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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 Form 10 - K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31 , 2020 Commission File Number : 001-14965 The Goldman Sachs Group , Inc. Delaware ( Exact name of registrant as specified in its charter ) ( State or other jurisdiction of incorporation or organization ) 200 West Street , New York , N.Y. ( Address of principal executive offices ) ( 212 ) 902-1000 13-4019460 ( I.R.S. Employer Identification No. ) 10282 ( Zip Code ) ( Registrant's telephone number , including area code ) Securities registered pursuant to Section 12 ( b ) of the Act : Title of each class Common stock , par value $ .01 per share Depositary Shares , Each Representing 1 / 1,000th Interest in a Share of Floating Rate Non - Cumulative Preferred Stock , Series A Depositary Shares , Each Representing 1 / 1,000th Interest in a Share of Floating Rate Non - Cumulative Preferred Stock , Series C Depositary Shares , Each Representing 1 / 1,000th Interest in a Share of Floating Rate Non - Cumulative Preferred Stock , Series D Depositary Shares , Each Representing 1 / 1,000th Interest in a Share of 5.50 % Fixed - to - Floating Rate Non - Cumulative Preferred Stock , Series J Depositary Shares , Each Representing 1 / 1,000th Interest in a Share of 6.375 % Fixed - to - Floating Rate Non - Cumulative Preferred Stock , Series K Depositary Shares , Each Representing 1 / 1,000th Interest in a Share of 6.30 % Non - Cumulative Preferred Stock , Series N 5.793 % Fixed - to - Floating Rate Normal Automatic Preferred Enhanced Capital Securities of Goldman Sachs Capital II Floating Rate Normal Automatic Preferred Enhanced Capital Securities of Goldman Sachs Capital III Medium - Term Notes , Series E , Callable Fixed Rate Notes due 2021 of GS Finance Corp. Medium - Term Notes , Series E , Index - Linked Notes due 2028 of GS Finance Corp. Securities registered pursuant to Section 12 ( g ) of the Act : None Exchange Trading on which Symbol registered GS PrD GS NYSE GS PrA NYSE GS PrC NYSE NYSE GS PrJ NYSE NYSE GS PrN GS / 43PE NYSE NYSE GS / 43PF NYSE GS PrK GS / 21F NYSE FRLG NYSE Arca Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . ☐ Yes ☑ No Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15 ( d ) of the Act . ☐ Yes ☑ No Indicate by check mark whether the registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes ☐ No Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( § 232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . ☑ Yes ☐ No Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company , or an emerging growth company . See the definitions of " large accelerated filer , " " accelerated filer , " " smaller reporting company , " and " emerging growth company " in Rule 12b - 2 of the Exchange Act . Large accelerated filer ☑ Smaller reporting company ☐ Accelerated filer ☐ Non - accelerated filer ☐ 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 . ☐ Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . ☑ Indicate by check mark whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Exchange Act ) . ☐ Yes ☑No As of June 30 , 2020 , the aggregate market value of the common stock of the registrant held by non - affiliates of the registrant was approximately $ 67.6 billion . As of February 5 , 2021 , there were 345,794,361 shares of the registrant's common stock outstanding . Documents incorporated by reference : Portions of The Goldman Sachs Group , Inc.'s Proxy Statement for its 2021 Annual Meeting of Shareholders are incorporated by reference in the Annual Report on Form 10 - K in response to Part III , Items 10 , 11 , 12 , 13 and 14 .