-----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, Q/LMKPAo2mkDG2W8pXmofxswU9djJYzOk/j5tF5r8fv1njdZXkxpt34qz9cZv3Ks fj73VqdmF6mniRHgclgY1Q== 0000950123-02-004010.txt : 20020422 0000950123-02-004010.hdr.sgml : 20020422 ACCESSION NUMBER: 0000950123-02-004010 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020422 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: 134019460 STATE OF INCORPORATION: DE FISCAL YEAR END: 1129 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-56295 FILM NUMBER: 02616494 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: 134019460 STATE OF INCORPORATION: DE FISCAL YEAR END: 1129 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 y59823sc13da.txt AMENDMENT NO. 25 TO SCHEDULE 13D SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 File No. 005-56295 ----------------------------------------------------- SCHEDULE 13D/A (Rule 13d-101) Amendment No. 25 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) April 15, 2002 -------------------- (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)
- ------------------------ 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 Appendix A BENEFICIALLY ----------------------------------------------------------- OWNED BY 8. SHARED VOTING POWER (See Item 6) (Applies to REPORTING each person listed on Appendix A.) PERSON 221,559,642 Covered Shares held by Covered Persons WITH 15,634 Uncovered Shares held by Covered Persons(3) 2,003,906 other Uncovered Shares held by Covered Persons(4) ----------------------------------------------------------- 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 223,579,182 - -------------------------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (Applies to each person listed on Appendix A.) [x] - -------------------------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 47.28% - -------------------------------------------------------------------------------------------------- 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 94 private charitable foundations established by 94 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 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 Ben I. Adler 0 0 0 0 Gregory A. Agran 0 0 0 0 Raanan A. Agus 0 0 0 0 Syed H. Ahmad Pakistan 0 0 0 0 Jonathan R. Aisbitt 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 Ignacio Alvarez-Rendueles Spain 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 Douglas M. Angstrom 0 0 0 0 Arnaud M. Apffel France 0 0 0 0 Lori B. Appelbaum 0 0 0 0 Philip S. Armstrong UK 0 0 0 0 John A. Ashdown UK 0 0 0 0 David M. Atkinson UK 0 0 0 0 Neil Z. Auerbach 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 Katherine M. Bailon 0 0 0 0 Andrew G. Baird UK 0 0 0 0 Michiel J. Bakker The Netherlands 0 0 0 0 Mark E. Bamford 0 0 0 0 William J. Bannon 0 0 0 0 John S. Barakat 0 0 0 0 Leslie Barbi 0 0 0 0 Adam P. Barrett UK 0 0 0 0 Scott B. Barringer 0 0 0 0 Steven M. Barry 0 0 0 0 Christopher M. Barter 0 0 0 0 Christopher A. Bates 0 0 0 0 Carl-Georg Bauer-Schlichtegroll Germany 0 0 0 0 David Baum 0 0 0 0 Gerhard Baumgard Germany 0 0 0 0 Patrick Y. Baune France 0 0 0 0 Frank A. Bednarz 0 0 0 0
3
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 - --------------------------- ---------- ------ ------ ------ ------ Jonathan A. Beinner 0 0 0 0 Janet L. Bell 0 0 0 0 Ron E. Beller 0 0 0 0 Jordan M. Bender 0 0 0 0 Tarek M. Ben Halim Saudi Arabia 0 0 0 0 Kenneth Berents 0 0 0 0 Michael G. Berini 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 Paul D. Bernard 0 0 0 0 Anthony D. Bernbaum UK 0 0 0 0 Stuart N. Bernstein 0 0 0 0 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 Andrew C. Bieler 0 0 0 0 James J. Birch UK 0 0 0 0 Gary D. Black 0 0 0 0 Lloyd C. Blankfein 0 0 0 0 Abraham Bleiberg Mexico 0 0 0 0 Dorothee Blessing Germany 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 George M. Brady 136 0 136 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 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 Holger Bross Germany 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
4
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 - --------------------------- ---------- ------ ------ ------ ------ 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 Joseph M. Busuttil 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 Jin Yong Cai China 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 Mark M. Carhart 0 0 0 0 Mark J. Carlebach 0 0 0 0 Mariafrancesca Carli Italy 0 0 0 0 Valentino D. Carlotti 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 Andrea Casati Italy 0 0 0 0 Mary Ann Casati 0 0 0 0 Chris Casciato 0 0 0 0 Mark A. Castellano 0 0 0 0 Eduardo Centola Brazil 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 495 0 495 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 James B. Clark 0 0 0 0 Kent A. Clark Canada 0 0 0 0 Maura J. Clark Canada 0 0 0 0 Alexander Classen Switzerland 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
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 - --------------------------- ---------- ------ ------ ------ ------ 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 William 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 Marta Z. Cotton 0 0 0 0 James A. Coufos 0 0 0 0 Frank L. Coulson, Jr. 0 0 0 0 Kenneth Courtis 0 0 0 0 Eric J. Coutts UK 0 0 0 0 Beverley M. Covell 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 Linda S. Daines 0 0 0 0 Stephen B. Dainton UK 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 Stephen Davies UK 0 0 0 0 Oral W. Dawe Canada 0 0 0 0 Diego De Giorgi Italy 0 0 0 0
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 - --------------------------- ---------- ------ ------ ------ ------ 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 Daniel L. Dees 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 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 Mario Draghi Italy 0 0 0 0 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 Kenneth M. Eberts, III 0 0 0 0 Paul S. Efron 0 0 0 0
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 - --------------------------- ---------- ------ ------ ------ ------ Herbert E. Ehlers 0 0 0 0 Alexander S. Ehrlich 0 0 0 0 Howard B. Eisen 0 0 0 0 John E. Eisenberg 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 Christian Erickson 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 Luca D. Ferrari 0 0 0 0 John A. Ferro, Jr. 0 0 0 0 Robert P. Fisher, Jr. 0 0 0 0 David A. Fishman 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 Alexander W. Fletcher UK 0 0 0 0 David B. Ford 0 134(5) 0 134(5) Edward C. Forst 0 0 0 0 George B. Foussianes 0 0 0 0 Karl Fowler UK 0 0 0 0 Oliver L. Frankel 0 0 0 0 Randy W. Frankel 0 0 0 0 Orit P. Freedman Israel 0 0 0 0 Matthew T. Fremont-Smith 0 0 0 0 Christopher G. French UK 0 0 0 0
- ------------------------------------ (5) Shared with family members. 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 - --------------------------- ---------- ------ ------ ------ ------ 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 Naosuke Fujita Japan 0 0 0 0 Shirley Fung UK 0 0 0 0 Enrico S. Gaglioti 0 0 0 0 James R. Garvey Ireland 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 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 0 300(6) 0 300(6) Joseph H. Gleberman 0 0 0 0 Nancy S. Gloor 0 0 0 0 Richard J. Gnodde Ireland/South 0 0 0 0 Africa 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 Daniel C. Goldwater UK 0 0 0 0 James S. Golob 0 0 0 0 Gregg A. Gonsalves 0 0 0 0 Amy O. Goodfriend 0 0 0 0 Jay S. Goodgold 0 0 0 0 Larry J. Goodwin 0 0 0 0 Andrew M. Gordon 0 0 0 0 Anthony J. 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
- ------------------------------------ (6) Shared with family members. (7) Shared with family members. 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 - --------------------------- ---------- ------ ------ ------ ------ Carmen A. Greco 0 0 0 0 Stefan Green Australia 0 0 0 0 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 Douglas C. Grip 0 0 0 0 Peter Gross 0 0 0 0 David J. Grounsell UK 0 0 0 0 Eric P. Grubman 0 0 0 0 Arun M. Gunewardena Sri Lanka 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 Ralf O. Haase Germany 0 0 0 0 Erol Hakanoglu Turkey 0 0 0 0 David R. Hansen Australia 0 0 0 0 Mary L. Harmon 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 Valerie J. Harrison UK 0 0 0 0 Shelley A. Hartman 0 0 0 0 Paul R. Harvey 0 0 0 0 Rumiko Hasegawa Japan 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 Isabelle Hayen Belgium 0 0 0 0 Keith L. Hayes UK 0 0 0 0 Edward A. Hazel 0 0 0 0 Thomas J. Healey 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 R. Heinz 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 Bruce A. Heyman 0 0 0 0
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 - --------------------------- ---------- ------ ------ ------ ------ Stephen Hickey 0 0 0 0 Melina E. Higgins 0 0 0 0 Robert E. Higgins 0 0 0 0 Joanne M. Hill 0 0 0 0 Michael I. Hill UK 0 0 0 0 M. Roch Hillenbrand 0 0 0 0 Donald W. Himpele 0 0 0 0 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 Margaret J. Holen 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 Sean C. Hoover 0 0 0 0 Jay D. Horine 0 0 0 0 Robert D. Hormats 0 0 0 0 Robert G. Hottensen, Jr. 615 0 615 0 Thomas J. Houle 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 Janet T. Hurley 0 0 0 0 Fern Hurst 0 0 0 0 Robert J. Hurst 100 0 100 0 Elizabeth A. Husted 0 0 0 0 Walter V. Hutcherson 0 0 0 0 John S. Iglehart 0 0 0 0 Robert F. Incorvaia 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 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
