John F.w. Rogers Exercises Options at Goldman Sachs Group Inc (GS) — SEC Form 4, May 04, 2023

SEC Form 4 · No Market Transaction
Option Exercise

Derivative exercise — no open market transaction.

Reporting Owner
John F.w. Rogers
EVP
TXN 2023-05-03 · FILED 2023-05-04
Equity Position 132K sh 127,324 → 131,733
Equity Change +3.5% shares held after vs before
Filing Lag 1 business day 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
2023-05-04
Report Date
2023-05-03
Accession No.
0001209191-23-027346
Accepted At
2023-05-04 20:30 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 shareF1F1 2023-05-03 M - Exercise 9,009 A — 79,330 Direct
Common Stock, par value $0.01 per shareF2F2 2023-05-03 F - Tax Payment 4,600 D $333.37 -$1,533,502 74,730 Direct
Derivative Securities Transactions
Title Strike Date Type Shares Price Expiration Underlying Ownership
Performance-based Restricted Stock UnitsF1F1F1F1 2023-05-03 M - Exercise 9,009 D 9,009 Common Stock, par value $0.01 per share Direct
Non-Derivative Holdings
Title Shares Held Ownership
Common Stock, par value $0.01 per shareF3 31,004 Indirect
Common Stock, par value $0.01 per shareF4 21,399 Indirect
Footnotes (4)
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. 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 PSUs 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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5%+ Holders · 13D/G 1 filer

Latest Schedule 13D/G per filer; stakes the filer reported closed are left out.

Other insiders at Goldman Sachs Group Inc
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