John E. Waldron 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 E. Waldron

COO

TXN 2023-05-03 · FILED 2023-05-04

Equity Position 117K sh 99,254 → 117,498

Equity Change +18.4% 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

Reporting Owner

Name	Relationship
John E. Waldron CIK 0001754399	COO

John E. Waldron at Goldman Sachs Group Inc Full insider history

Bought (12 mo) —

Sold (12 mo) —

More from 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 F1	2023-05-03	M - Exercise	40,815 A		—	117,498	Direct
Common Stock, par value $0.01 per shareF2 F2	2023-05-03	F - Tax Payment	22,571 D	$333.37	-$7,524,494	94,927	Direct

Derivative Securities Transactions

Title	Strike	Date	Type	Shares	Price	Expiration	Underlying	Ownership
Performance-based Restricted Stock UnitsF1 F1 F1 F1		2023-05-03	M - Exercise	40,815 D			40,815 Common Stock, par value $0.01 per share	Direct

Footnotes (2)

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

Institutional Holders

Largest by reported value

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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