-----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, UZzv1TfZEbIcatbwD34eeHWrXN0QD+t5EVOeZzp8XpZfVnqpjMiktoScc1UTR9GH tqTg9fKM9xsWAFv1h6OcQw== 0000928385-01-500675.txt : 20010507 0000928385-01-500675.hdr.sgml : 20010507 ACCESSION NUMBER: 0000928385-01-500675 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010504 GROUP MEMBERS: SMBC CAPITAL MARKETS INC GROUP MEMBERS: SUMITOMO MITSUI BANKING CORP 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: 1623221 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: SMBC CAPITAL MARKETS INC CENTRAL INDEX KEY: 0001139892 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133380138 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 277 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10172 BUSINESS PHONE: 2122245000 MAIL ADDRESS: STREET 1: 277 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10172 SC 13D/A 1 dsc13da.txt AMENDMENT NO. 5 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. 5) 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 SMBC 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) April 26, 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 SMBC Capital Markets, Inc. - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP As to a group consisting of SMBC/(1)/ and Sumitomo Mitsui/(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 263,041,369 Covered Shares/(1)/ and Uncovered Shares/(1)/ in the aggregate/(2)/ held by Covered OWNED BY Persons/(1)/ 5,455,197 shares/(2)/ held by KAA/(1)/ 14,743,610 shares held by SMBC/(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 SMBC and Sumitomo Mitsui may be deemed to be members of a "group" with KAA and the Covered Persons. Each of SMBC and Sumitomo Mitsui disclaims beneficial ownership of shares of Common Stock held by KAA and the Covered Persons. (3) Excludes 263,041,369 and 5,455,197 shares of Common Stock held by the Covered Persons and KAA, respectively, as to which each of SMBC and Sumitomo Mitsui disclaims beneficial ownership. 2 SCHEDULE 13D CUSIP NO. 38141G 10 4 ----------- - ------------------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS Sumitomo Mitsui Banking Corporation - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP As to a group consisting of SMBC/(1)/ and Sumitomo Mitsui/(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 263,041,369 Covered Shares/(1)/ and Uncovered Shares/(1)/ in the aggregate/(2)/ held by Covered OWNED BY Persons/(1)/ 5,455,197 shares/(2)/ held by KAA/(1)/ 14,742,610 shares held by SMBC/(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 SMBC and Sumitomo Mitsui may be deemed to be members of a "group" with KAA and the Covered Persons. Each of SMBC and Sumitomo Mitsui disclaims beneficial ownership of shares of Common Stock held by KAA and the Covered Persons. (3) Excludes 263,041,369 and 5,455,197 shares of Common Stock held by the Covered Persons and KAA, respectively, as to which each of SMBC and Sumitomo Mitsui disclaims beneficial ownership. 3 This Amendment No. 5 to Schedule 13D amends and restates in its entirety such Schedule 13D. This Amendment No. 5 is being filed because on April 26, 2001, KAA (as defined below) entered into an Underwriting Agreement with GS Inc. (as defined below) and Goldman, Sachs & Co. ("GS&Co.") pursuant to which, on May 1, 2001, KAA sold an aggregate of 4,032,513 shares of Common Stock of GS Inc. (as defined below) to the underwriters listed therein at $89.635 per share. The Common Stock was offered to the public at $91.00 per share pursuant to a prospectus (the "Prospectus") dated April 26, 2001 and made part of the Registration Statement on Form S-3 filed by GS Inc. (File No. 333-59260) (the "Registration Statement"). 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 SMBC Capital Markets, Inc. ("SMBC"), a Delaware corporation (formerly known as Sumitomo Bank Capital Markets, Inc.) and a New York-based wholly owned subsidiary of Sumitomo Mitsui Banking Corporation, a corporation organized under the laws of Japan ("Sumitomo Mitsui")(formerly known as The Sumitomo Bank, Limited). The Sumitomo Bank, Limited and The Sakura Bank, Limited merged on April 1, 2001. The Sumitomo Bank Limited was the surviving company and the merged bank was named Sumitomo Mitsui Banking Corporation. In connection with the merger of The Sumitomo Bank, Limited and The Sakura Bank, Limited, Sumitomo Bank Capital Markets, Inc. and Sakura Global Capital, Inc. merged on April 2, 2001. Under the terms of such merger Sumitomo Bank Capital Markets, Inc. was the surviving entity and the merged entity was named SMBC Capital Markets, Inc. SMBC is engaged in various forms of commercial finance and is a participant in the market for interest rate and other forms of derivatives. Sumitomo Mitsui is a commercial bank headquartered in 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 SMBC's principal business and office is 277 Park Avenue, New York, New York 10172. The address of Sumitomo Mitsui's principal business and office is 1-2, Yurakucho 1-chome, Chiyoda-ku, Tokyo, 100-0006, Japan. The name, citizenship, business address and present principal occupation or employment of each of the directors and executive officers of SMBC and Sumitomo Mitsui is set forth in Annex A to this Schedule 13D. In this schedule, reference to SMBC includes reference to SMBC's predecessor, as the context requires, and reference to Sumitomo Mitsui includes reference to Sumitomo Mitsui's predecessor, as the context requires. 