-----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, Ci41ffmSdoNDhcDaMiZAujPg6M+oDwM15AAQPWa0Y4Vuip76/0UhQeubPQyn0i/N vFXmCVVnpBAVavSeJ608Nw== 0000950123-01-502298.txt : 20010515 0000950123-01-502298.hdr.sgml : 20010515 ACCESSION NUMBER: 0000950123-01-502298 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010514 GROUP MEMBERS: GOLDMAN SACHS GROUP INC/ GROUP MEMBERS: GROUP MEMBERS LISTED IN FILING 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: 1631410 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: 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 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 SC 13D/A 1 y49078sc13da.txt AMENDMENT #15 TO SCHEDULE 13D 1 SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 File No. 005-56295 ----------------------------------------------------- SCHEDULE 13D/A (Rule 13d-101) Amendment No. 15 INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) 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) Gregory K. Palm Esta E. Stecher James B. McHugh The Goldman Sachs Group, Inc. 85 Broad Street New York, New York 10004 Telephone: (212) 902-1000 -------------------- (Name, Address and Telephone Number of Persons Authorized to Receive Notices and Communications) May 8, 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 schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box |_|. (Continued on following pages) 2 - -------------------- CUSIP NO. 38141G 10 4 13D - -------------------- - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS: Each of the persons identified on Appendix A. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP As to a group consisting solely of Covered Persons(1) (a) |x| As to a group consisting of persons other than Covered Persons (b) |x| - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS: OO as to Covered Shares(1), OO and PF as to Uncovered Shares(2) (Applies to each person listed on Appendix A.) - -------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT |_| TO ITEM 2(d) OR 2(e) (Applies to each person listed on Appendix A.) - -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States unless otherwise indicated on Appendix A. - -------------------------------------------------------------------------------- 7. SOLE VOTING POWER (See Item 6) NUMBER OF As to Covered Shares, 0 SHARES As to Uncovered Shares, as stated in BENEFICIALLY Appendix A OWNED BY REPORTING PERSON WITH -------------------------------------------------- 8. SHARED VOTING POWER (See Item 6) (Applies to each person listed on Appendix A.) 256,418,395 Covered Shares held by Covered Persons 11,331 Uncovered Shares held by Covered Persons(3) 1,795,135 Other Uncovered Shares held by Covered Persons(4) 5,455,197 shares held by KAA(5) 14,743,610 shares held by SBCM(5) - -------------------------------------------------------------------------------- 9. SOLE DISPOSITIVE POWER (See Item 6) As to Covered Shares, less than 1% As to Uncovered Shares, as stated in Appendix A - -------------------------------------------------------------------------------- 10. SHARED DISPOSITIVE POWER (See Item 6): As to Covered Shares, 0 As to Uncovered Shares, as stated in Appendix A - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 258,224,876 - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_|(6) (Applies to each person listed on Appendix A.) - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 53.53%(6) - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON: OO as to persons listed in Appendix A under the captions "Trusts" and "Limited Liability Companies"; PN as to persons listed in Appendix A under the caption "Partnerships"; CO as to persons listed in Appendix A under the caption "Corporations"; IN as to all other persons listed in Appendix A. - -------------------------------------------------------------------------------- - ---------- (1) For a definition of this term, please see Item 2. (2) For a definition of this term, please see Item 3. (3) These are Uncovered Shares also described in Row 7 which each Covered Person is deemed to beneficially own by application of Rule 13d-5(b)(1), but do not include the Uncovered Shares described in note 4. Each Covered Person disclaims beneficial ownership of Uncovered Shares held by each other Covered Person. (4) These are Uncovered Shares held by 91 private charitable foundations established by 91 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations and may be deemed to beneficially own such Uncovered Shares. Each other Covered Person may be deemed to beneficially own such Uncovered Shares by application of Rule 13d-5(b)(1). Each such Covered Person disclaims beneficial ownership of such Uncovered Shares, and each other Covered Person also disclaims beneficial ownership of such Uncovered Shares. 2 3 (5) For a definition of this term, please see Item 2. The Covered Persons may be deemed to be members of a "group" with KAA and SBCM. Each Covered Person disclaims beneficial ownership of shares of Common Stock held by KAA and SBCM. (6) Excludes 5,455,197 and 14,743,610 shares of Common Stock held by KAA and SBCM, respectively, as to which each Covered Person disclaims beneficial ownership. 3 4 APPENDIX A
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ Bradley I. Abelow 0 0 0 0 Peter C. Aberg 0 0 0 0 Daniel A. Abut Argentina 0 0 0 0 Paul M. Achleitner Austria 0 0 0 0 Alberto F. Ades Argentina 0 0 0 0 Gregory A. Agran 0 0 0 0 Raanan A. Agus 0 0 0 0 Jonathan R. Aisbitt UK 0 0 0 0 Anand Aithal UK 0 0 0 0 Elliot M. Alchek 0 0 0 0 Yusuf A. Aliredha Bahrain 0 0 0 0 Andrew M. Alper 0 0 0 0 Philippe J. Altuzarra France 0 0 0 0 Rebecca Amitai 0 0 0 0 Zarthustra Amrolia UK 0 0 0 0 John G. Andrews USA/UK 0 0 0 0 Francois Andriot France 0 0 0 0 Lay Pheng Ang Singapore 0 0 0 0 Kazutaka P. Arai North Korea/ 0 0 0 0 South Korea John A. Ashdown UK 0 0 0 0 David M. Atkinson UK 0 0 0 0 Mitchel J. August 0 0 0 0 Armen A. Avanessians 0 0 0 0 Dean C. Backer 0 0 0 0 William A. Badia 0 0 0 0 Michiel J. Bakker The Netherlands 0 0 0 0 Stephen D. Balsamo 100 0 100 0 Mark E. Bamford 0 0 0 0 John S. Barakat 0 0 0 0 Adam P. Barrett UK 0 0 0 0 Christopher M. Barter 0 0 0 0 Christopher A. Bates 0 0 0 0 Barbara J. Basser-Bigio 0 0 0 0 Carl-Georg Bauer-Schlichtegroll Germany 0 0 0 0 David Baum 0 0 0 0 Patrick Y. Baune France 0 0 0 0 Frank A. Bednarz 0 0 0 0 Jonathan A. Beinner 0 0 0 0 Janet L. Bell 0 0 0 0 Ron E. Beller 0 0 0 0 Tarek M. Ben Halim Saudi Arabia 0 0 0 0 Kenneth Berents 0 0 0 0 Milton R. Berlinski The Netherlands 0 0 0 0 Andrew S. Berman 0 0 0 0 Frances R. Bermanzohn 0 0 0 0 Anthony D. Bernbaum UK 0 0 0 0 Stuart N. Bernstein 0 0 0 0
4 5
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ Thomas P. Berquist 0 0 0 0 Robert A. Berry UK 0 0 0 0 John D. Bertuzzi 0 0 0 0 Elizabeth E. Beshel 0 0 0 0 Andrew M. Bevan UK 0 0 0 0 Jean-Luc Biamonti Monaco 0 0 0 0 James J. Birch UK 0 0 0 0 Lloyd C. Blankfein 0 0 0 0 Abraham Bleiberg Mexico 0 0 0 0 David W. Blood 0 0 0 0 Randall A. Blumenthal 0 0 0 0 David R. Boles 0 0 0 0 Antonio Borges Portugal 0 0 0 0 Alastair M. Borthwick UK 0 0 0 0 Alison L. Bott UK 0 0 0 0 Charles W.A. Bott UK 0 0 0 0 Charles C. Bradford III 0 0 0 0 Benjamin S. Bram 0 0 0 0 Graham Branton UK 0 0 0 0 Thomas C. Brasco 0 0 0 0 Alan J. Brazil 0 200 0 200 Daniel G. Brennan 0 0 0 0 Peter L. Briger, Jr. 0 0 0 0 Craig W. Broderick 0 0 0 0 Richard J. Bronks UK 0 0 0 0 Peter M. Brooks 0 0 0 0 Edward A. Brout 0 0 0 0 Charles K. Brown UK 0 0 0 0 James K. Brown 0 0 0 0 Julian J. Brown UK 0 0 0 0 Kathleen Brown 0 0 0 0 Melissa R. Brown 0 0 0 0 Peter D. Brundage 0 0 0 0 John J. Bu 0 0 0 0 Lawrence R. Buchalter 0 0 0 0 Mark J. Buisseret UK 0 0 0 0 Steven M. Bunson 0 0 0 0 Timothy B. Bunting UK 0 0 0 0 Andrew J. Burke-Smith Canada 0 0 0 0 David D. Burrows 0 0 0 0 Michael S. Burton UK 0 0 0 0 George H. Butcher III 0 0 0 0 Mary D. Byron 0 0 0 0 Andrew Cader 0 0 0 0 Lawrence V. Calcano 0 0 0 0 Elizabeth V. Camp 0 0 0 0 John D. Campbell 0 0 0 0 Laurie G. Campbell Canada 0 0 0 0 Richard M. Campbell-Breeden UK 0 0 0 0 Carmine C. Capossela 0 0 0 0 Mark M. Carhart 0 0 0 0 Mark J. Carlebach 0 0 0 0
5 6
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ Mariafrancesca Carli Italy 0 0 0 0 Anthony H. Carpet 0 0 0 0 Michael J. Carr 0 0 0 0 Christopher J. Carrera 0 0 0 0 Mark Carroll 0 0 0 0 Virginia E. Carter 0 0 0 0 Calvin R. Carver, Jr. 0 0 0 0 Mary Ann Casati 0 0 0 0 Chris Casciato 0 0 0 0 Mark A. Castellano 0 0 0 0 Varkki P. Chacko USA/India 0 0 0 0 David K. Chang Taiwan 0 0 0 0 Amy L. Chasen 0 0 0 0 Sacha A. Chiaramonte Germany 0 0 0 0 Andrew A. Chisholm Canada 0 0 0 0 W. Reed Chisholm, II 485 0 485 0 Robert J. Christie 0 0 0 0 Todd J. Christie 0 0 0 0 Jane P. Chwick 0 0 0 0 Peter T. Cirenza 0 0 0 0 Geoffrey G. Clark Canada 0 0 0 0 Kent A. Clark Canada 0 0 0 0 Maura J. Clark Canada 0 0 0 0 Catherine M. Claydon Canada 0 0 0 0 Zachariah Cobrinik 0 0 0 0 Michael D. Cochrane Canada 0 0 0 0 Abby Joseph Cohen 0 0 0 0 Lawrence A. Cohen 200 0 200 0 Lawrence H. Cohen 0 0 0 0 Marc I. Cohen 0 0 0 0 Gary D. Cohn 0 0 0 0 Christopher A. Cole 0 0 0 0 Timothy J. Cole 0 0 0 0 Robert G. Collins 0 0 0 0 Marcus R. Colwell 0 0 0 0 Peter H. Comisar 0 0 0 0 Laura C. Conigliaro 0 0 0 0 Liam Connell 0 0 0 0 Llewellyn C. Connolly 0 0 0 0 Thomas G. Connolly Ireland/USA 0 0 0 0 Frank T. Connor 0 0 0 0 Donna L. Conti 0 0 0 0 Karen R. Cook UK 0 0 0 0 Edith W. Cooper 0 0 0 0 Philip A. Cooper 0 0 0 0 Carlos A. Cordeiro 0 0 0 0 Henry Cornell 0 0 0 0 E. Gerald Corrigan 0 0 0 0 Jon S. Corzine 0 0 0 0 Claudio Costamagna Italy 0 0 0 0 James A. Coufos 0 0 0 0 Frank L. Coulson, Jr. 0 0 0 0
6 7
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ Kenneth Courtis 0 0 0 0 Eric J. Coutts UK 0 0 0 0 Randolph L. Cowen 0 0 0 0 Meyrick Cox UK 0 0 0 0 Brahm S. Cramer Canada 0 0 0 0 Nicholas P. Crapp UK 0 0 0 0 Neil D. Crowder 0 0 0 0 Michael L. Crowl 0 0 0 0 Eduardo A. Cruz 0 0 0 0 John P. Curtin, Jr. 0 0 0 0 John W. Curtis 0 0 0 0 Michael D. Daffey Australia 0 0 0 0 Stephen C. Daffron 0 0 0 0 Paul B. Daitz 0 0 0 0 John S. Daly Ireland 0 0 0 0 Philip M. Darivoff 0 0 0 0 Matthew S. Darnall 0 0 0 0 Timothy D. Dattels Canada 0 0 0 0 Gavyn Davies UK 0 0 0 0 Michael H. Davis 0 0 0 0 Michael G. De Lathauwer Belgium 0 0 0 0 Jean A. De Pourtales France/UK 0 0 0 0 Luigi de Vecchi Italy 0 0 0 0 David A. Dechman 0 0 0 0 Mark Dehnert 0 0 0 0 Paul C. Deighton UK 0 0 0 0 James Del Favero Australia 0 0 0 0 Juan A. Del Rivero Spain 0 0 0 0 Robert V. Delaney, Jr. 0 0 0 0 Joseph Della Rosa 0 0 0 0 Emanuel Derman 0 0 0 0 Neil V. DeSena 0 0 0 0 Martin R. Devenish UK 0 0 0 0 Andrew C. Devenport UK 0 0 0 0 Stephen D. Dias UK 0 0 0 0 Armando A. Diaz 0 0 0 0 Alexander C. Dibelius Germany 0 0 0 0 Stephen J. DiLascio 0 0 0 0 James D. Dilworth 0 0 0 0 Paul M. DiNardo 0 0 0 0 Simon P. Dingemans UK 0 0 0 0 Joseph P. DiSabato 0 0 0 0 Sandra D'Italia 0 0 0 0 Michele I. Docharty 0 0 0 0 Paula A. Dominick 0 0 0 0 Noel B. Donohoe Ireland 0 0 0 0 Suzanne O. Donohoe 0 0 0 0 James H. Donovan 0 0 0 0 Jana Hale Doty 0 0 0 0 Robert G. Doumar, Jr. 0 0 0 0 Thomas M. Dowling 0 0 0 0 John O. Downing 0 0 0 0
7 8
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ Michael B. Dubno 0 0 0 0 Connie K. Duckworth 0 0 0 0 William C. Dudley 0 0 0 0 Donald J. Duet 0 0 0 0 Brian J. Duffy 0 0 0 0 Brian Duggan 0 0 0 0 Matthieu B. Duncan 0 0 0 0 C. Steven Duncker 0 0 0 0 Karlo J. Duvnjak Canada 0 0 0 0 Jay S. Dweck 0 0 0 0 Michael L. Dweck 0 0 0 0 Gordon E. Dyal 0 0 0 0 Isabelle Ealet France 0 0 0 0 Glenn P. Earle UK 0 0 0 0 Seaborn S. Eastland 0 0 0 0 Paul S. Efron 0 0 0 0 Herbert E. Ehlers 0 0 0 0 Alexander S. Ehrlich 0 0 0 0 John E. Eisenberg 0 0 0 0 Gary L. Eisenreich 0 0 0 0 Edward K. Eisler Austria 0 0 0 0 Jason H. Ekaireb UK 0 0 0 0 Gregory H. Ekizian 0 0 0 0 Aubrey J. Ellis 0 0 0 0 Glenn D. Engel 0 0 0 0 Earl S. Enzer 0 0 0 0 Christopher H. Eoyang 0 0 0 0 Davide G. Erro Italy 0 0 0 0 Michael P. Esposito 0 0 0 0 George C. Estey Canada 0 0 0 0 Mark D. Ettenger 0 0 0 0 Bruce J. Evans 0 0 0 0 Ian J. Evans UK 0 0 0 0 J. Michael Evans Canada 0 0 0 0 W. Mark Evans Canada 0 0 0 0 Charles P. Eve UK 0 0 0 0 Brian F. Farr 0 0 0 0 Elizabeth C. Fascitelli 0 0 0 0 Jeffrey F. Fastov 0 0 0 0 Pieter Maarten Feenstra The Netherlands 0 0 0 0 Norman Feit 0 0 0 0 Steven M. Feldman 0 0 0 0 Laurie R. Ferber 0 0 0 0 John A. Ferro, Jr. 0 0 0 0 Robert P. Fisher, Jr. 0 0 0 0 Lawton W. Fitt 0 0 0 0 Stephen C. Fitzgerald Australia 0 0 0 0 Thomas M. Fitzgerald III 0 0 0 0 Daniel M. Fitzpatrick 0 0 0 0 James A. Fitzpatrick 0 0 0 0 David N. Fleischer 0 0 0 0 David B. Ford 0 0 0 0
8 9
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ Edward C. Forst 0 0 0 0 George B. Foussianes 0 0 0 0 Oliver L. Frankel 0 0 0 0 Randy W. Frankel 0 0 0 0 Matthew T. Fremont-Smith 0 0 0 0 Christopher G. French UK 0 0 0 0 Timothy G. Freshwater UK 0 0 0 0 Jacob Y. Friedman 0 0 0 0 Richard A. Friedman 0 0 0 0 Matthias K. Frisch Switzerland 0 0 0 0 Robert K. Frumkes 0 0 0 0 C. Douglas Fuge 0 0 0 0 Shirley Fung UK 0 0 0 0 Joseph D. Gatto 0 0 0 0 Emmanuel Gavaudan France 0 0 0 0 Nicholas J. Gaynor UK 0 0 0 0 Richard A. Genna 0 0 0 0 Eduardo B. Gentil 0 0 0 0 Peter C. Gerhard 0 0 0 0 Kenneth K. Gershenfeld 0 0 0 0 Rajiv A. Ghatalia India 0 0 0 0 Robert R. Gheewalla 0 0 0 0 Nomi P. Ghez Israel/USA 0 0 0 0 Scott A. Gieselman 0 0 0 0 Gary T. Giglio 0 0 0 0 H. John Gilbertson, Jr. 0 0 0 0 Nicholas G. Giordano 0 0 0 0 Joseph H. Gleberman 0 0 0 0 Richard J. Gnodde Ireland/South 0 0 0 0 Africa Charles G. Goetz 0 0 0 0 Jeffrey B. Goldenberg 0 2,860(7) 0 2,860(7) Jacob D. Goldfield 0 0 0 0 Gary F. Goldring 0 0 0 0 James S. Golob 0 0 0 0 Amy O. Goodfriend 0 0 0 0 Jay S. Goodgold 0 0 0 0 Andrew M. Gordon 0 0 0 0 Anthony J. Gordon 0 0 0 0 Roger H. Gordon 0 0 0 0 Robert D. Gottlieb 0 0 0 0 Gregory M. Gould 0 0 0 0 Frank J. Governali 0 0 0 0 Lorenzo Grabau Italy 0 0 0 0 Geoffrey T. Grant 0 0 0 0 William M. Grathwohl 0 0 0 0 Pedro Gonzalez Grau Spain 0 0 0 0 Thomas J. Gravina 200 0 200 0 Michael J. Graziano 0 0 0 0 Carmen A. Greco 0 0 0 0
- ---------- (7) Shared with family members. 9 10
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ David J. Greenwald 0 0 0 0 Louis S. Greig UK 0 0 0 0 William W. Gridley 0 0 0 0 Peter W. Grieve 0 0 0 0 Christopher Grigg UK 0 0 0 0 Edward Sebastian Grigg UK/France 0 0 0 0 Michael Grindfors Sweden 0 0 0 0 Douglas C. Grip 0 0 0 0 Peter Gross 0 0 0 0 Eric P. Grubman 0 0 0 0 Celeste A. Guth 0 0 0 0 Edward S. Gutman 0 0 0 0 Joseph D. Gutman 0 0 0 0 Douglas A. Guzman Canada 0 0 0 0 Erol Hakanoglu Turkey 0 0 0 0 David R. Hansen Australia 0 0 0 0 Roger C. Harper 0 0 0 0 Charles T. Harris III 0 0 0 0 Robert S. Harrison 0 0 0 0 Shelley A. Hartman 0 0 0 0 Paul R. Harvey 0 0 0 0 Arthur J. Hass 0 0 0 0 Arne K. Hassel Sweden 0 0 0 0 Nobumichi Hattori Japan 0 0 0 0 Stephen J. Hay UK 0 0 0 0 Walter H. Haydock 0 0 0 0 Isabelle Hayen Belgium 0 0 0 0 Keith L. Hayes UK 0 0 0 0 Thomas J. Healey 0 0 0 0 John P. Heanue 0 0 0 0 Robert C. Heathcote UK 0 0 0 0 Sylvain M. Hefes France 0 0 0 0 Douglas C. Heidt 0 0 0 0 David B. Heller 0 0 0 0 Steven M. Heller 0 0 0 0 William L. Hemphill 0 0 0 0 Ruud G. Hendriks The Netherlands 0 0 0 0 David P. Hennessey 0 0 0 0 R. Douglas Henderson 0 0 0 0 David L. Henle 0 0 0 0 Mary C. Henry 0 0 0 0 Peter C. Herbert 0 0 0 0 Raimund W. Herden Germany 0 0 0 0 Carl H. Hewitt 0 1000(8) 0 1000(8) Bruce A. Heyman 0 0 0 0 Stephen Hickey 0 0 0 0 Robert E. Higgins 0 0 0 0 Joanne M. Hill 0 0 0 0 M. Roch Hillenbrand 0 0 0 0 Donald W. Himpele 0 0 0 0
- ---------- (8) Shared with family members. 10 11
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ Kenneth W. Hitchner 0 0 0 0 Maykin Ho 0 0 0 0 Timothy E. Hodgson Canada 0 0 0 0 Jacquelyn M. Hoffman-Zehner Canada 0 0 0 0 Richard R. Hogan 0 0 0 0 Christopher G. Hogg New Zealand/USA 0 0 0 0 Daniel E. Holland III 0 0 0 0 Teresa E. Holliday 0 0 0 0 Peter Hollmann Germany 0 0 0 0 Philip Holzer Germany 0 0 0 0 Gregory T. Hoogkamp 0 0 0 0 Thomas J. Hopkins 0 0 0 0 Jay D. Horine 0 0 0 0 Robert D. Hormats 0 0 0 0 Robert G. Hottensen, Jr. 0 0 0 0 Michael R. Housden UK 0 0 0 0 Zu Liu Frederick Hu China 0 0 0 0 Paul J. Huchro 0 0 0 0 James A. Hudis 0 0 0 0 Terry P. Hughes Ireland 0 0 0 0 Bimaljit S. Hundal UK 0 0 0 0 Edith A. Hunt 0 0 0 0 Susan J. Hunt UK 0 0 0 0 Fern Hurst 0 0 0 0 Robert J. Hurst 0 0 0 0 Elizabeth A. Husted 0 0 0 0 Walter V. Hutcherson 0 0 0 0 John S. Iglehart 0 0 0 0 Toni Infante 0 0 0 0 Francis J. Ingrassia 0 0 0 0 Timothy J. Ingrassia 0 0 0 0 Margaret H. Isdale 0 0 0 0 Hideki Ishibashi Japan 0 0 0 0 Masahiro Iwano Japan 0 0 0 0 Raymond J. Iwanowski 0 0 0 0 Walter A. Jackson 0 0 0 0 William L. Jacob III 0 0 0 0 Ronald H. Jacobe, Jr. 0 0 0 0 Mark M. Jacobs 0 0 0 0 Arthur L. Jacobson, Jr. 0 0 0 0 James A. Jacobson 0 0 0 0 Robert J. Jacobson, Jr. 0 0 0 0 Richard I. Jaffee 0 0 0 0 Reuben Jeffery III 0 0 0 0 Stefan J. Jentzsch Germany 0 0 0 0 Andrew R. Jessop UK 0 0 0 0 Dan H. Jester 0 0 0 0 Thomas Jevon 0 0 0 0 Daniel J. Jick 0 0 0 0 David M. Jimenez-Blanco Spain 0 0 0 0 Peter T. Johnston 0 0 0 0
11 12
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ Robert H. Jolliffe UK 0 0 0 0 Andrew J. Jonas 0 0 0 0 Robert C. Jones 0 0 0 0 Roy R. Joseph Guyana 0 0 0 0 Chansoo Joung 0 0 0 0 Marc H. Jourdren France 0 0 0 0 Andrew J. Kaiser 0 0 0 0 Fred J. Kambeitz 0 0 0 0 Ann F. Kaplan 21 0 21 0 Barry A. Kaplan 0 0 0 0 David A. Kaplan 0 0 0 0 Jason S. Kaplan 0 0 0 0 Robert S. Kaplan 0 0 0 0 Scott B. Kapnick 0 0 0 0 Atul Kapur India 0 0 0 0 Erland S. Karlsson Sweden 0 0 0 0 James M. Karp 0 0 0 0 Richard Katz 0 0 0 0 Robert J. Katz 0 0 0 0 Sofia Katzap 0 0 0 0 James C. Katzman 0 0 0 0 David K. Kaugher 0 0 0 0 Tetsuya Kawano Japan 0 0 0 0 R. Mark Keating 0 0 0 0 Peter R. Kellogg 0 0 0 0 John L. Kelly 0 0 0 0 Carsten Kengeter Germany 0 0 0 0 Kevin W. Kennedy 0 0 0 0 Gioia M. Kennett 0 0 0 0 William J. Kenney 0 0 0 0 Thomas J. Kenny 0 0 0 0 Steven Kerr 0 0 0 0 Lawrence S. Keusch 0 0 0 0 Rustom N. Khandalavala 0 0 0 0 Philippe Khuong-Huu France 0 0 0 0 Peter A. Kiernan UK 0 0 0 0 Peter D. Kiernan III 0 0 0 0 James T. Kiernan, Jr. 0 0 0 0 Sun Bae Kim Canada 0 0 0 0 Douglas W. Kimmelman 0 0 0 0 Colin E. King Canada 0 0 0 0 Robert C. King, Jr. 0 0 0 0 Adrian P. Kingshott UK 0 0 0 0 Timothy M. Kingston 0 0 0 0 Frank J. Kinney, III 0 0 0 0 Lincoln Kinnicutt 0 0 0 0 Shigeki Kiritani Japan 0 0 0 0 Ewan M. Kirk UK 0 0 0 0 Daniel H. Klebes II 0 0 0 0 Michael K. Klingher 0 0 0 0 Craig A. Kloner 0 0 0 0 Jonathan R. Knight UK 0 0 0 0
12 13
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ Bradford C. Koenig 0 0 0 0 Mark J. Kogan 0 0 0 0 Stanley Kogelman 0 0 0 0 John T. Koh Singapore 0 0 0 0 Jonathan L. Kolatch 0 0 0 0 Richard E. Kolman 0 0 0 0 Philip J. Kopp III 0 0 0 0 David J. Kostin 0 0 0 0 Koji Kotaka Japan 0 0 0 0 Peter S. Kraus 15 0 15 0 Mary Lyn Valkenburg Kurish 0 0 0 0 Lawrence Kutscher 0 0 0 0 Peggy A. Lamb 0 0 0 0 David G. Lambert 0 0 0 0 Thomas K. Lane 0 0 0 0 Bruce M. Larson 0 0 0 0 Thomas D. Lasersohn 0 0 0 0 Anthony D. Lauto 0 0 0 0 John J. Lauto 0 0 0 0 Matthew Lavicka 0 0 0 0 Peter T. Lawler 0 0 0 0 David N. Lawrence 0 0 0 0 Peter Layton 0 0 0 0 Susan R. Leadem 0 0 0 0 Andrew D. Learoyd UK 0 0 0 0 Chang-Ho J. Lee USA/South Korea 0 0 0 0 Donald C. Lee 0 0 0 0 Gregory D. Lee Australia 0 0 0 0 Kenneth H. M. Leet 0 0 0 0 Anthony J. Leitner 0 0 0 0 Todd W. Leland 0 0 0 0 Paulo C. Leme 0 0 0 0 Remco O. Lenterman The Netherlands 0 0 0 0 Hughes B. Lepic France 0 0 0 0 Alan B. Levande 0 0 0 0 Johan H. Leven Sweden 0 0 0 0 Stephen M. Levick 0 0 0 0 Ronald S. Levin 0 0 0 0 Jack Levy 0 0 0 0 Richard J. Levy UK 0 0 0 0 Tobin V. Levy 0 0 0 0 P. Jeremy Lewis 0 0 0 0 Thomas B. Lewis, Jr. 0 0 0 0 Mark E. Leydecker 0 0 0 0 Matthew G. L'Heureux 0 0 0 0 Michael Liberman 0 0 0 0 George C. Liberopoulos Canada/USA 0 0 0 0 Gwen R. Libstag 0 0 0 0 Stephen C. Lichtenauer 0 0 0 0 Roger A. Liddell UK 0 0 0 0 Richard J. Lieb 0 0 0 0
13 14
