John F.w. Rogers Exercises Options at Goldman Sachs Group Inc (GS) — SEC Form 4, Jan 27, 2021

SEC Form 4 · No Market Transaction
Option Exercise

Derivative exercise — no open market transaction.

Reporting Owner
John F.w. Rogers
EVP
TXN 2021-01-25 · FILED 2021-01-27
Equity Position 125K sh 116,442 → 125,010
Equity Change +7.4% shares held after vs before
Filing Lag 2 business days within 2-day SEC deadline
Form 4 · Statement of Changes in Beneficial Ownership

Goldman Sachs Group Inc

GS CIK 0000886982
All Goldman Sachs Group Inc insider activity
Filing Date
2021-01-27
Report Date
2021-01-25
Accession No.
0000899243-21-003477
Accepted At
2021-01-27 21:30 UTC
Reporting Owner
Name Relationship
John F.w. Rogers CIK 0001517277
EVP
John F.w. Rogers at Goldman Sachs Group Inc Full insider history
Bought (12 mo) —
Sold (12 mo) $15,210,754
More from this insider at Goldman Sachs Group Inc
2026-10-27 Exercise — View
2026-04-30 Exercise — View
2026-02-13 Sell -$15,210,754 View
2025-11-26 Gift/Other — View
2025-07-25 Sell -$4,310,059 View
All filings by this insider at Goldman Sachs Group Inc
Non-Derivative Securities Transactions
Title Date Type Shares Price Net Total Post-Txn Ownership
Common Stock, par value $0.01 per shareF1 2021-01-25 M - Exercise 16,053 A — 95,578 Direct
Common Stock, par value $0.01 per shareF2F2 2021-01-25 F - Tax Payment 7,485 D $289.39 -$2,166,084 88,093 Direct
Derivative Securities Transactions
Title Strike Date Type Shares Price Expiration Underlying Ownership
Restricted Stock UnitsF1F1F1F1 2021-01-25 M - Exercise 16,053 D 16,053 Common Stock, par value $0.01 per share Direct
Non-Derivative Holdings
Title Shares Held Ownership
Common Stock, par value $0.01 per shareF3 8,033 Indirect
Common Stock, par value $0.01 per shareF4 21,399 Indirect
Footnotes (4)
F1
On January 25, 2021, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2020 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2020 compensation. Show more
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. Show more
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. Show more
F4
Held by the Reporting Person's spouse. Show more

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