-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HxrFA0e7foImW6KJHzRC8HF0KMYxMi1VbiyBenb+JRGz3LN8kZGy3RYr18k+KtrW jFsVjapVHQpb9IlHsUNYWA== 0000928385-01-000339.txt : 20010209 0000928385-01-000339.hdr.sgml : 20010209 ACCESSION NUMBER: 0000928385-01-000339 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010208 GROUP MEMBERS: SUMITOMO BANK CAPITAL MARKETS INC GROUP MEMBERS: SUMITOMO BANK CAPITAL MARKETS, INC. GROUP MEMBERS: SUMITOMO BANK LIMITED SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC/ CENTRAL INDEX KEY: 0000886982 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 133501777 STATE OF INCORPORATION: DE FISCAL YEAR END: 1126 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-56295 FILM NUMBER: 1528603 BUSINESS ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SUMITOMO BANK CAPITAL MARKETS INC CENTRAL INDEX KEY: 0000809985 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 297 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10172 MAIL ADDRESS: STREET 1: 297 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10172 SC 13D/A 1 0001.txt AMENDMENT NO. 4 TO SCHEDULE 13D SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 4) The Goldman Sachs Group, Inc. (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 38141G 10 4 (CUSIP Number) Michiko Miura Sumitomo Bank Capital Markets, Inc. 277 Park Avenue New York, New York 10172 Telephone: (212) 224-5000 (Name, Address and Telephone Number of Persons Authorized to Receive Notices and Communications) February 6, 2001 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this statement because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ]. (Continued on following pages) SCHEDULE 13D CUSIP NO. 38141G 10 4 ----------- - ------------------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS Sumitomo Bank Capital Markets, Inc. - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP As to a group consisting of SBCM/(1)/ and Sumitomo/(1)/ (a) [x] As to a group consisting of the Covered Persons/(1)/ and KAA/(1)/ (b) [x] - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS 00 - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT [_] TO ITEMS 2(d) or 2(e) - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER (See Item 6) 0 NUMBER OF SHARES ----------------------------------------------------------- 8 SHARED VOTING POWER (See Item 6) BENEFICIALLY 267,395,539 Covered Shares/(1)/ and Uncovered Shares/(1)/ in the aggregate/(2)/ held by Covered OWNED BY Persons/(1)/ 9,487,710 shares/(2)/ held by KAA/(1)/ 14,743,610 shares held by SBCM/(1)/ ----------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER (See Item 6) 14,743,610 REPORTING PERSON ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER (See Item 6) WITH 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 14,743,610/(3)/ - ------------------------------------------------------------------------------ 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [x] - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.1%/(3)/ - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON CO - ------------------------------------------------------------------------------ ________________________________ (1) For a definition of this term, please see Item 2. (2) Each of SBCM and Sumitomo may be deemed to be members of a "group" with KAA and the Covered Persons. Each of SBCM and Sumitomo disclaims beneficial ownership of shares of Common Stock held by KAA and the Covered Persons. (3) Excludes 267,395,539 and 9,487,710 shares of Common Stock held by the Covered Persons and KAA, respectively, as to which each of SBCM and Sumitomo disclaims beneficial ownership. 