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 SMBC or Sumitomo Mitsui. Each of SMBC and Sumitomo Mitsui 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") and (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. 5 to Schedule 13D filed by KAA on May 1, 2001, the Prospectus dated April 26, 2001, made part of the Registration Statement, and Amendment No. 14 to Schedule 13D filed by the Covered Persons on March 29, 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 SMBC or Sumitomo Mitsui or, to the best knowledge of SMBC or Sumitomo Mitsui, 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 SMBC and Sumitomo Mitsui 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 SMBC 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 SMBC 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 SMBC 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 SMBC. On August 21, 2000, SMBC 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 - ------------------------------- SMBC 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. This Amendment No. 5 to Schedule 13D is being filed because of a sale by KAA of Common Stock of GS Inc. Except as described in Item 6, none of SMBC or Sumitomo Mitsui 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 SMBC and Sumitomo Mitsui 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 SMBC and Sumitomo Mitsui 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 SMBC and Sumitomo Mitsui 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, SMBC and Sumitomo Mitsui 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 SMBC and Sumitomo Mitsui 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 SMBC, Sumitomo Mitsui and GS Inc. referred to below (see Item 6) (the "SMBC Shares") is shared with the Covered Persons, as described below in response to Item 6. Each of SMBC and Sumitomo Mitsui 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 SMBC or Sumitomo Mitsui, or to the best knowledge of SMBC or Sumitomo Mitsui, any of their respective executive officers or directors, has effected any transactions in Common Stock during the past 60 days. Amendment No. 14 to the Schedule 13D filed by the Covered Persons on March 29, 2001 and Amendment No. 5 to the Schedule 13D filed by KAA on May 1, 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 - ------------------------ SMBC VOTING AGREEMENT SMBC and Sumitomo Mitsui have entered into a voting agreement with GS Inc., dated April 30, 1999 (the "SMBC 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 SMBC Voting Agreement will result in the shares of Common Stock owned by SMBC being voted in the same manner as the Covered Shares. The Covered Persons and KAA are not parties to the SMBC Voting Agreement, and the SMBC 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 SMBC 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 SMBC and Sumitomo Mitsui 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 SMBC and Sumitomo Mitsui 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 SMBC and Sumitomo Mitsui 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 (now named Sumitomo Mitsui Banking Corporation) and Sumitomo Bank Capital Markets, Inc. (now named SMBC 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 SMBC and Sumitomo Mitsui, respectively. Directors and Executives of Sumitomo Mitsui Banking Corporation
Name Citizenship Business Address Present Employment Criminal Convictions Beneficial or Violations of Ownership of the Federal or State common stock of Securities Laws the Goldman Sachs within the last Five Group, Inc. Years - ---------------------------------------------------------------------------------------------------------------------------- Akishige Okada Japan 1-2,Yurakucho Chairman of the Board, None/None None 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Yoshifumi Japan 1-2,Yurakucho President and Chief None/None None Nishikawa 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Youhei Shiraga Japan 1-2,Yurakucho Deputy President and None/None None 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Akio Asuke Japan 1-2,Yurakucho Deputy President and None/None None 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Hirokazu Japan 1-2,Yurakucho Deputy President and None/None None Ishikawa 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Shunichi Japan 1-2,Yurakucho Senior Managing Director None/None None Okuyama 1-chome, and Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Tsutomu Sakuma Japan 1-2,Yurakucho Senior Managing Director None/None None 1-chome, and Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Hidemitsu Nakao Japan 1-2,Yurakucho Senior Managing Director None/None None 1-chome, and Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ----------------------------------------------------------------------------------------------------------------------------
