Form 8-K

 

 

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):

May 2, 2019

The Goldman Sachs Group, Inc.

(Exact name of registrant as specified in its charter)

 

Delaware

    

No. 001-14965

    

No. 13-4019460

(State or other jurisdiction of
incorporation or organization)
    

(Commission

File Number)

     (I.R.S. 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)

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))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

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.    ☐

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class  

Trading

Symbol(s)

  

Name of each 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 6.20%

Non-Cumulative Preferred Stock, Series B

  GS PrB    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

Depositary Shares, Each Representing 1/1,000th Interest in a Share of 6.30%

Non-Cumulative Preferred Stock, Series N

  GS PrN    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 A, Index-Linked Notes due 2037 of GS Finance Corp.

  GCE    NYSE Arca
Medium-Term Notes, Series B, Index-Linked Notes due 2037   GSC    NYSE Arca

Medium-Term Notes, Series E, Index-Linked Notes due 2028 of GS Finance Corp.

  FRLG    NYSE Arca

 

 

 


Item 5.07

Submission of Matters to a Vote of Security Holders.

(a)     The Annual Meeting of Shareholders of The Goldman Sachs Group, Inc. (“Annual Meeting”) was held on May 2, 2019.

(b)    The results of the matters submitted to a shareholder vote at the Annual Meeting were as follows:

1.    Election of Directors: Our shareholders elected the following 11 directors to each serve a one-year term expiring on the date of our 2020 annual meeting of shareholders or until his or her successor has been duly chosen and qualified.

 

                 For                        Against                    Abstain            Broker
        Non-Votes        

M. Michele Burns

       257,067,708        6,851,829        270,120        52,017,138

Drew G. Faust

       262,740,309        1,140,962        308,386        52,017,138

Mark A. Flaherty

       263,338,880        604,908        245,869        52,017,138

Ellen J. Kullman

       258,274,613        5,692,221        222,823        52,017,138

Lakshmi N. Mittal

       214,984,910        48,957,029        247,718        52,017,138

Adebayo O. Ogunlesi

       262,068,188        1,858,456        263,013        52,017,138

Peter Oppenheimer

       263,147,376        816,333        225,948        52,017,138

David M. Solomon

       257,331,879        6,165,503        692,275        52,017,138

Jan E. Tighe

       263,014,483        944,027        231,147        52,017,138

David A. Viniar

       262,495,820        1,490,929        202,908        52,017,138

Mark O. Winkelman

       262,602,948        1,338,449        248,260        52,017,138

2.    Advisory Vote to Approve Executive Compensation (“Say on Pay”): Our shareholders approved the Say on Pay proposal.

 

For

    

Against

    

Abstain

    

Broker Non-Votes

239,661,116      23,848,420      680,121      52,017,138

3.     Ratification of PricewaterhouseCoopers LLP as Our Independent Registered Public Accounting Firm: Our shareholders ratified the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the year ended December 31, 2019.

 

For

    

Against

    

Abstain

304,929,118      10,960,930      316,747

4.     Shareholder Proposal Regarding Right to Act by Written Consent. Our shareholders did not approve this proposal.

 

For

    

Against

    

Abstain

    

Broker Non-Votes

104,186,839      154,305,192      5,697,626      52,017,138


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: May 3, 2019

   

By:

 

/s/ Karen P. Seymour

     

Name: Karen P. Seymour

     

Title:   Executive Vice President and General Counsel