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 |
|---|---|---|---|---|---|---|
| January 21, 2016 Filed Jan 22, 2016 19:11 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | GrantYear-End Restricted Stock Units · Derivative | 44,198 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-16-001106 · ownershipdoc01182016044150.xml · derivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,198 Underlying: Common Stock, par value $0.01 per share · 44,198 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2015; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2015; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2015 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2015; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4. Read SEC document |
| July 17, 2015 Filed Jul 21, 2015 18:04 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Exercise / conversionNonqualified Stock Options (right to buy) · Derivative | 120,318 | $0.00 Strike: $78.78 | $0.00 |
DisclosureSEC source: 0000769993-15-000833 · ownershipdoc07202015015846.xml · derivative · entry 7 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 · 120,318 shares Expires 2018-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_date: One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012. Read SEC document |
| July 17, 2015 Filed Jul 21, 2015 18:04 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | SaleCommon Stock, par value $0.01 per share | 7,958 | $212.33 | $1,689,724.53 |
DisclosureSEC source: 0000769993-15-000833 · ownershipdoc07202015015846.xml · nonDerivative · entry 5 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,332 F5 · price: Reflects a weighted average sale price of $212.3303 per share, at prices ranging from $211.825 to $212.78 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. Read SEC document |
| July 17, 2015 Filed Jul 21, 2015 18:04 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | SaleCommon Stock, par value $0.01 per share | 13,168 | $211.30 | $2,782,370.75 |
DisclosureSEC source: 0000769993-15-000833 · ownershipdoc07202015015846.xml · nonDerivative · entry 4 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,290 F4 · price: Reflects a weighted average sale price of $211.2979 per share, at prices ranging from $210.81 to $211.79 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. Read SEC document |
| July 17, 2015 Filed Jul 21, 2015 18:04 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | SaleCommon Stock, par value $0.01 per share | 12,200 | $210.27 | $2,565,236.66 |
DisclosureSEC source: 0000769993-15-000833 · ownershipdoc07202015015846.xml · nonDerivative · entry 3 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 261,458 F3 · price: Reflects a weighted average sale price of $210.2653 per share, at prices ranging from $209.81 to $210.80 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. Read SEC document |
| July 17, 2015 Filed Jul 21, 2015 18:04 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Tax withholdingCommon Stock, par value $0.01 per share | 86,992 | $211.18 | $18,370,970.56 |
DisclosureSEC source: 0000769993-15-000833 · ownershipdoc07202015015846.xml · nonDerivative · entry 2 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 273,658 F2 · kind: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above. F2 · acquired: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above. Read SEC document |
| July 17, 2015 Filed Jul 21, 2015 18:04 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Exercise / conversionCommon Stock, par value $0.01 per share | 120,318 | $78.78 | $9,478,652.04 |
DisclosureSEC source: 0000769993-15-000833 · ownershipdoc07202015015846.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 360,650 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Reflects the exercise by the Reporting Person of Stock Options granted in December 2008 and scheduled to expire in December 2018. This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person. Read SEC document |
| April 17, 2015 Filed Apr 21, 2015 20:15 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Exercise / conversionNonqualified Stock Options (right to buy) · Derivative | 91,285 | $0.00 Strike: $78.78 | $0.00 |
DisclosureSEC source: 0000769993-15-000560 · ownershipdoc04192015040954.xml · derivative · entry 6 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,318 Underlying: Common Stock, par value $0.01 per share · 91,285 shares Expires 2018-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_date: One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012. Read SEC document |
| April 17, 2015 Filed Apr 21, 2015 20:15 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | SaleCommon Stock, par value $0.01 per share | 5,000 | $197.96 | $989,809.00 |
DisclosureSEC source: 0000769993-15-000560 · ownershipdoc04192015040954.xml · nonDerivative · entry 4 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,332 F4 · price: Reflects a weighted average sale price of $197.9618 per share, at prices ranging from $197.785 to $198.22 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. Read SEC document |
| April 17, 2015 Filed Apr 21, 2015 20:15 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | SaleCommon Stock, par value $0.01 per share | 64,588 | $197.26 | $12,740,512.62 |
DisclosureSEC source: 0000769993-15-000560 · ownershipdoc04192015040954.xml · nonDerivative · entry 3 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 245,332 F3 · price: Reflects a weighted average sale price of $197.2582 per share, at prices ranging from $196.765 to $197.75 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| April 17, 2015 Filed Apr 21, 2015 20:15 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | SaleCommon Stock, par value $0.01 per share | 21,697 | $196.21 | $4,257,250.82 |
DisclosureSEC source: 0000769993-15-000560 · ownershipdoc04192015040954.xml · nonDerivative · entry 2 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 309,920 F2 · price: Reflects a weighted average sale price of $196.2138 per share, at prices ranging from $195.745 to $196.74 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. Read SEC document |
| April 17, 2015 Filed Apr 21, 2015 20:15 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Exercise / conversionCommon Stock, par value $0.01 per share | 91,285 | $78.78 | $7,191,432.30 |
DisclosureSEC source: 0000769993-15-000560 · ownershipdoc04192015040954.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 331,617 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Reflects the exercise by the Reporting Person of Stock Options granted in December 2008 and scheduled to expire in December 2018. This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person. Read SEC document |
| January 27, 2015 Filed Jan 29, 2015 21:34 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Exercise / conversionRestricted Stock Units · Derivative | 77,558 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-15-000074 · ownershipdoc01112015073927.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 · 77,558 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On January 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2014 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2014 compensation. F1 · price: On January 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2014 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2014 compensation. F1 · derivative.exercise_date: On January 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2014 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2014 compensation. F1 · derivative.expiration_date: On January 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2014 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2014 compensation. Read SEC document |
| January 27, 2015 Filed Jan 29, 2015 21:34 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Tax withholdingCommon Stock, par value $0.01 per share | 41,472 | $180.42 | $7,482,378.24 |
