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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 4/29/21 Goldman Sachs Group Inc. 8-K:9 4/29/21 13:370K Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 42K 2: EX-4.1 Instrument Defining the Rights of Security Holders HTML 59K 3: EX-5.1 Opinion of Counsel re: Legality HTML 12K 9: R1 Document and Entity Information HTML 75K 11: XML IDEA XML File -- Filing Summary XML 13K 8: XML XBRL Instance -- d144015d8k_htm XML 43K 10: EXCEL IDEA Workbook of Financial Reports XLSX 7K 5: EX-101.DEF XBRL Definitions -- gs-20210429_def XML 51K 6: EX-101.LAB XBRL Labels -- gs-20210429_lab XML 88K 7: EX-101.PRE XBRL Presentations -- gs-20210429_pre XML 53K 4: EX-101.SCH XBRL Schema -- gs-20210429 XSD 22K 12: JSON XBRL Instance as JSON Data -- MetaLinks 16± 28K 13: ZIP XBRL Zipped Folder -- 0001193125-21-140598-xbrl Zip 30K
| 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):
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, N.Y. | 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 | ||
| 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, 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 issuance of the following debt securities by The Goldman Sachs Group, Inc. (the “Company”) on April 29, 2021 pursuant to the Company’s shelf registration statement on Form S-3 (File No. 333-253421) (as amended, the “Registration Statement”):
| • | CAD1,250,000,000 Floating Rate Notes due 2025 |
(d) Exhibits
The following exhibits are filed as part of this Current Report on Form 8-K and Exhibits 4.1, 5.1 and 23.1 are incorporated by reference into the Registration Statement as exhibits thereto:
| 4.1 | Form of Floating Rate Notes due 2025. | |
| 5.1 | Opinion of Sullivan & Cromwell LLP relating to the issuance. | |
| 23.1 | Consent of Sullivan & Cromwell LLP (included as part of Exhibit 5.1). | |
| 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: April 29, 2021 | By: | /s/ Matthew E. Tropp |
||||||
| Name: Matthew E. Tropp Title: Assistant Secretary |
||||||||
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on / For Period end: | 4/29/21 | 25-NSE, 4, 424B2, 8-K, DEF 14A, FWP | ||
| 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 |