# EDGAR Filing Document

**Accession Number:** 0001886709
**File Stem:** 0001886709-26-000003
**Filing Date:** 2026-2
**Character Count:** 8734
**Document Hash:** e4a7bc6f098fd0cc66ae1277bc02309a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001886709-26-000003.hdr.sgml**: 20260323

**ACCESSION NUMBER**: 0001886709-26-000003

**CONFORMED SUBMISSION TYPE**: SBSE-A/A

**PUBLIC DOCUMENT COUNT**: 3

**FILED AS OF DATE**: 20260204

**DATE AS OF CHANGE**: 20260323

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** GOLDMAN SACHS BANK USA
- **CENTRAL INDEX KEY:** 0001886709

**ORGANIZATION NAME:**
- **EIN:** 133571598
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00128
- **FILM NUMBER:** 26780504

**BUSINESS ADDRESS:**
- **STREET 1:** 200 WEST STREET
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10282
- **BUSINESS PHONE:** (212) 902-1000

**MAIL ADDRESS:**
- **STREET 1:** 200 WEST STREET
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10282

### Attached PDF Documents

**Attachment 1:** `summaryofchanges.pdf`

_No text found in this document._

**Attachment 2:** `gstr7r.pdf`

_No text found in this document._

## Form SBSE-A: Registration for Security-Based Swap Dealers

### Applicant Information

**Full Applicant Name:** GOLDMAN SACHS BANK USA

**NFA Number:** 443648

**IRS Employer ID No.:** 13-3571598

**CIK:** 0001886709

**Main Address:** 200 WEST STREET, NEW YORK, NY, 10282

**Mailing Address:** 200 WEST STREET, NEW YORK, NY, 10282

**Business Telephone:** (212) 902-1000

**Contact Employee:**

- **Name:** RIQUEZA FEASTER

- **Title:** CHIEF COMPLIANCE OFFICER

- **Phone:** (212) 357 7821

- **Email:** Rique.Feaster@gs.com

**Chief Compliance Officer:**

- **Name:** RIQUEZA FEASTER

- **Title:** CHIEF COMPLIANCE OFFICER

- **Phone:** (212) 357 7821

- **Email:** Rique.Feaster@gs.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

**Is a Non-Resident Entity?:** No

**Subject to Prudential Regulator?:** Yes

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Prudential Regulators:** The Federal Reserve Board, The Federal Deposit Insurance Corporation

**Description of Business:**
Goldman Sachs Bank USA, together with its consolidated subsidiaries (collectively, the Bank), is a New York State chartered bank and a member of the Federal Reserve System. The Bank is supervised and regulated by the Board of Governors of the Federal Reserve System, the New York State Department of Financial Services and the Consumer Financial Protection Bureau, and is a member of the Federal Deposit Insurance Corporation. The Bank's deposits are insured by the FDIC up to the maximum amount provided by law. The Bank is registered as a swap dealer with the U.S. Commodity Futures Trading Commission. The Bank is also a government securities dealer subject to the rules and regulations of the U.S. Department of the Treasury. The Bank is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. (Group Inc. and, collectively with its consolidated subsidiaries, GS Group).

### Control and History

**Are records kept by another entity?:** Yes

**Does another entity hold funds on behalf of applicant?:** No

**Is control exercised through an agreement?:** No

**Is applicant financed by another entity?:** No

**Is applicant succeeding a prior entity?:** No

**Subject to foreign regulation?:** No

**Number of Principals:** 14

### Schedule A: Principals

| Name                      | Title or Status                                | Date Acquired   | Date Began Working   | Ownership         |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| SIMON PAUL MORRIS         | DIRECTOR                                       | 10/2021         | 05/2019              | NA - less than 5% |       482562 |
| JEFFREY WILLIAM SCHROEDER | DIRECTOR                                       | 10/2021         | 08/1990              | NA - less than 5% |       453792 |
| DEBORAH LEONE             | DIRECTOR                                       | 10/2021         | 01/2020              | NA - less than 5% |       509244 |
| JOHN PETER MANZI          | CHIEF EXECUTIVE OFFICER / DIRECTOR             | 05/2024         | 11/2006              | NA - less than 5% |       521796 |
| KATHRYN M. CORLEY         | DIRECTOR                                       | 10/2021         | 03/2021              | NA - less than 5% |       525257 |
| LARRY A. KLANE            | DIRECTOR                                       | 10/2021         | 11/2019              | NA - less than 5% |       525261 |
| VIKRAM ANAND ATAL         | DIRECTOR                                       | 10/2021         | 11/2017              | NA - less than 5% |       509360 |
| PETER OPPENHEIMER         | DIRECTOR                                       | 08/2022         | 08/2021              |  |       551358 |
| RIQUEZA FEASTER           | CHIEF COMPLIANCE OFFICER                       | 09/2022         | 07/2022              |  |       551769 |
| JAN ELIZABETH TIGHE       | DIRECTOR                                       | 04/2023         | 01/2023              |  |       555873 |
| KEVIN RONALD JOHNSON      | DIRECTOR                                       | 09/2023         | 07/2023              |  |       558001 |
| INNA SWENSON              | CHIEF OPERATING OFFICER                        | 01/2025         | 08/2006              |  |       568694 |
| SEAN CHRISTOPHER THOMPSON | CHIEF FINANCIAL OFFICER                        | 03/2025         | 07/2005              |  |       570096 |
| ALAN MICHAEL RAPFOGEL     | HEAD OF A BUSINESS UNIT, DIVISION, OR FUNCTION | 07/2017         | 06/1993              |  |       574205 |

