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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/03/16 Goldman Sachs Group Inc 10-Q 9/30/16 193:25M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: 10-Q Quarterly Report HTML 2.54M
2: EX-12.1 Statement re: Computation of Ratios HTML 73K
3: EX-15.1 Letter re: Unaudited Interim Financial Info HTML 59K
4: EX-31.1 Certification -- §302 - SOA'02 HTML 71K
5: EX-32.1 Certification -- §906 - SOA'02 HTML 59K
12: R1 Document and Entity Information HTML 77K
13: R2 Condensed Consolidated Statements of Earnings HTML 140K
(Unaudited)
14: R3 Condensed Consolidated Statements of Comprehensive HTML 77K
Income (Unaudited)
15: R4 Condensed Consolidated Statements of Financial HTML 154K
Condition (Unaudited)
16: R5 Condensed Consolidated Statements of Financial HTML 102K
Condition (Unaudited) (Parenthetical)
17: R6 Condensed Consolidated Statements of Changes in HTML 130K
Shareholders' Equity (Unaudited)
18: R7 Condensed Consolidated Statements of Cash Flows HTML 150K
(Unaudited)
19: R8 Condensed Consolidated Statements of Cash Flows HTML 79K
(Unaudited) (Parenthetical)
20: R9 Description of Business HTML 63K
21: R10 Basis of Presentation HTML 61K
22: R11 Significant Accounting Policies HTML 108K
23: R12 Financial Instruments Owned, at Fair Value and HTML 110K
Financial Instruments Sold, But Not Yet Purchased,
at Fair Value
24: R13 Fair Value Measurements HTML 93K
25: R14 Cash Instruments HTML 337K
26: R15 Derivatives and Hedging Activities HTML 479K
27: R16 Fair Value Option HTML 295K
28: R17 Loans Receivable HTML 116K
29: R18 Collateralized Agreements and Financings HTML 199K
30: R19 Securitization Activities HTML 104K
31: R20 Variable Interest Entities HTML 166K
32: R21 Other Assets HTML 129K
33: R22 Deposits HTML 98K
34: R23 Short-Term Borrowings HTML 71K
35: R24 Long-Term Borrowings HTML 109K
36: R25 Other Liabilities and Accrued Expenses HTML 68K
37: R26 Commitments, Contingencies and Guarantees HTML 151K
38: R27 Shareholders' Equity HTML 188K
39: R28 Regulation and Capital Adequacy HTML 298K
40: R29 Earnings Per Common Share HTML 76K
41: R30 Transactions with Affiliated Funds HTML 72K
42: R31 Interest Income and Interest Expense HTML 83K
43: R32 Income Taxes HTML 69K
44: R33 Business Segments HTML 177K
45: R34 Credit Concentrations HTML 71K
46: R35 Legal Proceedings HTML 116K
47: R36 Basis of Presentation (Policies) HTML 261K
48: R37 Financial Instruments Owned, at Fair Value and HTML 110K
Financial Instruments Sold, But Not Yet Purchased,
at Fair Value (Tables)
49: R38 Fair Value Measurements (Tables) HTML 85K
50: R39 Cash Instruments (Tables) HTML 287K
51: R40 Derivatives and Hedging Activities (Tables) HTML 417K
52: R41 Fair Value Option (Tables) HTML 225K
53: R42 Loans Receivable (Tables) HTML 99K
54: R43 Collateralized Agreements and Financings (Tables) HTML 167K
55: R44 Securitization Activities (Tables) HTML 102K
56: R45 Variable Interest Entities (Tables) HTML 141K
57: R46 Other Assets (Tables) HTML 116K
58: R47 Deposits (Tables) HTML 88K
59: R48 Short-Term Borrowings (Tables) HTML 69K
60: R49 Long-Term Borrowings (Tables) HTML 100K
61: R50 Other Liabilities and Accrued Expenses (Tables) HTML 66K
62: R51 Commitments, Contingencies and Guarantees (Tables) HTML 115K
63: R52 Shareholders' Equity (Tables) HTML 178K
64: R53 Regulation and Capital Adequacy (Tables) HTML 241K
65: R54 Earnings Per Common Share (Tables) HTML 73K
66: R55 Transactions with Affiliated Funds (Tables) HTML 68K
67: R56 Interest Income and Interest Expense (Tables) HTML 78K
68: R57 Income Taxes (Tables) HTML 62K
69: R58 Business Segments (Tables) HTML 160K
70: R59 Credit Concentrations (Tables) HTML 69K
71: R60 Description of Business - Additional Information HTML 59K
