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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/24/21 Goldman Sachs Group Inc. S-3 2/23/21 33:5.9M Donnelley … Solutions/FA Goldman Sachs Capital II Goldman Sachs Capital VII Goldman Sachs Capital III GS Finance Corp. Goldman Sachs Capital I Goldman Sachs Capital VI |
Document/Exhibit Description Pages Size 1: S-3 Registration Statement - Securities for a HTML 2.41M Transaction 5: EX-1.11 Form of Underwriting Agreement - Preferred Stock HTML 144K 6: EX-1.15 Form of Distribution Agreement, Series F HTML 243K 7: EX-1.16 Form of A&R Distribution Agreement, Series G HTML 230K 2: EX-1.3 Form of A&R Distribution Agreement, Series N HTML 233K 3: EX-1.6 Form of Underwriting Agreement - Debt Securities HTML 137K 4: EX-1.7 Form of Underwriting Agreement - Subordinated Debt HTML 140K Securities 8: EX-5.1 Opinion of Richards Layton & Finger P.A. Re HTML 22K Goldman Sachs Capital Vi and Vii 9: EX-5.2 Opinion of Sullivan & Cromwell LLP Re Omnibus HTML 48K 10: EX-5.3 Opinion of Sullivan & Cromwell LLP Re Guarantees HTML 20K of Specified Cds 11: EX-5.4 Opinion of Sullivan & Cromwell LLP Re Guarantees HTML 20K of Notes and Deposit Notes 12: EX-5.5 Opinion of Sidley Austin LLP Re Debt Securities of HTML 22K Gs Group 13: EX-5.6 Opinion of Sidley Austin LLP Re Debt Securities of HTML 26K Gsfc 14: EX-8.1 Tax Opinion of Sullivan & Cromwell LLP HTML 16K 15: EX-8.2 Tax Opinion of Sidley Austin LLP HTML 16K 16: EX-8.3 Tax Opinion of Sidley Austin LLP Re Gsfc HTML 16K 17: EX-23.1 Consent of Independent Registered Public Account HTML 14K Firm 18: EX-25.1 Statement of Eligibility - Gsg 1999 Indenture HTML 43K 27: EX-25.10 Statement of Eligibility - Gs Cap 1 Guarantee HTML 44K 28: EX-25.11 Statement of Eligibility - Gs Cap 1I Guarantee HTML 43K 29: EX-25.12 Statement of Eligibility - Gs Cap Iii Guarantee HTML 43K 30: EX-25.13 Statement of Eligibility - Gs Cap Vi Guarantee HTML 44K 31: EX-25.14 Statement of Eligibility - Gs Cap Vi1 Guarantee HTML 43K 32: EX-25.15 Statement of Eligibility - Gsfc 2007 Indenture HTML 45K 33: EX-25.16 Statement of Eligibility - Gsfc 2008 Indenture HTML 27K 19: EX-25.2 Statement of Eligibility - Gsg 2008 Indenture HTML 43K 20: EX-25.3 Statement of Eligibility - Gsg 2004 Sub Debt HTML 43K Indenture 21: EX-25.4 Statement of Eligibility - Warrant Indenture HTML 44K 22: EX-25.5 Statement of Eligibility - Gs Cap 1 Trust HTML 44K Agreement 23: EX-25.6 Statement of Eligibility - Gs Cap 1V Trust HTML 43K Agreement 24: EX-25.7 Statement of Eligibility - Gs Cap V Trust HTML 44K Agreement 25: EX-25.8 Statement of Eligibility - Gs Cap V1 Trust HTML 43K Agreement 26: EX-25.9 Statement of Eligibility - Gs Cap Vi1 Trust HTML 43K Agreement
Opinion of Richards Layton & Finger P.A. re Goldman Sachs Capital VI and VII |
Exhibit 5.1
[Letterhead of Richards, Layton & Finger, P.A.]
Goldman Sachs Capital VI and VII
c/o The Goldman Sachs Group, Inc.
200 West Street
Re: | Goldman Sachs Capital VI and VII |
Ladies and Gentlemen:
We have acted as special Delaware counsel for Goldman Sachs Capital VI and VII, each a Delaware statutory trust (each, a “Trust” and collectively, the “Trusts”), in connection with the matters set forth herein. At your request, this opinion is being furnished to you.
For purposes of giving the opinions hereinafter set forth, our examination of documents has been limited to the examination of originals or copies of the following:
(a) The Certificate of Trust of Goldman Sachs Capital VI, as filed with the office of the Secretary of State on February 15, 2005;
(b) The Certificate of Trust of Goldman Sachs Capital VII, as filed with the office of the Secretary of State on May 3, 2017 (the documents identified in items (a) and (b) being collectively referred to as the “Certificates of Trust”);
(c) The Trust Agreement of Goldman Sachs Capital VI, dated as of February 15, 2005, between the Company and the trustee of the Trust named therein;
(d) The Trust Agreement of Goldman Sachs Capital VII, dated as of May 3, 2017, between the Company and the trustee of the Trust named therein;
(e) The Registration Statement (the “Registration Statement”) on Form S-3, relating to the Capital Securities of the Trusts representing undivided beneficial interests in the assets of the Trusts (each a “Capital Security” and collectively, the “Capital Securities”), as filed by the Company, the Trusts and others with the Securities and Exchange Commission on or about February 23, 2021;
(f) A form of Amended and Restated Trust Agreement of Goldman Sachs Capital VI, to be entered into among the Company, as depositor, the trustees of the Trust named therein, and the holders, from time to time, of undivided beneficial interests in the assets of Goldman Sachs Capital VI, incorporated by reference as an exhibit to the Registration Statement;
Goldman Sachs Capital VI and VII
Page 2
(g) A form of Amended and Restated Trust Agreement of Goldman Sachs Capital VII, to be entered into among the Company, as depositor, the trustees of the Trust named therein, and the holders, from time to time, of undivided beneficial interests in the assets of Goldman Sachs Capital VII, incorporated by reference as an exhibit to the Registration Statement (each of the documents identified in items (f) and (g) being referred to as the “Trust Agreement” and collectively as the “Trust Agreements”);
(h) A Certificate of Good Standing for Goldman Sachs Capital VI, dated February 18, 2021, obtained from the Secretary of State; and
(i) A Certificate of Good Standing for Goldman Sachs Capital VII, dated February 18, 2021, obtained from the Secretary of State.
