Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Carlyle Group Inc.CG · Entity 3316 | Director · Chief Executive Officer | August 26, 2026 | August 28, 2026 |
| GOLDMAN SACHS GROUP INCGS · Entity 2819 | President and Co-COO | December 28, 2017 | December 29, 2017 |
| SoFi Technologies, Inc.SOFI · Entity 3232 | Director | August 12, 2024 | August 14, 2024 |
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.
Carlyle Group Inc.
Report date August 26, 2026 · Filed August 28, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,273,362 |
Reported balance
After 2026-08-26 transaction · row 1
1 source rowRow 1 · 2026-08-26 · Grant · Acquired 19,240 · Balance 5,273,362 F1: Represents dividend equivalent units accrued on existing time-based and performance-based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents dividend equivalent units accrued on existing time-based and performance-based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.
GOLDMAN SACHS GROUP INC
Report date December 28, 2017 · Filed December 29, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 263,690 |
Ending reported balance
After 2017-12-28 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2017-12-28 · Exercise / conversion · Acquired 27,481 · Balance 279,028 F1: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end. Row 2 · 2017-12-28 · Tax withholding · Disposed 15,338 · Balance 263,690 F2: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-12-28 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-12-28 · Exercise / conversion · Disposed 27,481 · Balance 0 F1: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee footnote | 30,000 |
Reported balance
Holding disclosure · report date 2017-12-28 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 30,000 F3: Held through a trust, the sole trustee of which is an immediate family member of the Reporting Person and the sole beneficiary of which is an immediate family member of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares. |
Filing footnotes · ownership attribution and instrument terms
F1: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.
F2: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.
F3: Held through a trust, the sole trustee of which is an immediate family member of the Reporting Person and the sole beneficiary of which is an immediate family member of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares.
SoFi Technologies, Inc.
Report date August 12, 2024 · Filed August 14, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 35,034 |
Reported balance
Holding disclosure · report date 2024-08-12 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance 35,034 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. F2: Reflects a grant of RSUs to Reporting Person, a director of the Issuer, which will vest at the earlier of (i) the next annual shareholder meeting of the Issuer after July 14, 2024 (the "Vesting Commencement Date") or (ii) the 12 month anniversary of the Vesting Commencement Date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration.
F2: Reflects a grant of RSUs to Reporting Person, a director of the Issuer, which will vest at the earlier of (i) the next annual shareholder meeting of the Issuer after July 14, 2024 (the "Vesting Commencement Date") or (ii) the 12 month anniversary of the Vesting Commencement Date.
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 26, 2026 Filed Aug 28, 2026 17:02 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 19,240 | $0.00 | $0.00 |
DisclosureSEC source: 0001566418-26-000010 · wk-form4_1787950938.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,273,362 F1 · kind: Represents dividend equivalent units accrued on existing time-based and performance-based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards. Read SEC document |
| May 28, 2026 Filed May 29, 2026 21:10 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 20,743 | $0.00 | $0.00 |
DisclosureSEC source: 0001566418-26-000008 · wk-form4_1780089031.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,254,122 F1 · kind: Represents dividend equivalent units accrued on existing time-based and performance-based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards. Read SEC document |
| February 20, 2026 Filed Feb 20, 2026 23:49 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 17,457 | $0.00 | $0.00 |
DisclosureSEC source: 0001566418-26-000006 · wk-form4_1771631354.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,233,379 F1 · kind: Represents dividend equivalent units accrued on existing time-based and performance-based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards. Read SEC document |
| February 14, 2026 Filed Feb 17, 2026 23:33 UTC | Carlyle Group Inc. CG · Entity 3316 | Tax withholdingCommon Stock | 134,812 | $54.49 | $7,345,905.88 |
DisclosureSEC source: 0001566418-26-000004 · wk-form4_1771371205.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,215,922 F1 · kind: Represents shares of common stock that have been withheld by the Issuer in connection with the payment of taxes resulting from the vesting of a previously reported restricted stock unit award. No shares of common stock were sold by the reporting person. Read SEC document |
