Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| GOLDMAN SACHS GROUP INCGS · Entity 2819 | Executive VP - General Counsel | December 26, 2018 | December 28, 2018 |
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.
GOLDMAN SACHS GROUP INC
Report date December 26, 2018 · Filed December 28, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 946,915 |
Ending reported balance
After 2018-12-27 transaction · row 6
6 source rows · reconciled sequenceRow 1 · 2018-12-26 · Exercise / conversion · Acquired 34,956 · Balance 981,871 F1: This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person in November 2017, without any additional action taken by the Reporting Person. F2: Reflects the exercise by the Reporting Person of Stock Options granted in December 2008 and scheduled to expire in December 2018. Row 2 · 2018-12-26 · Tax withholding · Disposed 26,811 · Balance 955,060 F1: This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person in November 2017, without any additional action taken by the Reporting Person. F3: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of Stock Options described in footnote 2 above. Row 3 · 2018-12-26 · Sale · Disposed 8,145 · Balance 946,915 F1: This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person in November 2017, without any additional action taken by the Reporting Person. F4: Reflects a weighted average sale price of $157.1171 per share, at prices ranging from $156.9910 and $157.2050 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. Row 4 · 2018-12-27 · Exercise / conversion · Acquired 34,956 · Balance 981,871 F1: This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person in November 2017, without any additional action taken by the Reporting Person. F2: Reflects the exercise by the Reporting Person of Stock Options granted in December 2008 and scheduled to expire in December 2018. Row 5 · 2018-12-27 · Tax withholding · Disposed 26,650 · Balance 955,221 F1: This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person in November 2017, without any additional action taken by the Reporting Person. F3: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of Stock Options described in footnote 2 above. Row 6 · 2018-12-27 · Sale · Disposed 8,306 · Balance 946,915 F1: This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person in November 2017, without any additional action taken by the Reporting Person. |
| Nonqualified Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $78.78 · Expires 2018-12-31 | Direct | 34,956 |
Reported balance
After 2018-12-26 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2018-12-26 · Exercise / conversion · Disposed 34,956 · Balance 34,956 F1: This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person in November 2017, without any additional action taken by the Reporting Person. F7: One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012. |
| Nonqualified Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $78.78 · Expires 2018-12-31 | Direct | 0 |
Reported balance
After 2018-12-27 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2018-12-27 · Exercise / conversion · Disposed 34,956 · Balance 0 F1: This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person in November 2017, without any additional action taken by the Reporting Person. F7: One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee footnote | 71,281 |
Reported balance
Holding disclosure · report date 2018-12-26 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 71,281 F5: Held through a limited liability company. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee footnote | 15,726 |
Reported balance
Holding disclosure · report date 2018-12-26 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 15,726 F6: Held through a trust, the sole trustee of which is the Reporting Person's spouse and the sole beneficiaries of which are immediate family members of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person in November 2017, without any additional action taken by the Reporting Person.
F2: Reflects the exercise by the Reporting Person of Stock Options granted in December 2008 and scheduled to expire in December 2018.
F3: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of Stock Options described in footnote 2 above.
F4: Reflects a weighted average sale price of $157.1171 per share, at prices ranging from $156.9910 and $157.2050 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F5: Held through a limited liability company.
F6: Held through a trust, the sole trustee of which is the Reporting Person's spouse and the sole beneficiaries of which are immediate family members of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares.
F7: One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012.
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 |
|---|---|---|---|---|---|---|
| January 02, 2004 Filed Jan 6, 2004 17:26 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | SaleCommon Stock, par value $0.01 per share | 100,000 | $97.66 | $9,766,440.00 |
DisclosureSEC source: 0000769993-04-000004 · palmeep_ex.xml · nonDerivative · entry 1 PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 947,667 Read SEC document |
| December 19, 2003 Filed Dec 23, 2003 13:01 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | SaleCommon Stock, par value $0.01 per share | 44,000 | $96.41 | $4,242,088.40 |
DisclosureSEC source: 0000769993-03-000697 · palmeep_ex.xml · nonDerivative · entry 1 PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,047,667 Read SEC document |
