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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 4/14/21 Goldman Sachs Group Inc. 8-K:2,7,9 4/14/21 13:6.1M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 47K 2: EX-99.1 Miscellaneous Exhibit HTML 294K 3: EX-99.2 Miscellaneous Exhibit HTML 33K 9: R1 Document and Entity Information HTML 78K 11: XML IDEA XML File -- Filing Summary XML 13K 8: XML XBRL Instance -- d150080d8k_htm XML 45K 10: EXCEL IDEA Workbook of Financial Reports XLSX 7K 5: EX-101.DEF XBRL Definitions -- gs-20210414_def XML 52K 6: EX-101.LAB XBRL Labels -- gs-20210414_lab XML 90K 7: EX-101.PRE XBRL Presentations -- gs-20210414_pre XML 54K 4: EX-101.SCH XBRL Schema -- gs-20210414 XSD 23K 12: JSON XBRL Instance as JSON Data -- MetaLinks 17± 28K 13: ZIP XBRL Zipped Folder -- 0001193125-21-115509-xbrl Zip 48K
| Page | (sequential) | (alphabetic) | ↑Top | ||
|---|---|---|---|---|---|
| 1 | 1st Page – Filing Submission | ||||
| " | Item 2.02 Results of Operations and Financial Condition | ||||
| " | Item 7.01 Regulation FD Disclosure | ||||
| " | Item 9.01 Financial Statements and Exhibits | ||||
| " | Signature | ||||
| 8-K |
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 April 14, 2021 | ||
Commission File Number: i 001-14965
The Goldman Sachs Group, Inc.
(Exact name of registrant as specified in its charter)
| i Delaware (State or other jurisdiction of incorporation or organization) |
i 13-4019460 (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 | ||
| 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, 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 | ||
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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 2.02 Results of Operations and Financial Condition.
On April 14, 2021, The Goldman Sachs Group, Inc. (Group Inc. and, together with its consolidated subsidiaries, the firm) reported its earnings for the first quarter ended March 31, 2021. A copy of Group Inc.’s press release containing this information is attached as Exhibit 99.1 to this Report on Form 8-K and is incorporated herein by reference.
Item 7.01 Regulation FD Disclosure.
On April 14, 2021, at 9:30 a.m. (ET), the firm will hold a conference call to discuss the firm’s financial results, outlook and related matters. A copy of the presentation for the conference call is attached as Exhibit 99.2 to this Report on Form 8-K.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits.
| 99.1 |
The quotation on page 1 of Exhibit 99.1 and the information under the caption “Highlights” on the following page (Excluded Sections) shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 (Exchange Act) or otherwise subject to the liabilities under that Section and shall not be deemed to be incorporated by reference into any filing of Group Inc. under the Securities Act of 1933 or the Exchange Act. The information included in Exhibit 99.1, other than in the Excluded Sections, shall be deemed “filed” for purposes of the Exchange Act.
| 99.2 | Presentation of Group Inc. dated April 14, 2021, for the conference call on April 14, 2021. |
Exhibit 99.2 is being furnished pursuant to Item 7.01 of Form 8-K and the information included therein shall not be deemed “filed” for purposes of Section 18 of the Exchange Act or otherwise subject to the liabilities under that Section and shall not be deemed to be incorporated by reference into any filing of Group Inc. under the Securities Act of 1933 or the Exchange Act.
| 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. |
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| (Registrant) |
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| Date: April 14, 2021 |
By: |
|||||||
| Name: Stephen M. Scherr |
||||||||
| Title: Chief Financial Officer |
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| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on / For Period end: | 4/14/21 | 424B2, FWP | ||
| 3/31/21 | 10-Q, 13F-HR, 424B2, FWP, PX14A6G | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 12/16/21 Goldman Sachs Group Inc. S-8 12/16/21 4:72K Donnelley … Solutions/FA 11/09/21 Goldman Sachs Group Inc. 424B3 1:2.1M Donnelley … Solutions/FA 11/09/21 GreenSky, Inc. DEFM14A 1:3.3M Donnelley … Solutions/FA 11/05/21 Goldman Sachs Group Inc. S-4/A 7:3.3M Donnelley … Solutions/FA 10/21/21 Goldman Sachs Group Inc. S-4 11:3.3M Donnelley … Solutions/FA |