| February 01, 2026 Filed Feb 3, 2026 22:37 UTC | Carlyle Group Inc. CG · Entity 3316 | Tax withholdingCommon Stock | 578,862 | $58.78 | $34,025,508.36 |
DisclosureSEC source: 0001566418-26-000002 · wk-form4_1770158239.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,350,734 F1 · kind: Represents shares of common stock that have been withheld by the Issuer in connection with the payment of taxes resulting from the vesting of a previously reported restricted stock unit award (including previously reported dividend equivalent units accrued thereon). No shares of common stock were sold by the reporting person. Read SEC document |
| December 15, 2025 Filed Dec 17, 2025 22:55 UTC | Carlyle Group Inc. CG · Entity 3316 | Tax withholdingCommon Stock | 310,696 | $58.35 | $18,129,111.60 |
DisclosureSEC source: 0001566418-25-000009 · wk-form4_1766012136.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,929,596 F1 · kind: Represents shares of common stock that have been withheld by the Issuer in connection with the payment of taxes resulting from the vesting of a previously reported restricted stock unit award. No shares of common stock were sold by the reporting person. Read SEC document |
| November 19, 2025 Filed Nov 21, 2025 22:04 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 28,519 | $0.00 | $0.00 |
DisclosureSEC source: 0001566418-25-000007 · wk-form4_1763762694.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,240,292 F1 · kind: Represents dividend equivalent units accrued on existing time-based and performance-based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards. Read SEC document |
| August 28, 2025 Filed Aug 29, 2025 20:54 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 22,884 | $0.00 | $0.00 |
DisclosureSEC source: 0001527166-25-000114 · wk-form4_1756500874.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,211,773 F1 · kind: Represents dividend equivalent units accrued on existing time-based and performance-based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards. Read SEC document |
| May 27, 2025 Filed May 29, 2025 21:09 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 31,709 | $0.00 | $0.00 |
DisclosureSEC source: 0001527166-25-000081 · wk-form4_1748552984.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,188,889 F1 · kind: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards. Read SEC document |
| February 28, 2025 Filed Mar 1, 2025 00:30 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 29,151 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-030274 · ownership.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,157,180 F1 · kind: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards. Read SEC document |
| February 14, 2025 Filed Feb 15, 2025 00:16 UTC | Carlyle Group Inc. CG · Entity 3316 | Tax withholdingCommon Stock | 134,812 | $51.03 | $6,879,456.36 |
DisclosureSEC source: 0000950170-25-021638 · ownership.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,128,029 F1 · kind: Represents shares of common stock that have been withheld by the Issuer in connection with the payment of taxes resulting from the vesting of a previously reported restricted stock unit award. No shares of common stock were sold by the reporting person. Read SEC document |
| February 01, 2025 Filed Feb 5, 2025 01:49 UTC | Carlyle Group Inc. CG · Entity 3316 | Tax withholdingCommon Stock | 563,583 | $56.16 | $31,650,821.28 |
DisclosureSEC source: 0000950170-25-014027 · ownership.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,262,841 F1 · kind: Represents shares of common stock that have been withheld by the Issuer in connection with the payment of taxes resulting from the vesting of a previously reported restricted stock unit award (including previously reported dividend equivalent units accrued thereon). No shares of common stock were sold by the reporting person. Read SEC document |
| December 15, 2024 Filed Dec 17, 2024 23:01 UTC | Carlyle Group Inc. CG · Entity 3316 | Tax withholdingCommon Stock | 302,515 | $52.64 | $15,924,389.60 |
DisclosureSEC source: 0000950170-24-137443 · ownership.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,826,424 F1 · kind: Represents shares of common stock that have been withheld by the Issuer in connection with the payment of taxes resulting from the vesting of a previously reported restricted stock unit award (including previously reported dividend equivalent units accrued thereon). No shares of common stock were sold by the reporting person. Read SEC document |
| November 25, 2024 Filed Nov 26, 2024 23:08 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 36,555 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-131164 · ownership.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,128,939 F1 · acquired: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards. Read SEC document |
| August 26, 2024 Filed Aug 28, 2024 21:22 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 49,508 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-101471 · ownership.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,092,384 F1 · acquired: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards. Read SEC document |
