Goldman Sachs 2015 Annual Report Download - page 229

THE GOLDMAN SACHS GROUP, INC. AND SUBSIDIARIES
PART IV
Item 15. Exhibits, Financial Statement Schedules
(a) Documents filed as part of this Report:
1. Consolidated Financial Statements
The consolidated financial statements required to be filed
in the 2015 Form 10-K are included in Part II, Item 8
hereof.
2. Exhibits
2.1 Plan of Incorporation (incorporated by reference
to the corresponding exhibit to the Registrant’s
Registration Statement on Form S-1 (No. 333-
74449)).
3.1 Restated Certificate of Incorporation of The
Goldman Sachs Group, Inc., amended as of
April 28, 2015 (incorporated by reference to
Exhibit 3.1 to the Registrant’s Quarterly Report
on Form 10-Q for the period ended
March 31, 2015).
3.2 Amended and Restated By-Laws of The Goldman
Sachs Group, Inc., amended as of
February 18, 2016.
4.1 Indenture, dated as of May 19, 1999, between
The Goldman Sachs Group, Inc. and The Bank of
New York, as trustee (incorporated by reference
to Exhibit 6 to the Registrant’s Registration
Statement on Form 8-A, filed on June 29, 1999).
4.2 Subordinated Debt Indenture, dated as of
February 20, 2004, between The Goldman Sachs
Group, Inc. and The Bank of New York, as
trustee (incorporated by reference to Exhibit 4.2
to the Registrant’s Annual Report on Form 10-K
for the fiscal year ended November 28, 2003).
4.3 Warrant Indenture, dated as of
February 14, 2006, between The Goldman Sachs
Group, Inc. and The Bank of New York, as
trustee (incorporated by reference to Exhibit 4.34
to the Registrant’s Post-Effective Amendment
No. 3 to Form S-3, filed on March 1, 2006).
4.4 Senior Debt Indenture, dated as of
December 4, 2007, among GS Finance Corp., as
issuer, The Goldman Sachs Group, Inc., as
guarantor, and The Bank of New York, as trustee
(incorporated by reference to Exhibit 4.69 to the
Registrant’s Post-Effective Amendment No. 10 to
Form S-3, filed on December 4, 2007).
4.5 Senior Debt Indenture, dated as of July 16, 2008,
between The Goldman Sachs Group, Inc. and The
Bank of New York Mellon, as trustee
(incorporated by reference to Exhibit 4.82 to the
Registrant’s Post-Effective Amendment No. 11 to
Form S-3 (No. 333-130074), filed on
July 17, 2008).
4.6 Senior Debt Indenture, dated as of
October 10, 2008, among GS Finance Corp., as
issuer, The Goldman Sachs Group, Inc., as
guarantor, and The Bank of New York Mellon, as
trustee (incorporated by reference to Exhibit 4.70
to the Registrant’s Registration Statement on
Form S-3 (No. 333-154173), filed on
October 10, 2008).
4.7 First Supplemental Indenture, dated as of
February 20, 2015, among GS Finance Corp., as
issuer, The Goldman Sachs Group, Inc., as
guarantor, and The Bank of New York Mellon, as
trustee, with respect to the Senior Debt Indenture,
dated as of October 10, 2008 (incorporated by
reference to Exhibit 4.7 to the Registrant’s Annual
Report on Form 10-K for the fiscal year ended
December 31, 2014).
4.8 Ninth Supplemental Subordinated Debt Indenture,
dated as of May 20, 2015, between The Goldman
Sachs Group, Inc. and The Bank of New York
Mellon, as trustee, with respect to the
Subordinated Debt Indenture, dated as of
February 20, 2004 (incorporated by reference to
Exhibit 4.1 to the Registrant’s Current Report on
Form 8-K, filed on May 22, 2015).
Certain instruments defining the rights of holders
of long-term debt securities of the Registrant and
its subsidiaries are omitted pursuant to Item
601(b)(4)(iii) of Regulation S-K. The Registrant
hereby undertakes to furnish to the SEC, upon
request, copies of any such instruments.
10.1 The Goldman Sachs Amended and Restated Stock
Incentive Plan (2015) (incorporated by reference
to Annex B to the Registrant’s Definitive Proxy
Statement on Schedule 14A, filed on
April 10, 2015). †
10.2 The Goldman Sachs Amended and Restated
Restricted Partner Compensation Plan
(incorporated by reference to Exhibit 10.1 to the
Registrant’s Quarterly Report on Form 10-Q for
the period ended February 24, 2006). †
Goldman Sachs 2015 Form 10-K 217