8-K 1 d377097d8k.htm 8-K 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):

April 28, 2017

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 under the Securities Act (17 CFR 230.405) or Rule 12b-2 under the Exchange Act (17 CFR 240.12b-2).

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  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 April 28, 2017.

(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 2018 annual meeting of shareholders or until his or her successor has been duly chosen and qualified.

 

    For       Against       Abstain       Broker
Non-Votes
Lloyd C. Blankfein

 

  298,963,625     7,009,199     1,890,991     38,655,907
M. Michele Burns

 

  273,848,908     32,998,894     1,016,013     38,655,907
Mark A. Flaherty

 

  306,573,682     910,232     379,901     38,655,907
William W. George

 

  299,989,041     7,496,523     378,251     38,655,907
James A. Johnson

 

  281,228,554     26,232,565     402,696     38,655,907
Ellen J. Kullman

 

  304,821,248     2,648,416     394,151     38,655,907
Lakshmi N. Mittal

 

  296,252,903     11,259,301     351,611     38,655,907
Adebayo O. Ogunlesi

 

  303,004,427     3,836,816     1,022,572     38,655,907
Peter Oppenheimer

 

  306,584,740     970,673     308,402     38,655,907
David A. Viniar

 

  305,336,607     2,252,112     275,096     38,655,907
Mark O. Winkelman

 

  305,333,751     2,252,112     315,700     38,655,907

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

 

For   Against   Abstain   Broker Non-Votes
286,162,473   21,262,331   439,011   38,655,907


3.         Advisory Vote on the Frequency of Say on Pay: Our shareholders approved “annual” as the frequency of Say on Pay votes.

 

1 Year   2 Years   3 Years   Abstain   Broker Non-Votes
281,312,587   419,438   25,709,429   422,361   38,655,907

4.         Ratification of Appointment of 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, 2017.

 

For   Against   Abstain
342,470,217   3,389,646   659,859

(d)         In light of the results of the advisory vote on the frequency of Say on Pay votes, our Board determined that we will continue to hold an advisory Say on Pay vote annually. Our Board will reevaluate this determination after the next shareholder advisory vote on the frequency of Say on Pay votes.


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: April 28, 2017

 

By:

 

/s/ Gregory K. Palm

 
   

Name:  Gregory K. Palm

 
   

Title:    Executive Vice President and General Counsel