8-KExhibits & Filings

GOLDMAN SACHS GROUP INC 8-K Report, Exhibit Filing (Aug 4, 2011)

Filed August 4, 2011For Securities:GSGS-PAGS-PCGS-PDGSCE

Summary

Goldman Sachs Group, Inc. (GS) filed an 8-K on August 4, 2011, to report on the issuance of several tranches of debt securities. This filing primarily serves to provide official documentation regarding these new debt offerings under the company's existing shelf registration statement. Investors should note that this report details the principal amounts and types of notes issued, including index-linked notes tied to major market indices like the S&P 500®, MSCI EAFE, and the Dow Jones Industrial Average, as well as fixed-rate notes with varying maturity dates. The issuance of these debt securities represents a capital-raising activity for Goldman Sachs, allowing the company to finance its operations and strategic initiatives. The specific terms and conditions of these notes, including their coupon rates and maturity dates, are important for understanding the company's debt structure and future financial obligations. The filing also includes legal opinions and consents from Sullivan & Cromwell LLP, as required for such securities offerings.

Key Highlights

  • 1Goldman Sachs issued multiple series of debt securities on August 4, 2011, under its automatic shelf registration statement.
  • 2The offerings include various types of notes, such as buffered equity index-linked notes and fixed-rate notes.
  • 3Specific index-linked notes are tied to the performance of the S&P 500®, MSCI EAFE Index, and Dow Jones Industrial Average.
  • 4Fixed-rate notes with coupon rates of 4.25% (due 2019) and 5.75% (due 2041) were also issued.
  • 5The total principal amounts issued range from $1 million to over $19 million for different note series.
  • 6This 8-K filing primarily serves as documentation for these debt issuances and incorporates related legal opinions.
  • 7The debt issuances were made pursuant to the company's Form S-3 registration statement (File No. 333-154173).

Frequently Asked Questions

This 8-K filing is primarily to report on the issuance of new debt securities by Goldman Sachs Group, Inc. It serves as official documentation for these capital-raising activities and is filed in accordance with SEC regulations.

Goldman Sachs issued several types of debt securities, including equity index-linked notes (some with buffering features) tied to major market indices (S&P 500®, MSCI EAFE, Dow Jones Industrial Average) and traditional fixed-rate notes with specific maturity dates and coupon rates.

The filing indicates the issuance of $15,102,000 of 4.25% Notes due 2019 and $19,037,000 of 5.75% Notes due 2041.

An automatic shelf registration statement allows a company to register a large amount of securities in advance, enabling them to issue those securities efficiently and quickly in response to market opportunities. This filing confirms the use of such a pre-registered facility for these debt issuances.