John F.W. Rogers - May 3, 2023 Form 4 Insider Report for GOLDMAN SACHS GROUP INC (GS)

Role
Executive Vice President
Signature
/s/ Beverly L. O'Toole, Attorney-in-fact
Stock symbol
GS
Transactions as of
May 3, 2023
Transactions value $
-$1,533,502
Form type
4
Date filed
5/4/2023, 04:30 PM
Previous filing
Jan 26, 2023
Next filing
Oct 26, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GS Common Stock, par value $0.01 per share Options Exercise +9.01K +12.81% 79.3K May 3, 2023 Direct F1
transaction GS Common Stock, par value $0.01 per share Tax liability -$1.53M -4.6K -5.8% $333.37 74.7K May 3, 2023 Direct F2
holding GS Common Stock, par value $0.01 per share 31K May 3, 2023 See footnote F3
holding GS Common Stock, par value $0.01 per share 21.4K May 3, 2023 See footnote F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction GS Performance-based Restricted Stock Units Options Exercise -9.01K -100% 0 May 3, 2023 Common Stock, par value $0.01 per share 9.01K Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
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 PSUs described in footnote 1 above.
F3 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.
F4 Held by the Reporting Person's spouse.