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Goldman Sachs Group Inc – ‘8-K’ for 3/3/21

On:  Thursday, 3/4/21, at 5:08pm ET   ·   For:  3/3/21   ·   Accession #:  1193125-21-69702   ·   File #:  1-14965

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/04/21  Goldman Sachs Group Inc           8-K:5,8     3/03/21   11:261K                                   Donnelley … Solutions/FA

Current Report   —   Form 8-K   —   Sect. 13 / 15(d) – SEA’34
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‘8-K’   —   Current Report


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 iX: 
  8-K  
 i GOLDMAN SACHS GROUP INC  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 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 5.793% Fixed-to-Floating Rate Normal Automatic Preferred Enhanced Capital Securities of Goldman Sachs Capital II  i NY  i false  i 0000886982 0000886982 2021-03-03 2021-03-03 0000886982 us-gaap:CommonStockMember 2021-03-03 2021-03-03 0000886982 gs:DepositarySharesEachRepresenting11000thInterestInAShareOfFloatingRateNonCumulativePreferredStockSeriesA4Member 2021-03-03 2021-03-03 0000886982 gs:DepositarySharesEachRepresenting11000thInterestInAShareOfFloatingRateNonCumulativePreferredStockSeriesC1Member 2021-03-03 2021-03-03 0000886982 gs:DepositarySharesEachRepresenting11000thInterestInAShareOfFloatingRateNonCumulativePreferredStockSeriesD2Member 2021-03-03 2021-03-03 0000886982 us-gaap:FixedIncomeInterestRateMember 2021-03-03 2021-03-03 0000886982 gs:DepositarySharesEachRepresenting11000thInterestInAShareOf6.375FixedToFloatingRateNonCumulativePreferredStock6Member 2021-03-03 2021-03-03 0000886982 gs:DepositarySharesEachRepresenting11000thInterestInAShareOf6.30NonCumulativePreferredStockSeriesN3Member 2021-03-03 2021-03-03 0000886982 gs:M5.793FixedToFloatingRateNormalAutomaticPreferredEnhancedCapitalSecuritiesOfGoldmanSachsCapitalIiMember 2021-03-03 2021-03-03 0000886982 gs:FloatingRateNormalAutomaticPreferredEnhancedCapitalSecuritiesOfGoldmanSachsCapitalIii5Member 2021-03-03 2021-03-03 0000886982 gs:SeriesEMediumTermNotesCallableFixedRateNotesDue2021OfGsFinanceCorpMember 2021-03-03 2021-03-03 0000886982 gs:SeriesEMediumTermNotesIndexLinkedNotesDue2028OfGsFinanceCorpMember 2021-03-03 2021-03-03

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):

 i March 3, 2021

Commission File Number:  i 001-14965

The Goldman Sachs Group, Inc.

(Exact name of registrant as specified in its charter)

 

 i Delaware    i 13-4019460

(State or other jurisdiction of

incorporation or organization)

 

(IRS Employer

Identification No.)

 

 i 200 West Street,  i New York, N.Y.    i 10282
(Address of principal executive offices)   (Zip Code)

 i (212)  i 902-1000

(Registrant’s telephone number, including area code)

 

 

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
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
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
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, Callable Fixed Rate Notes due 2021 of GS Finance Corp.    i GS/21F    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 of 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 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

(b) Effective as of March 15, 2021, Karen P. Seymour will retire as Executive Vice President and General Counsel of The Goldman Sachs Group, Inc. (the Registrant), and will retire from the Registrant as of March 31, 2021.

Item 8.01. Other Events

Effective as of March 15, 2021, Kathryn H. Ruemmler will become Executive Vice President, Chief Legal Officer and General Counsel of the Registrant, with transition to such role effective immediately.


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: March 4, 2021     By:  

/s/ Beverly L. O’Toole

     

Name:  Beverly L. O’Toole

Title:    Assistant Secretary


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
3/31/21
3/15/21
Filed on:3/4/21424B2,  FWP
For Period end:3/3/21424B2,  FWP
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