DisclosureSEC source: 0000769993-15-000074 · ownershipdoc01112015073927.xml · nonDerivative · entry 2 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,332 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 27, 2015 Filed Jan 29, 2015 21:34 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Exercise / conversionCommon Stock, par value $0.01 per share | 77,558 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-15-000074 · ownershipdoc01112015073927.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 281,804 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On January 27, 2015, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2014 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2014 compensation. Read SEC document |
| January 20, 2015 Filed Jan 22, 2015 21:39 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | GrantYear-End Restricted Stock Units · Derivative | 38,244 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-15-000037 · ownershipdoc01112015073927.xml · derivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,244 Underlying: Common Stock, par value $0.01 per share · 38,244 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2014 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2020. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2014; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2014 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2020. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2014; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2014 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2020. These RSUs represent 50% of the Reporting Person's equity-based year-end compensation for 2014; the remainder was granted in the form of RSUs that are subject to performance conditions and accordingly, pursuant to SEC rules, are not reported on Form 4. Read SEC document |
| July 23, 2014 Filed Jul 24, 2014 21:04 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Exercise / conversionNonqualified Stock Options (right to buy) · Derivative | 91,285 | $0.00 Strike: $78.78 | $0.00 |
DisclosureSEC source: 0000769993-14-000408 · ownershipdoc07192014041327.xml · derivative · entry 8 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,603 Underlying: Common Stock, par value $0.01 per share · 91,285 shares Expires 2018-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · derivative.exercise_date: One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012. Read SEC document |
| July 23, 2014 Filed Jul 24, 2014 21:04 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | SaleCommon Stock, par value $0.01 per share | 7,876 | $176.90 | $1,393,281.73 |
DisclosureSEC source: 0000769993-14-000408 · ownershipdoc07192014041327.xml · nonDerivative · entry 6 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,246 F6 · price: Reflects a weighted average sale price of $176.9022 per share, at prices ranging from $176.7900 to $177.1300 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. Read SEC document |
| July 23, 2014 Filed Jul 24, 2014 21:04 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | SaleCommon Stock, par value $0.01 per share | 11,800 | $176.48 | $2,082,434.50 |
DisclosureSEC source: 0000769993-14-000408 · ownershipdoc07192014041327.xml · nonDerivative · entry 5 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,122 F5 · price: Reflects a weighted average sale price of $176.4775 per share, at prices ranging from $175.7900 to $176.7800 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. Read SEC document |
| July 23, 2014 Filed Jul 24, 2014 21:04 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | SaleCommon Stock, par value $0.01 per share | 2,500 | $175.13 | $437,818.50 |
DisclosureSEC source: 0000769993-14-000408 · ownershipdoc07192014041327.xml · nonDerivative · entry 4 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,922 F4 · price: Reflects a weighted average sale price of $175.1274 per share, at prices ranging from $174.7900 to $175.6300 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. Read SEC document |
| July 23, 2014 Filed Jul 24, 2014 21:04 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Tax withholdingCommon Stock, par value $0.01 per share | 69,109 | $175.02 | $12,095,457.18 |
DisclosureSEC source: 0000769993-14-000408 · ownershipdoc07192014041327.xml · nonDerivative · entry 3 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,422 F3 · kind: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 2 above. F3 · acquired: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 2 above. Read SEC document |
| July 23, 2014 Filed Jul 24, 2014 21:04 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Exercise / conversionCommon Stock, par value $0.01 per share | 91,285 | $78.78 | $7,191,432.30 |
DisclosureSEC source: 0000769993-14-000408 · ownershipdoc07192014041327.xml · nonDerivative · entry 2 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 295,531 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 · kind: Reflects the exercise by the Reporting Person of Stock Options granted in December 2008 and scheduled to expire in December 2018. This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person. Read SEC document |
| July 22, 2014 Filed Jul 24, 2014 21:04 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | SaleCommon Stock, par value $0.01 per share | 9,936 | $175.00 | $1,738,800.00 |
DisclosureSEC source: 0000769993-14-000408 · ownershipdoc07192014041327.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,246 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person. Read SEC document |
| January 28, 2014 Filed Jan 30, 2014 21:26 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | GrantYear-End Restricted Stock Units · Derivative | 80,632 | $0.00 | $0.00 |
DisclosureSEC source: 0000769993-14-000067 · ownershipdoc01272014090612.xml · derivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,632 Underlying: Common Stock, par value $0.01 per share · 80,632 shares Expires not disclosed F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2013 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2019. F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2013 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2019. F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2013 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2019. Read SEC document |
| January 27, 2014 Filed Jan 29, 2014 21:42 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Exercise / conversionRestricted Stock Units · Derivative | 83,152 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-14-000032 · ownershipdoc01272014090612.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 · 83,152 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation. F1 · price: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation. F1 · derivative.exercise_date: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation. F1 · derivative.expiration_date: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation. Read SEC document |
| January 27, 2014 Filed Jan 29, 2014 21:42 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Tax withholdingCommon Stock, par value $0.01 per share | 44,463 | $167.64 | $7,453,777.32 |
DisclosureSEC source: 0000769993-14-000032 · ownershipdoc01272014090612.xml · nonDerivative · entry 2 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,182 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 27, 2014 Filed Jan 29, 2014 21:42 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Exercise / conversionCommon Stock, par value $0.01 per share | 83,152 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-14-000032 · ownershipdoc01272014090612.xml · nonDerivative · entry 1 SCHWARTZ HARVEY M · CIK 0001566418 · Executive Vice President - CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 258,645 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On January 27, 2014, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2013 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2013 compensation. 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.