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ Mitchell J. Lieberman 0 0 0 0 Richerd C. Lightburn 0 0 0 0 Susan S. Lin Hong Kong/USA 0 0 0 0 Syaru Shirley Lin 0 0 0 0 Josephine Linden UK 0 0 0 0 Lawrence H. Linden 0 0 0 0 Anthony W. Ling UK 0 0 0 0 Laura A. Liswood 0 0 0 0 Bonnie S. Litt 0 0 0 0 Robert Litterman 0 0 0 0 Robert H. Litzenberger 0 0 0 0 David McD. A. Livingstone Australia 0 0 0 0 Douglas F. Londal 0 0 0 0 Jacques M. Longerstaey USA/Belgium 0 0 0 0 Joseph Longo 0 0 0 0 Jonathan M. Lopatin 0 0 0 0 Francisco Lopez-Balboa 0 0 0 0 Victor M. Lopez-Balboa 0 0 0 0 Antigone Loudiadis UK 0 0 0 0 Michael C. Luethke 0 0 0 0 Kevin L. Lundeen 0 0 0 0 Michael R. Lynch 0 0 0 0 Peter B. MacDonald UK 0 0 0 0 Mark G. Machin UK 0 0 0 0 Shogo Maeda Japan 0 0 0 0 John A. Mahoney 0 0 0 0 Sean O. Mahoney 0 0 0 0 Russell E. Makowsky 0 0 0 0 Peter G. C. Mallinson UK 0 0 0 0 John V. Mallory 0 0 0 0 Kathleen M. Maloney 0 0 0 0 Charles G. R. Manby UK 0 0 0 0 Robert S. Mancini 0 0 0 0 Barry A. Mannis 0 0 0 0 Arthur S. Margulis, Jr. 0 0 0 0 Carmen Marino 0 0 0 0 Jorge O. Mariscal Mexico 0 0 0 0 Richard J. Markowitz 0 0 0 0 Ronald G. Marks 0 0 0 0 Robert J. Markwick UK 0 0 0 0 Nicolas I. Marovich 0 0 0 0 Eff W. Martin 0 0 0 0 Jacques Martin Canada 0 0 0 0 John J. Masterson 0 0 0 0 David J. Mastrocola 0 0 0 0 Blake W. Mather 0 0 0 0 Kathy M. Matsui 0 0 0 0 Tadanori Matsumura Japan 0 0 0 0 Karen A. Matte 60 0 60 0 Heinz Thomas Mayer Germany 0 0 0 0 Thomas J. McAdam 12 0 12 0 Richard F. McArdle 0 0 0 0
14 15
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ John J. McCabe 0 0 0 0 Theresa E. McCabe 0 0 0 0 Joseph M. McConnell 0 0 0 0 Lynn M. McCormick 0 0 0 0 Mark E. McGoldrick 0 0 0 0 Joseph P. McGrath, Jr. 0 0 0 0 Stephen J. McGuinness 0 0 0 0 Tracy K. McHale Stuart 0 0 0 0 John C. McIntire 0 0 0 0 John W. McMahon 0 0 0 0 Geraldine F. McManus 0 0 0 0 James A. McNamara 0 215 0 215 Richard P. McNeil Jamaica 0 0 0 0 Audrey A. McNiff 0 0 0 0 Anne Welsh McNulty 0 0 0 0 John P. McNulty 0 0 0 0 Robert A. McTamaney 0 0 0 0 E. Scott Mead 0 0 0 0 Sharon I. Meers 0 0 0 0 David M. Meerschwam The Netherlands 0 0 0 0 Sanjeev K. Mehra India 0 0 0 0 Christian A. Meissner Austria 0 0 0 0 Michael C. Melignano 0 0 0 0 Michael A. Mendelson 0 0 0 0 Amos Meron USA/Israel 0 0 0 0 T. Willem Mesdag 0 0 0 0 Andrew L. Metcalfe UK 0 0 0 0 Michael R. Miele 0 0 0 0 Lowell J. Millar 0 0 0 0 Gunnar T. Miller 0 0 0 0 Kenneth A. Miller 0 0 0 0 Therese L. Miller 0 0 0 0 James E. Milligan 0 0 0 0 Eric M. Mindich 0 0 0 0 Peter A. Mindnich 0 0 0 0 John J. Minio 0 0 0 0 Luciana D. Miranda Brazil 0 0 0 0 Edward S. Misrahi Italy 0 0 0 0 Steven T. Mnuchin 0 0 0 0 Masanori Mochida Japan 0 0 0 0 Douglas D. Moffitt 0 0 0 0 Karsten N. Moller Denmark 0 0 0 0 Thomas K. Montag 0 0 0 0 William C. Montgomery 0 0 0 0 Wayne L. Moore 0 0 0 0 Yukihiro Moroe Japan 0 0 0 0 R. Scott Morris 0 0 0 0 Robert B. Morris III 0 0 0 0 Jennifer Moses 0 0 0 0 Jeffrey M. Moslow 0 0 0 0 Sharmin Mossavar-Rahmani UK 0 0 0 0 Gregory T. Mount 0 0 0 0
15 16
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ Ian Mukherjee UK 0 0 0 0 Edward A. Mule 0 0 0 0 Timothy R. Mullen 0 0 0 0 Eric D. Mullins 0 0 0 0 Donald J. Mulvihill 0 0 0 0 Patrick E. Mulvihill Ireland 0 0 0 0 Richard A. Murley UK 0 0 0 0 Patrick E. Murphy 0 0 0 0 Philip D. Murphy 43 0 43 0 Raymond T. Murphy 0 0 0 0 Thomas S. Murphy, Jr. 0 0 0 0 Gaetano J. Muzio 0 0 0 0 Michiya Nagai Japan 0 0 0 0 Gabrielle U. Napolitano 0 0 0 0 Avi M. Nash 0 0 0 0 Trevor P. Nash UK 0 0 0 0 Kevin D. Naughton 235 0 235 0 Warwick M. Negus Australia 0 0 0 0 Daniel M. Neidich 22 0 22 0 Kipp M. Nelson 0 0 0 0 Leslie S. Nelson 0 0 0 0 Robin Neustein 0 0 0 0 Geoffrey W. Nicholson UK 0 0 0 0 Duncan L. Niederauer 0 0 0 0 Theodore E. Niedermayer USA/France 0 0 0 0 Susan M. Noble UK 0 0 0 0 Markus J. Noe-Nordberg Austria 0 0 0 0 Suok J. Noh 0 0 0 0 Suzanne M. Nora Johnson 0 0 0 0 Christopher K. Norton 0 0 0 0 Michael E. Novogratz 0 0 0 0 Jay S. Nydick 0 0 0 0 Katherine K. Oakley 0 0 0 0 Alok Oberoi India 0 0 0 0 Fergal J. O'Driscoll Ireland 0 0 0 0 David Ogens 0 0 0 0 Jinsuk T. Oh South Korea 0 0 0 0 L. Peter O'Hagan Canada 0 0 0 0 John C. O'Hara 0 0 0 0 Terence J. O'Neill UK 0 0 0 0 Timothy J. O'Neill 0 0 0 0 Richard T. Ong Malaysia 0 0 0 0 Ronald M. Ongaro 0 0 0 0 Taneki Ono Japan 0 0 0 0 Donald C. Opatrny, Jr. 0 0 0 0 Daniel P. Opperman 0 0 0 0 Daniel B. O'Rourke 0 0 0 0 Calum M. Osborne UK 0 0 0 0 Robert J. O'Shea 0 0 0 0 Joel D. Ospa 0 0 0 0 Greg M. Ostroff 0 0 0 0 Nigel M. O'Sullivan UK 0 0 0 0
16 17
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ Terence M. O'Toole 0 0 0 0 Brett R. Overacker 0 0 0 0 Robert J. Pace 0 0 0 0 Gregory K. Palm 0 0 0 0 Bryant F. Pantano 0 0 0 0 James R. Paradise UK 0 0 0 0 Mukesh K. Parekh 0 0 0 0 Geoffrey M. Parker 0 0 0 0 Michael L. Pasternak UK 0 0 0 0 Ketan J. Patel UK 0 0 0 0 Melissa B. Patrusky 0 0 0 0 Henry M. Paulson, Jr. 0 0 0 0 Arthur J. Peponis 282 0 282 0 David E. Perlin 0 0 0 0 David B. Philip 0 0 0 0 Paul A. Phillips 0 0 0 0 Alberto M. Piedra, Jr. 0 0 0 0 Stephen R. Pierce 0 0 0 0 Philip J. Pifer 0 0 0 0 Scott M. Pinkus 0 0 0 0 Michel G. Plantevin France 0 0 0 0 Timothy C. Plaut Germany 0 0 0 0 Andrea Ponti Italy/USA 0 0 0 0 Ellen R. Porges 0 0 0 0 Wiet H. M. Pot The Netherlands 0 0 0 0 Michael J. Poulter UK 0 0 0 0 John J. Powers 0 0 0 0 Richard H. Powers 0 0 0 0 Roderic L. Prat Canada 0 0 0 0 Michael A. Price 0 0 0 0 Scott Prince 0 0 0 0 Nomi M. Prins 0 0 0 0 Goran V. Puljic 0 0 0 0 Alok Puri UK 0 0 0 0 Kevin A. Quinn 0 0 0 0 Stephen D. Quinn 0 0 0 0 B. Andrew Rabin 0 0 0 0 John J. Rafter Ireland 0 0 0 0 Hugh A. Ragsdale III 0 0 0 0 Jonathan Raleigh 0 0 0 0 Dioscoro-Roy I. Ramos Phillippines 0 0 0 0 Gregory G. Randolph 0 0 0 0 Charlotte P. Ransom UK 0 0 0 0 Michael G. Rantz 0 0 0 0 Philip A. Raper UK 0 0 0 0 Joseph Ravitch 0 0 0 0 Girish V. Reddy 0 0 0 0 Arthur J. Reimers III 0 0 0 0 Anthony John Reizenstein UK 0 0 0 0 Peter Richards UK 0 0 0 0 Michael J. Richman 0 0 0 0 Andrew J. Rickards UK 0 0 0 0
17 18
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ James P. Riley, Jr. 0 0 0 0 Kimberly E. Ritrievi 0 0 0 0 John S. Rizner 0 0 0 0 Paul M. Roberts UK 0 0 0 0 Simon M. Robertson UK 0 0 0 0 James H. Rogan 0 0 0 0 J. David Rogers 0 0 0 0 John F. W. Rogers 0 0 0 0 Emmanuel Roman France 0 0 0 0 Eileen P. Rominger 0 0 0 0 Pamela P. Root 0 0 0 0 Ralph F. Rosenberg 0 0 0 0 Jacob D. Rosengarten 0 0 0 0 Richard J. Rosenstein 0 0 0 0 Ivan Ross 0 0 0 0 Stuart M. Rothenberg 0 0 0 0 Michael S. Rotter 0 0 0 0 Michael S. Rubinoff 0 0 0 0 Ernest H. Ruehl, Jr. 0 0 0 0 Paul M. Russo 0 0 0 0 John P. Rustum Ireland/USA 10 0 10 0 Richard M. Ruzika 0 0 0 0 Jeri Lynn Ryan 0 0 0 0 John C. Ryan 0 0 0 0 Michael D. Ryan 0 0 0 0 Katsunori Sago Japan 0 0 0 0 Pablo J. Salame Ecuador 0 0 0 0 Richard C. Salvadore 0 0 0 0 J. Michael Sanders 0 0 0 0 Allen Sangines-Krause Mexico 204 0 204 0 Richard A. Sapp 0 0 0 0 Neil I. Sarnak 0 0 0 0 Joseph Sassoon Israel 0 0 0 0 Atsuko Sato Japan 0 0 0 0 Masanori Sato Japan 0 0 0 0 Tsutomu Sato Japan 240 0 240 0 Muneer A. Satter 0 0 0 0 Marc P. Savini 0 0 0 0 Jonathan S. Savitz 0 0 0 0 Peter Savitz 0 0 0 0 Robert Schaefer 0 0 0 0 Paul S. Schapira Italy 0 0 0 0 P. Sheridan Schechner 1,000 0 1,000 0 Gary B. Schermerhorn 0 0 0 0 Mitchell I. Scherzer Canada 0 0 0 0 Peter Schiefer Germany 0 0 0 0 Howard B. Schiller 0 0 0 0 Erich P. Schlaikjer 0 0 0 0 Jeffrey W. Schroeder 0 0 0 0 Antoine Schwartz France 0 0 0 0 Eric S. Schwartz 0 0 0 0 Harvey M. Schwartz 0 0 0 0
18 19
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ Mark Schwartz 0 0 0 0 Thomas M. Schwartz 0 1,900 0 1,900 Patrick P. Scire 0 0 0 0 Steven M. Scopellite 0 0 0 0 David J. Scudellari 0 0 0 0 Charles B. Seelig, Jr. 0 0 0 0 Karen D. Seitz 0 0 0 0 Randolph Sesson, Jr. 0 0 0 0 Steven M. Shafran 0 0 0 0 Lisa M. Shalett 0 0 0 0 Ramakrishna Shanker India/USA 0 0 0 0 Richard S. Sharp UK 0 0 0 0 John P. Shaughnessy 0 0 0 0 Mary Beth Shea 0 0 0 0 Robert J. Shea, Jr. 0 0 0 0 John S. Sheldon 0 0 0 0 David G. Shell 0 0 0 0 James M. Sheridan 0 0 0 0 Richard G. Sherlund 0 0 0 0 Michael S. Sherwood UK 0 0 0 0 Evan W. Siddall Canada/UK 0 0 0 0 Michael H. Siegel 0 0 0 0 Ralph J. Silva 0 0 0 0 Harry Silver 0 0 0 0 Harvey Silverman 0 0 0 0 Howard A. Silverstein 0 0 0 0 Richard P. Simon 0 0 0 0 Victor R. Simone, Jr. 0 0 0 0 David T. Simons 0 0 0 0 Christine A. Simpson 0 0 0 0 Dinakar Singh 0 0 0 0 Ravi M. Singh 0 0 0 0 Ravi Sinha India/USA 0 0 0 0 Allen W. Sinsheimer 0 0 0 0 Edward M. Siskind 0 0 0 0 Christian J. Siva-Jothy UK 0 0 0 0 Mark F. Slaughter 0 0 0 0 Linda J. Slotnick 0 0 0 0 Cody J Smith 0 1,000 0 1,000 Derek S. Smith 0 0 0 0 Michael M. Smith 0 0 0 0 Sarah E. Smith UK 0 0 0 0 Trevor A. Smith UK 0 0 0 0 Randolph C. Snook 0 0 0 0 Jonathan S. Sobel 0 0 0 0 David M. Solomon 0 0 0 0 Judah C. Sommer 0 0 0 0 Theodore T. Sotir 0 0 0 0 Sergio E. Sotolongo 0 0 0 0 Vickrie C. South 0 0 0 0 Daniel L. Sparks 0 0 0 0 Marc A. Spilker 0 0 0 0
19 20
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ Daniel W. Stanton 0 0 0 0 Steven R. Starker 0 0 0 0 Esta E. Stecher 0 0 0 0 Cathrine S. Steck 0 0 0 0 Fredric E. Steck 0 0 0 0 Robert K. Steel 0 0 0 0 Jean-Michel Steg France 0 0 0 0 Stuart L. Sternberg 0 0 0 0 Joseph P. Stevens 0 0 0 0 Raymond S. Stolz 0 0 0 0 Steven H. Strongin 0 0 0 0 Timothy T. Storey Canada 0 0 0 0 Andrew J. Stuart Australia 0 0 0 0 Nobumichi Sugiyama Japan 0 0 0 0 Christopher P. Sullivan USA/Ireland 0 0 0 0 Patrick Sullivan 0 0 0 0 Johannes R. Sulzberger Austria 0 0 0 0 Hsueh J. Sung Taiwan 0 0 0 0 George M. Suspanic Spain 0 0 0 0 Richard J. Sussman 0 0 0 0 Peter D. Sutherland S.C. Ireland 0 0 0 0 Watanan Suthiwartnarueput Thailand 0 0 0 0 Gary J. Sveva 0 0 0 0 Eric S. Swanson 0 0 0 0 Andrew M. Swinburne UK 0 0 0 0 Gene T. Sykes 0 0 0 0 Shahriar Tadjbakhsh 0 0 0 0 Ronald K. Tanemura UK/USA 0 0 0 0 Caroline H. Taylor UK 0 0 0 0 John H. Taylor 0 0 0 0 Robert E. Taylor 0 0 0 0 Greg W. Tebbe 0 0 0 0 David H. Tenney 0 0 0 0 Kiyotaka Teranishi Japan 0 0 0 0 Mark R. Tercek 0 0 0 0 Donald F. Textor 0 0 0 0 John A. Thain 0 0 0 0 Darren S. Thompson 0 0 0 0 John L. Thornton 0 0 0 0 Timothy J. Throsby Australia 0 0 0 0 Rory T. Tobin Ireland 0 0 0 0 Daisuke Toki Japan 0 0 0 0 Gary S. Tolchin 0 0 0 0 Peter K. Tomozawa 0 0 0 0 Massimo Tononi Italy 0 0 0 0 Brian J. Toolan 0 0 0 0 John R. Tormondsen 0 0 0 0 Leslie C. Tortora 0 0 0 0 John L. Townsend III 0 0 0 0 Mark J. Tracey UK 0 0 0 0 Lawrence F. Trainor 0 0 0 0 Stephen S. Trevor 0 0 0 0
20 21
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ Byron D. Trott 0 0 0 0 Michael A. Troy 0 0 0 0 Daniel Truell UK 0 0 0 0 Donald J. Truesdale 0 0 0 0 Robert B. Tudor III 0 0 0 0 Thomas E. Tuft 0 0 0 0 John Tumilty UK 0 0 0 0 Barry S. Turkanis 0 0 0 0 Malcolm B. Turnbull Australia 0 0 0 0 Christopher H. Turner 0 0 0 0 Gareth N. Turner Canada 0 0 0 0 Thomas B. Tyree, Jr. 0 0 0 0 Harkanwar Uberoi India 0 0 0 0 Eiji Ueda Japan 0 0 0 0 Kaysie P. Uniacke 0 0 0 0 John E. Urban 0 0 0 0 Lucas van Praag UK 0 0 0 0 Hugo H. Van Vredenburch The Netherlands 0 0 0 0 Frederick G. Van Zijl 0 0 0 0 Lee G. Vance 0 0 0 0 Ashok Varadhan 0 0 0 0 Corrado P. Varoli Canada 0 0 0 0 George F. Varsam 0 0 0 0 John J. Vaske 0 0 0 0 David A. Viniar 0 0 0 0 Barry S. Volpert 0 0 0 0 Casper W. Von Koskull Finland 0 0 0 0 Robert T. Wagner 0 0 0 0 George H. Walker IV 0 0 0 0 Thomas B. Walker III 0 0 0 0 Berent A. Wallendahl Norway 0 0 0 0 David R. Walton UK 0 0 0 0 Hsueh-Ming Wang 0 0 0 0 Patrick J. Ward 0 0 0 0 Haruko Watanuki Japan 0 0 0 0 Jerry T. Wattenberg 0 0 0 0 Edward F. Watts, Jr. 40 150(9) 40 150(9) David M. Weil 0 0 0 0 Frank Weinberg III 0 0 0 0 John S. Weinberg 0 0 0 0 Peter A. Weinberg 0 0 0 0 Helge Weiner-Trapness Sweden 0 0 0 0 Gregg S. Weinstein 0 0 0 0 Scott R. Weinstein 0 0 0 0 Mark S. Weiss 0 0 0 0 George W. Wellde, Jr. 0 0 0 0 Martin M. Werner Mexico 0 0 0 0 Lance N. West 0 0 0 0 Matthew Westerman UK 0 0 0 0 Peter Wheeler UK 0 0 0 0
- ---------- (9) Shared with family members. 21 22
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - --------------------------- -------------- --------- --------- ----------- ------------ Barbara A. White 0 0 0 0 A. Carver Wickman 0 0 0 0 C. Howard Wietschner 0 0 0 0 Susan A. Willetts 0 0 0 0 Anthony G. Williams UK 0 0 0 0 Christopher G. Williams UK 0 0 0 0 Gary W. Williams 0 0 0 0 Thomas F. Williams 0 0 0 0 Todd A. Williams 0 0 0 0 John S. Willian 0 0 0 0 Kenneth W. Willman 0 0 0 0 Keith R. Wills UK 0 0 0 0 Kevin D. Willsey 0 0 0 0 Andrew F. Wilson New Zealand 0 0 0 0 Kendrick R. Wilson III 0 0 0 0 Kurt D. Winkelmann 0 0 0 0 Jon Winkelried 0 0 0 0 Steven J. Wisch 0 0 0 0 Michael S. Wishart 0 0 0 0 Richard E. Witten 0 0 0 0 William H. Wolf, Jr. 0 0 0 0 Melinda B. Wolfe 0 0 0 0 Tracy R. Wolstencroft 0 0 0 0 Zi Wang Xu Canada/China 0 0 0 0 (PRC) Richard A. Yacenda 0 0 0 0 Tetsufumi Yamakawa Japan 0 0 0 0 Yasuyo Yamazaki Japan 0 0 0 0 Anne Yang 0 0 0 0 Danny O. Yee 0 0 0 0 Jaime E. Yordan 0 0 0 0 W. Thomas York, Jr. 0 0 0 0 Wassim G. Younan Lebanon 0 0 0 0 Paul M. Young 0 0 0 0 Richard M. Young 0 0 0 0 Bryant M. Yunker, Jr. 0 0 0 0 Jeffrey J. Zajkowski 0 0 0 0 Michael J. Zamkow 0 60(10) 0 60(10) Paolo Zannoni Italy 0 0 0 0 Yoel Zaoui France 0 0 0 0 Gregory Zenna 0 0 0 0 Gregory H. Zehner 0 0 0 0 Jide J. Zeitlin 0 0 0 0 Alphonse Zenna 0 0 0 0 Joan H. Zief 0 0 0 0 Joseph R. Zimmel 0 0 0 0 James P. Ziperski 0 0 0 0 Barry L. Zubrow 0 0 0 0 Mark A. Zurack 0 0 0 0
- ---------- (10) Shared with family members. 22 23
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Citizenship Sole Shared Sole Shared (United States Voting Voting Dispositive Dispositive unless Power of Power of Power of Power of ITEM 1 otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - -------------------------- ---------------- ----------- --------- ----------- ---------------- Shares held by 91 private N/A 0 1,795,135 0 1,795,135 charitable foundations established by 91 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations(1)
- ---------- (1) Each Covered Person disclaims beneficial ownership of all such shares of Common Stock. 23 24
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Place of Sole Shared Sole Shared Organization Voting Voting Dispositive Dispositive New York Power of Power of Power of Power of ITEM 1 unless otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - -------------------------- ----------------- ----------- --------- ----------- ----------- Trusts - ------ 120 Broadway Partners New Jersey 0 0 0 0 2000 Carlos A. Cordeiro Grantor Retained Annuity Trust 0 0 0 0 2000 Danny O. Yee Grantor Retained Annuity Trust 0 0 0 0 2001 Danny O. Yee Grantor Retained Annuity Trust 0 0 0 0 2000 Douglas W. Kimmelman Grantor Retained Annuity Trust 0 0 0 0 2001 Douglas W. Kimmelman Grantor Retained Annuity Trust 0 0 0 0 2000 Girish V. Reddy Grantor Retained Annuity Trust 0 0 0 0 2001 Girish V. Reddy Grantor Retained Annuity Trust 0 0 0 0 2000 James M. Sheridan Grantor Retained Annuity Trust 0 0 0 0 2001 James M. Sheridan Grantor Retained Annuity Trust 0 0 0 0 2000 John A. Thain Grantor Retained Annuity Trust 0 0 0 0 2001 John A. Thain Grantor Retained Annuity Trust 0 0 0 0 2000 Kipp M. Nelson Grantor Retained Annuity Trust 0 0 0 0 2000 Mary Ann Casati Grantor Retained Annuity Trust 0 0 0 0 2001 Mary Ann Casati Grantor Retained Annuity Trust 0 0 0 0 2000 Michael E. Novogratz Grantor Retained Annuity Trust 0 0 0 0 2000 Scott S. Prince Grantor Retained Annuity Trust 0 0 0 0 2001 Scott S. Prince Grantor Retained Annuity Trust 0 0 0 0 The Abby Joseph Cohen 2000 Annuity Trust I 0 0 0 0 The Abby Joseph Cohen 2000 Family Trust 0 0 0 0 The Abby Joseph Cohen 2001 Annuity Trust I 0 0 0 0 A.C. Trust 0 0 0 0 The Adina R. Lopatin 2000 Trust 0 0 0 0 The Alexander H. Witten 2000 Trust 0 0 0 0 The Alexander I. Berlinski 2000 Trust 0 0 0 0
24 25
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Place of Sole Shared Sole Shared Organization Voting Voting Dispositive Dispositive New York Power of Power of Power of Power of ITEM 1 unless otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - -------------------------- ----------------- ----------- --------- ----------- ----------- The Alexander Litzenberger 2000 Grantor Retained Annuity Trust 0 0 0 0 The Alexander Litzenberger Remainder Trust 0 0 0 0 The Alexandra D. Steel 2000 Trust 0 0 0 0 The Alexis Blood 2000 Trust 0 0 0 0 The Alyssa Blood 2000 Trust 0 0 0 0 The Amanda Liann Mead 2000 Trust 0 0 0 0 Anahue Trust Jersey 0 0 0 0 Andrew L. Fippinger-Millennium Trust 0 0 0 0 The Andrew M Alper 2000 Annuity Trust I 0 0 0 0 The Andrew M. Gordon 2000 Family Trust 0 0 0 0 Ann F. Kaplan Two Year Trust Dated June 2000 0 0 0 0 The Anne R. Witten 2000 Trust 0 0 0 0 The Anne Sullivan Wellde 2000 Trust 0 0 0 0 The Anthony D. Lauto 2000 Annuity Trust I 0 0 0 0 The Anthony D. Lauto 2000 Family Trust 0 0 0 0 The Anthony D. Lauto 2001 Annuity Trust I 0 0 0 0 The Arthur J. Reimers, III Defective Trust 2000 Connecticut 0 0 0 0 Arthur J. Reimers, III Grantor Retained Annuity Trust 2000 Connecticut 0 0 0 0 The Avi M. Nash 2000 Annuity Trust I 0 0 0 0 The Avi M. Nash 2000 Family Trust 0 0 0 0 The Bari Marissa Schwartz 2000 Trust 0 0 0 0 Barry A. Kaplan 2000 Family Trust 0 0 0 0 Barry A. Kaplan 2000 GRAT 0 0 0 0 The Barry L. Zubrow 2000 Annuity Trust I 0 0 0 0 The Barry L. Zubrow 2000 Family Trust 0 0 0 0 The Barry L. Zubrow 2001 Annuity Trust I The Benjamin H. Sherlund 2000 Trust 0 0 0 0 The Benjamin Kraus 2000 Trust 0 0 0 0 The Bradford C. Koenig 2001 Annuity Trust I 0 0 0 0
25 26
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Place of Sole Shared Sole Shared Organization Voting Voting Dispositive Dispositive New York Power of Power of Power of Power of ITEM 1 unless otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - -------------------------- ----------------- ----------- --------- ----------- ----------- The Bradford C. Koenig 2001 Family Trust 0 0 0 0 The Bradley Abelow Family 2000 Trust 0 0 0 0 Brian Patrick Minehan 2001 Trust 0 0 0 0 The Caceres Novogratz Family Trust 0 0 0 0 The Carlos A. Cordeiro Trust 0 0 0 0 The Charlotte Steel 2000 Trust 0 0 0 0 The Charlotte Textor 2000 Trust 0 0 0 0 The Christopher A. Cole 2000 Annuity Trust I 0 0 0 0 The Christopher A. Cole 2000 Family Trust 0 0 0 0 The Christopher A. Cole 2001 Annuity Trust I 0 0 0 0 The Christopher K. Norton 2000 Family Trust 0 0 0 0 The Christopher Palmisano 2000 Grantor Retained Annuity Trust 0 0 0 0 The Christopher Palmisano Remainder Trust 0 0 0 0 The Christopher Ryan Tortora 2000 Trust 0 0 0 0 The Cody J Smith 2000 Annuity Trust I 0 0 0 0 The Cody J Smith 2000 Family Trust 0 0 0 0 The Cody J Smith 2001 Annuity Trust I The Connie K. Duckworth 2000 Annuity Trust I 0 0 0 0 The Connie K. Duckworth 2000 Family Trust 0 0 0 0 The Constance A. Haydock 2000 Trust 0 0 0 0 The Corzine Blind Trust 0 0 0 0 The Daniel Alexander Schwartz 2000 Trust 0 0 0 0 The Daniel M. Neidich 2000 Annuity Trust I 0 0 0 0 The Daniel M. Neidich 2001 Annuity Trust I The Daniel W. Stanton 2000 Annuity Trust I 0 0 0 0 The Daniel W. Stanton, II 2000 Trust 0 0 0 0 The Danny O. Yee Trust 0 0 0 0 The David B. Ford 2000 Annuity Trust DTD as of 6/16/2000 Pennsylvania 0 0 0 0
26 27
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Place of Sole Shared Sole Shared Organization Voting Voting Dispositive Dispositive New York Power of Power of Power of Power of ITEM 1 unless otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - -------------------------- ----------------- ----------- --------- ----------- ----------- The David B. Ford 2001 Annuity Trust DTD as of 3/26/2001 Pennsylvania 0 0 0 0 The David B. Heller 2000 Annuity Trust I 0 0 0 0 The David B. Heller 2000 Family Trust 0 0 0 0 The David G. Lambert 2000 Annuity Trust I 0 0 0 0 The David G. Lambert 2000 Family Trust 0 0 0 0 The David G. Lambert 2001 Annuity Trust I 0 0 0 0 The David L. Henle 2000 Annuity Trust I 0 0 0 0 The David L. Henle 2000 Family Trust 0 0 0 0 The David L. Henle 2001 Annuity Trust I 0 0 0 0 The David M. Baum Family 2000 Trust New Jersey 0 0 0 0 The David Viniar 2000 Annuity Trust I 0 0 0 0 The David Viniar 2001 Annuity Trust I 0 0 0 0 The David W. Blood 2000 Annuity Trust I 0 0 0 0 The David W. Blood 2001 Annuity Trust I 0 0 0 0 The Donald F. Textor 2000 Annuity Trust I 0 0 0 0 The Donald F. Textor 2001 Annuity Trust I 0 0 0 0 The Douglas W. Kimmelman Trust 0 0 0 0 The E. Gerald Corrigan 2001 Annuity Trust I 0 0 0 0 The Eaddy Adele Kiernan 2000 Trust 0 0 0 0 The Edward C. Forst 2000 Annuity Trust I 0 0 0 0 The Edward C. Forst 2000 Family Trust 0 0 0 0 The Edward Scott Mead 2000 Annuity Trust I 0 0 0 0 The Edward Scott Mead 2001 Annuity Trust I 0 0 0 0 Eff Warren Martin 2000 Children's Trust California 0 0 0 0 Eff Warren Martin 2000 Grantor Retained Annuity Trust California 0 0 0 0 Eff Warren Martin 2001 Grantor Retained Annuity Trust California 0 0 0 0 The Elizabeth Anne Corrigan 2000 Trust 0 0 0 0
27 28