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 - --------------------------- ---------- ------ ------ ------ ------ Arthur L. Jacobson, Jr. 0 0 0 0 James A. Jacobson 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 Robert H. Jolliffe UK 0 0 0 0 Andrew J. Jonas 0 0 0 0 Emerson P. Jones 0 0 0 0 Robert C. Jones 0 0 0 0 William J. Jones 0 0 0 0 Roy R. Joseph Guyana 0 0 0 0 Kenneth L. Josselyn 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 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 Toshinobu Kasai Japan 0 0 0 0 Richard Katz 0 0 0 0 Robert J. Katz 0 0 0 0 James C. Katzman 0 0 0 0 John J. Kauffman 0 0 0 0 David K. Kaugher 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 Sun Bae Kim Canada 0 0 0 0
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 - --------------------------- ---------- ------ ------ ------ ------ Douglas W. Kimmelman 442 0 442 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 Shigeki Kiritani Japan 0 0 0 0 Ewan M. Kirk UK 0 0 0 0 Remy Klammers France 0 0 0 0 Daniel H. Klebes II 0 0 0 0 Michael Klimek 0 0 0 0 Michael K. Klingher 0 0 0 0 Jonathan R. Knight UK 0 0 0 0 Bradford C. Koenig 0 0 0 0 Mark J. Kogan 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 Eiichiro Kuwana Japan 0 0 0 0 Peter Labbat 0 0 0 0 Peggy A. Lamb 0 0 0 0 David G. Lambert 0 0 0 0 Eric S. Lane 0 0 0 0 Thomas K. Lane 0 0 0 0 Gary R. Lapidus 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 Andrew E. Law UK 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 Chan-Keun Lee 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 Richard O. Leggett 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 Gregg R. Lemkau 0 0 0 0 Remco O. Lenterman The Netherlands 0 0 0 0
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 - --------------------------- ---------- ------ ------ ------ ------ 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 Mitchell J. Lieberman 0 0 0 0 Richerd C. Lightburn 0 0 0 0 Ryan D. Limaye 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 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 Jill E. Lohrfink 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 Richard E. Lyon, III 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 Christopher J. Magarro 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 Keith A. Malas 0 0 0 0
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 - --------------------------- ---------- ------ ------ ------ ------ 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 Elizabeth C. Marcellino 0 0 0 0 Arthur S. Margulis, Jr. 0 0 0 0 Carmen Marino 0 0 0 0 Ronald G. Marks 0 0 0 0 Robert J. Markwick UK 0 0 0 0 Nicholas I. Marovich 0 0 0 0 David J. Marshall 0 0 0 0 Allan S. Marson UK 0 0 0 0 Eff W. Martin 0 0 0 0 Jacques Martin Canada 0 0 0 0 Alison J. Mass 0 0 0 0 Robert A. Mass 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 Karen A. Matte 40 0 40 0 George N. Mattson 0 0 0 0 Heinz Thomas Mayer Germany 0 0 0 0 Thomas J. McAdam 42 0 42 0 Richard F. McArdle 0 0 0 0 John J. McCabe 0 0 0 0 Theresa E. McCabe 0 0 0 0 Joseph M. McConnell 0 0 0 0 Ian R. McCormick UK 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 John C. McIntire 0 0 0 0 John W. McMahon 0 0 0 0 Geraldine F. McManus 0 0 0 0 Gerald C. McNamara, Jr. 4,181 0 4,181 0 James A. McNamara 0 215(8) 0 215(8) Richard P. McNeil Jamaica 0 0 0 0 Audrey A. McNiff 0 0 0 0 John P. McNulty 0 0 0 0 Stuart G. McPherson UK 0 0 0 0 Robert A. McTamaney 0 0 0 0 E. Scott Mead 0 0 0 0 Lance P. Meaney 0 0 0 0 Sharon I. Meers 0 0 0 0
- ------------------------------------ (8) Shared with family members. 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 - --------------------------- ---------- ------ ------ ------ ------ 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 Andrew J. Melnick 0 0 0 0 Michael A. Mendelson 0 0 0 0 Bernard A. Mensah UK 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 Julian R. Metherell UK 0 0 0 0 Michael R. Miele 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 Luciana D. Miranda Brazil 0 0 0 0 Edward S. Misrahi Italy 0 0 0 0 Masatoki J. Mitsumata Japan 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 J. Ronald Morgan, III 0 0 0 0 Yukihiro Moroe Japan 0 0 0 0 James P. Morris 0 0 0 0 R. Scott Morris 0 0 0 0 Robert B. Morris III 0 0 0 0 Richard S. Morse UK 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 Ian Mukherjee UK 0 0 0 0 Edward A. Mule 0 0 0 0 Donald R. Mullen 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 Robert G. Munro UK 0 0 0 0 Rie Murayama Japan 0 0 0 0 Richard A. Murley UK 0 0 0 0 Patrick E. Murphy 0 0 0 0 Philip D. Murphy 0 0 0 0 Thomas S. Murphy, Jr. 0 0 0 0 Gaetano J. Muzio 0 0 0 0
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 - --------------------------- ---------- ------ ------ ------ ------ 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 112 0 112 0 Mark J. Naylor UK 0 0 0 0 Jeffrey P. Nedelman 0 0 0 0 Warwick M. Negus Australia 0 0 0 0 Daniel M. Neidich 44 0 44 0 Kipp M. Nelson 0 0 0 0 Leslie S. Nelson 0 0 0 0 Robin Neustein 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 Eric M. Oberg 0 0 0 0 Alok Oberoi India 0 0 0 0 Gavin G. O'Connor 0 0 0 0 James K. O'Connor 0 0 0 0 Fergal J. O'Driscoll Ireland 0 0 0 0 Jinsuk T. Oh South Korea 0 0 0 0 L. Peter O'Hagan Canada 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 Terence M. O'Toole 0 0 0 0 Brett R. Overacker 0 0 0 0 Todd G. Owens 0 0 0 0 Fumiko Ozawa Japan 0 0 0 0 Robert J. Pace 0 0 0 0 Helen Paleno 0 0 0 0 Gregory K. Palm 0 0 0 0 Bryant F. Pantano 0 0 0 0
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 - --------------------------- ---------- ------ ------ ------ ------ Massimo Pappone Italy 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 Archie W. Parnell 100 100 100 100 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 285 0 285 0 David E. Perlin 0 0 0 0 Bradley J. Peterson 0 0 0 0 David B. Philip 0 0 0 0 Paul A. Phillips 0 0 0 0 Todd J. 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 Anthony J. Principato 0 0 0 0 Nomi M. Prins 0 0 0 0 Steven D. Pruett 0 0 0 0 Goran V. Puljic 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 Alan M. Rapfogel 0 0 0 0 Joseph Ravitch 0 0 0 0 Sara E. Recktenwald 0 0 0 0 Girish V. Reddy 0 0 0 0 Arthur J. Reimers III 0 0 0 0
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 - --------------------------- ---------- ------ ------ ------ ------ Filip A. Rensky 0 0 0 0 Anthony John Reizenstein UK 0 0 0 0 Jeffrey A. Resnick 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 Thomas S. Riggs, III 0 0 0 0 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 Richard T. Roberts 0 0 0 0 Simon M. Robertson UK 0 0 0 0 Normann G. Roesch Germany 0 0 0 0 James H. Rogan 0 0 0 0 J. David Rogers 0 100(9) 0 100(9) 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 Paul M. Russo 0 0 0 0 John P. Rustum Ireland/USA 0 0 0 0 Richard M. Ruzika 0 0 0 0 David C. Ryan 0 0 0 0 David M. Ryan Australia 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 210 0 210 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
- ------------------------------------ (9) Shared with family members. 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 - --------------------------- ---------- ------ ------ ------ ------ Jonathan S. Savitz 0 0 0 0 Peter Savitz 0 0 0 0 James E. Sawtell UK 0 0 0 0 Paul S. Schapira Italy 0 0 0 0 P. Sheridan Schechner 1,000 0 1,000 0 Marcus Schenck Germany 0 0 0 0 Susan J. Scher 0 0 0 0 Gary B. Schermerhorn 0 0 0 0 Stephen M. Scherr 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 Mark Schwartz 0 0 0 0 Thomas M. Schwartz 0 1,900(10) 0 1,900(10) 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 Anik Sen UK 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 Richard S. Sharp UK 0 0 0 0 John P. Shaughnessy 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 Masaru Shibata Japan 0 0 0 0 James Shim 0 0 0 0 Abraham Shua 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
- ------------------------------------ (10) Shared with family members. 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 - --------------------------- ---------- ------ ------ ------ ------ 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 Edward M. Siskind 0 0 0 0 Christian J. Siva-Jothy UK 0 0 0 0 Mark F. Slaughter 0 0 0 0 Jeffrey S. Sloan 0 0 0 0 Linda J. Slotnick 0 0 0 0 Cody J Smith 0 1,000(11) 0 1,000(11) 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 John E. Smollen 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 Daniel W. Stanton 0 0 0 0 Steven R. Starker 0 0 0 0 Keith G. Starkey UK 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 Margaret E. Stone 0 0 0 0 Timothy T. Storey Canada 0 0 0 0 George C. Strachan 0 0 0 0 Fredrik J. Stromholm Sweden 0 0 0 0 Raymond B. Strong, III 0 0 0 0 Steven H. Strongin 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 Richard J. Sussman 0 0 0 0
- ------------------------------------ (11) Shared with family members. 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 - --------------------------- ---------- ------ ------ ------ ------ 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 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 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 John L. Thornton 0 0 0 0 Timothy J. Throsby Australia 0 0 0 0 Nicolas F. Tiffou France 0 0 0 0 Jason A. Tilroe 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 Stephen S. Trevor 0 0 0 0 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 Can Uran 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