2 SCHEDULE 13D CUSIP NO. 38141G 10 4 ----------- - ------------------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS The Sumitomo Bank, Limited - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP As to a group consisting of SBCM/(1)/ and Sumitomo/(1)/ (a) [x] As to a group consisting of the Covered Persons/(1)/ and KAA/(1)/ (b) [x] - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS 00 - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT [_] TO ITEMS 2(d) or 2(e) - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Japan - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER (See Item 6) 0 NUMBER OF SHARES ----------------------------------------------------------- 8 SHARED VOTING POWER (See Item 6) BENEFICIALLY 267,395,539 Covered Shares/(1)/ and Uncovered Shares/(1)/ in the aggregate/(2)/ held by Covered OWNED BY Persons/(1)/ 9,487,710 shares/(2)/ held by KAA/(1)/ 14,742,610 shares held by SBCM/(1)/ ----------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER (See Item 6) 14,742,610 REPORTING PERSON ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER (See Item 6) WITH 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 14,742,610/(3)/ - ------------------------------------------------------------------------------ 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [x] - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.1%/(3)/ - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON BK - ------------------------------------------------------------------------------ ________________________________ (1) For a definition of this term, please see Item 2. (2) Each of SBCM and Sumitomo may be deemed to be members of a "group" with KAA and the Covered Persons. Each of SBCM and Sumitomo disclaims beneficial ownership of shares of Common Stock held by KAA and the Covered Persons. (3) Excludes 267,395,539 and 9,487,710 shares of Common Stock held by the Covered Persons and KAA, respectively, as to which each of SBCM and Sumitomo disclaims beneficial ownership. 3 This Amendment No. 4 to Schedule 13D amends and restates in its entirety such Schedule 13D. This Amendment No. 4 is being filed because on February 6, 2001, SBCM (as defined below) placed an order to sell 1,500,000 shares of Common Stock (as defined below) of GS, Inc. (as defined below) in a private brokers' transaction pursuant to Rule 144 under the Securities Act of 1933, as amended (the "Securities Act"). Item 1. Security and Issuer - --------------------------- This statement relates to the Common Stock, par value $.01 per share (the "Common Stock"), of The Goldman Sachs Group, Inc., a Delaware corporation (together with its subsidiaries and affiliates, "GS Inc."). The address of the principal executive offices of GS Inc. is 85 Broad Street, New York, New York 10004. Item 2. Identity and Background - ------------------------------- (a), (b), (c), (f) This Schedule 13D is being filed by Sumitomo Bank Capital Markets, Inc. ("SBCM"), a Delaware corporation and a New York-based wholly owned subsidiary of The Sumitomo Bank, Limited, a corporation organized under the laws of Japan ("Sumitomo"). SBCM is engaged in various forms of commercial finance and is a participant in the market for interest rate and other forms of derivatives. Sumitomo is a commercial bank headquartered in Osaka and Tokyo, Japan. Directly or through subsidiaries and other affiliates, it engages in a wide variety of wholesale and retail banking activities in Japan, as well as in other parts of Asia, the Americas and Europe. The address of SBCM's principal business and office is 277 Park Avenue, New York, New York 10172. The address of Sumitomo's principal business and office is 3-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo, 100-0005, Japan. The name, citizenship, business address and present principal occupation or employment of each of the directors and executive officers of SBCM and Sumitomo is set forth in Annex A to this Schedule 13D. This Schedule contains certain information relating to (i) certain managing directors of GS Inc. who beneficially own Common Stock subject to a Shareholders' Agreement ("Covered Shares"), dated as of May 7, 1999, to which these managing directors of GS Inc. are party (as amended from time to time, the "Shareholders' Agreement" and such managing directors, the "Covered Persons") and (ii) Kamehameha Activities Association ("KAA"), who may be deemed to be members of a "group" with SBCM or Sumitomo. Each of SBCM and Sumitomo hereby disclaims beneficial ownership of: (i) the Covered Shares; (ii) shares of Common Stock which may be purchased from time to time by Covered Persons for investment purposes which are not subject to the Shareholders' Agreement ("Uncovered Shares") or (iii) the shares of Common