### Schedule B: Explanations

**Description:**
The Bank is a financial services provider that engages in banking activities. The Bank is GS Group's primary lending entity, serving corporate and private bank clients, as well as U.S. consumers through the Bank's digital platform, Marcus by Goldman Sachs (Marcus), and by issuing credit cards. The Bank is also GS Group's primary deposit-taking entity. The Bank's depositors include private bank clients, U.S. consumers, clients of third-party broker-dealers, institutions, corporations and its affiliates. In addition, the Bank enters into interest rate, currency, credit and other derivatives, and transacts in certain related cash products, for the purpose of market making and risk management.

**Records Keeper:**

- **Name:** IRON MOUNTAIN INFORMATION MANAGEMENT LLC

  - **Address:** 1 FEDERAL STREET, BOSTON, MA, 02110

  - **Effective Date:** 12-01-2000

  - **Arrangement:** IRON MOUNTAIN PROVIDES RECORDS MANAGEMENT/ ARCHIVING SERVICES FOR THE APPLICANT. THIS INCLUDES THE ARCHIVING/STORAGE OF ANY HARDCOPY DOCUMENTS FOR RETENTION PURPOSES.

- **Name:** DELL INC.

  - **Address:** ONE DELL WAY RR1-61, ROUND ROCK, TX, 78682

  - **Effective Date:** 10-01-2008

  - **Arrangement:** DELL PROVIDES SOLUTIONS FOR ARCHIVING INFORMATION AND E-MAILS.

- **Name:** NICE LTD

  - **Address:** 8 HAPNINA ST, RA'ANANA, L3, 43107

  - **Effective Date:** 02-28-2010

  - **Arrangement:** NICE PROVIDES TRADE AND VOICE RECORDING SERVICES TO THE APPLICANT.

- **Name:** THE DEPOSITORY TRUST & CLEARING CORPORATION

  - **Address:** 55 WATER STREET, NEW YORK, NY, 10041

  - **Effective Date:** 09-03-2003

  - **Arrangement:** DTCC PROVIDES AFFIRMATION/CONFIRMATION SERVICES TO THE APPLICANT FOR CREDIT DERIVATIVES WHICH INCLUDES MAINTAINING THE APPLICANT'S CONFIRMATION RELATED RECORDS VERSUS OUR COUNTERPARTIES.

- **Name:** PRICEWATERHOUSECOOPERS LLP (PWC)

  - **Address:** 300 MADISON AVENUE, NEW YORK, NY, 10017

  - **Effective Date:** 01-01-1922

  - **Arrangement:** PWC AUDITS THE APPLICANT'S FINANCIAL INFORMATION PRESENTED ON THE ANNUAL FINANCIAL STATEMENTS SUBMITTED TO REGULATORS TO SUPPORT PWC'S ANNUAL AUDIT OPINION. PWC MAKES SURE THAT THIS AUDITED FINANCIAL INFORMATION AGREES BACK TO THE BOOKS AND RECORDS OF THE APPLICANT.

- **Name:** CISIVE, FORMERLY CARCO GROUP, INC.

  - **Address:** 5000 CORPORATE COURT, SUITE 203, HOLTSVILLE, NY, 11742

  - **Effective Date:** 08-12-2013

  - **Arrangement:** CISIVE CONDUCTS BACKGROUND CHECKS OF POTENTIAL AND CURRENT EMPLOYEES, AND MAINTAINS THE RECORDS OF ALL SUCH INVESTIGATIONS IT CONDUCTS.

- **Name:** IHS MARKIT LTD.

  - **Address:** 15 INVERNESS WAY E, ENGLEWOOD, CO, 80112

  - **Effective Date:** 03-17-2021

  - **Arrangement:** FOR SECURITY-BASED SWAP TRANSACTIONS THAT ARE VERIFIED ON MARKITWIRE, IHS MARKIT RETAINS COPIES OF VERIFICATIONS ON BEHALF OF THE APPLICANT.

### Execution

**Date:** 01-30-2026

**Name of Applicant:** GOLDMAN SACHS BANK USA

**Signature:** /s/ Riqueza Feaster

**Printed Name:** RIQUEZA FEASTER

**Title:** CHIEF COMPLIANCE OFFICER