| May 21, 2024 Filed May 23, 2024 22:06 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | Exercise / conversionRestricted Stock Unit · Derivative | 26,249 | $0.00 | $0.00 |
DisclosureSEC source: 0001818874-24-000129 · wk-form4_1716501964.xml · derivative · entry 2 SCHWARTZ HARVEY M · CIK 0001566418 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 26,249 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. F2 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. Read SEC document |
| May 21, 2024 Filed May 23, 2024 22:06 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | Exercise / conversionCommon Stock | 26,249 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001818874-24-000129 · wk-form4_1716501964.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 361,289 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. Read SEC document |
| May 21, 2024 Filed May 23, 2024 21:25 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 44,052 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-064056 · ownership.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,042,876 F1 · acquired: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards. Read SEC document |
| May 01, 2024 Filed May 3, 2024 21:17 UTC | Carlyle Group Inc. CG · Entity 3316 | Tax withholdingCommon Stock | 550,704 | $44.80 | $24,671,539.20 |
DisclosureSEC source: 0000950170-24-053046 · ownership.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,998,824 F1 · kind: Represents shares of common stock that have been withheld by the Issuer in connection with the payment of taxes resulting from the vesting of a previously reported restricted stock unit award (including previously reported dividend equivalent units accrued thereon). No shares of common stock were sold by the reporting person. Read SEC document |
| March 01, 2024 Filed Mar 5, 2024 23:43 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 50,131 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-026509 · ownership.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,549,528 F1 · acquired: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards. Read SEC document |
| February 14, 2024 Filed Feb 16, 2024 23:02 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 731,351 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-016593 · ownership.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,499,397 F1 · kind: These securities are a restricted stock unit award that is eligible to vest in three equal tranches, with each tranche subject to a performance-based vesting condition that requires achievement of an absolute stock price hurdle ($48.76, $56.88 and $65.01, respectively). In addition, each tranche is subject to time-based vesting conditions generally requiring minimum service periods of one year, two years and three years, respectively. The period for measuring the achievement of the stock price hurdles ends on February 14, 2027 and any restricted stock units that have not vested as of February 15, 2027 will be forfeited. Read SEC document |
| December 15, 2023 Filed Dec 19, 2023 22:01 UTC | Carlyle Group Inc. CG · Entity 3316 | SaleCommon Stock | 295,358 | $41.74 | $12,328,036.17 |
DisclosureSEC source: 0000950170-23-071566 · ownership.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 6,768,046 F2 · price: The price reported in column 4 is a weighted average price. These shares of common stock were sold in multiple transactions at prices ranging from $41.32 to $42.14, inclusive. The reporting person undertakes to provide to The Carlyle Group Inc., any security holder of The Carlyle Group Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of common stock sold at each separate price within the range set forth in this footnote. F1 · acquired: These shares of common stock were sold by the reporting person pursuant to a Rule 10b5-1 trading arrangement entered into by the reporting person on September 1, 2023 to satisfy tax obligations arising from the vesting of restricted stock units. Read SEC document |
| November 29, 2023 Filed Dec 1, 2023 22:22 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 70,896 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-23-067415 · ownership.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,063,404 F1 · acquired: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 22:56 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 80,717 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-23-044658 · ownership.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,992,508 F1 · acquired: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards. Read SEC document |
| August 14, 2023 Filed Aug 17, 2023 00:04 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | GrantRestricted Stock Unit · Derivative | 26,249 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-23-029709 · wk-form4_1692230657.xml · derivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,249 Underlying: Common Stock · 26,249 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. F2 · derivative.exercise_date: Reflects a grant of RSUs to Reporting Person, a director of the Issuer, which will vest at the earlier of (i) the next annual shareholder meeting of the Issuer after July 14, 2023 (the "Vesting Commencement Date") or (ii) the 12 month anniversary of the Vesting Commencement Date. F2 · derivative.expiration_date: Reflects a grant of RSUs to Reporting Person, a director of the Issuer, which will vest at the earlier of (i) the next annual shareholder meeting of the Issuer after July 14, 2023 (the "Vesting Commencement Date") or (ii) the 12 month anniversary of the Vesting Commencement Date. Read SEC document |