Stock subject to the Voting Agreement between KAA and GS Inc. (the "KAA Shares"), referred to below (see Item 6). All information contained in this Schedule relating to the Covered Persons and KAA has been derived from the filings with the Securities and Exchange Commission, including, but not limited to, Amendment No. 3 to Schedule 13D filed by KAA on August 22, 2000, Form 144 filed by KAA on February 7, 2001 and Amendment No. 12 to Schedule 13D filed by the Covered Persons on January 23, 2001. The Covered Persons and KAA each have filed a Schedule 13D with respect to the shares of Common Stock and other equity securities of GS Inc. which they beneficially own; the reader is referred to such filings and any amendments thereto for more recent and complete information relating to the Covered Persons and KAA. 4 (d), (e) Except as described in Annex A or Annex B, during the last five years, none of SBCM or Sumitomo or, to the best knowledge of SBCM or Sumitomo, any of their respective executive officers or directors, has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), nor has any of them been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or financial order enjoining future violations of, or prohibiting activities subject to, federal or state securities laws or finding any violation of such laws. Item 3. Source and Amount of Funds or Other Consideration - --------------------------------------------------------- 21,425,052 shares of Common Stock and 7,440,362 shares of Nonvoting Common Stock were acquired by SBCM and Sumitomo in exchange for their interests in The Goldman Sachs Group L.P. ("Group L.P.") and certain of its affiliates. From the time of the acquisition through the settlement of a public offering on August 7, 2000 in which SBCM sold 12,621,804 shares of Common Stock (the "August 2000 Offering"), although the 7,440,362 shares of Nonvoting Common Stock were immediately convertible into Common Stock pursuant to GS, Inc.'s Certificate of Incorporation, these shares were not deemed beneficially owned by SBCM because such shares could not be converted due to restrictions imposed under the Bank Holding Company Act of 1956, as amended. Effective upon the settlement of the August 2000 Offering on August 7, 2000, the restrictions imposed under the Bank Holding Company Act of 1956, as amended, no longer applied to SBCM and thus, the 7,440,362 shares of Common Stock issuable upon conversion of the 7,440,362 shares of Nonvoting Common Stock were deemed beneficially owned by SBCM. On August 21, 2000, SBCM converted all 7,440,362 of its shares of Nonvoting Common Stock into an equal number of shares of Common Stock. Item 4. Purpose of Transactions - ------------------------------- SBCM acquired the Common Stock reported hereunder in connection with the succession of GS Inc. to the business of Group L.P. and GS Inc.'s initial public offering. On February 6, 2001, SBCM placed an order to sell 1,500,000 shares of Common Stock in a private brokers' transaction pursuant to Rule 144 under the Securities Act. Except as described in Item 6, none of SBCM or Sumitomo or their respective executive officers or directors has any plans or proposals which relate to or would result in their acquisition of additional Common Stock or any of the other events described in Item 4(a) through 4(j). Each of SBCM and Sumitomo and their respective executive officers and directors is expected to evaluate on an ongoing basis GS Inc.'s financial condition and prospects and their interests in and with respect to GS Inc. Accordingly, each of SBCM and Sumitomo and their respective executive officers and directors may change their plans and intentions at any time and from time to time. In particular, each of SBCM and Sumitomo and their respective executive officers and directors may at any time and from time to time acquire or dispose of shares of Common Stock. Pursuant to restrictions imposed under the Bank Holding Company Act of 1956, as amended, SBCM and Sumitomo cannot currently acquire Common Stock if such acquisition would cause them to own more than 4.9% of the Common Stock. 