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 - --------------------------- ---------- ------ ------ ------ ------ Ashok Varadhan 0 0 0 0 Corrado P. Varoli Canada 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 David H. Voon 0 0 0 0 Robert T. Wagner 0 0 0 0 John E. Waldron 0 0 0 0 George H. Walker IV 0 0 0 0 Thomas B. Walker III 0 0 0 0 Robert P. Wall 0 0 0 0 Steven A. Wallace UK 0 0 0 0 Berent A. Wallendahl Norway 0 0 0 0 Alastair J. Walton UK/Australia 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 Michael W. Warren UK 0 0 0 0 Haruko Watanuki Japan 0 0 0 0 Jerry T. Wattenberg 0 0 0 0 David M. Weil 0 0 0 0 Theodor Weimer Germany 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 Christopher S. Wendel 0 0 0 0 Martin M. Werner Mexico 0 0 0 0 Richard T. Wertz 0 0 0 0 Lance N. West 0 0 0 0 Matthew Westerman UK 0 0 0 0 Barbara A. White 0 0 0 0 William Wicker 0 0 0 0 A. Carver Wickman 0 0 0 0 C. Howard Wietschner 0 0 0 0 David D. Wildermuth 401 0 401 0 Edward R. Wilkinson 0 0 0 0 Kevin L. Willens 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 Todd A. Williams 90 0 90 0 John S. Willian 0 0 0 0 Kenneth W. Willman 0 0 0 0 Keith R. Wills UK 0 0 0 0
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 - --------------------------- ---------- ------ ------ ------ ------ 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 Jon A. Woodruf 0 0 0 0 Zi Wang Xu Canada/China (PRC) 0 0 0 0 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 Michael Y. Yao 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 William J. Young 0 0 0 0 Michael J. Zamkow 0 55(12) 0 55(12) 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 Shares held by 94 private N/A 0 2,046,623 0 2,046,623 charitable foundations established by 94 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations(13)
- ------------------------------------ (12) Shared with family members. (13) Each Covered Person disclaims beneficial ownership of all such shares of Common Stock. 24
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF 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 2000 Douglas W. Kimmelman Grantor Retained Annuity Trust 0 0 0 0 2000 Girish V. Reddy Grantor Retained Annuity Trust 0 0 0 0 2000 James M. Sheridan Grantor Retained Annuity Trust 0 0 0 0 2000 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 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 Carlos A. Cordeiro Grantor Retained Annuity Trust 0 0 0 0 2001 Danny O. Yee Grantor Retained Annuity Trust 0 0 0 0 2001 Douglas W. Kimmelman Grantor Retained Annuity Trust 0 0 0 0 2001 Girish V. Reddy Grantor Retained Annuity Trust 0 0 0 0 2001 James M. Sheridan Grantor Retained Annuity Trust 0 0 0 0 2001 John A. Thain Grantor Retained Annuity Trust 0 0 0 0 2001 Mary Ann Casati Grantor Retained Annuity Trust 0 0 0 0 2001 Michael E. Novogratz Grantor Retained Annuity Trust 0 0 0 0 2001 Scott S. Prince Grantor Retained Annuity Trust 0 0 0 0 2002 Douglas W. Kimmelman Grantor Retained Annuity Trust 0 0 0 0
25
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------- ---------- ------ ------ ------ ------ 2002 James M. Sheridan Grantor Retained Annuity Trust 0 0 0 0 2002 John A. Thain Grantor Retained Annuity Trust 0 0 0 0 2002 Mary Ann Casati Grantor Retained Annuity Trust 0 0 0 0 2002 Scott S. Prince Grantor Retained Annuity Trust 0 0 0 0 A.C. 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 The Abby Joseph Cohen 2001 Annuity Trust II 0 0 0 0 The Abby Joseph Cohen 2002 Annuity Trust I 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 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 The Alexis Blood 2000 Trust 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. Alper 2001 Annuity Trust I 0 0 0 0 The Andrew M. Alper 2002 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 6/26/2001 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
26
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ 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 Anthony D. Lauto 2002 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 Avi M. Nash 2001 Annuity Trust I 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 Barry A. Kaplan 2001 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 0 0 0 0 The Barry L. Zubrow 2002 Annuity Trust I 0 0 0 0 The Beller/Moses Trust 0 0 0 0 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 The Bradford C. Koenig 2001 Family Trust 0 0 0 0 The Bradford C. Koenig 2002 Annuity Trust I 0 0 0 0 The Bradley Abelow Family 2000 Trust 0 0 0 0 The Bradley Craig Spiegel 2000 Trust 0 0 0 0 The Brian Patrick Minehan 2001 Trust 0 0 0 0
27
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ 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 A. Cole 2002 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 0 0 0 0 The Cody J Smith 2002 Annuity Trust I 0 0 0 0 The Connie K. Duckworth 2000 Annuity Trust I 0 0 0 0 The Connie K. Duckworth 2000 Family 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 0 0 0 0 The Daniel M. Neidich 2002 Annuity Trust I 0 0 0 0 The Daniel W. Stanton 2000 Annuity Trust I 0 0 0 0 The Daniel W. Stanton 2001 Annuity Trust I 0 0 0 0 The Daniel W. Stanton 2002 Annuity Trust I 0 0 0 0
28
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ 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 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 G. Lambert 2002 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 L. Henle 2002 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 Viniar 2002 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 David W. Blood 2002 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 Donald F. Textor 2002 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
29 ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ The E. Gerald Corrigan 2002 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 C. Forst 2001 Annuity Trust I 0 0 0 0 The Edward C. Forst 2002 Annuity Trust I 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 The Edward Scott Mead 2001 Trust 0 0 0 0 The Edward Scott Mead 2002 Annuity Trust I 0 0 0 0 The Edward Spiegel 2002 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 Elana Brooke Spiegel 2000 Trust 0 0 0 0 The Elizabeth Anne Corrigan 2000 Trust 0 0 0 0 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 Eric Fithian 2000 Trust The Erin Marie Tormondsen 2000 Trust 0 0 0 0
30
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ 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 Esta Eiger Stecher 2002 Annuity Trust I 0 0 0 0 The Evans Trust 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 Francis J. Ingrassia 2002 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 The Fredric E. Steck 2002 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 Family Trust New Jersey 0 0 0 0 The Gary Tolchin 2001 Grantor Retained Annuity Trust New Jersey 0 0 0 0 The Gary Tolchin 2002 Grantor Retained Annuity Trust 0 0 0 0 The Gary W. Williams 2001 Trust 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 Gene Tiger Sykes 2002 Annuity Trust I 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 The George H. Walker 2002 Annuity Trust I 0 0 0 0
31
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ 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 W. Wellde, Jr. 2002 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 2001 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 Greg M. Ostroff 2001 Annuity Trust I 0 0 0 0 The Gregory D. Cohen 2000 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 Gregory K. Palm 2002 Annuity Trust I 0 0 0 0 The Guapulo Trust Jersey 0 0 0 0 The Harvey Silverman 2001 Family Trust 0 0 0 0 The Harvey Silverman 2001 Grantor Retained Annuity Trust 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 A. Silverstein 2001 Annuity Trust I 0 0 0 0 The Howard A. Silverstein 2002 Annuity Trust I 0 0 0 0
32
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ 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 J. David Rogers 2002 Annuity Trust I 0 0 0 0 The James Alexander Mead 2000 Trust 0 0 0 0 The James M. Sheridan Shares 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 The James P. Riley, Jr. 2002 Family GST Trust 0 0 0 0 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 JG 2002 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 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 O. Downing 2002 Annuity Trust I 0 0 0 0
33
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ 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 P. Curtin, Jr. 2001 Annuity Trust I 0 0 0 0 The John R. Tormondsen 2000 Annuity Trust I 0 0 0 0 The John R. Tormondsen 2002 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 John S. Weinberg 2000 Family Trust 0 0 0 0 The John S. Weinberg 2001 Annuity Trust I 0 0 0 0 The John S. Weinberg 2002 Annuity Trust I 0 0 0 0 The Jonathan G. Neidich 2000 Trust 0 0 0 0 The Jonathan L. Cohen 2002 Annuity Trust I 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 Jonathan M. Lopatin 2002 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 Della Rosa 2002 Annuity Trust I 0 0 0 0 The Joseph H. Gleberman 2000 Annuity Trust I 0 0 0 0 The Joseph H. Gleberman 2000 Family Trust 0 0 0 0 The Joseph H. Gleberman 2001 Annuity Trust I 0 0 0 0 The Karen Barlow Corrigan 2000 Trust 0 0 0 0
34
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ 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 Kevin W. Kennedy 2002 Annuity Trust I 0 0 0 0 The Kevin W. Kennedy 2002 Annuity Trust II 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 Kuala Trust Jersey 0 0 0 0 The Kyle F. Textor 2000 Trust 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 Lawrence R. Buchalter 2001 Annuity Trust I 0 0 0 0 Lawrence R. Buchalter 2002 Annuity Trust I 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
35
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ The Lee G. Vance 2002 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 The Leslie C. Tortora 2002 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 The Lloyd C. Blankfein 2001 Annuity Trust I 0 0 0 0 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 The Mark A. Zurack 2001 Annuity Trust I 0 0 0 0 The Mark A. Zurack 2002 Annuity Trust I 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 The Mark Tercek 2002 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
