Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| GOLDMAN SACHS GROUP INCGS · Entity 2819 | EVP, Global Head of Compliance | February 16, 2017 | February 21, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
GOLDMAN SACHS GROUP INC
Report date February 16, 2017 · Filed February 21, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 58,635 |
Ending reported balance
After 2017-02-16 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2017-02-16 · Exercise / conversion · Acquired 18,500 · Balance 77,135 F1: Reflects the exercise by the Reporting Person of Stock Options granted in December 2008 and scheduled to expire in December 2018. Row 2 · 2017-02-16 · Tax withholding · Disposed 12,901 · Balance 64,234 F2: 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. Row 3 · 2017-02-16 · Sale · Disposed 5,599 · Balance 58,635 |
| Nonqualified Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $78.78 · Expires 2018-12-31 | Direct | 36,864 |
Reported balance
After 2017-02-16 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2017-02-16 · Exercise / conversion · Disposed 18,500 · Balance 36,864 F4: One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee footnote | 9,084 |
Reported balance
Holding disclosure · report date 2017-02-16 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 9,084 F3: Held through a trust, the sole trustee of which is the Reporting Person's spouse 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: Reflects the exercise by the Reporting Person of Stock Options granted in December 2008 and scheduled to expire in December 2018.
F2: 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.
F3: Held through a trust, the sole trustee of which is the Reporting Person's spouse and the sole beneficiary of which is an immediate family member of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares.
F4: One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 06, 2005 Filed Jan 10, 2005 14:19 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | Tax withholdingCommon Stock, par value $0.01 per share | 1,093 | $104.58 | $114,305.94 |
DisclosureSEC source: 0000769993-05-000006 · coheneep_ex.xml · nonDerivative · entry 2 COHEN ALAN M · CIK 0001279229 · EVP, Global Head of Compliance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,183 Read SEC document |
| January 06, 2005 Filed Jan 10, 2005 14:19 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | GrantCommon Stock, par value $0.01 per share | 2,276 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-05-000006 · coheneep_ex.xml · nonDerivative · entry 1 COHEN ALAN M · CIK 0001279229 · EVP, Global Head of Compliance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,276 F1 · price: On January 6, 2005, 2,276 shares of Common Stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person. Read SEC document |
| December 14, 2004 Filed Dec 16, 2004 16:02 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | GrantRestricted Stock Units · Derivative | 3,035 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-04-000749 · coheneep_ex.xml · derivative · entry 2 COHEN ALAN M · CIK 0001279229 · EVP, Global Head of Compliance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,035 Underlying: Common Stock · 3,035 shares Expires not disclosed F2 · derivative.exercise_price: 2,276 of the RSUs (the "Base RSUs") were acquired by the Reporting Person for $109.88 per RSU (the closing price of the Issuer's Common Stock on the New York Stock Exchange on the grant date), while the remaining RSUs (the "Discount RSUs") were granted to the Reporting Person at no additional cost to the Reporting Person. The Base RSUs are not forfeitable for any reason; shares of Common Stock underlying the Base RSUs generally will be delivered to the Reporting Person in January 2005, but generally cannot be transferred (other than as determined by the Issuer to satisfy certain of the Reporting Person's tax obligations) before the third anniversary of the grant date. One-half of the Discount RSUs generally will vest on each of the second and third anniversaries of the grant date, and the shares of Common Stock underlying vested Discount RSUs generally will be delivered in January 2008, subject to certain terms and conditions. F2 · price: 2,276 of the RSUs (the "Base RSUs") were acquired by the Reporting Person for $109.88 per RSU (the closing price of the Issuer's Common Stock on the New York Stock Exchange on the grant date), while the remaining RSUs (the "Discount RSUs") were granted to the Reporting Person at no additional cost to the Reporting Person. The Base RSUs are not forfeitable for any reason; shares of Common Stock underlying the Base RSUs generally will be delivered to the Reporting Person in January 2005, but generally cannot be transferred (other than as determined by the Issuer to satisfy certain of the Reporting Person's tax obligations) before the third anniversary of the grant date. One-half of the Discount RSUs generally will vest on each of the second and third anniversaries of the grant date, and the shares of Common Stock underlying vested Discount RSUs generally will be delivered in January 2008, subject to certain terms and conditions. F2 · derivative.exercise_date: 2,276 of the RSUs (the "Base RSUs") were acquired by the Reporting Person for $109.88 per RSU (the closing price of the Issuer's Common Stock on the New York Stock Exchange on the grant date), while the remaining RSUs (the "Discount RSUs") were granted to the Reporting Person at no additional cost to the Reporting Person. The Base RSUs are not forfeitable for any reason; shares of Common Stock underlying the Base RSUs generally will be delivered to the Reporting Person in January 2005, but generally cannot be transferred (other than as determined by the Issuer to satisfy certain of the Reporting Person's tax obligations) before the third anniversary of the grant date. One-half of the Discount RSUs generally will vest on each of the second and third anniversaries of the grant date, and the shares of Common Stock underlying vested Discount RSUs generally will be delivered in January 2008, subject to certain terms and conditions. F2 · derivative.expiration_date: 2,276 of the RSUs (the "Base RSUs") were acquired by the Reporting Person for $109.88 per RSU (the closing price of the Issuer's Common Stock on the New York Stock Exchange on the grant date), while the remaining RSUs (the "Discount RSUs") were granted to the Reporting Person at no additional cost to the Reporting Person. The Base RSUs are not forfeitable for any reason; shares of Common Stock underlying the Base RSUs generally will be delivered to the Reporting Person in January 2005, but generally cannot be transferred (other than as determined by the Issuer to satisfy certain of the Reporting Person's tax obligations) before the third anniversary of the grant date. One-half of the Discount RSUs generally will vest on each of the second and third anniversaries of the grant date, and the shares of Common Stock underlying vested Discount RSUs generally will be delivered in January 2008, subject to certain terms and conditions. Read SEC document |
| December 14, 2004 Filed Dec 16, 2004 16:02 UTC | GOLDMAN SACHS GROUP INC GS · Entity 2819 | GrantRestricted Stock Units · Derivative | 20,452 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000769993-04-000749 · coheneep_ex.xml · derivative · entry 1 COHEN ALAN M · CIK 0001279229 · EVP, Global Head of Compliance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,452 Underlying: Common Stock · 20,452 shares Expires not disclosed F1 · derivative.exercise_price: Of these Restricted Stock Units ("RSUs"), 40% vested upon grant, with the remaining 60% vesting on November 30, 2007. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in or about January 2008. F1 · price: Of these Restricted Stock Units ("RSUs"), 40% vested upon grant, with the remaining 60% vesting on November 30, 2007. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in or about January 2008. F1 · derivative.exercise_date: Of these Restricted Stock Units ("RSUs"), 40% vested upon grant, with the remaining 60% vesting on November 30, 2007. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in or about January 2008. F1 · derivative.expiration_date: Of these Restricted Stock Units ("RSUs"), 40% vested upon grant, with the remaining 60% vesting on November 30, 2007. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in or about January 2008. 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.