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Place of Sole Shared Sole Shared Organization Voting Voting Dispositive Dispositive New York Power of Power of Power of Power of ITEM 1 unless otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - -------------------------- ----------------- ----------- --------- ----------- ----------- The Elizabeth H. Coulson 2000 Trust 0 0 0 0 The Elizabeth L. Heller 2000 Trust 0 0 0 0 The Elizabeth Lin Mead 2000 Trust 0 0 0 0 The Elizabeth M. Stanton 2000 Trust 0 0 0 0 The Elizabeth Steel 2000 Trust 0 0 0 0 The Ellie Dorit Neustein 2000 Trust 0 0 0 0 The Emily Austen Katz 2000 Trust 0 0 0 0 The Emily Stecher 2000 Trust 0 0 0 0 The Emma M.L. Mead 2000 Trust 0 0 0 0 The Eric Fithian 2000 Trust 0 0 0 0 The Erin Marie Tormondsen 2000 Trust 0 0 0 0 The Esta Eiger Stecher 2000 Annuity Trust I 0 0 0 0 The Esta Eiger Stecher 2001 Annuity Trust I 0 0 0 0 The Francis J. Ingrassia 2000 Annuity Trust I 0 0 0 0 The Francis J. Ingrassia 2000 Family Trust 0 0 0 0 The Francis J. Ingrassia 2001 Annuity Trust I 0 0 0 0 The Frank L. Coulson III 2000 Trust 0 0 0 0 The Fredric E. Steck 2000 Annuity Trust I 0 0 0 0 The Fredric E. Steck 2000 Family Trust 0 0 0 0 The Fredric E. Steck 2001 Annuity Trust I 0 0 0 0 Gary D. Cohn 2000 Family Trust 0 0 0 0 Gary D. Cohn 2000 GRAT 0 0 0 0 The Gary Tolchin 2001 Grantor Retained Annuity Trust New Jersey 0 0 0 0 The Gary Tolchin 2001 Family Trust New Jersey 0 0 0 0 The Gene Tiger Sykes 2001 Annuity Trust I 0 0 0 0 The Gene Tiger Sykes 2001 Family Trust 0 0 0 0 The Geoffrey T. Grant 2000 Family Trust 0 0 0 0 The George H. Walker 2000 Annuity Trust I 0 0 0 0 The George H. Walker 2000 Family Trust 0 0 0 0 The George H. Walker 2001 Annuity Trust I 0 0 0 0
28 29
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Place of Sole Shared Sole Shared Organization Voting Voting Dispositive Dispositive New York Power of Power of Power of Power of ITEM 1 unless otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - -------------------------- ----------------- ----------- --------- ----------- ----------- The George W. Wellde, Jr. 2000 Annuity Trust I 0 0 0 0 The George W. Wellde, Jr. 2001 Annuity Trust I 0 0 0 0 The George William Wellde, III 2000 Trust 0 0 0 0 Ghez 2000 GRAT 0 0 0 0 Ghez 2000 Non-GST-Exempt Trust 0 0 0 0 The Girish V. Reddy Trust 0 0 0 0 The Goldenberg 2000 Annuity Trust I 0 0 0 0 The Goldenberg 2000 Family Trust 0 0 0 0 The Greg M. Ostroff 2000 Annuity Trust I 0 0 0 0 The Greg M. Ostroff 2000 Family Trust 0 0 0 0 The Gregory H. Zehner 2000 Annuity Trust I 0 0 0 0 The Gregory H. Zehner 2000 Family Trust 0 0 0 0 The Gregory K. Palm 2000 Annuity Trust I 0 0 0 0 The Gregory K. Palm 2000 Family Trust 0 0 0 0 The Gregory K. Palm 2001 Annuity Trust I 0 0 0 0 The Guapulo Trust Jersey 0 0 0 0 The Howard A. Silverstein 2000 Annuity Trust I 0 0 0 0 The Howard A. Silverstein 2000 Family Trust 0 0 0 0 The Howard B. Schiller 2000 Annuity Trust I 0 0 0 0 The Howard B. Schiller 2001 Annuity Trust I 0 0 0 0 The Isabelle M.L. Mead 2000 Trust 0 0 0 0 The J. David Rogers 2000 Annuity Trust I 0 0 0 0 The J. David Rogers 2001 Annuity Trust I 0 0 0 0 The James Alexander Mead 2000 Trust 0 0 0 0 The James M. Sheridan Trust 0 0 0 0 The James Nicholas Katz 2000 Trust 0 0 0 0 James P. Riley, Jr. 2000 Family Trust 0 0 0 0 James P. Riley, Jr. 2000 GRAT 0 0 0 0 James P. Riley, Jr. 2001 GRAT 0 0 0 0
29 30
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Place of Sole Shared Sole Shared Organization Voting Voting Dispositive Dispositive New York Power of Power of Power of Power of ITEM 1 unless otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - -------------------------- ----------------- ----------- --------- ----------- ----------- The Jason Kraus 2000 Trust UK 0 0 0 0 The Jason William Tortora 2000 Trust 0 0 0 0 The Jeffrey D. Witten 2000 Trust 0 0 0 0 The Jennifer Lauren Alper 2000 Trust 0 0 0 0 JG 2000 Trust 0 0 0 0 JG 2000 Trust (continuing trust) 0 0 0 0 JG 2001 GRAT 0 0 0 0 The John A. Thain Trust 0 0 0 0 The John J. Powers 2000 Family Trust 0 0 0 0 The John L. Townsend, III 2000 Annuity Trust I 0 0 0 0 The John L. Townsend, III 2001 Annuity Trust I 0 0 0 0 The John Minio 2001 Grantor Retained Annuity Trust New Jersey 0 0 0 0 The John Minio 2001 Family Trust New Jersey 0 0 0 0 The John O. Downing 2000 Annuity Trust I 0 0 0 0 The John O. Downing 2000 Family Trust 0 0 0 0 The John O. Downing 2001 Annuity Trust I 0 0 0 0 The John P. Curtin, Jr. 2000 Annuity Trust I 0 0 0 0 The John P. Curtin, Jr. 2000 Family Trust 0 0 0 0 The John R. Tormondsen 2000 Annuity Trust I 0 0 0 0 The John R. Tormondsen, Jr. 2000 Trust 0 0 0 0 The John S. Weinberg 2000 Annuity Trust I 0 0 0 0 The John S. Weinberg 2000 Family Trust 0 0 0 0 The Jonathan G. Neidich 2000 Trust 0 0 0 0 The Jonathan M. Lopatin 2000 Annuity Trust I 0 0 0 0 The Jonathan M. Lopatin 2001 Annuity Trust I 0 0 0 0 The Jordan Viniar 2000 Trust 0 0 0 0 The Joseph Della Rosa 2000 Annuity Trust I 0 0 0 0 The Joseph Della Rosa 2000 Family Trust 0 0 0 0 The Joseph Della Rosa 2001 Annuity Trust I 0 0 0 0 The Joseph H. Gleberman 2000 Annuity Trust I 0 0 0 0
30 31
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Place of Sole Shared Sole Shared Organization Voting Voting Dispositive Dispositive New York Power of Power of Power of Power of ITEM 1 unless otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - -------------------------- ----------------- ----------- --------- ----------- ----------- The Joseph H. Gleberman 2000 Family Trust 0 0 0 0 The Karen Barlow Corrigan 2000 Trust 0 0 0 0 The Karen Rebecca Alper 2000 Trust 0 0 0 0 The Karsten Moller & Barbara Kahn-Moller Trust Jersey 0 0 0 0 The Katherine A.M. Stanton 2000 Trust 0 0 0 0 The Katheryn C. Coulson 2000 Trust 0 0 0 0 The Kathryn Margaret Wellde 2000 Trust 0 0 0 0 The Kelsey Fithian 2000 Trust 0 0 0 0 The Kenneth Litzenberger 2000 Grantor Retained Annuity Trust 0 0 0 0 The Kenneth Litzenberger Remainder Trust 0 0 0 0 The Kevin W. Kennedy 2000 Annuity Trust I 0 0 0 0 The Kevin W. Kennedy 2000 Family Trust 0 0 0 0 The Kevin W. Kennedy 2001 Annuity Trust I 0 0 0 0 The Kevin W. Kennedy 2001 Siblings Trust 0 0 0 0 The Kimberly Lynn Macaione 2000 Trust 0 0 0 0 The Kimberly R. Textor 2000 Trust 0 0 0 0 The Kipp M. Nelson Trust 0 0 0 0 The Kyle F. Textor 2000 Trust 0 0 0 0 The Lauren Schiller 2000 Trust 0 0 0 0 The Lawrence R. Buchalter 2000 Annuity Trust I 0 0 0 0 The Lawrence R. Buchalter 2000 Family Trust 0 0 0 0 The Lee G. Vance 2000 Annuity Trust I 0 0 0 0 The Lee G. Vance 2000 Family Trust 0 0 0 0 The Lee G. Vance 2001 Annuity Trust I 0 0 0 0 The Leslie C. Tortora 2000 Annuity Trust I 0 0 0 0 The Leslie C. Tortora 2001 Annuity Trust I 0 0 0 0 Lloyd C. Blankfein 2000 Family Trust 0 0 0 0 Lloyd C. Blankfein 2000 GRAT 0 0 0 0
31 32
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Place of Sole Shared Sole Shared Organization Voting Voting Dispositive Dispositive New York Power of Power of Power of Power of ITEM 1 unless otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - -------------------------- ----------------- ----------- --------- ----------- ----------- The Louise Rice Townsend 2000 Trust 0 0 0 0 M. Roch Hillenbrand Trust f/b/o C. Justin Hillenbrand New Jersey 0 0 0 0 M. Roch Hillenbrand Trust f/b/o Molly D. Hillenbrand New Jersey 0 0 0 0 The Mallory G. Neidich 2000 Trust 0 0 0 0 The Marc A. Spilker 2000 Family Trust 0 0 0 0 The Mark A. Zurack 2000 Annuity Trust I 0 0 0 0 The Mark A. Zurack 2000 Family Trust 0 0 0 0 The Mark A. Zurack 2000 Issue Trust 0 0 0 0 Mark Dehnert Living Trust Illinois 0 0 0 0 The Mark Schwartz 2000 Annuity Trust I 0 0 0 0 The Mark Schwartz 2001 Annuity Trust I 0 0 0 0 The Mark Tercek 2000 Annuity Trust I 0 0 0 0 The Mark Tercek 2000 Family Trust 0 0 0 0 The Mark Tercek 2001 Annuity Trust I 0 0 0 0 Marks 2000 0 0 0 0 Marks 2000 (continuing trust) 0 0 0 0 The Mary Agnes Reilly Kiernan 2000 Trust 0 0 0 0 The Mary Ann Casati Trust 0 0 0 0 The Matthew D. Rogers 2000 Trust 0 0 0 0 The Maya Bettina Linden 2000 Trust 0 0 0 0 Melissa Jane Minehan 2001 Trust 0 0 0 0 The Merritt Moore Townsend 2000 Trust 0 0 0 0 The Mesdag Family Trust Delaware 0 0 0 0 The Michael A. Price 2000 Annuity Trust I 0 0 0 0 The Michael A. Price 2000 Family Trust 0 0 0 0 The Michael D. Ryan 2000 Annuity Trust I 0 0 0 0 The Michael D. Ryan 2000 Family Trust 0 0 0 0 The Michael J. Zamkow 2000 Annuity Trust I 0 0 0 0 The Michael J. Zamkow 2000 Family Trust 0 0 0 0
32 33
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Place of Sole Shared Sole Shared Organization Voting Voting Dispositive Dispositive New York Power of Power of Power of Power of ITEM 1 unless otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - -------------------------- ----------------- ----------- --------- ----------- ----------- The Michael J. Zamkow 2001 Annuity Trust I 0 0 0 0 The Michael Stecher 2000 Trust 0 0 0 0 The Milton R. Berlinski 2000 Annuity Trust I 0 0 0 0 The Milton R. Berlinski 2001 Annuity Trust I 0 0 0 0 The Mossavar-Rahmani 2000 Annuity Trust I 0 0 0 0 The Mossavar-Rahmani 2000 Family Trust 0 0 0 0 Murphy 2000 0 0 0 0 Murphy 2000 (continuing trust) 0 0 0 0 Murphy 2001 GRAT 0 0 0 0 The Natalie Cailyn Rogers 2000 Trust 0 0 0 0 The Nicole Schiller 2000 Trust 0 0 0 0 The Nina B. Haydock 2000 Trust 0 0 0 0 The Patrick Scire 2001 Grantor Retained Annuity Trust New Jersey 0 0 0 0 The Patrick Scire 2001 Family Trust New Jersey 0 0 0 0 The Peter C. Gerhard 2000 Annuity Trust I 0 0 0 0 The Peter C. Gerhard 2000 Family Trust 0 0 0 0 The Peter D. Kiernan, III 2000 Annuity Trust I 0 0 0 0 The Peter Kiernan IV 2000 Trust 0 0 0 0 The Peter D. Kiernan, III 2001 Annuity Trust I 0 0 0 0 The Peter S. Kraus 2000 Annuity Trust I 0 0 0 0 The Peter S. Kraus 2001 Annuity Trust I 0 0 0 0 The Philip D. Murphy 2000 Annuity Trust I 0 0 0 0 The Philip D. Murphy 2000 Family Trust 0 0 0 0 The Philip Darivoff 2000 Annuity Trust I 0 0 0 0 The Philip Darivoff 2001 Annuity Trust I 0 0 0 0 The Rachel M. Darivoff 2000 Trust 0 0 0 0 The Ralph F. Rosenberg 2000 Annuity Trust I 0 0 0 0 The Ralph F. Rosenberg 2000 Family Trust 0 0 0 0 The Ralph F. Rosenberg 2001 Annuity Trust I 0 0 0 0 Randal M. Fippinger-Millennium Trust 0 0 0 0
33 34
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Place of Sole Shared Sole Shared Organization Voting Voting Dispositive Dispositive New York Power of Power of Power of Power of ITEM 1 unless otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - -------------------------- ----------------- ----------- --------- ----------- ----------- The Randolph L. Cowen 2000 Family Trust 0 0 0 0 Rayas Trust Jersey 0 0 0 0 The Rebecca Viniar 2000 Trust 0 0 0 0 The Richard A. Friedman 2000 Annuity Trust I 0 0 0 0 The Richard A. Friedman 2000 Family Trust 0 0 0 0 The Richard A. Sapp 2000 Annuity Trust I 0 0 0 0 The Richard A. Sapp 2000 Family Trust 0 0 0 0 The Richard E. Witten 2000 Annuity Trust I 0 0 0 0 The Richard E. Witten 2001 Annuity Trust I 0 0 0 0 The Richard G. Sherlund 2000 Annuity Trust I 0 0 0 0 The Richard G. Sherlund 2001 Annuity Trust I 0 0 0 0 The Richard Hogan 2001 Grantor Retained Annuity Trust 0 0 0 0 The Richard Hogan 2001 Family Trust 0 0 0 0 Robert A. Fippinger, Jr.-Millennium Trust 0 0 0 0 The Robert B. Litterman 2000 Annuity Trust I 0 0 0 0 The Robert B. Litterman 2000 Family Trust 0 0 0 0 The Robert B. Morris III 2000 Annuity Trust I 0 0 0 0 The Robert J. Hurst 2000 Annuity Trust I 0 0 0 0 The Robert J. Hurst 2000 Family Trust 0 0 0 0 The Robert J. Hurst 2001 Annuity Trust I 0 0 0 0 The Robert J. Katz 2000 Annuity Trust I 0 0 0 0 The Robert J. Katz 2001 Annuity Trust I 0 0 0 0 The Robert J. O'Shea 2000 Annuity Trust I 0 0 0 0 The Robert J. O'Shea 2000 Family Trust 0 0 0 0 The Robert J. Pace 2000 Annuity Trust I 0 0 0 0 The Robert J. Pace 2000 Family Trust 0 0 0 0 The Robert J. Pace 2001 Annuity Trust I 0 0 0 0
34 35
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Place of Sole Shared Sole Shared Organization Voting Voting Dispositive Dispositive New York Power of Power of Power of Power of ITEM 1 unless otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - -------------------------- ----------------- ----------- --------- ----------- ----------- The Robert K. Steel 2000 Annuity Trust I 0 0 0 0 The Robert K. Steel 2001 Annuity Trust I 0 0 0 0 The Robin Neustein 2000 Annuity Trust I 0 0 0 0 The Robin Neustein 2001 Annuity Trust I 0 0 0 0 The Samantha Schiller 2000 Trust 0 0 0 0 The Sarah B. Lopatin 2000 Trust 0 0 0 0 The Sarah Delacy Kiernan 2000 Trust 0 0 0 0 The Sarah M. Darivoff 2000 Trust 0 0 0 0 The Sarah Rose Berlinski 2000 Trust 0 0 0 0 The Scott B. Kapnick 2000 Annuity Trust I 0 0 0 0 The Scott B. Kapnick 2000 Family Trust 0 0 0 0 Scott M. Pinkus 2000 Family Trust New Jersey 0 0 0 0 Scott M. Pinkus 2000 GRAT New Jersey 0 0 0 0 The Scott S. Prince Trust 0 0 0 0 The Sharmin Mossavar-Rahmani 2001 Annuity Trust I 0 0 0 0 The Stephen M. Neidich 2000 Trust 0 0 0 0 The Steven J. Wisch 2001 Annuity Trust I 0 0 0 0 The Steven J. Wisch 2001 Family Trust 0 0 0 0 The Steven M. Heller, Jr. 2000 Trust 0 0 0 0 The Steven T. Mnuchin 2000 Annuity Trust I 0 0 0 0 The Steven T. Mnuchin 2000 Family Trust 0 0 0 0 The Steven T. Mnuchin 2001 Annuity Trust I 0 0 0 0 The Steven Starker 2001 Grantor Retained Annuity Trust 0 0 0 0 The Steven Starker 2001 Family Trust 0 0 0 0 The Stuart Mark Rothenberg 2000 Annuity Trust I 0 0 0 0 The Stuart Mark Rothenberg 2000 Family Trust 0 0 0 0 The Stuart Mark Rothenberg 2001 Annuity Trust I 0 0 0 0 The Stuart Sternberg 2001 Grantor Retained Annuity Trust 0 0 0 0 The Stuart Sternberg 2001 Family Trust 0 0 0 0
35 36
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Place of Sole Shared Sole Shared Organization Voting Voting Dispositive Dispositive New York Power of Power of Power of Power of ITEM 1 unless otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - -------------------------- ----------------- ----------- --------- ----------- ----------- The Terence M. O' Toole 2000 Annuity Trust I 0 0 0 0 The Terence M. O' Toole 2000 Family Trust 0 0 0 0 The Tess Augusta Linden 2000 Trust 0 0 0 0 The Thomas J. Healey 2001 Annuity Trust New Jersey 0 0 0 0 The Thomas K. Montag 2000 Annuity Trust I 0 0 0 0 The Thomas K. Montag 2000 Family Trust 0 0 0 0 The Thomas K. Montag 2001 Annuity Trust I 0 0 0 0 The Tracy Richard Wolstencroft 2000 Annuity Trust I 0 0 0 0 The Tracy Richard Wolstencroft 2000 Family Trust 0 0 0 0 Trust for the benefit of David Ford, Jr. under Indenture of Trust B of David B. Ford dated 6/16/00 Pennsylvania 0 0 0 0 Trust for the benefit of Jamie Ford under Indenture of Trust B of David B. Ford dated as of 6/16/00 Pennsylvania 0 0 0 0 Trust for the benefit of Megan H. Hagerty u/a DTD 3/26/01 New Jersey 0 0 0 0 Trust for the benefit of Thomas Jeremiah Healey u/a DTD 3/26/01 New Jersey 0 0 0 0 Trust u/w James Kellogg III New Jersey 0 0 0 0 The Unicorn Trust UK 0 0 0 0 Vyrona Trust Jersey 0 0 0 0 The Walter H. Haydock 2000 Annuity Trust I 0 0 0 0 The Walter H. Haydock, Jr. 2000 Trust 0 0 0 0 The Walter H. Haydock 2001 Annuity Trust I 0 0 0 0 The William C. Sherlund 2000 Trust 0 0 0 0 The William Keith Litzenberger 2000 Grantor Retained Annuity Trust 0 0 0 0 The William Keith Litzenberger Remainder Trust 0 0 0 0 The Zachariah Cobrinik 2000 Annuity Trust I 0 0 0 0 The Zachariah Cobrinik Family 2000 Trust 0 0 0 0
36 37
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Place of Sole Shared Sole Shared Organization Voting Voting Dispositive Dispositive New York Power of Power of Power of Power of ITEM 1 unless otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - -------------------------- ----------------- ----------- --------- ----------- ----------- Partnerships - ------------ ALS Investment Partners, L.P. Delaware 0 0 0 0 Beech Associates, L.P. Delaware 0 0 0 0 Bermuda Partners, L.P. Delaware 0 0 0 0 Crestley, L.P. Delaware 0 0 0 0 Daniel G. Brennan Family Limited Partnership Illinois 0 0 0 0 EPG Associates, L.P. 0 0 0 0 Greenley Partners, L.P. Delaware 0 0 0 0 HEMPA Limited Partnership Delaware 0 0 0 0 JSS Investment Partners, L.P. Delaware 0 0 0 0 The Litzenberger Family Limited Partnership Delaware 0 0 0 0 Mesdag Family Limited Partnership Delaware 0 0 0 0 Mijen Family Partnership Illinois 0 0 0 0 Opatrny Investment Partners, L.P. Delaware 0 0 0 0 Rantz GS Investment Partners, L.P. Delaware 0 0 0 0 The Rizner Family Limited Partnership Illinois 0 0 0 0 Savitz Investment Partners, L.P. Delaware 0 0 0 0 Silverman Partners, L.P. Delaware 0 0 0 0 Stone Gate GS Partners, L.P. Delaware 0 0 0 0 Trott GS Investment Partners, L.P. Delaware 0 0 0 0 Tuft GS Investment Partners, L.P. Delaware 0 0 0 0 Windy Hill Investment Company II, L.P. Delaware 0 0 0 0 Winkelried Investment Partners, L.P. Delaware 0 0 0 0 Limited Liability Companies - --------------------------- The Fred Kambeitz Family LLC Delaware 0 0 0 0 The Gary Tolchin Family LLC Delaware 0 0 0 0 The George Varsam Family LLC Delaware 0 0 0 0 The James Coufos Family LLC Delaware 0 0 0 0 The John Minio Family LLC Delaware 0 0 0 0 The Lawrence Trainor Family LLC Delaware 0 0 0 0 The Lowell Millar Family LLC Delaware 0 0 0 0 The Patrick Scire Family LLC Delaware 0 0 0 0 The Raymond Murphy Family LLC Delaware 0 0 0 0 The Rebecca Amitai Family LLC Delaware 0 0 0 0 The Richard Hogan Family LLC Delaware 0 0 0 0 The Stephen Levick Family LLC Delaware 0 0 0 0 The Steven Starker Family LLC Delaware 0 0 0 0 The Stuart Sternberg Family LLC Delaware 0 0 0 0 The Thomas Gravina Family LLC Delaware 0 0 0 0 The Thomas Williams Family LLC Delaware 0 0 0 0 Corporations - ------------ Anahue Limited Jersey 0 0 0 0
37 38
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 Place of Sole Shared Sole Shared Organization Voting Voting Dispositive Dispositive New York Power of Power of Power of Power of ITEM 1 unless otherwise Uncovered Uncovered Uncovered Uncovered Names of Reporting Persons indicated) Shares Shares Shares Shares - -------------------------- ----------------- ----------- --------- ----------- ----------- Guapulo Holdings Limited Jersey 0 0 0 0 HJS2 Limited Cayman Islands 0 0 0 0 IAT Reinsurance Syndicate Ltd. Bermuda 0 0 0 0 Majix Limited Jersey 0 0 0 0 Melalula Limited Jersey 0 0 0 0 RJG Holding Company Cayman Islands 0 0 0 0 Robinelli Limited Jersey 0 0 0 0 Vyrona Holdings Limited Jersey 0 0 0 0 Zurrah Limited Jersey 0 0 0 0