5 Item 5. Interest in Securities of the Issuer - -------------------------------------------- (a) Rows (11) and (13) of the cover pages to this Schedule (including the footnotes thereto) and Annex A are hereby incorporated by reference. Each of SBCM and Sumitomo hereby disclaims beneficial ownership of any shares of Common Stock held by any Covered Person or of the KAA Shares. (b) Rows (7) through (10) of the cover pages to this Schedule (including the footnotes thereto) and Annex A set forth the percentage range of Common Stock as to which there is sole power to vote or direct the vote or to dispose or direct the disposition, and the number of shares of Common Stock as to which there is shared power to vote or direct the vote or to dispose or direct the disposition. The power to vote the Common Stock subject to the Voting Agreement between SBCM, Sumitomo and GS Inc. referred to below (see Item 6) (the "SBCM Shares") is shared with the Covered Persons, as described below in response to Item 6. Each of SBCM and Sumitomo hereby disclaims beneficial ownership of any shares of Common Stock held by any Covered Person or of the KAA Shares. (c) Except as described in Annex C, neither SBCM or Sumitomo, or to the best knowledge of SBCM or Sumitomo, any of their respective executive officers or directors, has effected any transactions in Common Stock during the past 60 days. Amendment No. 12 to the Schedule 13D filed by the Covered Persons on January 23, 2001 and Form 144 filed by KAA on February 7, 2001 report certain transactions in the Common Stock effected by the Covered Persons and KAA, respectively, during the 60 days preceding such filings; the reader is referred to such filings for information relating to such transactions. (d), (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to - -------------------------------------------------------------------------------- Securities of the Issuer - ------------------------ SBCM VOTING AGREEMENT SBCM and Sumitomo have entered into a voting agreement with GS Inc., dated April 30, 1999 (the "SBCM Voting Agreement"), in which they have agreed to vote their shares of Common Stock and all other voting securities of GS Inc. in the same manner as a majority of the shares of Common Stock held by the managing directors of GS Inc. are voted for so long as they hold voting securities of GS Inc. It is expected that for so long as the Shareholders' Agreement remains in effect, the SBCM Voting Agreement will result in the shares of Common Stock owned by SBCM being voted in the same manner as the Covered Shares. The Covered Persons and KAA are not parties to the SBCM Voting Agreement, and the SBCM Voting Agreement is not enforceable by the Covered Persons or KAA, will continue to exist independent of the existence of the Shareholders' Agreement and the KAA Voting Agreement and may be amended, waived or canceled by GS Inc. without any consent or approval of the Covered Persons or KAA. The SBCM Voting Agreement is incorporated by reference as an exhibit to this Schedule 13D and the foregoing summary is qualified in its entirety by reference thereto. Each of SBCM and Sumitomo hereby disclaims beneficial ownership of the Covered Shares. 6 SHAREHOLDERS' AGREEMENT GS Inc. has disclosed that the Covered Persons are party to the Shareholders' Agreement. The Covered Shares subject to the Shareholders' Agreement are subject to certain voting restrictions and restrictions on transfer of ownership by the Covered Persons, as more fully set forth in the Shareholders' Agreement. Each of SBCM and Sumitomo hereby disclaims beneficial ownership of the Covered Shares. KAA VOTING AGREEMENT GS Inc. has disclosed that KAA has entered into a voting agreement with GS Inc., dated April 30, 1999 (the "KAA Voting Agreement"), in which they have agreed to vote their shares of Common Stock and all other voting securities of GS Inc. in the same manner as a majority of the shares of Common Stock held by the managing directors of GS Inc. are voted for so long as they hold voting securities of GS Inc. Each of SBCM and Sumitomo hereby disclaims beneficial ownership of the KAA Shares. Item 7. Material to be Filed as Exhibits - ----------------------------------------- Exhibit Description - ------- ----------- A. Voting Agreement, dated as of April 30, 1999, by and among The Goldman Sachs Group, Inc., The Sumitomo Bank, Limited and Sumitomo Bank Capital Markets, Inc. (incorporated by reference to Exhibit 10.38 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). 7 ANNEX A Information required as to Executive Officers and Directors of SBCM and Sumitomo, respectively. Directors and Executive Officers of The Sumitomo Bank, Limited