(Detail)
72: R61 Significant Accounting Policies - Additional HTML 72K
Information (Detail)
73: R62 Financial Instruments Owned, at Fair Value and HTML 113K
Financial Instruments Sold, But Not Yet Purchased,
at Fair Value - Financial Instruments Owned and
Financial Instruments Sold, But Not Yet Purchased
(Detail)
74: R63 Financial Instruments Owned, at Fair Value and HTML 76K
Financial Instruments Sold, But Not Yet Purchased,
at Fair Value - Gains and Losses from Market
Making and Other Principal Transactions (Detail)
75: R64 Fair Value Measurements - Financial Assets HTML 85K
Liabilities Summary (Detail)
76: R65 Fair Value Measurements - Financial Assets HTML 59K
Liabilities Summary (Parenthetical) (Detail)
77: R66 Fair Value Measurements - Total Level 3 Financial HTML 70K
Assets (Detail)
78: R67 Cash Instruments - Cash Instruments by Level HTML 175K
(Detail)
79: R68 Cash Instruments - Cash Instruments by Level HTML 77K
(Parenthetical) (Detail)
80: R69 Cash Instruments - Fair Value, Cash Instruments, HTML 128K
Measurement Inputs, Disclosure (Detail)
81: R70 Cash Instruments - Additional Information (Detail) HTML 85K
82: R71 Cash Instruments - Cash Instruments, Level 3 HTML 157K
Rollforward (Detail)
83: R72 Cash Instruments - Investments in Funds that are HTML 78K
Calculated Using Net Asset Value Per Share
(Detail)
84: R73 Derivatives and Hedging Activities - Additional HTML 88K
Information (Detail)
85: R74 Derivatives and Hedging Activities - Fair Value of HTML 176K
Derivatives on a Gross Basis (Detail)
86: R75 Derivatives and Hedging Activities - Fair Value of HTML 139K
Derivatives by Level (Detail)
87: R76 Derivatives and Hedging Activities - Fair Value, HTML 144K
Derivatives, Measurement Inputs, Disclosure
(Detail)
88: R77 Derivatives and Hedging Activities - Fair Value of HTML 113K
Derivatives, Level 3 Rollforward (Detail)
89: R78 Derivatives and Hedging Activities - OTC HTML 126K
Derivatives by Product Type and Tenor (Detail)
90: R79 Derivatives and Hedging Activities - Credit HTML 121K
Derivatives (Detail)
91: R80 Derivatives and Hedging Activities - Bifurcated HTML 68K
Embedded Derivatives (Detail)
92: R81 Derivatives and Hedging Activities - Derivatives HTML 68K
with Credit-Related Contingent Features (Detail)
93: R82 Derivatives and Hedging Activities - Gain (Loss) HTML 68K
from Interest Rate Hedges and Related Hedged
Borrowings and Deposits (Detail)
94: R83 Derivatives and Hedging Activities - Gains and HTML 65K
Losses on Net Investment Hedges (Detail)
95: R84 Fair Value Option - Financial Assets and Financial HTML 101K
Liabilities by Level (Detail)
96: R85 Fair Value Option - Additional Information HTML 126K
(Detail)
97: R86 Fair Value Option - Level 3 Rollforward (Detail) HTML 149K
98: R87 Fair Value Option - Gains and Losses on Other HTML 70K
Financial Assets and Financial Liabilities at Fair
Value (Detail)
99: R88 Fair Value Option - Gains and Losses on Other HTML 64K
Financial Assets and Financial Liabilities at Fair
Value (Parenthetical) (Detail)
100: R89 Fair Value Option - Loans and Lending Commitments HTML 64K
(Detail)
101: R90 Loans Receivable - Summary of Loans Receivable HTML 78K
(Detail)
102: R91 Loans Receivable - Additional Information (Detail) HTML 108K
103: R92 Loans Receivable - Summary of Loans Receivable - HTML 72K
Credit Rating Equivalent (Detail)
104: R93 Loans Receivable - Summary of Loans Receivable - HTML 71K
Regulatory Risk Rating (Detail)
105: R94 Loans Receivable - Summary of Changes in Allowance HTML 77K
for Loan Losses and Allowance for Losses on
Lending Commitments (Detail)
106: R95 Collateralized Agreements and Financings - Resale HTML 72K
and Repurchase Agreements and Securities Borrowed
and Loaned Transactions (Detail)