| June 14, 2023 Filed Jun 16, 2023 22:10 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | Exercise / conversionRestricted Stock Unit · Derivative | 35,974 | $0.00 | $0.00 |
DisclosureSEC source: 0001818874-23-000121 · wf-form4_168695339542016.xml · derivative · entry 2 SCHWARTZ HARVEY M · CIK 0001566418 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 35,974 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: Represents the settlement of a portion of the RSUs granted to the Reporting Person as disclosed on the Reporting Person's Form 4 filed on August 17, 2022. F2 · derivative.expiration_date: Represents the settlement of a portion of the RSUs granted to the Reporting Person as disclosed on the Reporting Person's Form 4 filed on August 17, 2022. Read SEC document |
| June 14, 2023 Filed Jun 16, 2023 22:10 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | Exercise / conversionCommon Stock | 35,974 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001818874-23-000121 · wf-form4_168695339542016.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 335,040 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. Read SEC document |
| May 23, 2023 Filed May 25, 2023 22:20 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 85,723 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-23-024305 · ownership.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,911,791 F1 · acquired: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards. Read SEC document |
| March 01, 2023 Filed Mar 3, 2023 23:02 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 63,849 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-007040 · doc4.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,826,068 F1 · acquired: Represents dividend equivalent units accrued on existing time-based and performance based restricted stock unit awards granted on February 15, 2023, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 22:15 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 4,730,617 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-005497 · doc4.xml · nonDerivative · entry 2 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,762,219 F2 · acquired: These securities are a restricted stock unit award that is eligible to vest in five equal tranches, with each tranche subject to a performance-based vesting condition that requires achievement of an absolute stock price hurdle ($42.74, $51.29, $58.12, $64.96, and $71.80, respectively) and the $64.96 and $71.80 tranches are also subject to performance-based vesting conditions relating to total shareholder return (linked to the 60th percentile of the constituent companies in the S&P 500 Financials Index). In addition, each tranche is subject to time-based vesting conditions generally requiring minimum service periods of one year, two years, three years, four years, and five years, respectively. The period for measuring the achievement of the stock price hurdles ends on January 31, 2028 and any restricted stock units that have not vested as of February 1, 2028 will be forfeited. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 22:15 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 2,031,602 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-005497 · doc4.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,031,602 F1 · acquired: These securities are a restricted stock unit award and will be eligible to vest as to 25% of such award on February 1 of each of 2024, 2025, 2026, and 2027, in each case, with settlement to occur in December of the prior year, subject to clawback if the service requirement is not met. Read SEC document |
| August 15, 2022 Filed Aug 17, 2022 23:10 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | GrantRestricted Stock Unit · Derivative | 35,974 | $0.00 | $0.00 |
DisclosureSEC source: 0001818874-22-000194 · wf-form4_166077783329037.xml · derivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,974 Underlying: Common Stock · 35,974 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. F2 · derivative.exercise_date: Reflects a grant of RSUs to Reporting Person, a director of Issuer, which will vest at the earlier of (i) the next annual shareholder meeting of the Issuer after July 14, 2022 (the "Vesting Commencement Date") or (ii) the 12 month anniversary of the Vesting Commencement Date. F2 · derivative.expiration_date: Reflects a grant of RSUs to Reporting Person, a director of Issuer, which will vest at the earlier of (i) the next annual shareholder meeting of the Issuer after July 14, 2022 (the "Vesting Commencement Date") or (ii) the 12 month anniversary of the Vesting Commencement Date. Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 21:47 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | Exercise / conversionCommon Stock · Derivative | 15,714 | $0.00 | $0.00 |
