Welcome to our dedicated page for Goldman Sachs Group SEC filings (Ticker: GS), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
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Tharimmune (Nasdaq: THAR) has filed a Rule 424(b)(5) prospectus supplement for a registered direct offering of 974,241 units at $1.786 each, targeting gross proceeds of roughly $1.74 million. Each unit comprises either (a) one share of common stock or one pre-funded warrant (exercise price $0.001) plus one five-year common warrant (exercise price $1.66). The common warrants and the shares issuable upon exercise are exempt from registration under Section 4(a)(2)/Rule 506(b).
President Street Global acts as exclusive placement agent, earning a 7% cash fee on the offering and on any subsequent warrant exercises (鈮�$121.8 k upfront, plus up to $48.1 k on warrant exercise). Net proceeds after fees and estimated expenses are 鈮�$1.62 million, which management will deploy for working capital and general corporate purposes.
Pre-deal share count is 4.22 million; immediate issuance of 414,331 shares and 559,910 pre-funded warrants lifts the outstanding total to 5.61 million, implying ~33% dilution, with a further 414,331 shares issuable on warrant exercise. Pro forma March 31 2025 net tangible book value would rise from $0.40 to $0.63 per share, yet investors buying at $1.786 face an immediate $1.156 per-share dilution.
The filing reiterates Tharimmune鈥檚 clinical focus on TH104 for high-potency opioid prophylaxis (505(b)(2) pathway) and chronic pruritus in PBC, as well as an oral infliximab asset (TH023) and several bispecific/ADC projects. The company remains an 鈥渆merging growth鈥� and 鈥渟maller reporting鈥� issuer with a $6.4 million public float cap.
Safe & Green Holdings Corp. (Nasdaq: SGBX) has filed Amendment No. 3 to its Form S-1 to register 20,408,160 common shares for resale by a single selling stockholder. The shares comprise 2,504,040 common shares and 17,904,120 shares underlying $0.0001 pre-funded warrants issued in an April 14 2025 private placement that generated roughly $8 million gross. The company will receive no proceeds from the resale, and only 鈮�$20,408 if all pre-funded warrants are exercised in cash; those funds and the April placement proceeds are earmarked for working capital.
SGBX remains a smaller reporting company and has faced repeated Nasdaq deficiencies. A July 8 2025 Hearings Panel decision allows continued listing provided the firm effects a reverse split (1-for-10 to 1-for-100) and sustains a 鈮�$1.00 bid for 10 consecutive days by Aug 28 2025. A shareholder vote is set for Aug 25 2025.
Liquidity moves in 2025: (i) $2 million secured revolver at 5% with Prosperity Bank; (ii) up to $100 million equity line with Generating Alpha Ltd.; (iii) $267 k OID note at 15% convertible on default; (iv) $1 million County Line and $1 million Sherman Oil asset purchases; (v) planned merger with New Asia Holdings to add 鈮�$35 million to equity. April Series A/B warrants were exchanged for 60,000 Series B preferred shares to ease Nasdaq dilution concerns.
Post-offering common shares outstanding, assuming full warrant exercise, would rise to 30,024,771 versus 12,120,651 currently, excluding additional options, warrants, RSUs and 300 million shares underlying Series B preferred.
Goldman Sachs Group (GS) has filed a Form 144 indicating an intended sale of 9,539 common shares through Goldman Sachs & Co. LLC on or about 25 July 2025. The shares, valued at an estimated $6.86 million, were acquired the same day via employee compensation awards. No other Rule 144 sales by the filer occurred in the past three months. The proposed sale equates to roughly 0.003% of GS鈥檚 306.84 million shares outstanding, suggesting minimal dilution or ownership impact. Because the filing does not identify the seller, disclose motive, or involve a significant percentage of shares, it is best viewed as a routine insider liquidity event rather than a strategic signal.
Goldman Sachs Group (GS) has filed a Form 144 indicating an intended sale of 9,539 common shares through Goldman Sachs & Co. LLC on or about 25 July 2025. The shares, valued at an estimated $6.86 million, were acquired the same day via employee compensation awards. No other Rule 144 sales by the filer occurred in the past three months. The proposed sale equates to roughly 0.003% of GS鈥檚 306.84 million shares outstanding, suggesting minimal dilution or ownership impact. Because the filing does not identify the seller, disclose motive, or involve a significant percentage of shares, it is best viewed as a routine insider liquidity event rather than a strategic signal.