38 39 This Amendment No. 15 to a Statement on Schedule 13D amends and restates in its entirety such Schedule 13D (as so amended and restated, this "Schedule"). This Amendment No. 15 is being filed primarily because certain Covered Persons have in the aggregate disposed of shares of Common Stock (as defined below) in an amount in excess of one percent of the total number of shares of Common Stock outstanding. Item 1. Security and Issuer This Schedule 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) The cover page to this Schedule and Appendix A hereto contain the names of the persons ("Covered Persons") who beneficially own Common Stock subject to a Shareholders' Agreement ("Covered Shares"), dated as of May 7, 1999, to which the Covered Persons are party (as amended from time to time, the "Shareholders' Agreement"). This filing is being made on behalf of all of the Covered Persons, and their agreement that this filing may be so made is contained in the Shareholders' Agreement. This Schedule contains certain information relating to Sumitomo Bank Capital Markets, Inc. ("SBCM") and Kamehameha Activities Association ("KAA"), who may be deemed to be members of a "group" with the Covered Persons. Each Covered Person hereby disclaims beneficial ownership of the shares of Common Stock and other equity securities of GS Inc. subject to the Voting Agreements between SBCM and KAA, respectively, on the one hand, and GS Inc., on the other hand (respectively, the "SBCM Shares" and the "KAA Shares"). All information contained in this Schedule relating to SBCM and KAA has been included based upon information provided by SBCM and KAA; the separate Schedules 13D filed by SBCM and KAA and any amendments thereto should be referred to for information relating to SBCM and KAA, respectively. Appendix A hereto also provides the citizenship or place of organization of each Covered Person. Each Covered Person who is an individual (an "Individual Covered Person") is a senior professional employed or formerly employed by GS Inc. or a spouse or former spouse thereof. GS Inc. is a global investment banking and securities firm. Each Covered Person who is not an individual is a trust, limited partnership, limited liability company or corporation created by or for an Individual Covered Person for estate planning purposes. Each Covered Person listed in Appendix A under the caption "Partnerships" is a limited partnership of which an Individual Covered Person is general partner. Each Covered Person listed in Appendix A under the caption "Corporations" (a "Corporate Covered Person") is controlled by an Individual Covered Person (the "Controlling Covered Person"). Each Covered Person listed in Appendix A under the caption "Limited Liability Companies" (a "Limited Liability Covered Person") is a limited liability company of which an Individual Covered Person is a managing member. The name, citizenship, business address and present principal occupation or employment of each of the directors and executive officers of each Corporate Covered Person (other than the Controlling Covered Person) is set forth in Annex A hereto. The business address of each Covered Person for purposes of this Schedule is: (i) in the case of entities organized in Jersey or under the laws of the United Kingdom, 26 New Street, St. Helier, Jersey, JE2 3RA; (ii) in the case of entities organized in the Cayman Islands, P.O. Box 309, Ugland House, South Church Street, George Town, Grand Cayman, Cayman Islands; (iii) in the case of entities organized in Bermuda, Victoria Hall, 11 Victoria Street, Hamilton HM11, Bermuda; and (iv) in the case of all other Covered Persons, 85 Broad Street, New York, New York 10004. (d), (e) Except as described in Annex A or Annex B, during the last five years no Covered Person or, to the best knowledge of the Covered Persons, any executive officer or director of a Covered Person, has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction resulting in such Covered Person being subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. Item 3. Source and Amount of Funds or Other Consideration The Covered Shares have been and will be acquired by the Covered Persons in the following manner: (i) the former profit participating limited partners active in the business of The Goldman Sachs Group, L.P. ("Group L.P.") (each such former partner, a "PMD" and, collectively, the "PMDs") acquired certain Covered Shares in exchange for their interests in Group L.P. and certain of its affiliates and investee corporations; (ii) the former owners (the "Hull Covered Persons") of Hull and Associates, L.L.C. ("Hull") acquired certain Covered Shares in exchange for their interests in Hull; (iii) the former members of SLK LLC (the "SLK Covered Persons") acquired 39 40 certain Covered Shares in exchange for their interests in SLK LLC (together with its subsidiaries and affiliates, "SLK"); (iv) the former members of Benjamin Jacobson & Sons, LLC (the "Jacobson Covered Persons") acquired certain Covered Shares in exchange for their interests in Benjamin Jacobson & Sons, LLC ("Jacobson"); (v) certain Individual Covered Persons have acquired and will acquire beneficial ownership of certain other Covered Shares in connection with GS Inc.'s initial public offering and/or pursuant to GS Inc.'s employee compensation, benefit or similar plans; (vi) certain Individual Covered Persons (the "Transferee Covered Persons") acquired their Covered Shares from other Individual Covered Persons in accordance with pre-existing contractual arrangements or judicial decrees; and (vii) certain Covered Persons (the "Estate Planning Covered Persons") have acquired and will acquire beneficial ownership of their Covered Shares as contributions or gifts made by Individual Covered Persons. Covered Persons may from time to time acquire Common Stock not subject to the Shareholders' Agreement ("Uncovered Shares") for investment purposes. Such Common Stock may be acquired with personal funds of or funds borrowed by such Covered Person. Item 4. Purpose of Transactions The Individual Covered Persons, other than the Hull Covered Persons, the SLK Covered Persons, the Jacobson Covered Persons and the Transferee Covered Persons, acquired certain Covered Shares in connection with the succession of GS Inc. to the business of Group L.P. and GS Inc.'s initial public offering and through certain employee compensation, benefit or similar plans of GS Inc. The Hull Covered Persons acquired certain Covered Shares in connection with the acquisition by GS Inc. of Hull and through certain employee compensation, benefit or similar plans of GS Inc. The SLK Covered Persons acquired certain Covered Shares in connection with the acquisition by GS Inc. of SLK and through certain employee compensation, benefit or similar plans of GS Inc. The Jacobson Covered Persons acquired certain Covered Shares in connection with the acquisition by GS Inc. of Jacobson and through certain employee compensation, benefit or similar plans of GS Inc. The Transferee Covered Persons acquired their Covered Shares from other Individual Covered Persons in accordance with pre-existing contractual arrangements or judicial decrees. As a condition to the transfer of the Covered Shares, the Shareholders' Committee required that each Transferee Covered Person agree to become a party to the Shareholders' Agreement and to be bound by the Partner Transfer Restrictions referred to in Item 6 below. The Estate Planning Covered Persons acquired the Covered Shares as contributions or gifts made for estate planning purposes by Individual Covered Persons, and the provisions of the organizational documents of certain Estate Planning Covered Persons provide for the distribution of Common Stock to certain other Covered Persons. As a condition to the contribution or gift of the Covered Shares, the Shareholders' Committee required that each Estate Planning Covered Person agree to become a party to the Shareholders' Agreement and to be bound by the Partner Transfer Restrictions referred to in Item 6 below. The board of directors of GS Inc. has approved a program (the "Rule 144 Program") to permit the PMDs and former direct and indirect owners of Hull to sell, in a coordinated manner, a portion of their shares of Common Stock in accordance with the volume and manner of sale limitations of Rule 144 under the Securities Act of 1933, as amended ("Rule 144"). During GS Inc.'s fiscal quarter ending May 25, 2001, each of the Covered Persons listed in Annex C intends to sell up to the number of shares of Common Stock set forth opposite such Covered Person's name in Annex C under the Rule 144 Program (an aggregate of 8,829,972 shares for all Covered Persons). These sales commenced during the week of March 19, 2001. Sales under the Rule 144 Program are made on behalf of the participating Covered Persons pursuant to a Power of Attorney, a form of which is filed as an Exhibit to this Schedule. The Rule 144 Program may continue in subsequent fiscal quarters, but can be suspended or terminated at any time. GS Inc. has not solicited indications of interest from any of the Covered Persons as to whether they would like to sell shares of Common Stock in subsequent fiscal quarters. Covered Persons may from time to time acquire Uncovered Shares for investment purposes. Except as described in Item 6 and except for the acquisition by Covered Persons of Common Stock pursuant to employee compensation, benefit or similar plans of GS Inc. in the future or as described above, none of the Covered Persons 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 Covered Person is expected to evaluate on an ongoing basis GS Inc.'s financial condition and prospects and his or her interests in and with respect to GS Inc. Accordingly, each Covered Person may change his or her plans and intentions at any time and from time to time. In particular, each Covered Person may at any time and from time to time acquire or dispose of shares of Common Stock. 40 41 Item 5. Interest in Securities of the Issuer (a) Rows (11) and (13) of the cover page to this Schedule, Appendix A and Annex A are hereby incorporated by reference. Each Covered Person hereby disclaims beneficial ownership of any shares of Common Stock held by any other Covered Person and disclaims beneficial ownership of the SBCM Shares and the KAA Shares. Except as described in Annex D, none of the shares of Common Stock reported in rows (11) and (13) of the cover page to this Schedule and Appendix A are shares as to which there is a right to acquire exercisable within 60 days. (b) Rows (7) through (10) of the cover page to this Schedule, Appendix A and Annex A set forth the percentage range of Covered Shares as to which there is sole power to vote or direct the vote or to dispose or direct the disposition; the number of Uncovered Shares 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 Covered Shares by Covered Persons is shared with each other Covered Person, as described below in response to Item 6. Each Covered Person hereby disclaims beneficial ownership of any shares of Common Stock held by any other Covered Person and disclaims beneficial ownership of the SBCM Shares and the KAA Shares. (c) Except as described in Annex E or previously reported on Schedule 13D, no Covered Person has effected any transactions in Common Stock in the past 60 days. (d), (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer Each Covered Person listed on the cover page to this Schedule and Appendix A hereto is a party to the Shareholders' Agreement. The Shareholders' Agreement, and forms of the Counterparts to the Shareholders' Agreement executed by or on behalf of the Estate Planning Covered Persons, certain Hull Covered Persons and the Transferee Covered Persons, are filed as Exhibits to this Schedule and the following summary of the terms of the Shareholders' Agreement is qualified in its entirety by reference thereto. In the case of each SLK Covered Person, certain of the provisions and restrictions discussed below are set forth in an Amended and Restated Member Agreement, dated as of September 10, 2000, and amended and restated as of October 26, 2000 (an "SLK Member Agreement"), between such SLK Covered Person and GS Inc. In the case of each Jacobson Covered Person, certain of the provisions and restrictions discussed below are set forth in a Member Agreement, dated as of January 26, 2001 (the "Jacobson Member Agreement" and, together with the SLK Member Agreement, the "Member Agreements"), between such Jacobson Covered Person and GS Inc. The forms of the Member Agreements are filed as Exhibits to this Schedule and the following summary is qualified in its entirety by reference thereto. References to the "board of directors" are to the board of directors of The Goldman Sachs Group, Inc. The Covered Shares include generally all Common Stock acquired or to be acquired from GS Inc. by the Covered Persons. Covered Shares include: shares of Common Stock acquired by the PMDs in exchange for their interests in Group L.P. and certain of its affiliates; shares of Common Stock acquired by the Hull Covered Persons in exchange for their interests in Hull; shares of Common Stock acquired by the SLK Covered Persons in exchange for their interests in SLK; shares of Common Stock acquired by the Jacobson Covered Persons in exchange for their interests in Jacobson; shares of Common Stock acquired or to be acquired through the grant of restricted stock units, stock options and interests in a defined contribution plan (except for certain Uncovered Shares as specified in Appendix A); shares of Common Stock acquired by the Transferee Covered Persons in accordance with pre-existing contractual arrangements or judicial decrees; shares of Common Stock acquired or to be acquired by Estate Planning Covered Persons from Individual Covered Persons for estate planning purposes and shares of Common Stock to be distributed by Estate Planning Covered Persons to Individual Covered Persons or to other Estate Planning Covered Persons; and, unless otherwise determined by the board of directors and the Shareholders' Committee, any shares of Common Stock acquired or to be acquired by the Covered Persons from GS Inc. through any other employee compensation, benefit or similar plan. Covered Shares do not include any shares of Common Stock purchased or to be purchased by a Covered Person in the open market or in a subsequent underwritten public offering. TRANSFER RESTRICTIONS Each Individual Covered Person (other than the Transferee Covered Persons and, with respect to the shares of Common Stock received in exchange for their interests in Hull, the Hull Covered Persons) has agreed in the Shareholders' Agreement, among other things, to retain beneficial ownership of Covered Shares at least equal to 25% of the cumulative number of Covered Shares beneficially owned by him or her at the time he or she became a Covered Person or acquired by him or her thereafter and with no credit for dispositions (the "General Transfer 41 42 Restrictions") for so long as he or she is a Covered Person and an employee of GS Inc. (an "Employee Covered Person"). The PMDs will also be subject to limitations on their ability to transfer Covered Shares received in connection with the succession of GS Inc. to the business of Group L.P. These restrictions will also apply to the Covered Shares acquired by the Hull Covered Persons in exchange for their interests in Hull, the Covered Shares acquired by the SLK Covered Persons in exchange for their interests in SLK and the Covered Shares acquired by the Jacobson Covered Persons in exchange for their interests in Jacobson. Under these restrictions, each such PMD, Hull Covered Person, SLK Covered Person and Jacobson Covered Person has agreed not to transfer such Covered Shares until May 7, 2002, the third anniversary of the date of GS Inc.'s initial public offering of its Common Stock (the "Partner Transfer Restrictions" and, together with the General Transfer Restrictions, the "Transfer Restrictions"). The Partner Transfer Restrictions will lapse as to such Covered Shares in equal installments on each of May 7, 2002, May 7, 2003 and May 7, 2004. The Covered Shares held by each Estate Planning Covered Person and Transferee Covered Person are subject to the same Partner Transfer Restrictions that applied to such Covered Shares prior to such Covered Person's acquisition thereof. The Transfer Restrictions applicable to an Individual Covered Person (and his or her Estate Planning Covered Persons) terminate upon the death of the Individual Covered Person. WAIVERS Except in the case of a third-party tender or exchange offer, the Partner Transfer Restrictions may be waived or terminated at any time by the Shareholders' Committee described below under "Information Regarding the Shareholders' Committee". The Shareholders' Committee also has the power to waive the Transfer Restrictions to permit Covered Persons to: participate as sellers in underwritten public offerings of Common Stock and tender and exchange offers and share repurchase programs by GS Inc.; transfer Covered Shares to charities, including charitable foundations; transfer Covered Shares held in employee benefit plans; and transfer Covered Shares in specific transactions (for example, to immediate family members and trusts) or other circumstances. The Shareholders' Committee permitted the transfers of Covered Shares to the Estate Planning Covered Persons and the Transferee Covered Persons, on the condition that each Estate Planning Covered Person and Transferee Covered Person agree to become a party to the Shareholders' Agreement and to be bound by the Partner Transfer Restrictions. On July 31, 2000, the Shareholders' Committee waived the Partner Transfer Restrictions solely to permit certain Covered Persons to pledge a portion of their Covered Shares to obtain approximately $400,000,000 in loan commitments to make investments from time to time in certain merchant banking funds sponsored by GS Inc. The loan commitments are for five years, may be drawn upon from time to time and generally require that any loans be collateralized by shares of Common Stock with a market value four times that of the amount borrowed. Pursuant to Rule 13d-3(d)(3) under the Securities Exchange Act of 1934, as amended, the pledgees did not acquire beneficial ownership of the pledged shares by virtue of the pledge. The Shareholders' Committee and, in the case of the Hull Covered Persons, the board of directors have waived the Partner Transfer Restrictions to permit the sale of up to an aggregate of 8,829,972 Covered Shares by certain Covered Persons during GS Inc.'s fiscal quarter ending May 25, 2001 under the Rule 144 Program described in Item 4 above and in Annex C hereto (of which 8,009,900 Covered Shares had been sold as of May 8, 2001). In the case of a third-party tender or exchange offer, the Transfer Restrictions may be waived or terminated: if the board of directors is recommending acceptance or is not making any recommendation with respect to acceptance of the tender or exchange offer, by a majority of the Voting Interests (as defined below); or if the board of directors is recommending rejection of the tender or exchange offer, by 66 2/3% of the outstanding Voting Interests. In the case of a tender or exchange offer by GS Inc., a majority of the outstanding Voting Interests may also elect to waive or terminate the Transfer Restrictions. VOTING Prior to any vote of the shareholders of GS Inc., the Shareholders' Agreement requires a separate, preliminary vote of the Voting Interests on each matter upon which a vote of the shareholders is proposed to be taken (the "Preliminary Vote"). Each Covered Share held by an Employee Covered Person and each other Covered Share subject to the Partner Transfer Restrictions will be voted in accordance with the majority of the votes cast by the Voting Interests in the Preliminary Vote. In elections of directors, each Covered Share will be voted in favor of 42 43 the election of those persons receiving the highest numbers of votes cast by the Voting Interests in the Preliminary Vote. "Voting Interests" are Covered Shares beneficially owned by all Employee Covered Persons. OTHER RESTRICTIONS The Shareholders' Agreement also prohibits the Employee Covered Persons from engaging in certain activities relating to any securities of GS Inc. with any person who is not a Covered Person or a director, officer or employee of GS Inc. ("Restricted Persons"). Among other things, an Employee Covered Person may not: participate in a proxy solicitation to or with a Restricted Person; deposit any Covered Shares in a voting trust or subject any Covered Shares to any voting agreement or arrangement that includes any Restricted Person; form, join or in any way participate in a "group" with any Restricted Person; or together with any Restricted Person, propose certain transactions with GS Inc. or seek the removal of any directors of GS Inc. or any change in the composition of the board of directors. TERM, AMENDMENT AND CONTINUATION The Shareholders' Agreement is to continue in effect until the earlier of January 1, 2050 and the time it is terminated by the vote of 66 2/3% of the outstanding Voting Interests. The Partner Transfer Restrictions will not terminate upon the expiration or termination of the Shareholders' Agreement unless previously waived or terminated or unless subsequently waived or terminated by the board of directors. The Shareholders' Agreement may generally be amended at any time by a majority of the outstanding Voting Interests. Unless otherwise terminated, in the event of any transaction in which a third party succeeds to the business of GS Inc. and in which Covered Persons hold securities of the third party, the Shareholders' Agreement will remain in full force and effect as to the securities of the third party, and the third party shall succeed to the rights and obligations of GS Inc. under the Shareholders' Agreement. INFORMATION REGARDING THE SHAREHOLDERS' COMMITTEE The Shareholders' Committee shall at any time consist of each of those individuals who are both Employee Covered Persons and members of the board of directors and who agree to serve as members of the Shareholders' Committee. If there are less than three individuals who are both Employee Covered Persons and members of the board of directors and who agree to serve as members of the Shareholders' Committee, the Shareholders' Committee shall consist of each such individual plus such additional individuals who are Employee Covered Persons and who are selected pursuant to procedures established by the Shareholders' Committee as shall assure a Shareholders' Committee of not less than three members who are Employee Covered Persons. Currently, Henry M. Paulson, Jr., Robert J. Hurst, John A. Thain and John L. Thornton are the members of the Shareholders' Committee. VOTING AGREEMENTS Both SBCM and KAA have, in separate voting agreements, each dated April 30, 1999 (each, a "Voting Agreement"), 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 Voting Agreements will result in the shares of Common Stock owned by SBCM and KAA being voted in the same manner as the Covered Shares. The Covered Persons are not parties to the Voting Agreements, and the Voting Agreements are not enforceable by the Covered Persons, will continue to exist independent of the existence of the Shareholders' Agreement and may be amended, waived or canceled by GS Inc. without any consent or approval of the Covered Persons. The Voting Agreements are filed as Exhibits to this Schedule and the foregoing summary of these agreements is qualified in its entirety by reference thereto. Each Covered Person hereby disclaims beneficial ownership of the SBCM Shares and the KAA Shares. PLEDGE AGREEMENTS Each PMD has pledged (the "IPO Pledge") to GS Inc. Common Stock or other assets with an initial value equal to $15 million for each such person who initially serves on the board of directors, the Management Committee or the Partnership Committee of GS Inc. and $10 million for each other such person. This pledge secures the liquidated damages provision of a noncompetition agreement which each such person has entered into with GS Inc. The form of agreement relating to noncompetition and other covenants and the form of pledge agreement, as amended, are filed as Exhibits to this Schedule and the foregoing summary of these agreements is qualified in its entirety by reference thereto. 