- --------------------------------------------------------------------------------------------------------------- Name Citizenship Business Address Present Employment Criminal Beneficial Convictions or Ownership of the Violations of common stock of The Federal or State Goldman Sachs Securities Laws Group, Inc. within the last Five Years - --------------------------------------------------------------------------------------------------------------- Toshio Japan 3-2, Marunouchi Chairman of the None/None None Morikawa 1-chome, Board, The Sumitomo Chiyoda-ku, Bank, Ltd. Tokyo 100-0005, Japan - --------------------------------------------------------------------------------------------------------------- Yoshifumi Japan 3-2, Marunouchi President and Chief None/None None Nishikawa 1-chome, Executive Officer, Chiyoda-ku, The Sumitomo Bank, Tokyo 100-0005, Ltd. Japan - --------------------------------------------------------------------------------------------------------------- Youhei Japan 3-2, Marunouchi Deputy President and None/None None Shiraga 1-chome, Executive Officer, Chiyoda-ku, The Sumitomo Bank, Tokyo 100-0005, Ltd. Japan - --------------------------------------------------------------------------------------------------------------- Akio Japan 3-2, Marunouchi Deputy President and None/None None Asuke 1-chome, Executive Officer, Chiyoda-ku, The Sumitomo Bank, Tokyo 100-0005, Ltd. Japan - --------------------------------------------------------------------------------------------------------------- Shunichi Japan 3-2, Marunouchi Senior Managing None/None None Okuyama 1-chome, Director and Chiyoda-ku, Executive Officer, Tokyo 100-0005, The Sumitomo Bank, Japan Ltd. - ---------------------------------------------------------------------------------------------------------------
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- --------------------------------------------------------------------------------------------------------------- Tatsuo Japan 3-2, Marunouchi Senior Managing None/None None Kubota 1-chome, Director and Chiyoda-ku, Executive Officer, Tokyo 100-0005, The Sumitomo Bank, Japan Ltd. - --------------------------------------------------------------------------------------------------------------- Michiyoshi Japan 3-2, Marunouchi Senior Managing None/None None Kuriyama 1-chome, Director and Chiyoda-ku, Executive Officer, Tokyo 100-0005, The Sumitomo Bank, Japan Ltd. - --------------------------------------------------------------------------------------------------------------- Takeharu Japan 3-2, Marunouchi Senior Managing None/None None Nagata 1-chome, Director and Chiyoda-ku, Executive Officer, Tokyo 100-0005, The Sumitomo Bank, Japan Ltd. - --------------------------------------------------------------------------------------------------------------- Tadashi Japan 3-2, Marunouchi Senior Managing None/None None Inoue 1-chome, Director and Chiyoda-ku, Executive Officer, Tokyo 100-0005, The Sumitomo Bank, Japan Ltd. - --------------------------------------------------------------------------------------------------------------- Masayuki Japan 3-2, Marunouchi Committee Secretary None/None None Oku 1-chome, General, Integration Chiyoda-ku, Strategy Committee, Tokyo 100-0005, The Sumitomo Bank, Japan Ltd. Senior Managing Director and Executive Officer, The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Takayuki Japan Temple Court, 11 Head of Europe None/None None Tsukuda Queen Victoria Division, The Street, London Sumitomo Bank, Ltd. EC4N 4TA, U.K. Senior Managing Director and Executive Officer, The Sumitomo Bank, Ltd. - ---------------------------------------------------------------------------------------------------------------
