 00:07 UTC | Old QVC Group, Inc. QVCGP · Entity 9784 | SaleSeries A Common Stock | 6,327 | $0.51 | $3,226.77 |
DisclosureSEC source: 0000886982-26-000104 · wk-form4_1776902858.xml · nonDerivative · entry 6 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 10,314 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 17, 2026, the Reporting Persons experienced an increase in their beneficial ownership of QVC Group, Inc. (the "Issuer") to above 10% of the outstanding Series A Common Stock ("Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 20, 2026 Filed Apr 23, 2026 00:07 UTC | Old QVC Group, Inc. QVCGP · Entity 9784 | SaleSeries A Common Stock | 3,637 | $0.51 | $1,854.87 |
DisclosureSEC source: 0000886982-26-000104 · wk-form4_1776902858.xml · nonDerivative · entry 5 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 16,641 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 17, 2026, the Reporting Persons experienced an increase in their beneficial ownership of QVC Group, Inc. (the "Issuer") to above 10% of the outstanding Series A Common Stock ("Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 20, 2026 Filed Apr 23, 2026 00:07 UTC | Old QVC Group, Inc. QVCGP · Entity 9784 | PurchaseSeries A Common Stock | 4 | $0.52 | $2.08 |
DisclosureSEC source: 0000886982-26-000104 · wk-form4_1776902858.xml · nonDerivative · entry 4 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 20,278 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 17, 2026, the Reporting Persons experienced an increase in their beneficial ownership of QVC Group, Inc. (the "Issuer") to above 10% of the outstanding Series A Common Stock ("Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 20, 2026 Filed Apr 23, 2026 00:07 UTC | Old QVC Group, Inc. QVCGP · Entity 9784 | PurchaseSeries A Common Stock | 1 | $0.53 | $0.53 |
DisclosureSEC source: 0000886982-26-000104 · wk-form4_1776902858.xml · nonDerivative · entry 3 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 20,274 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 17, 2026, the Reporting Persons experienced an increase in their beneficial ownership of QVC Group, Inc. (the "Issuer") to above 10% of the outstanding Series A Common Stock ("Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 20, 2026 Filed Apr 23, 2026 00:07 UTC | Old QVC Group, Inc. QVCGP · Entity 9784 | PurchaseSeries A Common Stock | 10,000 | $0.55 | $5,500.00 |
DisclosureSEC source: 0000886982-26-000104 · wk-form4_1776902858.xml · nonDerivative · entry 2 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 20,273 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 17, 2026, the Reporting Persons experienced an increase in their beneficial ownership of QVC Group, Inc. (the "Issuer") to above 10% of the outstanding Series A Common Stock ("Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 20, 2026 Filed Apr 23, 2026 00:07 UTC | Old QVC Group, Inc. QVCGP · Entity 9784 | PurchaseSeries A Common Stock | 1 | $0.51 | $0.51 |
DisclosureSEC source: 0000886982-26-000104 · wk-form4_1776902858.xml · nonDerivative · entry 1 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 10,273 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 17, 2026, the Reporting Persons experienced an increase in their beneficial ownership of QVC Group, Inc. (the "Issuer") to above 10% of the outstanding Series A Common Stock ("Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 20, 2026 Filed Apr 24, 2026 17:32 UTC Amendment | Old QVC Group, Inc. QVCGP · Entity 9784 | SaleSeries A Common Stock | 6,327 | $0.51 | $3,226.77 |
DisclosureSEC source: 0000886982-26-000111 · wk-form4a_1777051947.xml · nonDerivative · entry 6 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 7,485 F1 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F2 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 17, 2026, the Reporting Persons experienced an increase in their beneficial ownership of QVC Group, Inc. (the "Issuer") to above 10% of the outstanding Series A Common Stock ("Common Stock"). F3 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. F4 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. F5 · ownership.nature: The Reporting Persons' beneficial ownership was inadvertently overstated by 2,829 shares of Series A Common Stock in the Reporting Persons' original Form 4. Read SEC document |
| April 20, 2026 Filed Apr 24, 2026 17:32 UTC Amendment | Old QVC Group, Inc. QVCGP · Entity 9784 | SaleSeries A Common Stock | 3,637 | $0.51 | $1,854.87 |
DisclosureSEC source: 0000886982-26-000111 · wk-form4a_1777051947.xml · nonDerivative · entry 5 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 13,812 F1 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F2 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 17, 2026, the Reporting Persons experienced an increase in their beneficial ownership of QVC Group, Inc. (the "Issuer") to above 10% of the outstanding Series A Common Stock ("Common Stock"). F3 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. F4 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. F5 · ownership.nature: The Reporting Persons' beneficial ownership was inadvertently overstated by 2,829 shares of Series A Common Stock in the Reporting Persons' original Form 4. Read SEC document |
| April 20, 2026 Filed Apr 24, 2026 17:32 UTC Amendment | Old QVC Group, Inc. QVCGP · Entity 9784 | PurchaseSeries A Common Stock | 4 | $0.52 | $2.08 |
DisclosureSEC source: 0000886982-26-000111 · wk-form4a_1777051947.xml · nonDerivative · entry 4 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 17,449 F1 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F2 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 17, 2026, the Reporting Persons experienced an increase in their beneficial ownership of QVC Group, Inc. (the "Issuer") to above 10% of the outstanding Series A Common Stock ("Common Stock"). F3 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. F4 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. F5 · ownership.nature: The Reporting Persons' beneficial ownership was inadvertently overstated by 2,829 shares of Series A Common Stock in the Reporting Persons' original Form 4. Read SEC document |
| April 20, 2026 Filed Apr 24, 2026 17:32 UTC Amendment | Old QVC Group, Inc. QVCGP · Entity 9784 | PurchaseSeries A Common Stock | 1 | $0.53 | $0.53 |
DisclosureSEC source: 0000886982-26-000111 · wk-form4a_1777051947.xml · nonDerivative · entry 3 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 17,445 F1 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F2 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 17, 2026, the Reporting Persons experienced an increase in their beneficial ownership of QVC Group, Inc. (the "Issuer") to above 10% of the outstanding Series A Common Stock ("Common Stock"). F3 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. F4 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. F5 · ownership.nature: The Reporting Persons' beneficial ownership was inadvertently overstated by 2,829 shares of Series A Common Stock in the Reporting Persons' original Form 4. Read SEC document |
| April 20, 2026 Filed Apr 24, 2026 17:32 UTC Amendment | Old QVC Group, Inc. QVCGP · Entity 9784 | PurchaseSeries A Common Stock | 10,000 | $0.55 | $5,500.00 |