36
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ 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 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 D. Ryan 2001 Annuity Trust I 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 The Michael J. Zamkow 2001 Annuity Trust I 0 0 0 0 The Michael J. Zamkow 2001 Trust 0 0 0 0 The Michael J. Zamkow 2002 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 Milton R. Berlinski 2002 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 Patrick J. Ward 2001 Trust 0 0 0 0
37
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ The Patrick Scire 2001 Family Trust New Jersey 0 0 0 0 The Patrick Scire 2001 Grantor Retained Annuity 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 C. Gerhard 2001 Annuity Trust I 0 0 0 0 The Peter C. Gerhard 2002 Annuity Trust I 0 0 0 0 The Peter D. Kiernan, III 2000 Annuity Trust I 0 0 0 0 The Peter D. Kiernan, III 2001 Annuity Trust I 0 0 0 0 The Peter D. Kiernan, III 2002 Annuity Trust I 0 0 0 0 The Peter Kiernan IV 2000 Trust 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 Peter S. Kraus 2002 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 D. Murphy 2001 Annuity Trust I 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 Philip Darivoff 2002 Annuity Trust I 0 0 0 0 The Philip Darivoff 2002 Family Trust 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 The Ralph F. Rosenberg 2002 Annuity Trust I 0 0 0 0
38
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ Randal M. Fippinger-Millennium Trust 0 0 0 0 The Randolph L. Cowen 2000 Family Trust 0 0 0 0 The Randy Frankel 2001 Family Trust 0 0 0 0 The Randy Frankel 2001 Grantor Retained Annuity 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 A. Sapp 2001 Annuity Trust I 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 E. Witten 2002 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 Family Trust 0 0 0 0 The Richard Hogan 2001 Grantor Retained Annuity 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. Litterman 2001 Annuity Trust I 0 0 0 0 The Robert B. Litterman 2002 Annuity Trust I 0 0 0 0 The Robert B. Morris III 2000 Annuity Trust I 0 0 0 0 The Robert B. Morris III 2000 Family Trust 0 0 0 0 The Robert B. Morris III 2001 Annuity Trust I 0 0 0 0
39
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ The Robert B. Morris III 2002 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. Hurst 2002 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. Katz 2002 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. O'Shea 2001 Annuity Trust I 0 0 0 0 The Robert J. O'Shea 2002 Annuity Trust I 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 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 Robert K. Steel 2002 Annuity Trust I 0 0 0 0 The Robert Luckow 2001 Family Trust 0 0 0 0 The Robert Luckow 2002 Grantor Retained Annuity Trust 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
40
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ 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 The Scott B. Kapnick 2001 Annuity Trust I 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 Stephen Moss 2001 Irrevocable Trust 0 0 0 0 The Stephen Moss 2002 Grantor Retained Annuity 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 J. Wisch 2002 Annuity Trust I 0 0 0 0 The Steven M. Heller, Jr. 2000 Trust 0 0 0 0 The Steven Starker 2001 Family Trust 0 0 0 0 The Steven Starker 2001 Grantor Retained Annuity Trust 0 0 0 0 The Steven Starker 2002 Grantor Retained Annuity 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 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 Mark Rothenberg 2002 Annuity Trust I 0 0 0 0 The Stuart Sternberg 2001 Family Trust 0 0 0 0
41
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ The Stuart Sternberg 2001 Grantor Retained Annuity Trust 0 0 0 0 The Suzanne E. Cohen 2000 Trust 0 0 0 0 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 Terence M. O' Toole 2001 Annuity Trust I 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 The Tracy Richard Wolstencroft 2001 Annuity Trust I 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 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
42
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ Zachariah Cobrinik 2001 Annuity Trust I 0 0 0 0 Zachariah Cobrinik 2001 Family Trust 0 0 0 0 The Zachariah Cobrinik Family 2000 Trust 0 0 0 0
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ 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 EPG Associates, L.P. 0 0 0 0 Greenley Partners, L.P. Delaware 0 0 0 0 Harris Capital Partners, Limited Partnership 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 Ward 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
43
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ LIMITED LIABILITY COMPANIES - --------------------------- The Gary Tolchin Family LLC Delaware 0 0 0 0 The James Coufos Family LLC Delaware 0 0 0 0 The Lawrence Cohen Family LLC Delaware 0 0 0 0 The Patrick Scire 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 Todd Christie Family LLC Delaware 0 0 0 0
ITEM 6 PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10 ORGANIZATION SOLE SHARED SOLE SHARED (NEW YORK 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 - ---------------------------- ---------- ------ ------ ------ ------ CORPORATIONS - ------------ Anahue Limited Jersey 0 0 0 0 Chambolle Limited Jersey 0 0 0 0 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 Anahue Limited 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
44 This Amendment No. 25 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. 25 is being filed primarily because, on April 15, 2002, certain Covered Persons (as defined below) have in the aggregate transferred 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. According to the separate Schedules 13D and amendments thereto filed by SMBC Capital Markets, Inc. (formerly Sumitomo Bank Capital Markets, Inc.) ("SMBC") and Kamehameha Activities Association ("KAA"), each of SMBC and KAA disposed of all of its shares of Common Stock on January 7, 2002. All information contained in this Schedule relating to SMBC and KAA has been included based upon information provided by SMBC and KAA; the separate Schedules 13D filed by SMBC and KAA and any amendments thereto should be referred to for information relating to SMBC 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 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 45 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 combination of GS Inc. with 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 certain former direct and indirect owners of Hull, SLK and Jacobson 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 31, 2002, 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 12,031,208 shares for all Covered Persons). These sales commenced during the week of March 25, 2002 and an aggregate of 4,201,503 Covered Shares had been sold as of April 15, 2002 as described in Annex E. 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. 46 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. 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. (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 47 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 SLK Covered Persons and the Jacobson Covered Persons, the board of directors waived the Partner Transfer Restrictions to permit the sale of up to an aggregate of 12,031,208 Covered Shares by certain Covered Persons during GS Inc.'s fiscal quarter ending May 31, 2002 under the Rule 144 Program described in Item 4 and in Annex C hereto (of which 4,201,503 Covered Shares had been sold as of April 15, 2002). 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 48 the Voting Interests in the Preliminary Vote. In elections of directors, each Covered Share will be voted in favor of 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. 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. In connection with the transfers by persons subject to a noncompetition agreement to Estate Planning Covered Persons who are corporations and certain transfers to Estate Planning Covered Persons who are trusts, the IPO Pledge was replaced with a guarantee and pledge agreement that was entered into by the relevant Estate Planning Covered Person. In addition, each transferring Covered Person in these transfers was required to pledge the capital stock or trust interests, as applicable, of the relevant Estate Planning Covered Person to GS Inc. in order to further secure the transferring 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 combination with SLK and acquisition of 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 49 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 donations of shares of Common Stock by certain Covered Persons to certain charitable organizations on December 13, 1999, December 22, 2000, December 26, 2001 and January 9, 2002, GS Inc. entered into a Registration Rights Instrument and three 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. 50 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. 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.). C. 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.). D. 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)). E. 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)). F. 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)). G. 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)). H. 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)). I. 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)). J. 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)). K. 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)). L. 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)). M. 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)).