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- --------------------------------------------------------------------------------------------------------------- Ryuzo Japan 277 Park Ave., Head of the Americas None/None None Kodama New York City, Division, The New York, NY Sumitomo Bank, Ltd. 10172 USA Director, Sumitomo Bank Capital Markets, Inc. Managing Director and Executive Officer, The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Kenjiro Japan 3-2, Marunouchi Head of Tokyo None/None None Noda 1-chome, Corporate and Chiyoda-ku, Institutional Banking Tokyo 100-0005, Division, The Japan Sumitomo Bank, Ltd. Managing Director and Executive Officer, The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Tadashi Japan 3-2, Marunouchi Head of Corporate and None/None None Hirota 1-chome, Institutional Banking Chiyoda-ku, Division, The Tokyo 100-0005, Sumitomo Bank, Ltd. Japan Managing Director and Executive Officer, The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Mutsuhiko Japan 3-2, Marunouchi General Manager, None/None None Matsumoto 1-chome, Planning Dept., Chiyoda-ku, Consumer Banking Tokyo 100-0005 Group, Sumitomo Bank Japan Ltd. Managing Director and Executive Officer, The Sumitomo Bank, Ltd. - ---------------------------------------------------------------------------------------------------------------
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- --------------------------------------------------------------------------------------------------------------- Tetsuro Japan 3-2, Marunouchi Independent Director, None/None None Kawakami 1-chome, The Sumitomo Bank, Chiyoda-ku, Ltd. Tokyo 100-0005, Chairman, Sumitomo Japan Electric Industries, Ltd. - --------------------------------------------------------------------------------------------------------------- Toshiomi Japan 3-2, Marunouchi Independent Director, None/None None Uragami 1-chome, The Sumitomo Bank, Chiyoda-ku, Ltd. Tokyo 100-0005, Chairman, Sumitomo Japan Life Insurance Company - --------------------------------------------------------------------------------------------------------------- Yoshiaki Japan 3-2, Marunouchi Independent Director, None/None None Yamauchi 1-chome, The Sumitomo Bank, Chiyoda-ku, Ltd. Tokyo 100-0005, Japan - --------------------------------------------------------------------------------------------------------------- Koji Japan 3-2, Marunouchi General Manager, None/None None Ishida 1-chome, Corporate Planning Chiyoda-ku, Dept., The Sumitomo Tokyo 100-0005, Bank, Ltd. Japan Managing Director, The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Koichi Japan 3-2, Marunouchi Head of Tokyo None/None None Tsukihara 1-chome, Corporate Banking Chiyoda-ku, Division-II, The Tokyo 100-0005, Sumitomo Bank, Ltd. Japan Head of Tokyo Corporate Banking Division-III, The Sumitomo Bank, Ltd. Managing Director, The Sumitomo Bank, Ltd. - ---------------------------------------------------------------------------------------------------------------
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- --------------------------------------------------------------------------------------------------------------- Masahide Japan 3-2, Marunouchi General Manager, None/None None Hirasawa 1-chome, General Affairs Chiyoda-ku, Dept., The Sumitomo Tokyo 100-0005, Bank, Ltd. Japan Managing Director, The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Keumaru Japan 3-2, Marunouchi Head of Osaka None/None None Ogura 1-chome, Corporate Banking Chiyoda-ku, Division-I, The Tokyo 100-0005, Sumitomo Bank, Ltd. Japan Head of Kyoto Corporate Banking Division, The Sumitomo Bank, Ltd. Head of Kobe Corporate Banking Division, The Sumitomo Bank, Ltd. Managing Director, The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Kiyoshi Japan 3-2, Marunouchi General Manager, None/None None Shibuya 1-chome, Credit Dept.-III, The Chiyoda-ku, Sumitomo Bank, Ltd. Tokyo 100-0005, Managing Director, Japan The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Shinpei Japan 3-2, Marunouchi Head of Osaka None/None None Nihei 1-chome, Corporate Banking Chiyoda-ku, Division-II, The Tokyo 100-0005, Sumitomo Bank, Ltd. Japan Head of Osaka Corporate Banking Division-III, The Sumitomo Bank, Ltd. Managing Director, The Sumitomo Bank, Ltd. - ---------------------------------------------------------------------------------------------------------------