Capitalized terms used herein and not otherwise defined are used as defined in the Trust Agreements, except that reference herein to any document shall mean such document as in effect on the date hereof.
For purposes of this opinion, we have not reviewed any documents other than the documents listed in paragraphs (a) through (i) above. In particular, we have not reviewed any document (other than the documents listed in paragraphs (a) through (i) above) that is referred to in or incorporated by reference into the documents reviewed by us. We have assumed that there exists no provision in any document that we have not reviewed that is inconsistent with the opinions stated herein. We have conducted no independent factual investigation of our own but rather have relied solely upon the foregoing documents, the statements and information set forth therein and the additional matters recited or assumed herein, all of which we have assumed to be true, complete and accurate in all material respects.
With respect to all documents examined by us, we have assumed (i) the authenticity of all documents submitted to us as authentic originals, (ii) the conformity with the originals of all documents submitted to us as copies or forms, and (iii) the genuineness of all signatures.
For purposes of this opinion, we have assumed (i) that, at the time of each issuance of the Capital Securities, the Trust Agreements and the Certificate of Trusts will be in full force and effect and will not have been amended, (ii) except to the extent provided in paragraph 1 below, the due creation or due organization or due formation, as the case may be, and valid existence in good standing of each party to the documents examined by us under the laws of the jurisdiction governing its creation, organization or formation, (iii) the legal capacity of each natural person who is a party to the documents examined by us, (iv) that each of the parties to the documents examined by us has the power and authority to execute and deliver, and to perform its obligations under, such documents, (v) the due authorization, execution and delivery by all parties thereto of all documents examined by us, (vi) that each Person to whom a Capital Security is to be issued by the Trusts (collectively, the “Capital Security Holders”) will receive appropriate Capital Securities Certificates evidencing ownership of such Capital Securities and will pay for such Capital Securities acquired by it, in accordance with the Trust Agreements and the Registration Statement, and (vii) that the Capital Securities are issued and sold to the Capital Security Holders in accordance with the Trust Agreements and the Registration Statement. We have not participated in the preparation of the Registration Statement and assume no responsibility for its contents.
Goldman Sachs Capital VI and VII
Page 3
This opinion is limited to the laws of the State of Delaware (excluding the securities laws and blue sky laws of the State of Delaware), and we have not considered and express no opinion on the laws of any other jurisdiction, including federal laws and rules and regulations relating thereto. Our opinions are rendered only with respect to Delaware laws and rules, regulations and orders thereunder that are currently in effect.
Based upon the foregoing, and upon our examination of such questions of law and statutes of the State of Delaware as we have considered necessary or appropriate, and subject to the assumptions, qualifications, limitations and exceptions set forth herein, we are of the opinion that:
1. Each Trust has been duly formed and is validly existing in good standing as a statutory trust under the Delaware Statutory Trust Act (12 Del. C. § 3801, et seq.).
2. The Capital Securities will represent valid and, subject to the qualifications set forth in paragraph 3 below, fully paid and nonassessable undivided beneficial interests in the assets of its respective Trust.
3. The Capital Security Holders, as beneficial owners of the Trusts, will be entitled to the same limitation of personal liability extended to stockholders of private corporations for profit organized under the General Corporation Law of the State of Delaware. We note that the Capital Security Holders may be obligated to make payments as set forth in the Trust Agreements.
We consent to the filing of this opinion with the Securities and Exchange Commission as an exhibit to the Registration Statement. In addition, we hereby consent to the use of our name under the heading “Validity of Securities” in the Prospectus. In giving the foregoing consents, we do not thereby admit that we come within the category of Persons whose consent is required under Section 7 of the Securities Act of 1933, as amended, or the rules and regulations of the Securities and Exchange Commission thereunder. Except as stated above, without our prior written consent, this opinion may not be furnished or quoted to, or relied upon by, any other Person for any purpose.
Very truly yours, |
/s/ Richards, Layton & Finger, P.A. |
JWP/KNR
This ‘S-3’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed as of: | 2/24/21 | 424B2, FWP | ||
Filed on: | 2/23/21 | 424B2, 424B3 | ||
2/18/21 | 4, 424B2, FWP, POSASR | |||
5/3/17 | 10-Q, 424B2 | |||
2/15/05 | 25, 424B3 | |||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/09/23 Goldman Sachs Group Inc. S-3/A 5:4.2M Donnelley … Solutions/FA 1/19/23 Goldman Sachs Group Inc. S-3 34:5.8M Donnelley … Solutions/FA 3/18/21 Goldman Sachs Group Inc. S-3/A 3:3.6M Donnelley … Solutions/FA |