Form 4 for GS Goldman Sachs
Accepted 2023-05-04 00:00:00 ET · period of report 2023-05-02 · accession 0001209191-23-027345 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2023-05-04 | 2023-05-02 | GS | LEE BRIAN J | CRO | S - Sale+OE | $337.63 | -3,000 | 15.8K | -16% | -$1.01M |
| D | 2023-05-04 | 2023-05-03 | GS | LEE BRIAN J | CRO | M - OptEx | — | +6,270 | 21.3K | +42% | — |
| D | 2023-05-04 | 2023-05-03 | GS | LEE BRIAN J | CRO | F - Tax | $333.37 | -3,201 | 18.1K | -15% | -$1.07M |
| DM | 2023-05-04 | 2023-05-02 | GS | LEE BRIAN J | CRO | S - Sale+OE | $337.66 | -3,000 | 17.1K | -15% | -$1.01M |
| D | 2023-05-04 | 2023-05-03 | GS | LEE BRIAN J | CRO | M - OptEx | — | -6,270 | 0 | -100% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock, par value $0.01 per share | 2023-05-02 | S | D | 700 | $336.62 | 18,108 | I | — | — | (F3) Reflects a weighted average sale price of $336.62 per share, at prices ranging from $336.24 to $336.75 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. |
| 2 | Common | Common Stock, par value $0.01 per share | 2023-05-02 | S | D | 1,800 | $337.81 | 16,308 | I | — | — | (F5) Reflects a weighted average sale price of $337.81 per share, at prices ranging from $337.29 to $338.26 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. |
| 3 | Common | Common Stock, par value $0.01 per share | 2023-05-02 | S | D | 500 | $338.41 | 15,808 | I | — | — | (F6) Reflects a weighted average sale price of $338.41 per share, at prices ranging from $338.33 to $338.65 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. |
| 4 | Common | Common Stock, par value $0.01 per share | 2023-05-03 | M | A | 6,270 | — | 21,322 | D | — | — | (F7) On May 3, 2023, shares of the Issuer's common stock underlying an award of Performance-based Restricted Stock Units ("PSUs") granted on January 16, 2020 in connection with 2019 year-end compensation were delivered to the Reporting Person without the payment of any consideration. These shares generally cannot be sold or transferred before January 2025. |
| 5 | Common | Common Stock, par value $0.01 per share | 2023-05-03 | F | D | 3,201 | $333.37 | 18,121 | D | — | — | (F8) Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the PSUs described in footnote 7 above. |
| 6 | Common | Common Stock, par value $0.01 per share | 2023-05-02 | S | D | 100 | $338.60 | 15,052 | D See footnote | — | — | (F4) Held through a trust, the sole trustee of which is the Reporting Person's spouse and the sole beneficiaries of which are immediate family members of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares. |
| 7 | Common | Common Stock, par value $0.01 per share | 2023-05-02 | S | D | 1,965 | $337.98 | 15,152 | D See footnote | — | — | (F2) Reflects a weighted average sale price of $337.98 per share, at prices ranging from $337.53 to $338.33 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. (F4) Held through a trust, the sole trustee of which is the Reporting Person's spouse and the sole beneficiaries of which are immediate family members of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares. |
| 8 | Common | Common Stock, par value $0.01 per share | 2023-05-02 | S | D | 935 | $336.88 | 17,117 | D See footnote | — | — | (F1) Reflects a weighted average sale price of $336.88 per share, at prices ranging from $336.47 to $337.35 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. (F4) Held through a trust, the sole trustee of which is the Reporting Person's spouse and the sole beneficiaries of which are immediate family members of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares. |
| 9 | Derivative | Performance-based Restricted Stock Units | 2023-05-03 | M | D | 6,270 | — | 0 | D | — · — to — | 6,270 Common Stock, par value $0.01 per share | (F7) On May 3, 2023, shares of the Issuer's common stock underlying an award of Performance-based Restricted Stock Units ("PSUs") granted on January 16, 2020 in connection with 2019 year-end compensation were delivered to the Reporting Person without the payment of any consideration. These shares generally cannot be sold or transferred before January 2025. |