Form 4 highlights for Cricut, Inc. (CRCT): Between 07/21-07/23/2025, CEO, Director and 10% owner Ashish Arora filed a Statement of Changes in Beneficial Ownership.
- Open-market sales: 21,250 shares were sold on each of three consecutive days (total 63,750) under a Rule 10b5-1 plan at weighted-average prices of $5.4554, $5.4879 and $5.5789.
- Dividend-equivalent grant: 341,869 Class A restricted stock units (RSUs) were automatically credited at $0 cost, tied to a $0.75 special and $0.10 semi-annual cash dividend paid 07/21/2025.
- Post-transaction stake: 3,036,561 Class A shares are now held directly. Arora also owns 2,218,889 fully-vested employee stock options with an adjusted exercise price of $17.50.
Net of the sales, the CEO鈥檚 direct share count rose by 278,119 shares (~10%). The dispositions represent roughly 2% of his equity position and were pre-scheduled, limiting signalling value. No company-level financial metrics were disclosed in this filing.
A Form 144 filed for The Goldman Sachs Group, Inc. (GS) discloses a proposed sale of 6,608 common shares (par $0.01) through Goldman Sachs & Co. LLC on the NYSE around 23 Jul 2025. At the reference price implied by the filing, the stake is valued at $4.63 million. With approximately 306.84 million GS shares outstanding, the planned disposition equals roughly 0.002 % of shares, an immaterial fraction at the corporate level.
The shares were acquired via employee-compensation awards and thus constitute insider stock. The notice also reports that David M. Solomon sold 5,000 shares on 14 May 2025 for $3.02 million within the past three-month window. As required, the seller certifies no undisclosed material adverse information. Form 144 is only a notice; the transaction may or may not be executed.
On 07/17/2025, director John B. Hess filed a Form 4 reporting the receipt of 36 Restricted Stock Units (RSUs) of The Goldman Sachs Group, Inc. (GS). The grant was coded 鈥淎鈥� (acquisition) and represents Hess鈥檚 Q2 2025 board retainer, awarded at $0 purchase price. The RSUs will convert into common shares roughly 90 days after his retirement from the Board. After the transaction, Hess holds 419 RSUs in total. No open-market buying or selling of GS common stock was disclosed, and the filing contains no operational, financial, or strategic developments for the company, indicating a routine, non-material insider award.
Goldman Sachs Group (GS) 鈥� Form 4 filing: Director Peter Oppenheimer reported a grant of 81 Restricted Stock Units (RSUs) on 07/17/2025, representing his Q2-25 board retainer and committee-chair compensation for both Goldman Sachs Group and Goldman Sachs Bank USA. The RSUs will convert into GS common stock roughly 90 days after his retirement from either board. After this award, Oppenheimer holds 6,732 RSUs in total, all classified as direct ownership. No open-market purchases or sales were disclosed, and there is no cash consideration. The transaction is routine director compensation and is immaterial to GS鈥檚 share count or earnings.
Goldman Sachs Group Inc. (GS) Form 4 filed 21-Jul-2025 reports that director Lakshmi N. Mittal received an equity award of 36 Restricted Stock Units (RSUs) on 17-Jul-2025. The transaction is coded 鈥淎鈥� (grant) and reflects the director鈥檚 Q2-2025 annual retainer.
After the award, Mittal beneficially owns 5,869 RSUs, all reported as direct holdings. The RSUs have no exercise price and will automatically convert into an equal number of GS common shares approximately 90 days after Mittal leaves the Board. No open-market purchase or sale occurred, and there is no immediate cash impact or dilution for existing shareholders. The filing appears to be routine compensation-related with minimal material significance.
Caterpillar (CAT) Form 4 鈥� CFO Andrew R. J. Bonfield
On 07/17/2025 the CFO exercised two tranches of employee stock options, acquiring a total of 37,497 shares (14,186 at $196.70, exp. 03/07/2032; 23,311 at $253.98, exp. 03/06/2033). Simultaneously, he effected two F-code transactions鈥攖ypically tax-related sales鈥攄isposing of 27,479 shares at $416.39 per share.
Post-transaction direct ownership stands at 65,422 CAT shares. One 2022 option grant is now fully exercised (zero remaining), while 11,655 options from the 2023 grant remain outstanding.
The filing results in a net increase of roughly 10,000 shares to the CFO鈥檚 direct stake, indicating ongoing alignment with shareholders, although the concurrent sales partially monetize gains at an all-time-high price level. Activity appears routine and does not alter control or capital structure.