Current Report Filing (8-k)
February 26 2021 - 3:35PM
Edgar (US Regulatory)
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 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):
February 26, 2021
The Goldman Sachs Group, Inc.
(Exact name of registrant as specified in its charter)
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Delaware
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No. 001-14965
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No. 13-4019460
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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200 West Street, New York, N.Y.
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10282
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(Address of principal executive offices)
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(Zip Code)
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Registrant’s telephone number, including area code: (212) 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:
☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐ 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:
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Title of each class
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Trading
Symbol
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Exchange
on which
registered
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Common stock, par value $.01 per share
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GS
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NYSE
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Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate Non-Cumulative Preferred Stock, Series A
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GS PrA
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NYSE
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Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate Non-Cumulative Preferred Stock, Series C
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GS PrC
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NYSE
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Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate Non-Cumulative Preferred Stock, Series D
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GS PrD
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NYSE
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Depositary Shares, Each Representing 1/1,000th Interest in a Share of 5.50% Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series J
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GS PrJ
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NYSE
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Depositary Shares, Each Representing 1/1,000th Interest in a Share of 6.375% Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series K
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GS PrK
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NYSE
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Depositary Shares, Each Representing 1/1,000th Interest in a Share of 6.30% Non-Cumulative Preferred Stock, Series N
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GS PrN
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NYSE
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5.793% Fixed-to-Floating Rate Normal Automatic Preferred Enhanced Capital Securities of Goldman Sachs Capital II
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GS/43PE
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NYSE
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Floating Rate Normal Automatic Preferred Enhanced Capital Securities of Goldman Sachs Capital III
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GS/43PF
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NYSE
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Medium-Term Notes, Series E, Callable Fixed Rate Notes due 2021 of GS Finance Corp.
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GS/21F
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NYSE
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Medium-Term Notes, Series E, Index-Linked Notes due 2028 of GS Finance Corp.
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FRLG
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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 under the Exchange Act (17 CFR 240.12b-2).
Emerging growth company ☐
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 February 26, 2021 pursuant to the Company’s automatic shelf registration statement on Form S-3 (File No. 333-239610) (as amended, the “Registration Statement”):
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CAD1,000,000,000 2.013% Fixed/Floating Rate Notes due 2029 (the “Securities”)
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(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:
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.
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THE GOLDMAN SACHS GROUP, INC.
(Registrant)
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Date: February 26, 2021
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By:
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/s/ Matthew E. Tropp
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Name: Matthew E. Tropp
Title: Assistant Secretary
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