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): September 28, 2018

 

 

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)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

 

200 West Street

New York, New York

  10282
(Address of principal executive offices)   (Zip Code)

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))

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.  ☐

 

 

 

 


Item 8.01

Other Events.

The Goldman Sachs Group, Inc. has amended and restated its general guarantees of certain obligations of its subsidiaries, Goldman Sachs Bank USA, Goldman Sachs & Co. LLC, and Goldman Sachs Paris Inc. et Cie. The amended and restated general guarantee agreements are filed as exhibits 4.1, 99.1 and 99.2, respectively, to this Current Report on Form 8-K.

 

Item 9.01

Financial Statements and Exhibits.

(d)    Exhibits

The following exhibits are filed as part of this Current Report on Form 8-K:

 

  4.1    Goldman Sachs Bank USA Amended and Restated General Guarantee Agreement, dated September 28, 2018.
  5.1    Opinion of Sullivan & Cromwell LLP.
23.1    Consent of Sullivan & Cromwell LLP (included as part of Exhibit 5.1).
99.1    Goldman Sachs & Co. LLC Amended and Restated General Guarantee Agreement, dated September 28, 2018.
99.2    Goldman Sachs Paris Inc. et Cie Amended and Restated General Guarantee Agreement, dated September 28, 2018.


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: September 28, 2018    By:   

/s/ Kenneth L. Josselyn

      Name:    Kenneth L. Josselyn
      Title:      Assistant Secretary