51
Exhibit Description - ------------ ------------------------------------------------------------------------------ N. 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)). O. 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)). P. 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)). Q. 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)). R. 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)). S. 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)). T. 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)). U. 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)). V. Power of Attorney (incorporated by reference to Exhibit X to Amendment No. 14 to the Initial Schedule 13D, filed March 29, 2001 (File No. 005-56295)). W. 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)). X. 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)). Y. 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)). Z. 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)).
52
Exhibit Description - ------------ ------------------------------------------------------------------------------ AA. 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)). BB. Form of Guarantee and Pledge Agreement for trusts (incorporated by reference to Exhibit DD to Amendment No. 19 to the Initial Schedule 13D, filed October 30, 2001 (File No. 005-56295)). CC. Form of Pledge Agreement for beneficiaries of trusts (incorporated by reference to Exhibit EE to Amendment No. 19 to the Initial Schedule 13D, filed October 30, 2001 (File No. 005-56295)). DD. Form of Guarantee and Pledge Agreement for non-U.S. trusts holding Common Stock through non-U.S. corporations (incorporated by reference to Exhibit FF to Amendment No. 20 to the Initial Schedule 13D, filed December 21, 2001 (File No. 005-56295)). EE. Form of Pledge Agreement for beneficiaries of non-U.S. trusts holding Common Stock through non-U.S. corporations (incorporated by reference to Exhibit GG to Amendment No. 20 to the Initial Schedule 13D, filed December 21, 2001 (File No. 005-56295)). FF. Supplemental Registration Rights Instrument, dated as of December 21, 2001 (incorporated by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No. 333-74006) filed by The Goldman Sachs Group, Inc.)
53 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 None Covered Person, Bunson New York, NY Director, The so ownership is 10004 Goldman Sachs as set forth in Group, Inc. or incorporated into Item 5 above. - --------------------------------------------------------------------------------------------- Russell E. USA 85 Broad Street Managing None Covered Person, Makowsky New York, NY Director, The so ownership is 10004 Goldman Sachs as set forth in Group, Inc. or incorporated into Item 5 above. - --------------------------------------------------------------------------------------------- Michael H. UK 26 New Street, Partner, None None Richardson St. Helier, Bedell Cristin Jersey, JE4 3RA - --------------------------------------------------------------------------------------------- John D. UK Victoria Hall Vice President/ None None Amaral 11 Victoria St. Account Manager, Hamilton HM11 J&H Marsh & Bermuda McLennan - --------------------------------------------------------------------------------------------- Marguerite USA 120 Broadway Vice President, None None R. Gorman New York, NY Spear, Leeds & 10271 Kellogg, L.P. - --------------------------------------------------------------------------------------------- Richard D. UK 41 Cedar Avenue Partner, None None Spurling Hamilton HM12 Appleby, Bermuda Spurling & Kempe - ---------------------------------------------------------------------------------------------
54 ANNEX B ITEMS 2(D) AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS None. 55 ANNEX C ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS During GS Inc.'s fiscal quarter ended May 31, 2002, 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 through April 15, 2002 (the difference between the number set forth in the following table and the number set forth in Annex E being the number of shares each listed Covered Person intends to sell under the Rule 144 Program during the remainder of the fiscal quarter). - --------------------------------------------------------- COVERED PERSON NUMBER OF SHARES - --------------------------------------------------------- Bradley I. Abelow 21,311 - --------------------------------------------------------- Paul M. Achleitner 112,201 - --------------------------------------------------------- Andrew M. Alper 15,000 - --------------------------------------------------------- Armen A. Avanessians 35,000 - --------------------------------------------------------- Christopher A. Bates 7,898 - --------------------------------------------------------- David M. Baum 21,438 - --------------------------------------------------------- Frank A. Bednarz 1,453 - --------------------------------------------------------- Milton R. Berlinski 36,000 - --------------------------------------------------------- Lloyd C. Blankfein 100,000 - --------------------------------------------------------- David W. Blood 78,936 - --------------------------------------------------------- Peter L. Briger, Jr. 50,581 - --------------------------------------------------------- Richard J. Bronks 23,869 - --------------------------------------------------------- Lawrence R. Buchalter 37,617 - --------------------------------------------------------- Andrew Cader 200,000 - --------------------------------------------------------- Michael J. Carr 28,138 - --------------------------------------------------------- Christopher J. Carrera 23,000 - --------------------------------------------------------- Mark Carroll 2,572 - --------------------------------------------------------- Mary Ann Casati 17,000 - --------------------------------------------------------- Mark A. Castellano 92,484 - --------------------------------------------------------- Andrew A. Chisholm 23,690 - --------------------------------------------------------- Todd J. Christie 48,059 - --------------------------------------------------------- Zachariah Cobrinik 36,184 - --------------------------------------------------------- Lawrence A. Cohen 45,661 - --------------------------------------------------------- Abby Joseph Cohen 10,000 - --------------------------------------------------------- Gary D. Cohn 66,065 - --------------------------------------------------------- Christopher A. Cole 40,000 - --------------------------------------------------------- William Connell 3,049 - --------------------------------------------------------- Carlos A. Cordeiro 75,000 - --------------------------------------------------------- E. Gerald Corrigan 30,000 - --------------------------------------------------------- Henry Cornell 81,273 - --------------------------------------------------------- James A. Coufos 20,000 - --------------------------------------------------------- Frank L. Coulson, Jr. 89,704 - --------------------------------------------------------- Randolph L. Cowen 20,000 - --------------------------------------------------------- Philip M. Darivoff 22,781 - --------------------------------------------------------- Timothy D. Dattels 43,848 - --------------------------------------------------------- Gavyn Davies 25,000 - --------------------------------------------------------- David A. Dechman 22,417 - --------------------------------------------------------- Paul C. Deighton 75,204 - --------------------------------------------------------- Robert V. Delaney, Jr. 30,000 - --------------------------------------------------------- Joseph Della Rosa 68,818 - --------------------------------------------------------- Neil V. DeSena 19,098 - --------------------------------------------------------- 56 - --------------------------------------------------------- COVERED PERSON NUMBER OF SHARES - --------------------------------------------------------- Alexander C. Dibelius 8,000 - --------------------------------------------------------- Stephen J. DiLascio 13,228 - --------------------------------------------------------- John O. Downing 45,000 - --------------------------------------------------------- Connie K. Duckworth 55,292 - --------------------------------------------------------- C. Steven Duncker 53,434 - --------------------------------------------------------- Gordon E. Dyal 37,983 - --------------------------------------------------------- Glenn P. Earle 42,627 - --------------------------------------------------------- Paul S. Efron 23,599 - --------------------------------------------------------- Aubrey Ellis, Jr. 3,200 - --------------------------------------------------------- Pieter Maarten Feenstra 26,900 - --------------------------------------------------------- Lawton W. Fitt 50,000 - --------------------------------------------------------- David B. Ford 88,469 - --------------------------------------------------------- Edward C. Forst 21,489 - --------------------------------------------------------- Randy W. Frankel 100,000 - --------------------------------------------------------- Richard A. Friedman 125,000 - --------------------------------------------------------- Joseph D. Gatto 30,000 - --------------------------------------------------------- Peter C. Gerhard 71,118 - --------------------------------------------------------- Nomi P. Ghez 68,957 - --------------------------------------------------------- Joseph H. Gleberman 83,399 - --------------------------------------------------------- Jeffrey B. Goldenberg 15,000 - --------------------------------------------------------- Jacob D. Goldfield 74,655 - --------------------------------------------------------- Gary F. Goldring 150,000 - --------------------------------------------------------- Andrew M. Gordon 25,000 - --------------------------------------------------------- Thomas J. Gravina 22,421 - --------------------------------------------------------- Eric P. Grubman 25,000 - --------------------------------------------------------- Edward S. Gutman 12,432 - --------------------------------------------------------- Joseph D. Gutman 20,000 - --------------------------------------------------------- Robert S. Harrison 40,000 - --------------------------------------------------------- Thomas J. Healey 46,123 - --------------------------------------------------------- David R. Heinz 3,312 - --------------------------------------------------------- David B. Heller 50,000 - --------------------------------------------------------- David L. Henle 15,000 - --------------------------------------------------------- Mary C. Henry 43,934 - --------------------------------------------------------- Robert E. Higgins 223,369 - --------------------------------------------------------- M. Roch Hillenbrand 20,000 - --------------------------------------------------------- Jacquelyn M. Hoffman-Zehner 33,706 - --------------------------------------------------------- Richard R. Hogan 50,000 - --------------------------------------------------------- Fern Hurst 27,378 - --------------------------------------------------------- Robert J. Hurst 80,000 - --------------------------------------------------------- Francis J. Ingrassia 51,002 - --------------------------------------------------------- Timothy J. Ingrassia 25,318 - --------------------------------------------------------- James A. Jacobson 20,000 - --------------------------------------------------------- Arthur L. Jacobson, Jr. 5,000 - --------------------------------------------------------- Stefan J. Jentzsch 27,265 - --------------------------------------------------------- Chansoo Joung 30,000 - --------------------------------------------------------- Ann F. Kaplan 79,006 - --------------------------------------------------------- Barry A. Kaplan 32,280 - --------------------------------------------------------- Robert J. Katz 113,046 - --------------------------------------------------------- Peter R. Kellogg 24,000 - --------------------------------------------------------- Kevin W. Kennedy 100,000 - --------------------------------------------------------- William J. Kenney 34,013 - --------------------------------------------------------- 57 - --------------------------------------------------------- COVERED PERSON NUMBER OF SHARES - --------------------------------------------------------- Douglas W. Kimmelman 15,000 - --------------------------------------------------------- Bradford C. Koenig 38,615 - --------------------------------------------------------- Jonathan L. Kolatch 51,158 - --------------------------------------------------------- Philip J. Kopp III 5,290 - --------------------------------------------------------- Peter S. Kraus 70,967 - --------------------------------------------------------- David G. Lambert 32,884 - --------------------------------------------------------- Thomas D. Lasersohn 5,000 - --------------------------------------------------------- Anthony D. Lauto 23,533 - --------------------------------------------------------- Stephen M. Levick 18,191 - --------------------------------------------------------- Matthew G. L'Heureux 25,739 - --------------------------------------------------------- Robert Litterman 46,116 - --------------------------------------------------------- Robert H. Litzenberger 17,005 - --------------------------------------------------------- Jonathan M. Lopatin 36,791 - --------------------------------------------------------- Michael R. Lynch 60,000 - --------------------------------------------------------- Peter G.C. Mallinson 60,000 - --------------------------------------------------------- Arthur S. Margulis, Jr. 10,000 - --------------------------------------------------------- Ronald G. Marks 41,519 - --------------------------------------------------------- Nicholas L. Marovich 6,250 - --------------------------------------------------------- Eff W. Martin 68,056 - --------------------------------------------------------- David J. Mastrocola 40,000 - --------------------------------------------------------- John P. McNulty 118,210 - --------------------------------------------------------- Sanjeev K. Mehra 31,823 - --------------------------------------------------------- T. Willem Mesdag 72,730 - --------------------------------------------------------- Eric M. Mindich 50,000 - --------------------------------------------------------- Steven T. Mnuchin 90,656 - --------------------------------------------------------- Masanori Mochida 113,005 - --------------------------------------------------------- Karsten N. Moller 45,310 - --------------------------------------------------------- Thomas K. Montag 80,000 - --------------------------------------------------------- Robert B. Morris III 83,308 - --------------------------------------------------------- R. Scott Morris 2,000 - --------------------------------------------------------- Sharmin Mossavar-Rahmani 100,000 - --------------------------------------------------------- Edward A. Mule 60,000 - --------------------------------------------------------- Timothy R. Mullen 150,000 - --------------------------------------------------------- Philip D. Murphy 100,000 - --------------------------------------------------------- Thomas S. Murphy, Jr. 15,000 - --------------------------------------------------------- Avi M. Nash 10,000 - --------------------------------------------------------- Daniel M. Neidich 96,504 - --------------------------------------------------------- Kipp M. Nelson 48,218 - --------------------------------------------------------- Robin Neustein 100,000 - --------------------------------------------------------- Suzanne M. Nora Johnson 104,261 - --------------------------------------------------------- Michael E. Novogratz 21,355 - --------------------------------------------------------- Terence J. O'Neill 86,510 - --------------------------------------------------------- Timothy J. O'Neill 91,393 - --------------------------------------------------------- Donald C. Opatrny, Jr. 85,492 - --------------------------------------------------------- Robert J. O'Shea 71,977 - --------------------------------------------------------- Greg M. Ostroff 16,338 - --------------------------------------------------------- Terence M. O'Toole 100,000 - --------------------------------------------------------- Robert J. Pace 17,185 - --------------------------------------------------------- Bryant F. Pantano 5,000 - --------------------------------------------------------- Scott M. Pinkus 88,585 - --------------------------------------------------------- Timothy C. Plaut 52,056 - --------------------------------------------------------- 58 - --------------------------------------------------------- COVERED PERSON NUMBER OF SHARES - --------------------------------------------------------- Wiet H.M. Pot 65,143 - --------------------------------------------------------- John J. Powers 30,000 - --------------------------------------------------------- Michael A. Price 25,000 - --------------------------------------------------------- Scott Prince 19,000 - --------------------------------------------------------- Stephen D. Quinn 50,000 - --------------------------------------------------------- Michael G. Rantz 44,511 - --------------------------------------------------------- James P. Riley, Jr. 81,347 - --------------------------------------------------------- Simon M. Robertson 60,000 - --------------------------------------------------------- J. David Rogers 96,210 - --------------------------------------------------------- Emmanuel Roman 25,099 - --------------------------------------------------------- Ralph F. Rosenberg 18,123 - --------------------------------------------------------- Stuart M. Rothenberg 35,000 - --------------------------------------------------------- Michael S. Rubinoff 22,742 - --------------------------------------------------------- Richard M. Ruzika 22,911 - --------------------------------------------------------- Jeri Lynn Ryan 13,409 - --------------------------------------------------------- John C. Ryan 25,000 - --------------------------------------------------------- Michael D. Ryan 15,000 - --------------------------------------------------------- Richard C. Salvadore 48,351 - --------------------------------------------------------- Richard A. Sapp 100,000 - --------------------------------------------------------- Joseph Sassoon 74,827 - --------------------------------------------------------- Tsutomu Sato 29,848 - --------------------------------------------------------- Muneer A. Satter 40,583 - --------------------------------------------------------- Jonathan S. Savitz 13,691 - --------------------------------------------------------- Peter Savitz 37,073 - --------------------------------------------------------- Howard B. Schiller 51,886 - --------------------------------------------------------- Antoine Schwartz 29,082 - --------------------------------------------------------- Eric S. Schwartz 80,960 - --------------------------------------------------------- Mark Schwartz 100,000 - --------------------------------------------------------- Patrick P. Scire 65,917 - --------------------------------------------------------- Charles B. Seelig, Jr. 84,458 - --------------------------------------------------------- Steven M. Shafran 34,310 - --------------------------------------------------------- Richard S. Sharp 125,378 - --------------------------------------------------------- James M. Sheridan 41,887 - --------------------------------------------------------- Richard G. Sherlund 52,314 - --------------------------------------------------------- Harvey Silverman 47,863 - --------------------------------------------------------- Howard A. Silverstein 20,000 - --------------------------------------------------------- Dinakar Singh 23,424 - --------------------------------------------------------- Christian J. Siva-Jothy 24,000 - --------------------------------------------------------- Cody J. Smith 43,000 - --------------------------------------------------------- Jonathan S. Sobel 23,019 - --------------------------------------------------------- Marc A. Spilker 42,234 - --------------------------------------------------------- Daniel W. Stanton 60,000 - --------------------------------------------------------- Steven R. Starker 71,004 - --------------------------------------------------------- Esta E. Stecher 38,088 - --------------------------------------------------------- Fredric E. Steck 40,000 - --------------------------------------------------------- Cathrine S. Steck 18,743 - --------------------------------------------------------- Robert K. Steel 100,000 - --------------------------------------------------------- Gene T. Sykes 75,000 - --------------------------------------------------------- Mark R. Tercek 38,503 - --------------------------------------------------------- Donald F. Textor 47,400 - --------------------------------------------------------- Gary S. Tolchin 59,693 - --------------------------------------------------------- Brian J. Toolan 26,491 - --------------------------------------------------------- 