8 - ---------------------------------------------------------------------------------------------------------------------------- Michiyoshi Japan 1-2,Yurakucho Senior Managing Director None/None None Kuriyama 1-chome, and Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Takeharu Nagata Japan 1-2,Yurakucho Senior Managing Director None/None None 1-chome, and Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Hidenori Japan 1-2,Yurakucho Senior Managing Director None/None None Hiramatsu 1-chome, and Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Tadashi Inoue Japan 1-2,Yurakucho Senior Managing Director None/None None 1-chome, and Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Keizo Ogawa Japan 1-2,Yurakucho Senior Managing Director None/None None 1-chome, and Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Masayuki Oku Japan 1-2,Yurakucho Senior Managing Director None/None None 1-chome, and Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Hideharu Japan 1-2,Yurakucho Senior Managing Director None/None None Kadowaki 1-chome, and Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Takemasa Japan 1-2,Yurakucho Senior Managing Director None/None None Tsukamoto 1-chome, and Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Masahiro Japan 1-2,Yurakucho Managing Director, None/None None Oba 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ----------------------------------------------------------------------------------------------------------------------------
9 - ---------------------------------------------------------------------------------------------------------------------------- Teisuke Japan 1-2,Yurakucho Managing Director and None/None None Kitayama 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Ryuzo Kodama Japan 277 Park Ave., New Managing Director and None/None None York City, New York, Executive Officer, NY 10172 USA Sumitomo Mitsui Banking Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Shigetada Japan 1-2,Yurakucho Managing Director and None/None None Takahashi 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Kenjiro Noda Japan 1-2,Yurakucho Managing Director and None/None None 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Tadashi Hirota Japan 1-2,Yurakucho Managing Director and None/None None 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Mutsuhiko Japan 1-2,Yurakucho Managing Director and None/None None Matsumoto 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Toichiro Japan 1-2,Yurakucho Managing Director and None/None None Mizushima 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------- Shoichiro Japan 1-2,Yurakucho Independent Director, None/None None Toyoda 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Naohiko Kumagai Japan 1-2,Yurakucho Independent Director, None/None None 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Tetsuro Japan 1-2,Yurakucho Independent Director, None/None None Kawakami 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Toshiomi Japan 1-2,Yurakucho Independent Director, None/None None Uragami 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ----------------------------------------------------------------------------------------------------------------------------
10 - ---------------------------------------------------------------------------------------------------------------------------- Yoshiaki Japan 1-2,Yurakucho Independent Director, None/None None Yamauchi 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------- Ryoji Japan 1-2,Yurakucho Managing Director and None/None None Miura 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Kakuei Miyagi Japan 1-2,Yurakucho Managing Director and None/None None 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Kouichi Japan 1-2,Yurakucho Managing Director and None/None None Yanagimura 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Jumpei Japan 1-2,Yurakucho Managing Director and None/None None Ishii 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Koji Ishida Japan 1-2,Yurakucho Managing Director and None/None None 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Takao Japan 277 Park Ave., New Managing Director and None/None None Umino York City, New York, Executive Officer, NY 10172 USA Sumitomo Mitsui Banking Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Morio Kusunoki Japan 1-2,Yurakucho Managing Director and None/None None 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Kiyoshi Shibuya Japan 1-2,Yurakucho Managing Director and None/None None 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Koichi Japan 1-2,Yurakucho Managing Director and None/None None Tsukihara 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui 0006, Japan BankingCorporation. - ----------------------------------------------------------------------------------------------------------------------------