107: R96 Collateralized Agreements and Financings - Resale HTML 61K
and Repurchase Agreements and Securities Borrowed
and Loaned Transactions (Parenthetical) (Detail)
108: R97 Collateralized Agreements and Financings - HTML 128K
Offsetting Arrangements (Detail)
109: R98 Collateralized Agreements and Financings - HTML 61K
Offsetting Arrangements (Parenthetical) (Detail)
110: R99 Collateralized Agreements and Financings - HTML 84K
Schedule of Gross Carrying Value of Repurchase
Agreements and Securities Loaned (Detail)
111: R100 Collateralized Agreements and Financings - HTML 75K
Schedule of Repurchase Agreements and Securities
Loaned (Detail)
112: R101 Collateralized Agreements and Financings - HTML 58K
Additional Information (Detail)
113: R102 Collateralized Agreements and Financings - Other HTML 83K
Secured Financings (Detail)
114: R103 Collateralized Agreements and Financings - Other HTML 66K
Secured Financings (Parenthetical) (Detail)
115: R104 Collateralized Agreements and Financings - Other HTML 80K
Secured Financings by Maturity Date (Detail)
116: R105 Collateralized Agreements and Financings - HTML 61K
Financial Instruments Received as Collateral and
Repledged (Detail)
117: R106 Collateralized Agreements and Financings - HTML 61K
Financial Instruments Received as Collateral and
Repledged (Parenthetical) (Detail)
118: R107 Collateralized Agreements and Financings - HTML 65K
Financial Instruments Owned, at Fair Value and
Other Assets Pledged as Collateral (Detail)
119: R108 Securitization Activities - Amount of Financial HTML 66K
Assets Securitized and Cash Flows Received on
Retained Interests (Detail)
120: R109 Securitization Activities - Firms Continuing HTML 75K
Involvement in Securitization Entities to Which
Firm Sold Assets (Detail)
121: R110 Securitization Activities - Firms Continuing HTML 59K
Involvement in Securitization Entities to Which
Firm Sold Assets (Parenthetical) (Detail)
122: R111 Securitization Activities - Additional Information HTML 65K
(Detail)
123: R112 Securitization Activities - Weighted Average Key HTML 80K
Economic Assumptions Used in Measuring Fair Value
of Firm's Retained Interests and Sensitivity of
This Fair Value to Immediate Adverse Changes
(Detail)
124: R113 Variable Interest Entities (Nonconsolidated HTML 71K
Variable Interest Entities) - Additional
Information (Detail)
125: R114 Variable Interest Entities (Consolidated Variable HTML 66K
Interest Entities) - Additional Information
(Detail)
126: R115 Variable Interest Entities - Nonconsolidated HTML 117K
Variable Interest Entities (Detail)
127: R116 Variable Interest Entities - Nonconsolidated HTML 66K
Variable Interest Entities (Parenthetical)
(Detail)
128: R117 Variable Interest Entities - Consolidated Variable HTML 120K
Interest Entities (Detail)
129: R118 Other Assets - Other Assets (Detail) HTML 69K
130: R119 Other Assets - Other Assets (Parenthetical) HTML 60K
(Detail)
131: R120 Other Assets - Additional Information (Detail) HTML 63K
132: R121 Other Assets - Goodwill and Intangible Assets HTML 79K
(Detail)
133: R122 Other Assets - Intangible Assets Disclosure HTML 75K
(Detail)
134: R123 Other Assets - Amortization Expense (Detail) HTML 60K
135: R124 Other Assets - Estimated Future Amortization for HTML 70K
Existing Identifiable Intangible Assets Through
2021 (Detail)
136: R125 Deposits - Types and Sources of the Firm's HTML 76K
Deposits (Detail)
137: R126 Deposits - Additional Information (Detail) HTML 64K
138: R127 Deposits - Types and Sources of the Firm's HTML 62K
Deposits (Parenthetical) (Detail)
139: R128 Deposits - Deposits (Detail) HTML 63K
140: R129 Deposits - Maturities of Time Deposits (Detail) HTML 82K
141: R130 Deposits - Maturities of Time Deposits HTML 59K
(Parenthetical) (Detail)