43 44 In connection with the transfers to Estate Planning Covered Persons who are corporations, the IPO Pledge was replaced with a guarantee and pledge agreement that was entered into by each corporate Estate Planning Covered Person. In addition, each Controlling Covered Person was required to pledge the capital stock of the corporate Estate Planning Covered Person to GS Inc. in order to further secure the Controlling Covered Person's obligations under the noncompetition agreement. The forms of the pledge agreements, as amended, are filed as Exhibits to this Schedule and the foregoing summary of these agreements is qualified in its entirety by reference thereto. In connection with GS Inc.'s acquisitions of SLK and Jacobson, each SLK Covered Person or Jacobson Covered Person who is an individual has pledged to GS Inc. Common Stock or other assets to secure the SLK Covered Person's or Jacobson Covered Person's obligation under his or her Member Agreement to pay liquidated damages upon breach of certain provisions relating to noncompetition and nonsolicitation. The form of each pledge agreement, as amended, is filed as an Exhibit to this Schedule and the foregoing summary of this agreement is qualified in its entirety by reference thereto. REGISTRATION RIGHTS INSTRUMENT FOR CHARITABLE DONATIONS In connection with the donation of shares of Common Stock by certain Covered Persons to certain charitable organizations on December 13, 1999 and December 22, 2000, GS Inc. entered into a Registration Rights Instrument and two substantially similar Supplemental Registration Rights Instruments (the "Charitable Supplements"). The following is a description of the Registration Rights Instrument, as supplemented by the Charitable Supplements. The Registration Rights Instrument and the Charitable Supplements are filed as Exhibits to this Schedule, and the following summary of these agreements is qualified in its entirety by reference thereto. Pursuant to the Registration Rights Instrument and the Charitable Supplements, GS Inc. has agreed to register the donated shares of Common Stock for resale by charitable foundations and public charities. GS Inc. has agreed in the Registration Rights Instrument and the Charitable Supplements to pay all of the fees and expenses relating to the offering by the charitable organizations, other than any agency fees and commissions or underwriting commissions or discounts or any transfer taxes incurred by the charitable organizations in connection with their resales. GS Inc. also has agreed to indemnify the charitable organizations against certain liabilities, including those arising under the Securities Act. GS Inc. may amend the Registration Rights Instrument and the Charitable Supplements in any manner that it deems appropriate, without the consent of any charitable organization. However, GS Inc. may not make any amendment that would cause the shares of Common Stock to fail to be "qualified appreciated stock" within the meaning of Section 170 of the Internal Revenue Code. In addition, GS Inc. may not make any amendment that would materially and adversely affect the rights of any charitable organization without the consent of a majority of the materially and adversely affected charitable organizations. REGISTRATION RIGHTS INSTRUMENT FOR EMPLOYEE MANAGING DIRECTORS In connection with the sale by certain Covered Persons (the "Employee Managing Directors") of shares of Common Stock acquired from GS Inc. pursuant to the terms of restricted stock units, GS Inc. entered into a Supplemental Registration Rights Instrument (the "EMD Supplement"), which supplements the Registration Rights Instrument referred to above. The following is a description of the Registration Rights Instrument, as supplemented by the EMD Supplement. The Registration Rights Instrument and the EMD Supplement are filed as Exhibits to this Schedule, and the following summary of these agreements is qualified in its entirety by reference thereto. Pursuant to the Registration Rights Instrument and the EMD Supplement, GS Inc. has agreed to pay all of the fees and expenses relating to the registered offering of shares of Common Stock held by the Employee Managing Directors, other than any agency fees and commissions or underwriting commissions or discounts or any transfer taxes incurred by the Employee Managing Directors in connection with the sales. GS Inc. also has agreed to indemnify the Employee Managing Directors against certain liabilities, including those arising under the Securities Act. 44 45 Item 7. Material to be Filed as Exhibits
Exhibit Description ------- ----------- A. Shareholders' Agreement, dated as of May 7, 1999 (incorporated by reference to Exhibit A to the Schedule 13D filed May 17, 1999 (File No. 005-56295) (the "Initial Schedule 13D")). B. Voting Agreement, dated as of April 30, 1999, by and among The Goldman Sachs Group, Inc., The Trustees of the Estate of Bernice Pauahi Bishop and Kamehameha Activities Association (incorporated by reference to Exhibit B to the Initial Schedule 13D). C. 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 C to the Initial Schedule 13D). D. Form of Agreement Relating to Noncompetition and Other Covenants (incorporated by reference to Exhibit 10.20 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). E. Form of Pledge Agreement (the "IPO Pledge Agreement") (incorporated by reference to Exhibit 10.21 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). F. Form of Amendment No. 1 to the IPO Pledge Agreement (filed as Exhibit E), dated July 10, 2000 (incorporated by reference to Exhibit F to Amendment No. 4 to the Initial Schedule 13D, filed July 11, 2000 (File No. 005-56295)). G. Registration Rights Instrument, dated as of December 10, 1999 (incorporated by reference to Exhibit G to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)). H. Supplemental Registration Rights Instrument, dated as of December 10, 1999 (incorporated by reference to Exhibit H to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)). I. Form of Counterpart to Shareholders' Agreement for former profit participating limited partners of The Goldman Sachs Group, L.P. (incorporated by reference to Exhibit I to Amendment No. 2 to the Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)). J. Form of Counterpart to Shareholders' Agreement for former retired limited partners of The Goldman Sachs Group, L.P. who are currently managing directors of The Goldman Sachs Group, Inc. (incorporated by reference to Exhibit J to Amendment No. 2 to the Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)). K. Form of Counterpart to Shareholders' Agreement for non-individual former owners of Hull and Associates, L.L.C. (incorporated by reference to Exhibit K to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). L. Form of Counterpart to Shareholders' Agreement for non-U.S. corporations (incorporated by reference to Exhibit L to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). M. Form of Counterpart to Shareholders' Agreement for non-U.S. trusts (incorporated by reference to Exhibit M to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). N. Form of Guarantee and Pledge Agreement for non-U.S. corporations (incorporated by reference to Exhibit N to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)).
45 46
Exhibit Description ------- ----------- O. Form of Pledge Agreement for shareholders of non-U.S. corporations (incorporated by reference to Exhibit O to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). P. Form of Pledge Agreement for shareholders of non-U.S. corporations (Jersey version) (incorporated by reference to Exhibit P to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). Q. Form of Counterpart to Shareholders' Agreement for Transferee Covered Persons (incorporated by reference to Exhibit Q to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). R. Supplemental Registration Rights Instrument, dated as of June 19, 2000 (incorporated by reference to Exhibit R to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). S. Supplemental Registration Rights Instrument, dated as of July 31, 2000 (incorporated by reference to Exhibit S to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). T. Underwriting Agreement (U.S. Version), dated as of August 1, 2000 (incorporated by reference to Exhibit T to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). U. Underwriting Agreement (International Version), dated as of August 1, 2000 (incorporated by reference to Exhibit U to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). V. Underwriting Agreement (Asia/Pacific Version), dated as of August 1, 2000 (incorporated by reference to Exhibit V to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). W. Form of Power of Attorney to be executed by Covered Persons participating in the Rule 144 Program (incorporated by reference to Exhibit W to Amendment No. 8 to the Initial Schedule 13D, filed September 25, 2000 (File No. 005-56295)). X. Power of Attorney. Y. Form of Amended and Restated Member Agreement, dated as of September 10, 2000, and amended and restated as of October 26, 2000, between GS Inc. and each SLK Covered Person (incorporated by reference to Exhibit Y to Amendment No. 10 to the Initial Schedule 13D, filed November 3, 2000 (File No. 005-56295)). Z. Form of Pledge Agreement, dated as of October 31, 2000, between GS Inc. and each SLK Covered Person (incorporated by reference to Exhibit Z to Amendment No. 10 to the Initial Schedule 13D, filed November 3, 2000 (File No. 005-56295)).
46 47
Exhibit Description ------- ----------- AA. Supplemental Registration Rights Instrument, dated as of December 21, 2000 (incorporated by reference to Exhibit AA to Amendment No. 12 to the Initial Schedule 13D, filed January 23, 2001 (File No. 005-56295)). BB. Form of Member Agreement, dated as of January 26, 2001, between GS Inc. and each Jacobson Covered Person (incorporated by reference to Exhibit BB to Amendment No. 14 to the Initial Schedule 13D, filed March 28, 2001 (File No. 005-56295)). CC. Form of Pledge Agreement, dated as of March 19, 2001, between GS Inc. and each Jacobson Covered Person (incorporated by reference to Exhibit CC to Amendment No. 14 to the Initial Schedule 13D, filed March 28, 2001 (File No. 005-56295)).
47 48 ANNEX A INFORMATION REQUIRED AS TO EXECUTIVE OFFICERS AND DIRECTORS OF CORPORATE COVERED PERSONS
- ------------------------------------------------------------------------------------------------------------------ Convictions or Violations Beneficial of Federal or Ownership of State Laws the Common within the Stock of The Business Present Last Five Goldman Sachs Name Citizenship Address Employment Years Group, Inc. - ------------------------------------------------------------------------------------------------------------------ Steven M. USA 85 Broad Street Managing Director, None Covered Person, so Bunson New York, NY The Goldman Sachs ownership is as set 10004 Group, Inc. forth in or incorporated into Item 5 above. - ------------------------------------------------------------------------------------------------------------------ Russell E. USA 85 Broad Street Managing Director, None Covered Person, so Makowsky New York, NY The Goldman Sachs ownership is as set 10004 Group, Inc. forth in or incorporated into Item 5 above. - ------------------------------------------------------------------------------------------------------------------ Michael H. UK 26 New Street, Partner, None None Richardson St. Helier, Jersey, Bedell Cristin JE4 3RA - ------------------------------------------------------------------------------------------------------------------ John D. Amaral UK Victoria Hall Vice President/ None None 11 Victoria St. Account Manager, Hamilton HM11 J&H Marsh & McLennan Bermuda - ------------------------------------------------------------------------------------------------------------------ Marguerite R. USA 120 Broadway Vice President, None None Gorman New York, NY Spear, Leeds & 10271 Kellogg, L.P. - ------------------------------------------------------------------------------------------------------------------ Richard D. UK 41 Cedar Avenue Partner, Appleby, None None Spurling Hamilton HM12 Spurling & Kempe Bermuda - ------------------------------------------------------------------------------------------------------------------
48 49 ANNEX B ITEMS 2(D) AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS None. 49 50 ANNEX C ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS During GS Inc.'s fiscal quarter ending May 25, 2001, each of the Covered Persons listed below intends to sell up to the number of shares of Common Stock set forth opposite such Covered Person's name under the Rule 144 Program referred to in Item 4 above. See Annex E for information on the number of shares of Common Stock sold between March 27, 2001 and May 8, 2001 under the Rule 144 Program.
----------------------------------------------------- Covered Person Number of Shares ----------------------------------------------------- Bradley I. Abelow 23,808 ----------------------------------------------------- Paul M. Achleitner 50,000 ----------------------------------------------------- Jonathan R. Aisbitt 124,123 ----------------------------------------------------- Armen A. Avanessians 60,000 ----------------------------------------------------- David Baum 24,222 ----------------------------------------------------- Frank A. Bednarz 1,509 ----------------------------------------------------- Ron E. Beller 51,131 ----------------------------------------------------- David W. Blood 75,000 ----------------------------------------------------- Peter L. Briger, Jr. 54,120 ----------------------------------------------------- Richard J. Bronks 26,418 ----------------------------------------------------- Lawrence R. Buchalter 40,000 ----------------------------------------------------- Michael J. Carr 31,210 ----------------------------------------------------- Christopher J. Carrera 26,156 ----------------------------------------------------- Mary Ann Casati 11,000 ----------------------------------------------------- Zachariah Cobrinik 41,891 ----------------------------------------------------- Gary D. Cohn 45,000 ----------------------------------------------------- Christopher A. Cole 15,000 ----------------------------------------------------- William Connell 3,169 ----------------------------------------------------- Carlos A. Cordeiro 81,671 ----------------------------------------------------- Henry Cornell 82,307 ----------------------------------------------------- E. Gerald Corrigan 25,000 ----------------------------------------------------- Frank L. Coulson, Jr. 101,497 ----------------------------------------------------- Randolph L. Cowen 25,000 ----------------------------------------------------- Timothy D. Dattels 49,615 ----------------------------------------------------- Gavyn Davies 50,000 ----------------------------------------------------- David A. Dechman 25,419 ----------------------------------------------------- Joseph Della Rosa 50,000 ----------------------------------------------------- Alexander C. Dibelius 8,250 ----------------------------------------------------- John O. Downing 70,000 ----------------------------------------------------- Connie K. Duckworth 66,178 ----------------------------------------------------- C. Steven Duncker 25,000 ----------------------------------------------------- Glenn P. Earle 48,337 ----------------------------------------------------- Paul S. Efron 26,119 ----------------------------------------------------- Aubrey Ellis, Jr. 2,000 ----------------------------------------------------- Pieter Maarten Feenstra 27,557 ----------------------------------------------------- Lawton W. Fitt 60,000 ----------------------------------------------------- David B. Ford 102,344 ----------------------------------------------------- Edward C. Forst 10,000 ----------------------------------------------------- Christopher G. French 17,554 ----------------------------------------------------- Richard A. Friedman 149,183 ----------------------------------------------------- Peter C. Gerhard 79,252 ----------------------------------------------------- Joseph H. Gleberman 95,804 ----------------------------------------------------- Jacob D. Goldfield 84,656 ----------------------------------------------------- Amy O. Goodfriend 29,732 ----------------------------------------------------- Andrew M. Gordon 6,000 ----------------------------------------------------- Geoffrey T. Grant 44,819 -----------------------------------------------------
50 51
----------------------------------------------------- Covered Person Number of Shares ----------------------------------------------------- Eric P. Grubman 53,955 ----------------------------------------------------- Joseph D. Gutman 10,000 ----------------------------------------------------- Robert S. Harrison 30,000 ----------------------------------------------------- Thomas J. Healey 58,869 ----------------------------------------------------- David B. Heller 15,000 ----------------------------------------------------- Mary C. Henry 48,730 ----------------------------------------------------- M. Roch Hillenbrand 15,000 ----------------------------------------------------- Jacquelyn M. Hoffman-Zehner 38,139 ----------------------------------------------------- Robert J. Hurst 20,000 ----------------------------------------------------- Francis J. Ingrassia 57,834 ----------------------------------------------------- Timothy J. Ingrassia 28,709 ----------------------------------------------------- Reuben Jeffery III 98,469 ----------------------------------------------------- Chansoo Joung 20,000 ----------------------------------------------------- Ann F. Kaplan 85,519 ----------------------------------------------------- Barry A. Kaplan 36,462 ----------------------------------------------------- Robert J. Katz 100,000 ----------------------------------------------------- Douglas W. Kimmelman 7,000 ----------------------------------------------------- Bradford C. Koenig 52,961 ----------------------------------------------------- Jonathan L. Kolatch 57,682 ----------------------------------------------------- David G. Lambert 36,474 ----------------------------------------------------- Thomas D. Lasersohn 26,426 ----------------------------------------------------- Anthony D. Lauto 26,046 ----------------------------------------------------- Matthew G. L'Heureux 20,000 ----------------------------------------------------- Lawrence H. Linden 85,203 ----------------------------------------------------- Robert Litterman 52,910 ----------------------------------------------------- Robert H. Litzenberger 16,009 ----------------------------------------------------- Jonathan M. Lopatin 44,690 ----------------------------------------------------- Michael R. Lynch 100,000 ----------------------------------------------------- Arthur S. Margulis, Jr. 15,000 ----------------------------------------------------- Ronald G. Marks 44,351 ----------------------------------------------------- Eff W. Martin 105,771 ----------------------------------------------------- John P. McNulty 140,781 ----------------------------------------------------- E. Scott Mead 25,000 ----------------------------------------------------- Masanori Mochida 125,073 ----------------------------------------------------- Karsten N. Moller 50,149 ----------------------------------------------------- Thomas K. Montag 41,613 ----------------------------------------------------- Robert B. Morris III 95,036 ----------------------------------------------------- R. Scott Morris 2,000 ----------------------------------------------------- Sharmin Mossavar-Rahmani 60,000 ----------------------------------------------------- Edward A. Mule 65,000 ----------------------------------------------------- Thomas S. Murphy, Jr. 13,855 ----------------------------------------------------- Philip D. Murphy 20,000 ----------------------------------------------------- Avi M. Nash 16,550 ----------------------------------------------------- Daniel M. Neidich 108,371 ----------------------------------------------------- Kipp M. Nelson 51,631 ----------------------------------------------------- Michael E. Novogratz 23,480 ----------------------------------------------------- Terence J. O'Neill 87,068 ----------------------------------------------------- Timothy J. O'Neill 102,546 ----------------------------------------------------- Donald C. Opatrny, Jr. 75,000 ----------------------------------------------------- Robert J. O'Shea 81,739 ----------------------------------------------------- Greg M. Ostroff 18,713 ----------------------------------------------------- Terence M. O'Toole 80,000 ----------------------------------------------------- Robert J. Pace 19,445 ----------------------------------------------------- Scott M. Pinkus 84,989 -----------------------------------------------------