59 - --------------------------------------------------------- COVERED PERSON NUMBER OF SHARES - --------------------------------------------------------- John R. Tormondsen 35,000 - --------------------------------------------------------- Leslie C. Tortora 86,978 - --------------------------------------------------------- John L. Townsend III 78,760 - --------------------------------------------------------- Byron D. Trott 45,000 - --------------------------------------------------------- Robert B. Tudor III 20,000 - --------------------------------------------------------- Thomas E. Tuft 49,661 - --------------------------------------------------------- Malcolm B. Turnbull* 25,032 - --------------------------------------------------------- John E. Urban 19,217 - --------------------------------------------------------- Lee G. Vance 55,267 - --------------------------------------------------------- David A. Viniar 89,000 - --------------------------------------------------------- Barry S. Volpert 100,000 - --------------------------------------------------------- George H. Walker IV 21,549 - --------------------------------------------------------- Peter A. Weinberg 182,235 - --------------------------------------------------------- George W. Wellde, Jr. 60,000 - --------------------------------------------------------- Anthony G. Williams 81,429 - --------------------------------------------------------- Kendrick R. Wilson III 20,000 - --------------------------------------------------------- Jon Winkelried 50,000 - --------------------------------------------------------- Steven J. Wisch 42,277 - --------------------------------------------------------- Richard E. Witten 94,879 - --------------------------------------------------------- Tracy R. Wolstencroft 74,122 - --------------------------------------------------------- Yasuyo Yamazaki 28,344 - --------------------------------------------------------- Danny O. Yee 50,262 - --------------------------------------------------------- Yoel Zaoui 19,239 - --------------------------------------------------------- Gregory H. Zehner 37,178 - --------------------------------------------------------- Alphone Zenna 25,006 - --------------------------------------------------------- Joseph R. Zimmel 103,611 - --------------------------------------------------------- Mark A. Zurack 41,368 - --------------------------------------------------------- - --------------------------------------------------------- TRUSTS - --------------------------------------------------------- 120 Broadway Partners 33,000 - --------------------------------------------------------- Anahue Trust 10,196 - --------------------------------------------------------- The Edward Scott Mead 2001 Trust 25,000 - --------------------------------------------------------- The Gary W. Williams 2001 Trust 70,000 - --------------------------------------------------------- The Girish V. Reddy 2001 Trust 21,674 - --------------------------------------------------------- Mark Dehnert Living Trust 5,000 - --------------------------------------------------------- The Michael J. Zamkow 2001 Trust 50,000 - --------------------------------------------------------- The Patrick J. Ward 2001 Trust 96,157 - --------------------------------------------------------- Trust u/w James Kellogg III 39,000 - --------------------------------------------------------- The Unicorn Trust 36,774 - --------------------------------------------------------- A.C. Trust 12,161 - --------------------------------------------------------- The Beller/Moses Trust 45,188 - --------------------------------------------------------- - --------------------------------------------------------- PARTNERSHIPS - --------------------------------------------------------- Bermuda Partners, L.P. 18,000 - --------------------------------------------------------- Mijen Family Partnership 16,764 - --------------------------------------------------------- The Rizner Family Limited Partnership 11,124 - --------------------------------------------------------- Silverman Partners, L.P. 42,498 - --------------------------------------------------------- - --------------------------------------------------------- - ---------- * Includes shares held by a corporation wholly owned by the Covered Person. 60 - --------------------------------------------------------- COVERED PERSON NUMBER OF SHARES - --------------------------------------------------------- CORPORATIONS - --------------------------------------------------------- Guapulo Holdings Limited 53,947 - --------------------------------------------------------- HJS2 Limited 5,000 - --------------------------------------------------------- Melalula Limited 89,599 - --------------------------------------------------------- Robinelli Limited 30,000 - --------------------------------------------------------- RJG Holding Company** 36,398 - --------------------------------------------------------- Vyrona Holdings Limited 98,501 - --------------------------------------------------------- 61 ANNEX D ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE EXERCISABLE WITHIN 60 DAYS. An aggregate of 85,956 shares of Common Stock are deliverable to Covered Persons upon the exercise of stock options, all of which have vested and are exercisable. Upon delivery, these shares of Common Stock will be Covered Shares. 62 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 of shares of Common Stock were made by the following Covered Person through Goldman, Sachs & Co. for cash on the New York Stock Exchange:
-------------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------------------------------------------------------------------------------- Reuben Jeffery III March 27, 2002 105,000 $89.72 -------------------------------------------------------------------------------------- Reuben Jeffery III March 28, 2002 130,000 90.37 -------------------------------------------------------------------------------------- Jaime E. Yordan March 28, 2002 5,000 90.51 -------------------------------------------------------------------------------------- Reuben Jeffery III April 1, 2002 17,000 88.97 -------------------------------------------------------------------------------------- Reuben Jeffery III April 3, 2002 23,000 87.58 -------------------------------------------------------------------------------------- Reuben Jeffery III April 4, 2002 65,000 87.07 -------------------------------------------------------------------------------------- Reuben Jeffery III April 5, 2002 54,700 87.45 -------------------------------------------------------------------------------------- Reuben Jeffery III April 8, 2002 100,000 86.07 -------------------------------------------------------------------------------------- Reuben Jeffery III April 12, 2002 25,000 82.46 --------------------------------------------------------------------------------------
The following sales of Covered Shares 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 -------------------------------------------------------------------------------------- Mark D. Ettenger March 27, 2002 3,723 $89.14 -------------------------------------------------------------------------------------- Jana Hale Doty March 27, 2002 442 89.14 -------------------------------------------------------------------------------------- Daniel B. O'Rourke March 27, 2002 111 89.14 -------------------------------------------------------------------------------------- Daniel B. O'Rourke March 27, 2002 803 89.14 -------------------------------------------------------------------------------------- Evan W. Siddall March 27, 2002 400 89.14 -------------------------------------------------------------------------------------- Richard P. Simon March 27, 2002 1,000 89.14 -------------------------------------------------------------------------------------- Kevin A. Quinn March 28, 2002 1,000 90.24 -------------------------------------------------------------------------------------- W. Thomas York, Jr. March 28, 2002 1,340 90.24 -------------------------------------------------------------------------------------- Susan R. Leadem April 1, 2002 1,257 88.50 -------------------------------------------------------------------------------------- Susan R. Leadem April 1, 2002 870 88.50 -------------------------------------------------------------------------------------- Joel D. Ospa April 1, 2002 1,000 88.50 -------------------------------------------------------------------------------------- Anthony J. Leitner April 2, 2002 100 87.67 -------------------------------------------------------------------------------------- Adam P. Barrett April 4, 2002 1,200 86.37 -------------------------------------------------------------------------------------- Steven D. Pruett April 4, 2002 700 86.37 -------------------------------------------------------------------------------------- Steven D. Pruett April 4, 2002 1,448 86.37 -------------------------------------------------------------------------------------- Elizabeth V. Camp April 9, 2002 336 86.06 -------------------------------------------------------------------------------------- Earl S. Enzer April 9, 2002 616 86.06 -------------------------------------------------------------------------------------- P. Sheridan Schechner April 10, 2002 500 84.80 -------------------------------------------------------------------------------------- William L. Jacob III April 12, 2002 910 81.68 --------------------------------------------------------------------------------------
63 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 interests in the Common Stock fund representing the number of shares of Common Stock set forth below:
----------------------------------------------------------------------------------------------- ACQUISITION OR TRANSACTION COVERED PERSON DISPOSITION DATE NUMBER OF SHARES PRICE PER SHARE ----------------------------------------------------------------------------------------------- Thomas J. McAdam Acquisition March 28, 2002 1 $90.25 ----------------------------------------------------------------------------------------------- Thomas J. McAdam Acquisition April 15, 2002 1 81.60 -----------------------------------------------------------------------------------------------
