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):

May 23, 2013

 

 

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))

 

 

 


Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

(e) At the Annual Meeting of Shareholders of The Goldman Sachs Group, Inc. (Group Inc.) held on May 23, 2013, our shareholders approved The Goldman Sachs Amended and Restated Stock Incentive Plan (2013) (the “2013 SIP”). The 2013 SIP replaces the Amended and Restated Stock Incentive Plan previously in effect, and applies to awards granted on or after May 23, 2013. For a description of the terms and conditions of the 2013 SIP, see “Summary of Material Terms of the 2013 SIP” under “Item 3 – Approval of The Goldman Sachs Amended and Restated Stock Incentive Plan (2013)” in the Proxy Statement, dated April 12, 2013, for our 2013 Annual Meeting of Shareholders, which description is incorporated herein by reference.

 

Item 5.07 Submission of Matters to a Vote of Security Holders.

 

(a) The Annual Meeting of Shareholders of Group Inc. was held on May 23, 2013.

 

(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 12 directors to each serve a one-year term expiring on the date of the 2014 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

     324,600,549         6,698,375         2,351,364         57,272,536   

M. Michele Burns

     323,369,788         9,394,655         885,845         57,272,536   

Gary D. Cohn

     329,022,725         3,910,667         716,896         57,272,536   

Claes Dahlbäck

     322,426,341         9,520,174         1,703,773         57,272,536   

William W. George

     322,405,562         9,550,306         1,694,420         57,272,536   

James A. Johnson

     283,118,569         48,830,757         1,700,962         57,272,536   

Lakshmi N. Mittal

     318,531,272         13,436,288         1,682,728         57,272,536   

Adebayo O. Ogunlesi

     328,068,503         4,659,215         922,570         57,272,536   

James J. Schiro

     319,398,748         13,374,451         877,089         57,272,536   

Debora L. Spar

     323,265,326         9,455,855         929,107         57,272,536   

Mark E. Tucker

     328,168,726         4,553,550         928,012         57,272,536   

David A. Viniar

     329,203,982         2,931,715         1,514,591         57,272,536   

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


For

 

Against

 

Abstain

 

Broker Non-Votes

289,748,321

  41,162,707   2,739,260   57,272,536

3. Approval of 2013 SIP: Our shareholders approved the 2013 SIP.

 

For

 

Against

 

Abstain

 

Broker Non-Votes

230,133,212

  102,119,162   1,397,914   57,272,536

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, 2013.

 

For

 

Against

 

Abstain

386,348,563

  3,733,517   840,744

5. Shareholder Proposal Regarding Human Rights Committee: Our shareholders did not approve this proposal.

 

For

 

Against

 

Abstain

 

Broker Non-Votes

11,809,291

  287,068,994   34,772,003   57,272,536

6. Shareholder Proposal Regarding Goldman Sachs Lobbying Disclosure: Our shareholders did not approve this proposal.

 

For

 

Against

 

Abstain

 

Broker Non-Votes

18,803,035

  280,192,505   34,654,748   57,272,536

7. Shareholder Proposal Regarding Proxy Access for Shareholders: Our shareholders did not approve this proposal.

 

For

 

Against

 

Abstain

 

Broker Non-Votes

17,442,176

  314,646,682   1,561,430   57,272,536

8. Shareholder Proposal Regarding Maximization of Value for Shareholders: Our shareholders did not approve this proposal.

 

For

 

Against

 

Abstain

 

Broker Non-Votes

4,368,957

  327,594,594   1,686,737   57,272,536


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: May 23, 2013       By:  

/s/ Gregory K. Palm

        Name:    Gregory K. Palm
        Title:   Executive Vice President and General Counsel