11 - ---------------------------------------------------------------------------------------------------------------------------- Shinpei Nihei Japan 1-2,Yurakucho Managing Director and None/None None 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui 0006, Japan BankingCorporation. - ---------------------------------------------------------------------------------------------------------------------------- Masahide Japan 1-2,Yurakucho Managing Director and None/None None Hirasawa 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Mitsuaki Yahagi Japan 1-2,Yurakucho Managing Director and None/None None 1-chome, Executive Officer, Chiyoda-ku,Tokyo 100- Sumitomo Mitsui Banking 0006, Japan Corporation. - ---------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------- Yasufumi Japan 1-2,Yurakucho Executive Officer, None/None None Kitamoto 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Shiro Japan 1-2,Yurakucho Executive Officer, None/None None Kawajiri 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Yasuyuki Kimoto Japan Temple Court II Queen Executive Officer, None/None None Victoria Street Sumitomo Mitsui Banking London EC4N 4TA U.K. Corporation. - ---------------------------------------------------------------------------------------------------------------------------- Daisuke Japan 1-2,Yurakucho Executive Officer, None/None None Saji 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Hideaki Japan 1-2,Yurakucho Executive Officer, None/None None Shigi 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Kuniaki Tsuyada Japan 1-2,Yurakucho Executive Officer, None/None None 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Kenjiro Nakano Japan 1-2,Yurakucho Executive Officer, None/None None 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ----------------------------------------------------------------------------------------------------------------------------
12 - ---------------------------------------------------------------------------------------------------------------------------- Shigeru Japan 1-2,Yurakucho Executive Officer, None/None None Nishiyama 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Koichi Maeda Japan 1-2,Yurakucho Executive Officer, None/None None 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Hitoshi Japan 1-2,Yurakucho Executive Officer, None/None None Yoshimatsu 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Shigenobu Aikyo Japan 1-2,Yurakucho Executive Officer, None/None None 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Hitoshi Inuga Japan 1-2,Yurakucho Executive Officer, None/None None 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Osamu Endo Japan 1-2,Yurakucho Executive Officer, None/None None 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Sadao Kobayashi Japan 1-2,Yurakucho Executive Officer, None/None None 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Jun Suzuki Japan 1-2,Yurakucho Executive Officer, None/None None 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Shuntaro Japan 1-2,Yurakucho Executive Officer, None/None None Higashi 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Kengo Japan 1-2,Yurakucho Executive Officer, None/None None Miyauchi 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Hiromichi Japan 1-2,Yurakucho Executive Officer, None/None None Miyauchi 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ----------------------------------------------------------------------------------------------------------------------------
13 - ---------------------------------------------------------------------------------------------------------------------------- Kozo Yoneda Japan 1-2,Yurakucho Executive Officer, None/None None 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Shigeo Imafuku Japan 1-2,Yurakucho Executive Officer, None/None None 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Yusaku Omori Japan 1-2,Yurakucho Executive Officer, None/None None 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Nobuyuki Japan 1-2,Yurakucho Executive Officer, None/None None Kameoka 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Hiroaki Japan 1-2,Yurakucho Executive Officer, None/None None Shukuzawa 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Hirosumi Tsusue Japan 1-2,Yurakucho Executive Officer, None/None None 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Akira Matsumoto Japan 1-2,Yurakucho Executive Officer, None/None None 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Fuminori Japan 1-2,Yurakucho Executive Officer, None/None None Yoshitake 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ----------------------------------------------------------------------------------------------------------------------------
14 - ---------------------------------------------------------------------------------------------------------------------------- Kohei Katsukawa Japan 1-2,Yurakucho Executive Officer, None/None None 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Kazuhisa Japan 1-2,Yurakucho Executive Officer, None/None None Kishikawa 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Hiroki Nishio Japan 1-2,Yurakucho Executive Officer, None/None None 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ---------------------------------------------------------------------------------------------------------------------------- Hajime Japan 1-2,Yurakucho Executive Officer, None/None None Yamashita 1-chome, Sumitomo Mitsui Banking Chiyoda-ku,Tokyo 100- Corporation. 0006, Japan - ----------------------------------------------------------------------------------------------------------------------------