51 52
----------------------------------------------------- Covered Person Number of Shares ----------------------------------------------------- Timothy C. Plaut 57,739 ----------------------------------------------------- John J. Powers 50,000 ----------------------------------------------------- Michael A. Price 25,858 ----------------------------------------------------- Scott Prince 21,835 ----------------------------------------------------- Stephen D. Quinn 50,000 ----------------------------------------------------- Michael G. Rantz 50,366 ----------------------------------------------------- Girish V. Reddy 24,488 ----------------------------------------------------- James P. Riley, Jr. 92,244 ----------------------------------------------------- Simon M. Robertson 50,000 ----------------------------------------------------- J. David Rogers 99,980 ----------------------------------------------------- Emmanuel Roman 26,808 ----------------------------------------------------- Ralph Rosenberg 20,058 ----------------------------------------------------- Stuart M. Rothenberg 30,000 ----------------------------------------------------- Michael S. Rubinoff 25,789 ----------------------------------------------------- Richard M. Ruzika 25,358 ----------------------------------------------------- Jeri Lynn Ryan 14,841 ----------------------------------------------------- John C. Ryan 29,000 ----------------------------------------------------- Michael D. Ryan 15,000 ----------------------------------------------------- Richard A. Sapp 100,000 ----------------------------------------------------- Joseph Sassoon 82,996 ----------------------------------------------------- Tsutomu Sato 33,036 ----------------------------------------------------- Muneer A. Satter 45,920 ----------------------------------------------------- Jonathan S. Savitz 15,152 ----------------------------------------------------- Peter Savitz 41,949 ----------------------------------------------------- Howard B. Schiller 29,600 ----------------------------------------------------- Eric S. Schwartz 89,799 ----------------------------------------------------- Charles B. Seelig, Jr. 50,000 ----------------------------------------------------- Steven M. Shafran 38,055 ----------------------------------------------------- James M. Sheridan 30,000 ----------------------------------------------------- Richard G. Sherlund 59,322 ----------------------------------------------------- Michael S. Sherwood 18,300 ----------------------------------------------------- Dinakar Singh 25,982 ----------------------------------------------------- Christian J. Siva-Jothy 25,922 ----------------------------------------------------- Cody J Smith 59,500 ----------------------------------------------------- Jonathan S. Sobel 25,753 ----------------------------------------------------- Marc A. Spilker 47,356 ----------------------------------------------------- Daniel W. Stanton 50,000 ----------------------------------------------------- Esta E. Stecher 59,887 ----------------------------------------------------- Cathrine S. Steck 12,000 ----------------------------------------------------- Fredric E. Steck 10,000 ----------------------------------------------------- Robert K. Steel 150,000 ----------------------------------------------------- Gene T. Sykes 50,000 ----------------------------------------------------- Mark R. Tercek 42,706 ----------------------------------------------------- Donald F. Textor 54,122 ----------------------------------------------------- John R. Tormondsen 39,000 ----------------------------------------------------- Leslie C. Tortora 98,630 ----------------------------------------------------- John L. Townsend III 50,000 ----------------------------------------------------- Byron D. Trott 27,500 ----------------------------------------------------- Thomas E. Tuft 50,000 ----------------------------------------------------- John E. Urban 25,763 ----------------------------------------------------- Lee G. Vance 61,300 ----------------------------------------------------- David A. Viniar 100,000 ----------------------------------------------------- George H. Walker IV 23,902 ----------------------------------------------------- Patrick J. Ward 157,399 -----------------------------------------------------
52 53
----------------------------------------------------- Covered Person Number of Shares ----------------------------------------------------- George W. Wellde, Jr. 50,000 ----------------------------------------------------- Anthony G. Williams 90,457 ----------------------------------------------------- Gary W. Williams 75,000 ----------------------------------------------------- Steven J. Wisch 5,000 ----------------------------------------------------- Richard E. Witten 107,358 ----------------------------------------------------- Tracy R. Wolstencroft 50,000 ----------------------------------------------------- Yasuyo Yamazaki 30,729 ----------------------------------------------------- Danny O. Yee 55,630 ----------------------------------------------------- Michael J. Zamkow 63,092 ----------------------------------------------------- Gregory H. Zehner 39,388 ----------------------------------------------------- Joseph R. Zimmel 117,491 ----------------------------------------------------- Barry L. Zubrow 50,000 ----------------------------------------------------- Mark A. Zurack 47,364 ----------------------------------------------------- ----------------------------------------------------- Trusts ----------------------------------------------------- The Guapulo Trust 1,874 ----------------------------------------------------- The Unicorn Trust 113,044 ----------------------------------------------------- ----------------------------------------------------- Partnerships ----------------------------------------------------- Daniel G. Brennan Family Limited Partnership 8,049 ----------------------------------------------------- The Rizner Family Limited Partnership 12,312 ----------------------------------------------------- Corporations ----------------------------------------------------- Guapulo Holdings Limited 55,662 ----------------------------------------------------- HJS2 Limited 10,000 ----------------------------------------------------- Majix Limited 15,000 ----------------------------------------------------- M.B. Turnbull Pty, Limited 27,764 ----------------------------------------------------- Melalula Limited 99,381 ----------------------------------------------------- RJG Holding Company 34,609 ----------------------------------------------------- Robinelli Limited 25,000 ----------------------------------------------------- Vyrona Holdings Limited 109,254 -----------------------------------------------------
53 54 ANNEX D ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE EXERCISABLE WITHIN 60 DAYS An aggregate of 38,701 shares of Common Stock are deliverable to Covered Persons upon the exercise of stock options that vested and became exercisable on September 25, 2000. Upon delivery, these shares of Common Stock will be Covered Shares. On or about June 20, 2001, 2,374,282 shares of Common Stock will be delivered to Covered Persons pursuant to the terms of an equal number of restricted stock units. These shares of Common Stock will be Covered Shares. 54 55 ANNEX E ITEM 5(C). DESCRIPTION OF ALL TRANSACTIONS IN THE COMMON STOCK EFFECTED BY THE COVERED PERSONS IN THE PAST 60 DAYS AND NOT PREVIOUSLY REPORTED ON SCHEDULE 13D The following sales (unless otherwise indicated) of shares of Common Stock were made by the following Covered Persons through Goldman, Sachs & Co. for cash on the New York Stock Exchange:
- ------------------------------------------------------------------------------------------------------- Covered Person Trade Date Number of Shares Price Per Share - ------------------------------------------------------------------------------------------------------- Fredric E. Steck* March 27, 2001 7,000 $90.00 - ------------------------------------------------------------------------------------------------------- Jeffrey B. Goldenberg* March 27, 2001 1,000 92.15 - ------------------------------------------------------------------------------------------------------- Nomi P. Ghez* March 28, 2001 2,000 89.75 - ------------------------------------------------------------------------------------------------------- Donald C. Opatrny Jr.* March 29, 2001 6,000 88.01 - ------------------------------------------------------------------------------------------------------- Christopher K. Norton March 30, 2001 5,000 87.46 - ------------------------------------------------------------------------------------------------------- Christopher K. Norton April 2, 2001 5,000 84.50 - ------------------------------------------------------------------------------------------------------- Timothy J. O'Neill* April 2, 2001 590 85.10 - ------------------------------------------------------------------------------------------------------- Michael G. Rantz* ** April 4, 2001 2,500 79.00 - ------------------------------------------------------------------------------------------------------- Todd A. Williams** April 4, 2001 30 78.90 - ------------------------------------------------------------------------------------------------------- Todd A. Williams** April 4, 2001 30 78.90 - ------------------------------------------------------------------------------------------------------- Todd A. Williams** April 4, 2001 30 79.38 - ------------------------------------------------------------------------------------------------------- Christopher K. Norton April 5, 2001 5,000 83.15 - ------------------------------------------------------------------------------------------------------- Christopher K. Norton April 5, 2001 5,000 85.22 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 9, 2001 1,200 83.65 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 9, 2001 2,000 83.70 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 9, 2001 1,200 83.82 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 9, 2001 1,400 83.85 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 9, 2001 600 83.90 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 9, 2001 1,000 84.00 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 9, 2001 300 84.06 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 9, 2001 200 84.07 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 9, 2001 500 84.10 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 9, 2001 700 84.11 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 9, 2001 1,600 84.15 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 9, 2001 2,000 84.20 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 9, 2001 200 84.21 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 9, 2001 700 84.25 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 9, 2001 6,200 84.30 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 9, 2001 200 84.40 - ------------------------------------------------------------------------------------------------------- Christopher J. Carrera* April 10, 2001 500 88.70 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 10, 2001 20,000 87.00 - ------------------------------------------------------------------------------------------------------- Fredric E. Steck* April 11, 2001 8,183 90.75 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 11, 2001 20,000 90.80 - ------------------------------------------------------------------------------------------------------- Gaetano J. Muzio April 12, 2001 10,000 93.43 - ------------------------------------------------------------------------------------------------------- Gaetano J. Muzio April 12, 2001 250 93.43 - ------------------------------------------------------------------------------------------------------- Gaetano J. Muzio April 12, 2001 10,000 93.43 - ------------------------------------------------------------------------------------------------------- Gaetano J. Muzio* April 12, 2001 250 93.43 - ------------------------------------------------------------------------------------------------------- Robert J. Hurst* April 16, 2001 10,000 94.00 - ------------------------------------------------------------------------------------------------------- Nomi P. Ghez* April 17, 2001 1,500 92.05 - ------------------------------------------------------------------------------------------------------- Barry S. Volpert* April 18, 2001 3,459 98.90 - ------------------------------------------------------------------------------------------------------- Charles T. Harris III April 18, 2001 5,000 95.90 - ------------------------------------------------------------------------------------------------------- Christopher J. Carrera* April 18, 2001 500 99.72 - -------------------------------------------------------------------------------------------------------
- ---------- * This sale was made by a private charitable foundation established by the Covered Person. ** This transaction was a purchase made by the Covered Person. 55 56
- ------------------------------------------------------------------------------------------------------- Covered Person Trade Date Number of Shares Price Per Share - ------------------------------------------------------------------------------------------------------- Cody J. Smith* April 18, 2001 1,000 100.50 - ------------------------------------------------------------------------------------------------------- Daniel M. Neidich* April 18, 2001 10,000 98.80 - ------------------------------------------------------------------------------------------------------- Douglas W. Kimmelman* April 18, 2001 2,037 99.76 - ------------------------------------------------------------------------------------------------------- Gaetano J. Muzio April 18, 2001 10,000 101.34 - ------------------------------------------------------------------------------------------------------- Gaetano J. Muzio April 18, 2001 250 101.34 - ------------------------------------------------------------------------------------------------------- Gaetano J. Muzio April 18, 2001 10,000 101.34 - ------------------------------------------------------------------------------------------------------- Gaetano J. Muzio* April 18, 2001 250 101.34 - ------------------------------------------------------------------------------------------------------- Gary D. Cohn* April 18, 2001 10,767 101.35 - ------------------------------------------------------------------------------------------------------- Gene T. Sykes* April 18, 2001 5,000 95.40 - ------------------------------------------------------------------------------------------------------- John E. Urban* April 18, 2001 3,500 99.20 - ------------------------------------------------------------------------------------------------------- John L. Townsend III* April 18, 2001 10,000 100.00 - ------------------------------------------------------------------------------------------------------- Jon Winkelried* April 18, 2001 5,000 100.51 - ------------------------------------------------------------------------------------------------------- Peter S. Kraus* April 18, 2001 1,500 100.75 - ------------------------------------------------------------------------------------------------------- Peter Wheeler April 18, 2001 20,000 101.40 - ------------------------------------------------------------------------------------------------------- Ron E. Beller* April 18, 2001 13,633 100.00 - ------------------------------------------------------------------------------------------------------- Jeffrey B. Goldenberg* April 19, 2001 500 98.15 - ------------------------------------------------------------------------------------------------------- Jeffrey B. Goldenberg* April 19, 2001 500 98.15 - ------------------------------------------------------------------------------------------------------- Sanjeev K. Mehra* April 19, 2001 5,000 97.55 - ------------------------------------------------------------------------------------------------------- Tracy R. Wolstencroft* April 19, 2001 658 96.90 - ------------------------------------------------------------------------------------------------------- Donald C. Opatrny Jr.* April 20, 2001 7,041 95.20 - ------------------------------------------------------------------------------------------------------- Robert J. Hurst* April 20, 2001 5,000 95.00 - ------------------------------------------------------------------------------------------------------- Robert V. Delaney* April 20, 2001 1,000 95.50 - ------------------------------------------------------------------------------------------------------- Robert V. Delaney* April 20, 2001 5,288 95.50 - ------------------------------------------------------------------------------------------------------- Michael G. Rantz* April 23, 2001 2,500 94.28 - -------------------------------------------------------------------------------------------------------
The following sales of shares of Common Stock were made by the following Covered Persons through Mellon Investor Services LLC for cash on the New York Stock Exchange:
- ------------------------------------------------------------------------------------------------------- Covered Person Trade Date Number of Shares Price Per Share - ------------------------------------------------------------------------------------------------------- Frank T. Connor March 28, 2001 1,000 $89.27 - ------------------------------------------------------------------------------------------------------- Neil D. Crowder March 28, 2001 909 89.27 - ------------------------------------------------------------------------------------------------------- William C. Montgomery March 28, 2001 2,255 89.27 - ------------------------------------------------------------------------------------------------------- Douglas C. Heidt March 29, 2001 1,569 87.63 - ------------------------------------------------------------------------------------------------------- Dioscoro-Roy I. Ramos March 29, 2001 2,786 87.63 - ------------------------------------------------------------------------------------------------------- Colin E. King March 30, 2001 677 88.21 - ------------------------------------------------------------------------------------------------------- John C. O'Hara March 30, 2001 1,000 88.21 - ------------------------------------------------------------------------------------------------------- Syaru Shirley Lin April 9, 2001 1,700 86.80 - ------------------------------------------------------------------------------------------------------- Alberto M. Piedra, Jr. April 10, 2001 1,546 87.15 - ------------------------------------------------------------------------------------------------------- Taneki Ono April 12, 2001 936 91.37 - ------------------------------------------------------------------------------------------------------- Ronald K. Tanemura April 16, 2001 2,000 93.00 - ------------------------------------------------------------------------------------------------------- Oliver L. Frankel April 17, 2001 1,000 91.97 - ------------------------------------------------------------------------------------------------------- William L. Jacob III April 17, 2001 1,905 91.97 - ------------------------------------------------------------------------------------------------------- Evan W. Siddall April 18, 2001 1,100 98.77 - ------------------------------------------------------------------------------------------------------- Julian J. Brown April 18, 2001 1,231 98.77 - ------------------------------------------------------------------------------------------------------- Ronald K. Tanemura April 18, 2001 1,196 98.77 - ------------------------------------------------------------------------------------------------------- Teresa E. Holliday April 18, 2001 340 98.77 - ------------------------------------------------------------------------------------------------------- Adam P. Barrett April 19, 2001 1,000 97.49 - ------------------------------------------------------------------------------------------------------- Michael L. Dweck April 19, 2001 424 97.49 - ------------------------------------------------------------------------------------------------------- William C. Montgomery April 19, 2001 2,255 97.49 - ------------------------------------------------------------------------------------------------------- Duncan L. Niederauer April 20, 2001 1,000 95.35 - ------------------------------------------------------------------------------------------------------- Janet L. Bell April 20, 2001 688 95.35 - ------------------------------------------------------------------------------------------------------- Robert D. Gottlieb April 20, 2001 1,400 95.35 - ------------------------------------------------------------------------------------------------------- Ronald K. Tanemura April 20, 2001 1,500 95.35 - -------------------------------------------------------------------------------------------------------
56 57
- ------------------------------------------------------------------------------------------------------- Covered Person Trade Date Number of Shares Price Per Share - ------------------------------------------------------------------------------------------------------- Todd A. Williams April 20, 2001 957 95.35 - -------------------------------------------------------------------------------------------------------
The Covered Persons listed below participate in the Common Stock fund of The Goldman Sachs Employees' Profit Sharing Retirement Income Plan. These Covered Persons acquired or disposed of interests in the Common Stock fund representing the number of shares of Common Stock set forth below:
- -------------------------------------------------------------------------------------------------------------- Acquisition or Covered Person Disposition Transaction Date Number of Shares Price Per Share - -------------------------------------------------------------------------------------------------------------- Kevin Naughton Disposition April 20, 2001 110 $99.65 - -------------------------------------------------------------------------------------------------------------- Robert G. Hottensen, Jr. Acquisition April 30, 2001 525 99.65 - --------------------------------------------------------------------------------------------------------------
RULE 144 PROGRAM Commencing on March 27, 2001, the Covered Persons listed in Table I below sold an aggregate of 6,879,139 Covered Shares under the Rule 144 Program referred to in Item 4 above through May 8, 2001. Sales were made on or through the New York Stock Exchange for cash by each listed Covered Person on the days listed in Table II below (the "Trading Days") at the sales prices set forth in Table II. By reason of the operation of the Rule 144 Program, all listed Covered Persons were deemed to have received the same price for the shares sold on a particular Trading Day. The following table sets forth the name of each Covered Person who participated in the Rule 144 Program, the number of shares sold by such Covered Person on each Trading Day* and the number of shares sold by such Covered Person in the aggregate for all Trading Days: Table I
- ------------------------------------------------------------------------------------------------------------ Shares Sold Total Shares Sold Covered Person Each Trading Day On All Trading Days - ------------------------------------------------------------------------------------------------------------ Bradley I. Abelow 644 18,284 - ------------------------------------------------------------------------------------------------------------ Paul M. Achleitner 1,352 38,387 - ------------------------------------------------------------------------------------------------------------ Jonathan R. Aisbitt 3,355 95,266 - ------------------------------------------------------------------------------------------------------------ Armen A. Avanessians** 1,622 47,445 - ------------------------------------------------------------------------------------------------------------ David M. Baum** 655 19,156 - ------------------------------------------------------------------------------------------------------------ Frank A. Bednarz 41 1,163 - ------------------------------------------------------------------------------------------------------------ Ron E. Beller 1,382 39,239 - ------------------------------------------------------------------------------------------------------------ David W. Blood 2,027 57,557 - ------------------------------------------------------------------------------------------------------------ Peter L. Briger, Jr.** 1,463 42,792 - ------------------------------------------------------------------------------------------------------------ Richard J. Bronks 714 20,272 - ------------------------------------------------------------------------------------------------------------ Lawrence R. Buchalter 1,081 30,699 - ------------------------------------------------------------------------------------------------------------ Michael J. Carr** 844 24,687 - ------------------------------------------------------------------------------------------------------------ Christopher J. Carrera 707 20,076 - ------------------------------------------------------------------------------------------------------------ Mary Ann Casati 297 8,439 - ------------------------------------------------------------------------------------------------------------ Zachariah Cobrinik** 1,132 33,116 - ------------------------------------------------------------------------------------------------------------ Gary D. Cohn 1,216 34,533 - ------------------------------------------------------------------------------------------------------------ Christopher A. Cole 405 11,502 - ------------------------------------------------------------------------------------------------------------ William Connell 86 2,441 - ------------------------------------------------------------------------------------------------------------ Carlos A. Cordeiro** 2,208 64,581 - ------------------------------------------------------------------------------------------------------------ Henry Cornell 2,225 63,176 - ------------------------------------------------------------------------------------------------------------ E. Gerald Corrigan 676 19,190 - ------------------------------------------------------------------------------------------------------------ Frank L. Coulson, Jr. 2,744 77,904 - ------------------------------------------------------------------------------------------------------------
- -------- * For rounding purposes, the number of shares sold by a Covered Person on some Trading Days may have been slightly higher or lower than the number listed to avoid the sale of fractional shares. Commencing on April 30, 2001, the number of shares sold on each Trading Day was increased by approximately 20%. No sales of Covered Shares were made on April 5, 2001 except by those Covered Persons indicated with a double asterisk, who sold approximately 86% of the indicated number of shares on that Trading Day. 57 58
- ------------------------------------------------------------------------------------------------------------ Shares Sold Total Shares Sold Covered Person Each Trading Day On All Trading Days - ------------------------------------------------------------------------------------------------------------ Randolph L. Cowen 676 19,190 - ------------------------------------------------------------------------------------------------------------ Timothy D. Dattels 1,341 38,076 - ------------------------------------------------------------------------------------------------------------ Gavyn Davies 1,352 38,387 - ------------------------------------------------------------------------------------------------------------ David A. Dechman ** 687 20,097 - ------------------------------------------------------------------------------------------------------------ Joseph Della Rosa 1,352 38,387 - ------------------------------------------------------------------------------------------------------------ Alexander C. Dibelius 223 6,329 - ------------------------------------------------------------------------------------------------------------ John O. Downing 1,892 53,723 - ------------------------------------------------------------------------------------------------------------ Connie K. Duckworth 1,789 50,795 - ------------------------------------------------------------------------------------------------------------ C. Steven Duncker 676 19,190 - ------------------------------------------------------------------------------------------------------------ Glenn P. Earle ** 1,307 38,229 - ------------------------------------------------------------------------------------------------------------ Paul S. Efron 706 20,049 - ------------------------------------------------------------------------------------------------------------ Aubrey Ellis, Jr. 54 1,535 - ------------------------------------------------------------------------------------------------------------ Pieter Maarten Feenstra 745 21,151 - ------------------------------------------------------------------------------------------------------------ Lawton W. Fitt ** 1,622 47,445 - ------------------------------------------------------------------------------------------------------------ David B. Ford 2,767 78,560 - ------------------------------------------------------------------------------------------------------------ Edward C. Forst 270 7,668 - ------------------------------------------------------------------------------------------------------------ Christopher G. French 475 13,483 - ------------------------------------------------------------------------------------------------------------ Richard A. Friedman ** 4,033 117,968 - ------------------------------------------------------------------------------------------------------------ Peter C. Gerhard ** 2,142 62,659 - ------------------------------------------------------------------------------------------------------------ Joseph H. Gleberman ** 2,590 75,761 - ------------------------------------------------------------------------------------------------------------ Jacob D. Goldfield ** 2,288 66,929 - ------------------------------------------------------------------------------------------------------------ Amy O. Goodfriend 804 22,828 - ------------------------------------------------------------------------------------------------------------ Andrew M. Gordon 162 4,598 - ------------------------------------------------------------------------------------------------------------ Geoffrey T. Grant 1,212 34,411 - ------------------------------------------------------------------------------------------------------------ Eric P. Grubman 1,458 41,403 - ------------------------------------------------------------------------------------------------------------ Joseph D. Gutman 270 7,668 - ------------------------------------------------------------------------------------------------------------ Robert S. Harrison 811 23,024 - ------------------------------------------------------------------------------------------------------------ Thomas J. Healey 1,591 45,176 - ------------------------------------------------------------------------------------------------------------ David B. Heller 405 11,502 - ------------------------------------------------------------------------------------------------------------ Mary C. Henry ** 1,317 38,529 - ------------------------------------------------------------------------------------------------------------ M. Roch Hillenbrand 405 11,502 - ------------------------------------------------------------------------------------------------------------ Jacquelyn M. Hoffman-Zehner 1,031 29,272 - ------------------------------------------------------------------------------------------------------------ Robert J. Hurst 541 15,356 - ------------------------------------------------------------------------------------------------------------ Francis J. Ingrassia ** 1,563 45,725 - ------------------------------------------------------------------------------------------------------------ Timothy J. Ingrassia ** 776 22,702 - ------------------------------------------------------------------------------------------------------------ Reuben Jeffery III ** 2,662 77,865 - ------------------------------------------------------------------------------------------------------------ Chansoo Joung 541 15,356 - ------------------------------------------------------------------------------------------------------------ Ann F. Kaplan 2,420 68,714 - ------------------------------------------------------------------------------------------------------------ Barry A. Kaplan 986 27,994 - ------------------------------------------------------------------------------------------------------------ Robert J. Katz ** 2,703 79,064 - ------------------------------------------------------------------------------------------------------------ Douglas W. Kimmelman 189 5,369 - ------------------------------------------------------------------------------------------------------------ Bradford C. Koenig 1,432 40,659 - ------------------------------------------------------------------------------------------------------------ Jonathan L. Kolatch 1,559 44,270 - ------------------------------------------------------------------------------------------------------------ David G. Lambert ** 986 28,839 - ------------------------------------------------------------------------------------------------------------ Thomas D. Lasersohn ** 714 20,891 - ------------------------------------------------------------------------------------------------------------ Anthony D. Lauto 704 19,988 - ------------------------------------------------------------------------------------------------------------ Matthew G. L'Heureux ** 541 15,819 - ------------------------------------------------------------------------------------------------------------ Lawrence H. Linden ** 2,303 67,368 - ------------------------------------------------------------------------------------------------------------ Robert Litterman ** 1,430 41,831 - ------------------------------------------------------------------------------------------------------------ Robert H. Litzenberger 433 12,293 - ------------------------------------------------------------------------------------------------------------ Jonathan M. Lopatin ** 1,208 35,338 - ------------------------------------------------------------------------------------------------------------ Michael R. Lynch ** 2,703 79,064 - ------------------------------------------------------------------------------------------------------------
58 59
- ------------------------------------------------------------------------------------------------------------ Shares Sold Total Shares Sold Covered Person Each Trading Day On All Trading Days - ------------------------------------------------------------------------------------------------------------ Arthur S. Margulis 405 11,502 - ------------------------------------------------------------------------------------------------------------ Ronald G. Marks** 1,199 35,073 - ------------------------------------------------------------------------------------------------------------ Eff W. Martin** 2,859 83,627 - ------------------------------------------------------------------------------------------------------------ John P. McNulty** 3,806 111,323 - ------------------------------------------------------------------------------------------------------------ E. Scott Mead 676 19,190 - ------------------------------------------------------------------------------------------------------------ Masanori Mochida 3,381 95,992 - ------------------------------------------------------------------------------------------------------------ Karsten N. Moller 1,356 38,502 - ------------------------------------------------------------------------------------------------------------ Thomas K. Montag** 1,125 32,907 - ------------------------------------------------------------------------------------------------------------ Robert B. Morris III** 2,569 75,148 - ------------------------------------------------------------------------------------------------------------ R. Scott Morris 54 1,535 - ------------------------------------------------------------------------------------------------------------ Sharmin Mossavar-Rahmani 1,622 46,055 - ------------------------------------------------------------------------------------------------------------ Edward A. Mule 1,757 49,889 - ------------------------------------------------------------------------------------------------------------ Thomas S. Murphy, Jr. 375 10,643 - ------------------------------------------------------------------------------------------------------------ Philip D. Murphy** 541 15,819 - ------------------------------------------------------------------------------------------------------------ Avi M. Nash** 447 13,075 - ------------------------------------------------------------------------------------------------------------ Daniel M. Neidich** 2,929 85,679 - ------------------------------------------------------------------------------------------------------------ Kipp M. Nelson** 1,396 40,834 - ------------------------------------------------------------------------------------------------------------ Michael E. Novogratz 635 18,027 - ------------------------------------------------------------------------------------------------------------ Terence J. O'Neill** 2,354 68,851 - ------------------------------------------------------------------------------------------------------------ Timothy J. O'Neill 2,772 78,702 - ------------------------------------------------------------------------------------------------------------ Donald C. Opatrny, Jr.** 2,027 59,294 - ------------------------------------------------------------------------------------------------------------ Robert J. O'Shea 2,210 62,750 - ------------------------------------------------------------------------------------------------------------ Greg M. Ostroff 506 14,369 - ------------------------------------------------------------------------------------------------------------ Terence M. O'Toole 2,163 61,411 - ------------------------------------------------------------------------------------------------------------ Robert J. Pace 526 14,930 - ------------------------------------------------------------------------------------------------------------ Scott M. Pinkus** 2,297 67,194 - ------------------------------------------------------------------------------------------------------------ Timothy C. Plaut** 1,561 45,661 - ------------------------------------------------------------------------------------------------------------ John J. Powers 1,352 38,387 - ------------------------------------------------------------------------------------------------------------ Michael A. Price** 699 20,445 - ------------------------------------------------------------------------------------------------------------ Scott S. Prince 590 16,756 - ------------------------------------------------------------------------------------------------------------ Stephen D. Quinn 1,352 38,387 - ------------------------------------------------------------------------------------------------------------ Michael G. Rantz 1,361 38,651 - ------------------------------------------------------------------------------------------------------------ Girish V. Reddy 662 18,798 - ------------------------------------------------------------------------------------------------------------ James P. Riley, Jr.