142: R131 Short-Term Borrowings - Short-Term Borrowings HTML 63K
(Detail)
143: R132 Short-Term Borrowings - Unsecured Short-Term HTML 71K
Borrowings (Detail)
144: R133 Long-Term Borrowings - Long-Term Borrowings HTML 63K
(Detail)
145: R134 Long-Term Borrowings - Unsecured Long-Term HTML 68K
Borrowings (Detail)
146: R135 Long-Term Borrowings - Unsecured Long-Term HTML 71K
Borrowings (Parenthetical) (Detail)
147: R136 Long-Term Borrowings - Unsecured Long-Term HTML 76K
Borrowings by Maturity Date (Detail)
148: R137 Long-Term Borrowings - Unsecured Long-Term HTML 70K
Borrowings by Maturity Date (Parenthetical)
(Detail)
149: R138 Long-Term Borrowings - Unsecured Long-Term HTML 66K
Borrowings after Hedging (Detail)
150: R139 Long-Term Borrowings - Unsecured Long-Term HTML 63K
Borrowings after Hedging (Parenthetical) (Detail)
151: R140 Long-Term Borrowings - Additional Information HTML 119K
(Detail)
152: R141 Long-Term Borrowings - Subordinated Long-Term HTML 78K
Borrowings (Detail)
153: R142 Other Liabilities and Accrued Expenses - Other HTML 70K
Liabilities (Detail)
154: R143 Commitments, Contingencies and Guarantees - HTML 103K
Commitments (Detail)
155: R144 Commitments, Contingencies and Guarantees - HTML 90K
Additional Information (Detail)
156: R145 Commitments, Contingencies and Guarantees - Leases HTML 76K
(Detail)
157: R146 Commitments, Contingencies and Guarantees - HTML 82K
Guarantees (Detail)
158: R147 Shareholders' Equity - Additional Information HTML 94K
(Detail)
159: R148 Shareholders' Equity - Summary of Amount of Common HTML 64K
Stock Repurchased by the Firm (Detail)
160: R149 Shareholders' Equity - Summary of Perpetual HTML 121K
Preferred Stock Issued and Outstanding (Detail)
161: R150 Shareholders' Equity - Summary of Perpetual HTML 95K
Preferred Stock Issued and Outstanding
(Parenthetical) (Detail)
162: R151 Shareholders' Equity - Summary of Preferred HTML 95K
Dividends Declared on Preferred Stock Issued
(Detail)
163: R152 Shareholders' Equity - Summary of Preferred HTML 62K
Dividends Declared on Preferred Stock Issued
(Parenthetical) (Detail)
164: R153 Shareholders' Equity - Accumulated Other HTML 83K
Comprehensive Loss, Net of Tax (Detail)
165: R154 Regulation and Capital Adequacy - Minimum Capital HTML 68K
Ratios (Detail)
166: R155 Regulation and Capital Adequacy - Additional HTML 107K
Information (Detail)
167: R156 Regulation and Capital Adequacy - Minimum Capital HTML 58K
Ratios (Parenthetical) (Detail)
168: R157 Regulation and Capital Adequacy - Consolidated HTML 110K
Regulatory Capital Ratios (Detail)
169: R158 Regulation and Capital Adequacy - Consolidated HTML 70K
Regulatory Capital Ratios (Parenthetical) (Detail)
170: R159 Regulation and Capital Adequacy - Capital HTML 108K
Rollforward (Detail)
171: R160 Regulation and Capital Adequacy - Risk-weighted HTML 104K
Assets (Detail)
172: R161 Regulation and Capital Adequacy - Risk-weighted HTML 105K
Assets Rollforward (Detail)
173: R162 Regulation and Capital Adequacy - Schedule of HTML 77K
Minimum Ratios and Well Capitalized Minimum Ratios
(Detail)
174: R163 Regulation and Capital Adequacy - Capital Ratios HTML 101K
(Detail)
175: R164 Earnings Per Common Share - Earnings Per Common HTML 80K
Share (Detail)
176: R165 Earnings Per Common Share - Additional Information HTML 63K
(Detail)
177: R166 Transactions with Affiliated Funds - Additional HTML 60K
Information (Detail)
178: R167 Transactions with Affiliated Funds - Fees Earned HTML 59K
from Affiliated Funds (Detail)
179: R168 Transactions with Affiliated Funds - Fees HTML 61K
Receivable from Affiliated Funds and the Aggregate
Carrying Value of the Firm's Interests in these
Funds (Detail)
180: R169 Interest Income and Interest Expense - Interest HTML 91K