DisclosureSEC source: 0001818874-22-000115 · wf-form4_165541600982493.xml · derivative · entry 2 SCHWARTZ HARVEY M · CIK 0001566418 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,714 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Represents the settlement of a portion of the RSUs granted to the Reporting Person as disclosed on the Reporting Person's Form 4 filed on September 3, 2021. F2 · derivative.exercise_date: Represents the settlement of a portion of the RSUs granted to the Reporting Person as disclosed on the Reporting Person's Form 4 filed on September 3, 2021. F2 · derivative.expiration_date: Represents the settlement of a portion of the RSUs granted to the Reporting Person as disclosed on the Reporting Person's Form 4 filed on September 3, 2021. Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 21:47 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | Exercise / conversionCommon Stock | 15,714 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001818874-22-000115 · wf-form4_165541600982493.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 299,066 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. Read SEC document |
| June 13, 2022 Filed Jun 13, 2022 21:01 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | PurchaseCommon Stock | 53,500 | $5.59 | $299,065.00 |
DisclosureSEC source: 0001818874-22-000107 · wf-form4_165515404833089.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 283,352 F1 · price: The reported transactions were executed in multiple trades. The purchase price of $5.59 reported in Column 4 is the weighted average purchase price for the 53,500 shares acquired by the Reporting Person within a range of $5.50 to $5.73 per share. The Reporting Person hereby undertakes to provide to the Staff of the SEC, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of shares acquired at each separate price within the price range noted above. Read SEC document |
| May 13, 2022 Filed May 17, 2022 16:23 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | PurchaseCommon Stock | 15,000 | $6.50 | $97,500.00 |
DisclosureSEC source: 0001104659-22-061840 · tm2215836-1_4.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,852 Read SEC document |
| March 17, 2022 Filed Mar 18, 2022 20:05 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | PurchaseCommon Stock | 58,000 | $8.84 | $512,580.80 |
DisclosureSEC source: 0001104659-22-035546 · tm229732-7_4seq1.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,852 F1 · price: The reported transactions were executed in multiple trades. The purchase price of $8.8376 reported in Column 4 is the weighted average purchase price for the 58,000 shares acquired by the Reporting Person within a range of $8.70 to $8.94 per share. The Reporting Person hereby undertakes to provide to the Staff of the SEC, the Issuer or any security holder of the Issuer, upon request, full information regarding the number of shares acquired at each separate price within the price range noted above. Read SEC document |
| September 01, 2021 Filed Sep 4, 2021 00:35 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | GrantRestricted Stock Unit · Derivative | 15,714 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-113091 · tm2126991-12_4seq1.xml · derivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,714 Underlying: Common Stock · 15,714 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. F2 · derivative.exercise_date: 100% of the RSU award will vest on the earlier of June 14, 2022 and the date of the Issuer's 2022 annual shareholder meeting, subject to the Reporting Person's continued service with the Issuer. F2 · derivative.expiration_date: 100% of the RSU award will vest on the earlier of June 14, 2022 and the date of the Issuer's 2022 annual shareholder meeting, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| May 28, 2021 Filed Jun 3, 2021 01:23 UTC | SoFi Technologies, Inc. SOFI · Entity 3232 | GrantCommon Stock | 156,852 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-076004 · tm2118244-25_4seq1.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,852 F1 · price: Received in connection with the Issuer's business combination (the "Business Combination") with Social Finance, Inc. ("Legacy SoFi") in accordance with the terms of the Agreement and Plan of Merger, dated as of January 7, 2021, as amended on March 16, 2021, by and among the Issuer (f/k/a Social Capital Hedosophia Holdings Corp. V), Plutus Merger Sub Inc. ("Merger Sub") and Legacy SoFi (the "Merger Agreement"), pursuant to which Merger Sub merged with and into Legacy SoFi, with Legacy SoFi surviving the merger as a wholly-owned subsidiary of the Issuer. Read SEC document |
| December 28, 2017 Filed Dec 29, 2017 11:06 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Exercise / conversionRestricted Stock Units · Derivative | 27,481 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-17-000803 · ownershipdoc12262017044029.xml · derivative · entry 4 SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 27,481 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end. F1 · price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end. F1 · derivative.exercise_date: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end. F1 · derivative.expiration_date: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end. Read SEC document |