** 2,494 72,947 - ------------------------------------------------------------------------------------------------------------ Simon M. Robertson** 1,352 39,545 - ------------------------------------------------------------------------------------------------------------ J. David Rogers 2,703 76,741 - ------------------------------------------------------------------------------------------------------------ Emmanuel Roman 725 20,583 - ------------------------------------------------------------------------------------------------------------ Ralph F. Rosenberg 542 15,390 - ------------------------------------------------------------------------------------------------------------ Stuart M. Rothenberg 811 23,024 - ------------------------------------------------------------------------------------------------------------ Michael S. Rubinoff** 697 20,389 - ------------------------------------------------------------------------------------------------------------ Richard M. Ruzika 685 19,454 - ------------------------------------------------------------------------------------------------------------ Jeri Lynn Ryan 401 11,387 - ------------------------------------------------------------------------------------------------------------ John C. Ryan** 784 22,932 - ------------------------------------------------------------------------------------------------------------ Michael D. Ryan** 405 11,849 - ------------------------------------------------------------------------------------------------------------ Richard A. Sapp** 2,703 79,064 - ------------------------------------------------------------------------------------------------------------ Joseph Sassoon** 2,244 65,632 - ------------------------------------------------------------------------------------------------------------ Tsutomu Sato 893 25,357 - ------------------------------------------------------------------------------------------------------------ Muneer A. Satter 1,241 35,243 - ------------------------------------------------------------------------------------------------------------ Jonathan S. Savitz 410 11,637 - ------------------------------------------------------------------------------------------------------------ Peter Savitz 1,134 32,200 - ------------------------------------------------------------------------------------------------------------ Howard B. Schiller 800 22,720 - ------------------------------------------------------------------------------------------------------------ Eric S. Schwartz** 2,427 70,997 - ------------------------------------------------------------------------------------------------------------
59 60
- ------------------------------------------------------------------------------------------------------------ Shares Sold Total Shares Sold Covered Person Each Trading Day On All Trading Days - ------------------------------------------------------------------------------------------------------------ Charles B. Seelig, Jr. 1,352 38,387 - ------------------------------------------------------------------------------------------------------------ Steven M. Shafran** 1,029 30,099 - ------------------------------------------------------------------------------------------------------------ James M. Sheridan 811 23,024 - ------------------------------------------------------------------------------------------------------------ Richard G. Sherlund** 1,604 46,915 - ------------------------------------------------------------------------------------------------------------ Michael S. Sherwood** 495 14,475 - ------------------------------------------------------------------------------------------------------------ Dinakar Singh** 702 20,536 - ------------------------------------------------------------------------------------------------------------ Christian J. Siva-Jothy 701 19,900 - ------------------------------------------------------------------------------------------------------------ Cody J Smith 1,608 45,663 - ------------------------------------------------------------------------------------------------------------ Jonathan S. Sobel 696 19,765 - ------------------------------------------------------------------------------------------------------------ Marc A. Spilker** 1,280 37,442 - ------------------------------------------------------------------------------------------------------------ Daniel W. Stanton 1,352 38,387 - ------------------------------------------------------------------------------------------------------------ Esta E. Stecher 1,619 45,967 - ------------------------------------------------------------------------------------------------------------ Cathrine S. Steck 324 9,203 - ------------------------------------------------------------------------------------------------------------ Fredric E. Steck 270 7,668 - ------------------------------------------------------------------------------------------------------------ Robert K. Steel** 4,055 118,609 - ------------------------------------------------------------------------------------------------------------ Gene T. Sykes 1,352 38,387 - ------------------------------------------------------------------------------------------------------------ Mark R. Tercek** 1,154 33,757 - ------------------------------------------------------------------------------------------------------------ Donald F. Textor 1,463 41,538 - ------------------------------------------------------------------------------------------------------------ John R. Tormondsen** 1,054 30,831 - ------------------------------------------------------------------------------------------------------------ Leslie C. Tortora** 2,666 77,982 - ------------------------------------------------------------------------------------------------------------ John L. Townsend III 1,352 38,387 - ------------------------------------------------------------------------------------------------------------ Byron D. Trott 743 21,097 - ------------------------------------------------------------------------------------------------------------ Thomas E. Tuft 1,352 38,387 - ------------------------------------------------------------------------------------------------------------ John E. Urban 696 19,765 - ------------------------------------------------------------------------------------------------------------ Lee G. Vance** 1,657 48,469 - ------------------------------------------------------------------------------------------------------------ David A. Viniar 2,703 76,748 - ------------------------------------------------------------------------------------------------------------ George H. Walker IV** 646 18,899 - ------------------------------------------------------------------------------------------------------------ Patrick J. Ward** 4,255 124,460 - ------------------------------------------------------------------------------------------------------------ George W. Wellde, Jr. 1,352 38,387 - ------------------------------------------------------------------------------------------------------------ Anthony G. Williams 2,445 69,422 - ------------------------------------------------------------------------------------------------------------ Gary W. Williams** 2,027 59,294 - ------------------------------------------------------------------------------------------------------------ Steven J. Wisch 135 3,834 - ------------------------------------------------------------------------------------------------------------ Richard E. Witten 2,902 82,394 - ------------------------------------------------------------------------------------------------------------ Tracy R. Wolstencroft 1,352 38,387 - ------------------------------------------------------------------------------------------------------------ Yasuyo Yamazaki 831 23,592 - ------------------------------------------------------------------------------------------------------------ Danny O. Yee 1,504 42,701 - ------------------------------------------------------------------------------------------------------------ Michael J. Zamkow 1,705 48,415 - ------------------------------------------------------------------------------------------------------------ Gregory H. Zehner 1,065 30,239 - ------------------------------------------------------------------------------------------------------------ Joseph R. Zimmel** 3,176 92,899 - ------------------------------------------------------------------------------------------------------------ Barry L. Zubrow 1,352 38,387 - ------------------------------------------------------------------------------------------------------------ Mark A. Zurack** 1,280 37,442 - ------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------ Trusts - ------------------------------------------------------------------------------------------------------------ The Guapulo Trust** 51 1,490 - ------------------------------------------------------------------------------------------------------------ The Unicorn Trust** 3,056 89,381 - ------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------ Partnerships - ------------------------------------------------------------------------------------------------------------ Daniel G. Brennan Family Limited Partnership** 218 6,373 - ------------------------------------------------------------------------------------------------------------ The Rizner Family Limited Partnership 333 9,453 - ------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------ Corporations - ------------------------------------------------------------------------------------------------------------ Guapulo Holdings Limited** 1,505 44,017 - ------------------------------------------------------------------------------------------------------------
60 61
- ------------------------------------------------------------------------------------------------------------ Shares Sold Total Shares Sold Covered Person Each Trading Day On All Trading Days - ------------------------------------------------------------------------------------------------------------ HJS2 Limited 270 7,668 - ------------------------------------------------------------------------------------------------------------ Majix Limited 405 11,502 - ------------------------------------------------------------------------------------------------------------ M.B. Turnbull Pty, Limited** 751 21,963 - ------------------------------------------------------------------------------------------------------------ Melalula Limited** 2,686 78,574 - ------------------------------------------------------------------------------------------------------------ RJG Holding Company 936 26,574 - ------------------------------------------------------------------------------------------------------------ Robinelli Limited 676 19,190 - ------------------------------------------------------------------------------------------------------------ Vyrona Holdings Limited** 2,953 86,383 - ------------------------------------------------------------------------------------------------------------
61 62 Table II
- -------------------------------------------------------------------------------- Trading Day Price Per Share - -------------------------------------------------------------------------------- March 27, 2001 $90.29 - -------------------------------------------------------------------------------- March 28, 2001 $88.73 - -------------------------------------------------------------------------------- March 29, 2001 $88.26 - -------------------------------------------------------------------------------- March 30, 2001 $86.88 - -------------------------------------------------------------------------------- April 2, 2001 $85.34 - -------------------------------------------------------------------------------- April 3, 2001 $82.49 - -------------------------------------------------------------------------------- April 4, 2001 $78.74 - -------------------------------------------------------------------------------- April 5, 2001 $84.10 - -------------------------------------------------------------------------------- April 6, 2001 $83.93 - -------------------------------------------------------------------------------- April 9, 2001 $84.45 - -------------------------------------------------------------------------------- April 10, 2001 $88.00 - -------------------------------------------------------------------------------- April 11, 2001 $90.74 - -------------------------------------------------------------------------------- April 12, 2001 $91.82 - -------------------------------------------------------------------------------- April 16, 2001 $93.08 - -------------------------------------------------------------------------------- April 17, 2001 $92.64 - -------------------------------------------------------------------------------- April 18, 2001 $99.07 - -------------------------------------------------------------------------------- April 19, 2001 $97.56 - -------------------------------------------------------------------------------- April 20, 2001 $95.44 - -------------------------------------------------------------------------------- April 23, 2001 $93.62 - -------------------------------------------------------------------------------- April 24, 2001 $92.30 - -------------------------------------------------------------------------------- April 25, 2001 $91.20 - -------------------------------------------------------------------------------- April 30, 2001 $93.08 - -------------------------------------------------------------------------------- May 1, 2001 $91.33 - -------------------------------------------------------------------------------- May 2, 2001 $96.64 - -------------------------------------------------------------------------------- May 3, 2001 $95.94 - -------------------------------------------------------------------------------- May 4, 2001 $96.53 - -------------------------------------------------------------------------------- May 7, 2001 $96.60 - -------------------------------------------------------------------------------- May 8, 2001 $95.72 - --------------------------------------------------------------------------------
62 63 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 11, 2001 By: /s/ Gregory K. Palm ------------------------------------ Name: Gregory K. Palm Title: Attorney-in-Fact 63 64 EXHIBIT INDEX
Exhibit Description ------- ----------- A. Shareholders' Agreement, dated as of May 7, 1999 (incorporated by reference to Exhibit A to the Schedule 13D filed May 17, 1999 (File No. 005-56295) (the "Initial Schedule 13D")). B. Voting Agreement, dated as of April 30, 1999, by and among The Goldman Sachs Group, Inc., The Trustees of the Estate of Bernice Pauahi Bishop and Kamehameha Activities Association (incorporated by reference to Exhibit B to the Initial Schedule 13D). C. 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 C to the Initial Schedule 13D). D. Form of Agreement Relating to Noncompetition and Other Covenants (incorporated by reference to Exhibit 10.20 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). E. Form of Pledge Agreement (the "IPO Pledge Agreement") (incorporated by reference to Exhibit 10.21 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). F. Form of Amendment No. 1 to the IPO Pledge Agreement (filed as Exhibit E), dated July 10, 2000 (incorporated by reference to Exhibit F to Amendment No. 4 to the Initial Schedule 13D, filed July 11, 2000 (File No. 005-56295)). G. Registration Rights Instrument, dated as of December 10, 1999 (incorporated by reference to Exhibit G to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)). H. Supplemental Registration Rights Instrument, dated as of December 10, 1999 (incorporated by reference to Exhibit H to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)). I. Form of Counterpart to Shareholders' Agreement for former profit participating limited partners of The Goldman Sachs Group, L.P. (incorporated by reference to Exhibit I to Amendment No. 2 to the Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)). J. Form of Counterpart to Shareholders' Agreement for former retired limited partners of The Goldman Sachs Group, L.P. who are currently managing directors of The Goldman Sachs Group, Inc. (incorporated by reference to Exhibit J to Amendment No. 2 to the Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)). K. Form of Counterpart to Shareholders' Agreement for non-individual former owners of Hull and Associates, L.L.C. (incorporated by reference to Exhibit K to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). L. Form of Counterpart to Shareholders' Agreement for non-U.S. corporations (incorporated by reference to Exhibit L to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). M. Form of Counterpart to Shareholders' Agreement for non-U.S. trusts (incorporated by reference to Exhibit M to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)).
64 65
Exhibit Description ------- ----------- N. Form of Guarantee and Pledge Agreement for non-U.S. corporations (incorporated by reference to Exhibit N to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). O. Form of Pledge Agreement for shareholders of non-U.S. corporations (incorporated by reference to Exhibit O to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). P. Form of Pledge Agreement for shareholders of non-U.S. corporations (Jersey version) (incorporated by reference to Exhibit P to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). Q. Form of Counterpart to Shareholders' Agreement for Transferee Covered Persons (incorporated by reference to Exhibit Q to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). R. Supplemental Registration Rights Instrument, dated as of June 19, 2000 (incorporated by reference to Exhibit R to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). S. Supplemental Registration Rights Instrument, dated as of July 31, 2000 (incorporated by reference to Exhibit S to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). T. Underwriting Agreement (U.S. Version), dated as of August 1, 2000 (incorporated by reference to Exhibit T to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). U. Underwriting Agreement (International Version), dated as of August 1, 2000 (incorporated by reference to Exhibit U to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). V. Underwriting Agreement (Asia/Pacific Version), dated as of August 1, 2000 (incorporated by reference to Exhibit V to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). W. Form of Power of Attorney to be executed by Covered Persons participating in the Rule 144 Program (incorporated by reference to Exhibit W to Amendment No. 8 to the Initial Schedule 13D, filed September 25, 2000 (File No. 005-56295)). X. Power of Attorney. Y. Form of Amended and Restated Member Agreement, dated as of September 10, 2000, and amended and restated as of October 26, 2000, between GS Inc. and each SLK Covered Person (incorporated by reference to Exhibit Y to Amendment No. 10 to the Initial Schedule 13D, filed November 3, 2000 (File No. 005-56295)). Z. Form of Pledge Agreement, dated as of October 31, 2000, between GS Inc. and each SLK Covered Person (incorporated by reference to Exhibit Z to Amendment No. 10 to the Initial Schedule 13D, filed November 3, 2000 (File No. 005-56295)).
65 66 AA. Supplemental Registration Rights Instrument, dated as of December 21, 2000 (incorporated by reference to Exhibit AA to Amendment No. 12 to the Initial Schedule 13D, filed January 23, 2001 (File No. 005-56295)). BB. Form of Member Agreement, dated as of January 26, 2001, between GS Inc. and each Jacobson Covered Person (incorporated by reference to Exhibit BB to Amendment No. 14 to the Initial Schedule 13D, filed March 28, 2001 (File No. 005-56295)). CC. Form of Pledge Agreement, dated as of March 19, 2001, between GS Inc. and each Jacobson Covered Person (incorporated by reference to Exhibit CC to Amendment No. 14 to the Initial Schedule 13D, filed March 28, 2001 (File No. 005-56295)).
66 -----END PRIVACY-ENHANCED MESSAGE-----