SEC Info℠ | Home | Search | My Interests | Help | Sign In | Please Sign In | ||||||||||||||||||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 10/14/20 Goldman Sachs Group Inc. 8-K:9 10/14/20 17:980K Doremus Fin… Printing/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 43K 2: EX-1.1 Form of Distribution Agreement for Warrants HTML 230K 3: EX-4.1 Eighth Supplemental Indenture HTML 95K 4: EX-4.2 Form of Warrant HTML 34K 5: EX-4.3 Specimen Master Warrant HTML 43K 6: EX-5.1 Opinion of Sidley Austin LLP HTML 20K 7: EX-8.1 Opinion of Sidley Austin LLP HTML 12K 13: R1 Document and Entity Information HTML 76K 15: XML IDEA XML File -- Filing Summary XML 14K 12: XML XBRL Instance -- gs8k101420_htm XML 45K 14: EXCEL IDEA Workbook of Financial Reports XLSX 7K 9: EX-101.DEF XBRL Definitions -- gs-20201014_def XML 51K 10: EX-101.LAB XBRL Labels -- gs-20201014_lab XML 70K 11: EX-101.PRE XBRL Presentations -- gs-20201014_pre XML 49K 8: EX-101.SCH XBRL Schema -- gs-20201014 XSD 23K 16: JSON XBRL Instance as JSON Data -- MetaLinks 16± 27K 17: ZIP XBRL Zipped Folder -- 0000891092-20-011384-xbrl Zip 108K
GOLDMAN SACHS GROUP INC |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM i 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported):
The Goldman Sachs Group, Inc.
(Exact name of registrant as specified in its charter)
i Delaware |
No. i 001-14965 |
No. i 13-4019460 |
(State or other jurisdiction of incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) |
i 200 West Street i New York, i New York |
i 10282 |
(Address of principal executive offices) |
(Zip Code) |
Registrant’s telephone number, including area code: ( i 212) i 902-1000
N/A
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
i ☐Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
i ☐Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
i ☐Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
i ☐Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class |
Trading Symbol |
Exchange on which registered |
i Common stock, par value $.01 per share |
i GS |
i NYSE |
i Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate Non-Cumulative Preferred Stock, Series A |
i GS PrA |
i NYSE |
i Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate Non-Cumulative Preferred Stock, Series C |
i GS PrC |
i NYSE |
i Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate Non-Cumulative Preferred Stock, Series D |
i GS PrD |
i NYSE |
i Depositary Shares, Each Representing 1/1,000th Interest in a Share of 5.50% Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series J |
i GS PrJ |
i NYSE |
i Depositary Shares, Each Representing 1/1,000th Interest in a Share of 6.375% Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series K |
i GS PrK |
i NYSE |
i Depositary Shares, Each Representing 1/1,000th Interest in a Share of 6.30% Non-Cumulative Preferred Stock, Series N |
i GS PrN |
i NYSE |
i 5.793% Fixed-to-Floating Rate Normal Automatic Preferred Enhanced Capital Securities of Goldman Sachs Capital II |
i GS/43PE |
i NYSE |
i Floating Rate Normal Automatic Preferred Enhanced Capital Securities of Goldman Sachs Capital III |
i GS/43PF |
i NYSE |
i Medium-Term Notes, Series E, Index-Linked Notes due 2028 of GS Finance Corp. |
i FRLG |
i NYSE Arca |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 under the Securities Act (17 CFR 230.405) or Rule 12b-2 under the Exchange Act (17 CFR 240.12b-2).
Emerging growth company i ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 9.01. Financial Statements and Exhibits.
Exhibits are filed herewith in connection with the offering by GS Finance Corp. (“GSFC”) and The Goldman Sachs Group, Inc. (“Goldman Sachs Group”) of GSFC’s Warrants, Series G, and guarantees of Goldman Sachs Group thereof pursuant to the Prospectus Supplement, dated October 14, 2020, to the Prospectus, dated July 1, 2020, which forms a part of the automatic shelf registration statement on Form S-3 of GSFC and Goldman Sachs Group (File No. 333-239610) (as amended, the “Registration Statement”).
(d) Exhibits.
The following exhibits are incorporated by reference into the Registration Statement as exhibits thereto and are filed as part of this Current Report:
1.1 |
Form of Distribution Agreement for Warrants, Series G, of GSFC, fully and unconditionally guaranteed by Goldman Sachs Group |
4.1 |
Eighth Supplemental Indenture, dated October 14, 2020, among GSFC, as issuer, Goldman Sachs Group, as guarantor, and The Bank of New York Mellon, as trustee, with respect to GSFC’s warrants and Goldman Sachs Group’s related guarantees |
4.2 |
Form of Warrant, Series G, of GSFC |
4.3 |
Specimen Master Warrant No. 1, Series G, dated October 14, 2020, of GSFC |
5.1 |
Opinion of Sidley Austin llp as to the legality of certain of GSFC’s Warrants, Series G and Goldman Sachs Group’s related Guarantees |
8.1 |
Opinion of Sidley Austin llp as to certain federal tax matters |
23.1 |
Consents of Sidley Austin llp (included in Exhibits 5.1 and 8.1) |
101 |
Pursuant to Rule 406 of Regulation S-T, the cover page information is formatted in iXBRL (Inline eXtensible Business Reporting Language) |
104 |
Cover Page Interactive Data File (formatted in iXBRL in Exhibit 101) |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
THE GOLDMAN SACHS GROUP, INC. (Registrant) | ||
| ||
Date: October 14, 2020 |
By: |
/s/ MATTHEW E. TROPP |
Name: Matthew E. Tropp | ||
Title: Assistant Secretary | ||
This ‘8-K’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on / For Period end: | 10/14/20 | 424B2, 8-A12B, 8-K, CERT, FWP | ||
7/1/20 | 424B2, 424B3, FWP, S-3ASR | |||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/28/24 Goldman Sachs Group Inc. 10-K/A 12/31/23 14:488K 2/23/24 Goldman Sachs Group Inc. 10-K 12/31/23 238:49M 2/24/23 Goldman Sachs Group Inc. 10-K 12/31/22 236:53M 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 2/25/22 Goldman Sachs Group Inc. 10-K 12/31/21 249:52M Donnelley … Solutions/FA 3/18/21 Goldman Sachs Group Inc. S-3/A 3:3.6M Donnelley … Solutions/FA 2/24/21 Goldman Sachs Group Inc. S-3 2/23/21 33:5.9M Donnelley … Solutions/FA 2/22/21 Goldman Sachs Group Inc. 10-K 12/31/20 252:55M Donnelley … Solutions/FA 2/18/21 Goldman Sachs Group Inc. POSASR 2/18/21 3:1M Donnelley … Solutions/FA |