| December 28, 2017 Filed Dec 29, 2017 11:06 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Tax withholdingCommon Stock, par value $0.01 per share | 15,338 | $255.95 | $3,925,761.10 |
DisclosureSEC source: 0000769993-17-000803 · ownershipdoc12262017044029.xml · nonDerivative · entry 2 SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 263,690 F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. Read SEC document |
| December 28, 2017 Filed Dec 29, 2017 11:06 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Exercise / conversionCommon Stock, par value $0.01 per share | 27,481 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-17-000803 · ownershipdoc12262017044029.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 279,028 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end. Read SEC document |
| October 20, 2017 Filed Oct 24, 2017 18:00 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | SaleCommon Stock, par value $0.01 per share | 25,000 | $245.00 | $6,125,000.00 |
DisclosureSEC source: 0000769993-17-000685 · ownershipdoc10182017030515.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,547 F1 · price: This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person, without any additional action taken by the Reporting Person. Read SEC document |
| January 24, 2017 Filed Jan 26, 2017 19:16 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Exercise / conversionRestricted Stock Units · Derivative | 54,358 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-17-000149 · ownershipdoc01172017103431.xml · derivative · entry 4 SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO; CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 54,358 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation. F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation. F1 · derivative.exercise_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation. F1 · derivative.expiration_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation. Read SEC document |
| January 24, 2017 Filed Jan 26, 2017 19:16 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Tax withholdingCommon Stock, par value $0.01 per share | 29,067 | $232.67 | $6,763,018.89 |
DisclosureSEC source: 0000769993-17-000149 · ownershipdoc01172017103431.xml · nonDerivative · entry 2 SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO; CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,547 F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. Read SEC document |
| January 24, 2017 Filed Jan 26, 2017 19:16 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Exercise / conversionCommon Stock, par value $0.01 per share | 54,358 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-17-000149 · ownershipdoc01172017103431.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO; CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 305,614 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation. Read SEC document |
| January 19, 2017 Filed Jan 20, 2017 19:16 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | SaleCommon Stock, par value $0.01 per share | 25,000 | $233.99 | $5,849,717.50 |
DisclosureSEC source: 0000769993-17-000076 · ownershipdoc01172017103431.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO; CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,256 F1 · price: Reflects a weighted average sale price of $233.9887 per share, at prices ranging from $233.65 to $234.53 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person, without any additional action taken by the Reporting Person. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 19:58 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Exercise / conversionRestricted Stock Units · Derivative | 77,211 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-16-001147 · ownershipdoc01252016063410.xml · derivative · entry 4 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.01 per share · 77,211 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · derivative.exercise_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. F1 · derivative.expiration_date: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 19:58 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Tax withholdingCommon Stock, par value $0.01 per share | 41,287 | $151.12 | $6,239,291.44 |
DisclosureSEC source: 0000769993-16-001147 · ownershipdoc01252016063410.xml · nonDerivative · entry 2 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,256 F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above. Read SEC document |
| January 26, 2016 Filed Jan 28, 2016 19:58 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Exercise / conversionCommon Stock, par value $0.01 per share | 77,211 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-16-001147 · ownershipdoc01252016063410.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 317,543 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On January 26, 2016, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2015 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2015 compensation. 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.