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- --------------------------------------------------------------------------------------------------------------- Yasuyuki Japan 3-2, Marunouchi Head of Tokai None/None None Kimoto 1-chome, Corporate Banking Chiyoda-ku, Division, The Tokyo 100-0005, Sumitomo Bank, Ltd. Japan Executive Officer, The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Kenjiro Japan 3-2, Marunouchi General Manager, None/None None Nakano 1-chome, Business Planning Chiyoda-ku, Dept., Capital Tokyo 100-0005, Markets Group, The Japan Sumitomo Bank, Ltd. Executive Officer, The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Hiroshi Japan 3-2, Marunouchi General Manager, None/None None Nishikawa 1-chome, Private Banking Chiyoda-ku, Division, Consumer Tokyo 100-0005, Banking Group, The Japan Sumitomo Bank, Ltd. Executive Officer, The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Yasufumi Japan 3-2, Marunouchi General Manager, None/None None Kitamoto 1-chome, Credit Policy Dept., Chiyoda-ku, The Sumitomo Bank, Tokyo 100-0005, Ltd. Japan Executive Officer, The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Koichi Japan 3-2, Marunouchi General Manager, None/None None Maeda 1-chome, Credit Dept.-II, Chiyoda-ku, The Sumitomo Bank, Tokyo 100-0005, Ltd. Japan Executive Officer, The Sumitomo Bank, Ltd. - ---------------------------------------------------------------------------------------------------------------
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- --------------------------------------------------------------------------------------------------------------- Shigenobu Japan 3-2, Marunouchi General Manager, None/None None Aikyo 1-chome, Planning Dept., Chiyoda-ku, Corporate Banking Tokyo 100-0005, Group, The Sumitomo Japan Bank, Ltd. Executive Officer, The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Shuntaro Japan 3-2, Marunouchi General Manager, None/None None Higashi 1-chome, International Chiyoda-ku, Planning Dept., The Tokyo 100-0005, Sumitomo Bank, Ltd. Japan Executive Officer, The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Yasuo Japan 3-2, Marunouchi Head of Tokyo None/None None Ichikawa 1-chome, Corporate Banking Chiyoda-ku, Division-I, The Tokyo 100-0005, Sumitomo Bank, Ltd. Japan Head of Kanagawa Corporate Banking Division, The Sumitomo Bank, Ltd. Executive Officer, The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Shiro Japan 3-2, Marunouchi General Manager, None/None None Kawajiri 1-chome, Branch Banking Chiyoda-ku, Operations Dept., Tokyo 100-0005, Consumer Banking Japan Group, The Sumitomo Bank, Ltd. Executive Officer, The Sumitomo Bank, Ltd. - ---------------------------------------------------------------------------------------------------------------
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- --------------------------------------------------------------------------------------------------------------- Akira Japan 3-2, Marunouchi Head of Tokyo None/None None Kurose 1-chome, Corporate Banking Chiyoda-ku, Division-IV, The Tokyo 100-0005, Sumitomo Bank, Ltd. Japan Head of Tokyo Corporate Banking Division-V, The Sumitomo Bank, Ltd. Executive Officer, The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Kengo Japan 3-2, Marunouchi General Manager, None/None None Miyauchi 1-chome, Credit Supervision Chiyoda-ku, Dept.-II, The Tokyo 100-0005, Sumitomo Bank, Ltd. Japan Executive Officer, The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Hiroaki Japan 3-2, Marunouchi General Manager, None/None None Shukuzawa 1-chome, Treasury Dept.-II, Chiyoda-ku, The Sumitomo Bank, Tokyo 100-0005, Ltd. Japan Executive Officer, The Sumitomo Bank, Ltd. - --------------------------------------------------------------------------------------------------------------- Akira Japan 3-2, Marunouchi General Manager, None/None None Matsumoto 1-chome, Credit Review Dept., Chiyoda-ku, The Sumitomo Bank, Tokyo 100-0005, Ltd. Japan Executive Officer, The Sumitomo Bank, Ltd. - ---------------------------------------------------------------------------------------------------------------