| December 17, 2003 Filed Dec 18, 2003 14:53 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | GrantRestricted Stock Units · Derivative | 38,464 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-03-000677 · palmeep_ex.xml · derivative · entry 1 PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,464 Underlying: Common Stock · 38,464 shares Expires not disclosed F1 · derivative.exercise_price: The number of Restricted Stock Units ("RSUs") awarded to the Reporting Person was determined by dividing the dollar amount to be granted as an equity-based award by $94.44 (the average closing price-per-share of the Issuer's Common Stock on the New York Stock Exchange for the ten trading-day period up to and including the last day of the Issuer's 2003 fiscal year). F1 · price: The number of Restricted Stock Units ("RSUs") awarded to the Reporting Person was determined by dividing the dollar amount to be granted as an equity-based award by $94.44 (the average closing price-per-share of the Issuer's Common Stock on the New York Stock Exchange for the ten trading-day period up to and including the last day of the Issuer's 2003 fiscal year). F2 · derivative.exercise_date: Of these RSUs, 25% vested upon grant, with the remaining 75% vesting on November 24, 2006. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in or about January 2007. F2 · derivative.expiration_date: Of these RSUs, 25% vested upon grant, with the remaining 75% vesting on November 24, 2006. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in or about January 2007. F1 · derivative.underlying_shares: The number of Restricted Stock Units ("RSUs") awarded to the Reporting Person was determined by dividing the dollar amount to be granted as an equity-based award by $94.44 (the average closing price-per-share of the Issuer's Common Stock on the New York Stock Exchange for the ten trading-day period up to and including the last day of the Issuer's 2003 fiscal year). Read SEC document |
| July 09, 2003 Filed Jul 11, 2003 11:06 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | SaleCommon Stock, par value $0.01 per share | 25,000 | $88.12 | $2,202,985.00 |
DisclosureSEC source: 0000769993-03-000479 · palmeep_ex.xml · nonDerivative · entry 1 PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,091,667 F1 · balance_after: The Reporting Person also beneficially owns 300,000 shares of the Issuer's common stock indirectly as trustee of grantor retained annuity trusts. Read SEC document |
| June 26, 2003 Filed Jun 30, 2003 17:01 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | OtherCommon Stock, par value $0.01 per share | 24,756 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-03-000456 · palmeep_ex.xml · nonDerivative · entry 5 PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 24,756 F7 · kind: On June 26, 2003, the Reporting Person donated 24,756 shares of the Issuer's common stock to a grantor retained annuity trust of which the Reporting Person is the sole trustee and the sole current beneficiary. This donation was exempt from Section 16 pursuant to Rule 16a-13 under the Act. F7 · acquired: On June 26, 2003, the Reporting Person donated 24,756 shares of the Issuer's common stock to a grantor retained annuity trust of which the Reporting Person is the sole trustee and the sole current beneficiary. This donation was exempt from Section 16 pursuant to Rule 16a-13 under the Act. F8 · balance_after: Following all transactions reported in Table I, the Reporting Person beneficially owned 1,116,667 shares of the Issuer's common stock directly. F4 · ownership.nature: As trustee of grantor retained annuity trust Read SEC document |
| June 26, 2003 Filed Jun 30, 2003 17:01 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | OtherCommon Stock, par value $0.01 per share | 24,756 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-03-000456 · palmeep_ex.xml · nonDerivative · entry 4 PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 35,780 F6 · kind: Reflects the distribution of 24,756 shares of the Issuer's common stock from this grantor retained annuity trust to the Reporting Person on June 26, 2003. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Act. F6 · acquired: Reflects the distribution of 24,756 shares of the Issuer's common stock from this grantor retained annuity trust to the Reporting Person on June 26, 2003. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Act. F4 · ownership.nature: As trustee of grantor retained annuity trust Read SEC document |
| March 26, 2003 Filed Jun 30, 2003 17:01 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | OtherCommon Stock, par value $0.01 per share | 163,358 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-03-000456 · palmeep_ex.xml · nonDerivative · entry 3 PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 163,358 F5 · kind: On March 26, 2003, the Reporting Person donated 163,358 shares of the Issuer's common stock to a grantor retained annuity trust of which the Reporting Person is the sole trustee and the sole current beneficiary. This donation was exempt from Section 16 pursuant to Rule 16a-13 under the Act. F5 · acquired: On March 26, 2003, the Reporting Person donated 163,358 shares of the Issuer's common stock to a grantor retained annuity trust of which the Reporting Person is the sole trustee and the sole current beneficiary. This donation was exempt from Section 16 pursuant to Rule 16a-13 under the Act. F4 · ownership.nature: As trustee of grantor retained annuity trust Read SEC document |
| March 26, 2003 Filed Jun 30, 2003 17:01 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | OtherCommon Stock, par value $0.01 per share | 122,523 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-03-000456 · palmeep_ex.xml · nonDerivative · entry 2 PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 76,106 F3 · kind: Reflects the distribution of 122,523 shares of the Issuer's common stock from this grantor retained annuity trust to the Reporting Person on March 26, 2003. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Act. F3 · acquired: Reflects the distribution of 122,523 shares of the Issuer's common stock from this grantor retained annuity trust to the Reporting Person on March 26, 2003. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Act. F4 · ownership.nature: As trustee of grantor retained annuity trust Read SEC document |
| March 26, 2003 Filed Jun 30, 2003 17:01 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | OtherCommon Stock, par value $0.01 per share | 40,835 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-03-000456 · palmeep_ex.xml · nonDerivative · entry 1 PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · kind: Reflects the distribution of 40,835 shares of the Issuer's common stock from this grantor retained annuity trust to the Reporting Person on March 26, 2003. This trust is no longer a beneficial owner of the Issuer's securities. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended (the "Act"). F1 · acquired: Reflects the distribution of 40,835 shares of the Issuer's common stock from this grantor retained annuity trust to the Reporting Person on March 26, 2003. This trust is no longer a beneficial owner of the Issuer's securities. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended (the "Act"). F2 · ownership.nature: This trust is no longer a beneficial owner of the Issuer's securities. 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.