8-K
GOLDMAN SACHS GROUP INC Depositary Shares, Each Representing 1/1,000th Interest in a Share of 5.50% Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series J Depositary Shares, Each Representing 1/1,000th Interest in a Share of 6.375% Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series K 5.793% Fixed-to-Floating Rate Normal Automatic Preferred Enhanced Capital Securities of Goldman Sachs Capital II NY false 0000886982 0000886982 2022-01-18 2022-01-18 0000886982 us-gaap:CommonStockMember 2022-01-18 2022-01-18 0000886982 gs:DepositarySharesEachRepresenting11000thInterestInAShareOfFloatingRateNonCumulativePreferredStockSeriesA3Member 2022-01-18 2022-01-18 0000886982 gs:DepositarySharesEachRepresenting11000thInterestInAShareOfFloatingRateNonCumulativePreferredStockSeriesC1Member 2022-01-18 2022-01-18 0000886982 gs:DepositarySharesEachRepresenting11000thInterestInAShareOfFloatingRateNonCumulativePreferredStockSeriesD2Member 2022-01-18 2022-01-18 0000886982 gs:DepositarySharesEachRepresenting11000thInterestInAShareOf5.50FixedToFloatingRateNonCumulativePreferredStockSeriesJMember 2022-01-18 2022-01-18 0000886982 gs:DepositarySharesEachRepresenting11000thInterestInAShareOf6.375FixedToFloatingRateNonCumulativePreferredStockSeriesK3Member 2022-01-18 2022-01-18 0000886982 gs:M5.793FixedToFloatingRateNormalAutomaticPreferredEnhancedCapitalSecuritiesOfGoldmanSachsCapitalIiMember 2022-01-18 2022-01-18 0000886982 gs:FloatingRateNormalAutomaticPreferredEnhancedCapitalSecuritiesOfGoldmanSachsCapitalIiiMember 2022-01-18 2022-01-18 0000886982 gs:SeriesFMediumTermNotesCallableFixedAndFloatingRateNotesDue2031OfGsFinanceCorpMember 2022-01-18 2022-01-18 0000886982 gs:SeriesEMediumTermNotesIndexLinkedNotesDue2028OfGsFinanceCorpMember 2022-01-18 2022-01-18

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): January 18, 2022

The Goldman Sachs Group, Inc.

(Exact name of registrant as specified in its charter)

Commission File Number: 001-14965

 

Delaware      13-4019460

(State or other jurisdiction of

incorporation or organization)

     

(IRS Employer

Identification No.)

 

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

(212) 902-1000

(Registrant’s telephone number, including area code)

 

 

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:

 

Title of each class  

Trading

Symbol

   Exchange
on which
registered
Common stock, par value $.01 per share   GS   NYSE
Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate Non-Cumulative Preferred Stock, Series A   GS PrA   NYSE
Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate Non-Cumulative Preferred Stock, Series C   GS PrC   NYSE
Depositary Shares, Each Representing 1/1,000th Interest in a Share of Floating Rate Non-Cumulative Preferred Stock, Series D   GS PrD   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   GS PrJ   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   GS PrK   NYSE
5.793% Fixed-to-Floating Rate Normal Automatic Preferred Enhanced Capital Securities of Goldman Sachs Capital II   GS/43PE   NYSE
Floating Rate Normal Automatic Preferred Enhanced Capital Securities of Goldman Sachs Capital III   GS/43PF   NYSE
Medium-Term Notes, Series F, Callable Fixed and Floating Rate Notes due 2031 of GS Finance Corp.   GS/31B   NYSE
Medium-Term Notes, Series E, Index-Linked Notes due 2028 of GS Finance Corp.   FRLG   NYSE Arca

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR 230.405) or Rule 12b-2 of the Exchange Act of 1934 (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.  ☐

TABLE OF CONTENTS

 

Item 2.02 Results of Operations and Financial Condition

   

Item 7.01 Regulation FD Disclosure

   

Item 9.01 Financial Statements and Exhibits

   

Signature

   

Exhibit 99.1: PRESS RELEASE

  

Exhibit 99.2: PRESENTATION

  

Item 2.02 Results of Operations and Financial Condition.

On January 18, 2022, The Goldman Sachs Group, Inc. (Group Inc. and, together with its consolidated subsidiaries, the firm) reported its earnings for the fourth quarter and year ended December 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 January 18, 2022, 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

Press release of Group Inc. dated January 18, 2022 containing financial information for its fourth quarter and year ended December 31, 2021.

The quotation on page 1 of Exhibit 99.1 and the information under the caption “Annual 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 January 18, 2022, for the conference call on January 18, 2022.

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.

  
     

          (Registrant)

  

Date: January 18, 2022

  

By:

  

/s/ Denis P. Coleman

  
                                                                                                        

Name:  Denis P. Coleman

  
   

Title:    Chief Financial Officer