Goldman Sachs 2015 Annual Report Download - page 228

THE GOLDMAN SACHS GROUP, INC. AND SUBSIDIARIES
Item 12. Security Ownership of Certain
Beneficial Owners and Management and
Related Stockholder Matters
Information relating to security ownership of certain
beneficial owners of our common stock and information
relating to the security ownership of our management will
be in the 2016 Proxy Statement and is incorporated herein
by reference.
The following table provides information as of
December 31, 2015, the last day of 2015, regarding
securities to be issued on exercise of outstanding stock
options or pursuant to outstanding restricted stock units
and securities remaining available for issuance under our
equity compensation plans that were in effect during 2015.
Plan
Category
Number of
Securities
to be Issued
Upon
Exercise of
Outstanding
Options and
Rights (a)
Weighted
Average
Exercise
Price of
Outstanding
Options (b)
Number of
Securities
Remaining
Available
For Future
Issuance
Under Equity
Compensation
Plans (c)
Equity
compensation
plans
approved by
security holders
The Goldman
Sachs Amended
and Restated
Stock Incentive
Plan (2015) 42,572,669 $128.79 83,805,880
Equity
compensation
plans not
approved by
security holders None —— —
Total 42,572,669 83,805,880
In the table above:
‰The Goldman Sachs Amended and Restated Stock
Incentive Plan (2015) (2015 SIP) was approved by our
shareholders at our 2015 Annual Meeting of
Shareholders. The 2015 SIP replaced The Goldman Sachs
Amended and Restated Stock Incentive Plan (2013) (2013
SIP) previously in effect, and applies to awards granted on
or after the date of approval. The 2013 SIP was approved
by our shareholders at our 2013 Annual Meeting of
Shareholders and was a successor plan to The Goldman
Sachs Amended and Restated Stock Incentive Plan (2003
SIP). The 2003 SIP was approved by our shareholders at
our 2003 Annual Meeting of Shareholders and was a
successor plan to The Goldman Sachs 1999 Stock
Incentive Plan (1999 SIP), which was approved by our
shareholders immediately prior to our initial public
offering in May 1999.
‰The Number of Securities to be Issued Upon Exercise of
Outstanding Options and Rights includes: (i) 14,756,275
shares of common stock that may be issued upon exercise
of outstanding options and (ii) 27,816,394 shares that
may be issued pursuant to outstanding restricted stock
units. These awards are subject to vesting and other
conditions to the extent set forth in the respective award
agreements, and the underlying shares will be delivered
net of any required tax withholding.
‰The Weighted Average Exercise Price of Outstanding
Options relates only to the options described above.
Shares underlying restricted stock units are deliverable
without the payment of any consideration, and therefore
these awards have not been taken into account in
calculating the weighted average exercise price.
‰The Number of Securities Remaining Available For
Future Issuance Under Equity Compensation Plans
represents shares remaining to be issued under the 2015
SIP, excluding shares reflected in column (a). If any shares
of common stock underlying awards granted under the
2015 SIP or 2013 SIP are not delivered due to forfeiture,
termination or cancellation or are surrendered or
withheld, those shares will again become available to be
delivered under the 2015 SIP. Shares available for grant
are also subject to adjustment for certain changes in
corporate structure as permitted under the 2015 SIP.
There are no shares remaining to be issued under the
1999 SIP, 2003 SIP or 2013 SIP other than those reflected
in column (a).
Item 13. Certain Relationships and Related
Transactions, and Director Independence
Information regarding certain relationships and related
transactions and director independence will be in the 2016
Proxy Statement and is incorporated herein by reference.
Item 14. Principal Accounting Fees and
Services
Information regarding principal accounting fees and
services will be in the 2016 Proxy Statement and is
incorporated herein by reference.
216 Goldman Sachs 2015 Form 10-K