DisclosureSEC source: 0000886982-26-000111 · wk-form4a_1777051947.xml · nonDerivative · entry 2 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 17,444 F1 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F2 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 17, 2026, the Reporting Persons experienced an increase in their beneficial ownership of QVC Group, Inc. (the "Issuer") to above 10% of the outstanding Series A Common Stock ("Common Stock"). F3 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. F4 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. F5 · ownership.nature: The Reporting Persons' beneficial ownership was inadvertently overstated by 2,829 shares of Series A Common Stock in the Reporting Persons' original Form 4. Read SEC document |
| April 20, 2026 Filed Apr 24, 2026 17:32 UTC Amendment | Old QVC Group, Inc. QVCGP · Entity 9784 | PurchaseSeries A Common Stock | 1 | $0.51 | $0.51 |
DisclosureSEC source: 0000886982-26-000111 · wk-form4a_1777051947.xml · nonDerivative · entry 1 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 7,444 F1 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F2 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. On April 17, 2026, the Reporting Persons experienced an increase in their beneficial ownership of QVC Group, Inc. (the "Issuer") to above 10% of the outstanding Series A Common Stock ("Common Stock"). F3 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. F4 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer, if applicable. F5 · ownership.nature: The Reporting Persons' beneficial ownership was inadvertently overstated by 2,829 shares of Series A Common Stock in the Reporting Persons' original Form 4. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 160 | $5.70 | $912.00 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 30 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,900,255 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 166 | $5.69 | $944.54 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 29 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,900,095 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 188 | $5.61 | $1,054.68 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 28 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,899,929 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 196 | $5.61 | $1,099.56 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 27 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,899,741 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 200 | $5.67 | $1,134.00 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 26 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,899,545 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 200 | $5.66 | $1,132.00 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 25 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,899,345 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 201 | $5.67 | $1,139.67 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 24 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,899,145 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 221 | $5.65 | $1,248.65 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 23 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,898,944 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 260 | $5.63 | $1,463.80 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 22 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,898,723 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 272 | $5.65 | $1,536.80 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 21 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,898,463 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 288 | $5.72 | $1,647.36 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 20 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,898,191 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 290 | $5.69 | $1,650.10 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 19 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,897,903 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 295 | $5.69 | $1,678.55 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 18 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,897,613 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 300 | $5.67 | $1,701.00 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 17 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,897,318 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 341 | $5.69 | $1,940.29 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 16 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,897,018 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 366 | $5.69 | $2,082.54 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 15 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,896,677 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 375 | $5.69 | $2,133.75 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 14 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,896,311 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 600 | $5.65 | $3,390.00 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 13 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,895,936 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 721 | $5.66 | $4,080.86 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 12 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,895,336 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 901 | $5.66 | $5,099.66 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 11 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,894,615 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
| April 07, 2026 Filed Apr 10, 2026 01:58 UTC | Sweetgreen, Inc. SG · Entity 5144 | PurchaseClass A Common Stock, par value $0.001 per share | 901 | $5.66 | $5,099.66 |
DisclosureSEC source: 0001193125-26-150095 · ownership.xml · nonDerivative · entry 10 GOLDMAN SACHS GROUP INC · CIK 0000886982 · 10% owner GOLDMAN SACHS & CO. LLC · CIK 0000769993 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,893,714 F1 · security: This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Goldman Sachs & Co. LLC. ("Goldman Sachs" and, together with GS Group, the "Reporting Persons"). Goldman Sachs is a wholly-owned subsidiary of GS Group. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. On April 8, 2026, the Reporting Persons ceased to be a greater than 10% beneficial owner of Sweetgreen, Inc.'s (the "Issuer") Class A Common Stock (the "Common Stock"). F2 · security: These transactions in the Common Stock of the Issuer were effected by Goldman Sachs acting as a market maker in the ordinary course of business. F3 · ownership.nature: Without conceding market making trades in the ordinary course of business can result in liability under Section 16(b) of the Exchange Act, the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) will be remitted to the Issuer. F4 · ownership.nature: The Common Stock of the Issuer reported herein as indirectly owned was beneficially owned directly by Goldman Sachs and indirectly by GS Group. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.