15 Directors and Officers of SMBC Capital Markets, Inc.
Name Citizenship Business Address Present Employment Criminal Convictions Beneficial or Violations of Ownership of the Federal or State common stock of Securities Laws the Goldman Sachs within the last Five Group, Inc. Years - ---------------------------------------------------------------------------------------------------------------------------- Ryuzo Kodama Japan Sumitomo Mitsui Head of the Americas None/None None Banking Division, Sumitomo Mitsui Corporation, 277 Banking Corporation Park Ave., New York Managing Director and City, New York, USA Executive Officer, Sumitomo Mitsui Banking Corporation Director, SMBC Capital Markets, Inc. - ---------------------------------------------------------------------------------------------------------------------------- Takao Umino Japan Sumitomo Mitsui Deputy Head of the Americas None/None None Banking Division, Sumitomo Mitsui Corporation, 277 Banking Corporation Park Ave., New York Managing Director and City, New York, USA Executive Officer, Sumitomo Mitsui Banking Corporation Director, SMBC Capital Markets, Inc. - ---------------------------------------------------------------------------------------------------------------------------- Yoshio Itaya Japan Sumitomo Mitsui General Manager, Planning None/None None Banking Department, Americas Corporation, 277 Division, Sumitomo Mitsui Park Ave., New York Banking Corporation City, New York, USA Director, SMBC Capital Markets, Inc. - ---------------------------------------------------------------------------------------------------------------------------- Natsuo Okada Japan SMBC Securities, President, SMBC Securities, None/None None Inc., 277 Park Inc. Ave., New York Director, SMBC Capital City, New York, USA Markets, Inc. - ----------------------------------------------------------------------------------------------------------------------------
16 - ---------------------------------------------------------------------------------------------------------------------------- Naoyuki Japan SMBC Capital Chairman, SMBC Capital None/None None Kawamoto Markets, Inc., 277 Markets, Inc. Park Ave., New York Director, SMBC Capital City, New York, USA Markets, Inc. - ---------------------------------------------------------------------------------------------------------------------------- Joseph L. USA SMBC Capital President, SMBC Capital None/None None Brennan Markets, Inc., 277 Markets, Inc. Park Ave., New York Director, SMBC Capital City, New York, USA Markets, Inc. - ---------------------------------------------------------------------------------------------------------------------------- Shinji Japan SMBC Capital Managing Director, SMBC None/None None Sugiyama Markets, Inc., 277 Capital Markets, Inc. Park Ave., New York Director, SMBC Capital City, New York, USA Markets, Inc. - ---------------------------------------------------------------------------------------------------------------------------- Kenichi Japan SMBC Capital Managing Director, SMBC None/None None Morooka Markets, Inc., 277 Capital Markets, Inc. Park Ave., New York Director, SMBC Capital City, New York, USA Markets, Inc. - ---------------------------------------------------------------------------------------------------------------------------- William M. USA SMBC Leasing and Chairman and Chief Executive None/None None Ginn Finance Inc., 277 Officer, SMBC Leasing and Park Ave., New York Finance, Inc. City, New York, USA Director, SMBC 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 SMBC or Sumitomo Mitsui, or, to the best knowledge of SMBC or Sumitomo Mitsui, their respective executive officers and directors. None. 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: May 4, 2001 SMBC CAPITAL MARKETS, INC. By: /s/ Joseph L. Brennan --------------------------------------------- Name: Joseph L. Brennan Title: President SUMITOMO MITSUI BANKING CORPORATION 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 (now named Sumitomo Mitsui Banking Corporation) and Sumitomo Bank Capital Markets, Inc. (now named SMBC 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-----