15 Directors and Officers of Sumitomo Bank Capital Markets, Inc.
- ---------------------------------------------------------------------------------------------------------------------------- Name Citizenship Business Address Present Employment Criminal Beneficial Convictions or Ownership of the Violations of common stock of Federal or State The Goldman Securities Laws Sachs Group, Inc. within the last 5 years - ---------------------------------------------------------------------------------------------------------------------------- Ryuzo Japan The Sumitomo Bank, Head of the Americas None/None None Kodama Ltd., 277 Park Ave., Division, The Sumitomo Bank, New York City, New Ltd. York, USA Managing Director and Executive Officer, The Sumitomo Bank, Ltd. Director, Sumitomo Bank Capital Markets, Inc. - ---------------------------------------------------------------------------------------------------------------------------- Yoshio Japan The Sumitomo Bank, General Manager, Planning None/None None Itaya Ltd., 277 Park Ave., Department, Americas New York City, New Division, The Sumitomo Bank, York, USA Ltd. Director, Sumitomo Bank Capital Markets, Inc. - ---------------------------------------------------------------------------------------------------------------------------- Natsuo Japan Sumitomo Bank President, Sumitomo Bank None/None None Okada Securities, Inc., 277 Securities, Inc. Park Ave., New York City, New York, USA Director, Sumitomo Bank Capital Markets, Inc. - ---------------------------------------------------------------------------------------------------------------------------- Naoyuki Japan Sumitomo Bank Capital Chairman, Sumitomo Bank None/None None Kawamoto Markets, Inc., 277 Capital Markets, Inc. Park Ave., New York City, New York, USA Director, Sumitomo Bank Capital Markets, Inc. - ----------------------------------------------------------------------------------------------------------------------------
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- ---------------------------------------------------------------------------------------------------------------------------- Joseph L. USA Sumitomo Bank Capital President, Sumitomo Bank None/None None Brennan Markets, Inc., 277 Capital Markets, Inc. Park Ave., New York City, New York, USA Director, Sumitomo Bank Capital Markets, Inc. - ---------------------------------------------------------------------------------------------------------------------------- Kenichi Japan Sumitomo Bank Capital Managing Director, Sumitomo None/None None Morooka Markets, Inc., 277 Bank Capital Markets, Inc. Park Ave., New York City, New York, USA Director, Sumitomo Bank Capital Markets, Inc. - ---------------------------------------------------------------------------------------------------------------------------- Norah O. USA Sumitomo Bank Chairman, Sumitomo Bank None/None None Hughes Securities, Inc., 77 Securities, Inc. Park Ave., New York City, New York, USA Director, Sumitomo Bank Capital Markets, Inc. - ---------------------------------------------------------------------------------------------------------------------------- William M. USA Sumitomo Bank Leasing Chairman and Chief Executive None/None None Ginn and Finance Inc., 277 Officer, Sumitomo Bank Park Ave., New York Leasing and Finance, Inc. City, New York, USA Director, Sumitomo Bank Capital Markets, Inc. - ----------------------------------------------------------------------------------------------------------------------------
17 ANNEX B Information required as to proceedings described in Items 2(d) and 2(e) None. 18 ANNEX C Item 5(c). Description of all transactions in the Common Stock effected during the last 60 days by SBCM or Sumitomo, or, to the best knowledge of SBCM or Sumitomo, their respective executive officers and directors. On February 6, 2001, SBCM placed an order to sell 1,500,000 shares of Common Stock at $108.76 per share in a private brokers' transaction pursuant to Rule 144 under the Securities Act and expects to receive $163,065,000 in proceeds (after deducting brokers' fees of $.05 per share and before deducting other expenses). The anticipated settlement date for the sale is February 9, 2001. 19 SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 8, 2001 SUMITOMO BANK CAPITAL MARKETS, INC. By: /s/ Naoyuki Kawamoto --------------------------------------------- Name: Naoyuki Kawamoto Title: Chairman THE SUMITOMO BANK, LIMITED By: /s/ Ryuzo Kodama --------------------------------------------- Name: Ryuzo Kodama Title: Managing Director, Executive Director and Head of the Americas Division EXHIBIT INDEX Exhibit Description - ------- ----------- A. Voting Agreement, dated as of April 30, 1999, by and among The Goldman Sachs Group, Inc., The Sumitomo Bank, Limited and Sumitomo Bank Capital Markets, Inc. (incorporated by reference to Exhibit 10.38 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). -----END PRIVACY-ENHANCED MESSAGE-----