Income and Interest Expense (Detail)
181: R170 Income Taxes - Earliest Tax Years Subject to HTML 69K
Examination by Major Jurisdiction (Detail)
182: R171 Business Segments - Segment Operating Results HTML 122K
(Detail)
183: R172 Business Segments - Segment Operating Results HTML 58K
(Parenthetical) (Detail)
184: R173 Business Segments - Net Interest Income (Detail) HTML 69K
185: R174 Business Segments - Depreciation and Amortization HTML 69K
(Detail)
186: R175 Business Segments - Net Revenues and Pre-Tax HTML 78K
Earnings for Each Geographic Region (Detail)
187: R176 Business Segments - Net Revenues and Pre-Tax HTML 58K
Earnings for Each Geographic Region
(Parenthetical) (Detail)
188: R177 Credit Concentrations - Credit Concentration, HTML 66K
Government and Federal Agency Obligations (Detail)
189: R178 Credit Concentrations - Credit Concentration, HTML 64K
Resale Agreements and Securities Borrowed (Detail)
190: R179 Legal Proceedings - Additional Information HTML 142K
(Detail)
192: XML IDEA XML File -- Filing Summary XML 391K
191: EXCEL IDEA Workbook of Financial Reports XLSX 311K
6: EX-101.INS XBRL Instance -- gs-20160930 XML 9.97M
8: EX-101.CAL XBRL Calculations -- gs-20160930_cal XML 529K
9: EX-101.DEF XBRL Definitions -- gs-20160930_def XML 1.77M
10: EX-101.LAB XBRL Labels -- gs-20160930_lab XML 3.36M
11: EX-101.PRE XBRL Presentations -- gs-20160930_pre XML 2.61M
7: EX-101.SCH XBRL Schema -- gs-20160930 XSD 672K
193: ZIP XBRL Zipped Folder -- 0001193125-16-757421-xbrl Zip 669K
| EX-31.1 |
EXHIBIT 31.1
CERTIFICATIONS
I, Lloyd C. Blankfein, certify that:
| 1. | I have reviewed this Quarterly Report on Form 10-Q for the quarter ended September 30, 2016 of The Goldman Sachs Group, Inc.; |
| 2. | Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; |
| 3. | Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report; |
| 4. | The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have: |
| a) | Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; |
| b) | Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles; |
| c) | Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and |
| d) | Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and |
| 5. | The registrant’s other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions): |
| a) | All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and |
| b) | Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting. |
| Date: November 2, 2016 |
/s/ |
Lloyd C. Blankfein | ||||
| Name: |
Lloyd C. Blankfein | |||||
| Title: |
Chief Executive Officer |
CERTIFICATIONS
I, Harvey M. Schwartz, certify that:
| 1. | I have reviewed this Quarterly Report on Form 10-Q for the quarter ended September 30, 2016 of The Goldman Sachs Group, Inc.; |
| 2. | Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; |
| 3. | Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report; |
| 4. | The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have: |
| a) | Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; |
| b) | Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles; |
| c) | Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and |
| d) | Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and |
| 5. | The registrant’s other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions): |
| a) | All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and |
| b) | Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting. |
| Date: November 2, 2016 |
/s/ |
Harvey M. Schwartz | ||||
| Name: |
Harvey M. Schwartz | |||||
| Title: |
Chief Financial Officer |
| This ‘10-Q’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed as of: | 11/3/16 | 424B2 | ||
| Filed on: | 11/2/16 | 424B2 | ||
| For Period end: | 9/30/16 | 13F-HR, 424B2 | ||
| List all Filings | ||||