RULE 144 PROGRAM Commencing on March 27, 2002, the Covered Persons listed in Table I below sold an aggregate of 4,201,503 Covered Shares under the Rule 144 Program referred to in Item 4 above through April 15, 2002. 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 EACH SOLD ON ALL COVERED PERSON TRADING DAY TRADING DAYS -------------------------------------------------------------------- Bradley I. Abelow** 735 6,615 -------------------------------------------------------------------- Paul M. Achleitner 3,869 50,297 -------------------------------------------------------------------- Andrew M. Alper** 517 4,653 -------------------------------------------------------------------- Armen A. Avanessians** 1,207 10,863 -------------------------------------------------------------------- Christopher A. Bates 272 3,536 -------------------------------------------------------------------- David M. Baum 739 9,607 -------------------------------------------------------------------- Lloyd C. Blankfein*** 3,448 3,448 -------------------------------------------------------------------- David W. Blood*** 2,722 2,722 -------------------------------------------------------------------- Richard J. Bronks 823 10,699 -------------------------------------------------------------------- Lawrence R. Buchalter** 1,297 11,673 -------------------------------------------------------------------- Andrew Cader 6,897 89,661 -------------------------------------------------------------------- Michael J. Carr 970 12,610 -------------------------------------------------------------------- Christopher J. Carrera 793 10,309 -------------------------------------------------------------------- Mark Carroll 89 1,157 -------------------------------------------------------------------- Mary Ann Casati 586 7,618 -------------------------------------------------------------------- Mark A. Castellano** 3,189 28,701 -------------------------------------------------------------------- Andrew A. Chisholm** 817 7,353 -------------------------------------------------------------------- Todd J. Christie** 1,657 14,913 -------------------------------------------------------------------- Zachariah Cobrinik 1,248 16,224 -------------------------------------------------------------------- Lawrence A. Cohen 1,575 20,475 -------------------------------------------------------------------- Gary D. Cohn** 2,278 20,502 -------------------------------------------------------------------- Christopher A. Cole 1,379 17,927 -------------------------------------------------------------------- William Connell*** 105 105 -------------------------------------------------------------------- Carlos A. Cordeiro 2,586 33,618 -------------------------------------------------------------------- Henry Cornell** 2,803 25,227 -------------------------------------------------------------------- E. Gerald Corrigan 1,034 13,442 --------------------------------------------------------------------
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-------------------------------------------------------------------- SHARES SOLD TOTAL SHARES EACH SOLD ON ALL COVERED PERSON TRADING DAY TRADING DAYS -------------------------------------------------------------------- James A. Coufos** 690 6,210 -------------------------------------------------------------------- Frank L. Coulson, Jr. 3,093 40,209 -------------------------------------------------------------------- Randolph L. Cowen** 690 6,210 -------------------------------------------------------------------- Philip M. Darivoff*** 786 786 -------------------------------------------------------------------- Timothy D. Dattels 1,512 19,656 -------------------------------------------------------------------- Gavyn Davies** 862 7,758 -------------------------------------------------------------------- David A. Dechman 773 10,049 -------------------------------------------------------------------- Paul C. Deighton 2,593 33,709 -------------------------------------------------------------------- Joseph Della Rosa 2,373 30,849 -------------------------------------------------------------------- Neil V. Desena 659 8,567 -------------------------------------------------------------------- Alexander C. Dibelius** 276 2,484 -------------------------------------------------------------------- Stephen J. Dilascio 456 5,928 -------------------------------------------------------------------- John O. Downing** 1,552 13,968 -------------------------------------------------------------------- Connie K. Duckworth 1,907 24,791 -------------------------------------------------------------------- C. Steven Duncker 1,843 23,959 -------------------------------------------------------------------- Gordon E. Dyal** 1,310 11,790 -------------------------------------------------------------------- Glenn P. Earle 1,470 19,110 -------------------------------------------------------------------- Paul S. Efron** 814 7,326 -------------------------------------------------------------------- Lawton W. Fitt 1,724 22,412 -------------------------------------------------------------------- David B. Ford 3,051 39,663 -------------------------------------------------------------------- Edward C. Forst** 741 6,669 -------------------------------------------------------------------- Randy W. Frankel 3,448 44,824 -------------------------------------------------------------------- Richard A. Friedman 4,310 56,030 -------------------------------------------------------------------- Joseph D. Gatto*** 1,034 1,034 -------------------------------------------------------------------- Peter C. Gerhard 2,452 31,876 -------------------------------------------------------------------- Nomi P. Ghez*** 2,378 2,378 -------------------------------------------------------------------- Joseph H. Gleberman 2,876 37,388 -------------------------------------------------------------------- Jacob D. Goldfield** 2,574 23,166 -------------------------------------------------------------------- Gary F. Goldring 5,172 67,236 -------------------------------------------------------------------- Andrew M. Gordon** 862 7,758 -------------------------------------------------------------------- Thomas J. Gravina 773 10,049 -------------------------------------------------------------------- Eric P. Grubman** 862 7,758 -------------------------------------------------------------------- Edward S. Gutman*** 429 429 -------------------------------------------------------------------- Joseph D. Gutman 690 8,970 -------------------------------------------------------------------- Robert S. Harrison 1,379 17,927 -------------------------------------------------------------------- Thomas J. Healey 1,590 20,670 -------------------------------------------------------------------- David Heinz*** 114 114 -------------------------------------------------------------------- David B. Heller 1,724 22,412 -------------------------------------------------------------------- Mary C. Henry 1,515 19,695 -------------------------------------------------------------------- M. Roch Hillenbrand 690 8,970 -------------------------------------------------------------------- Jacquelyn M. Hoffman-Zehner 1,162 15,106 -------------------------------------------------------------------- Richard R. Hogan** 1,724 15,516 -------------------------------------------------------------------- Robert J. Hurst 2,759 35,867 -------------------------------------------------------------------- Fern K. Hurst** 944 8,496 -------------------------------------------------------------------- Francis J. Ingrassia 1,759 22,867 -------------------------------------------------------------------- Timothy J. Ingrassia 873 11,349 -------------------------------------------------------------------- James A. Jacobson** 690 6,210 -------------------------------------------------------------------- Stefan J. Jentzsch*** 940 940 --------------------------------------------------------------------
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-------------------------------------------------------------------- SHARES SOLD TOTAL SHARES EACH SOLD ON ALL COVERED PERSON TRADING DAY TRADING DAYS -------------------------------------------------------------------- Chansoo Joung*** 1,034 1,034 -------------------------------------------------------------------- Ann F. Kaplan 2,724 35,412 -------------------------------------------------------------------- Barry A. Kaplan** 1,113 10,017 -------------------------------------------------------------------- Robert J. Katz 3,898 50,674 -------------------------------------------------------------------- Peter R. Kellogg 828 10,764 -------------------------------------------------------------------- William J. Kenney 1,173 15,249 -------------------------------------------------------------------- Douglas W. Kimmelman*** 517 517 -------------------------------------------------------------------- Bradford C. Koenig 1,332 17,316 -------------------------------------------------------------------- Jonathan L. Kolatch 1,764 22,932 -------------------------------------------------------------------- Philip J. Kopp III** 182 1,638 -------------------------------------------------------------------- Peter S. Kraus** 2,447 22,023 -------------------------------------------------------------------- David G. Lambert 1,134 14,742 -------------------------------------------------------------------- Thomas D. Lasersohn*** 172 172 -------------------------------------------------------------------- Anthony D. Lauto 811 10,543 -------------------------------------------------------------------- Stephen M. Levick 627 8,151 -------------------------------------------------------------------- Matthew G. L'Heureux** 888 7,992 -------------------------------------------------------------------- Robert Litterman 1,590 20,670 -------------------------------------------------------------------- Robert H. Litzenberger** 586 5,274 -------------------------------------------------------------------- Jonathan M. Lopatin 1,269 16,497 -------------------------------------------------------------------- Michael R. Lynch 2,069 26,897 -------------------------------------------------------------------- Peter G.C. Mallinson 2,069 26,897 -------------------------------------------------------------------- Art Margulis*** 345 345 -------------------------------------------------------------------- Ronald G. Marks 1,432 18,616 -------------------------------------------------------------------- Nicholas L. Marovich 216 2,808 -------------------------------------------------------------------- Eff W. Martin 2,347 30,511 -------------------------------------------------------------------- John P. McNulty 4,076 52,988 -------------------------------------------------------------------- Sanjeev K. Mehra*** 1,097 1,097 -------------------------------------------------------------------- T. Willem Mesdag 2,508 32,604 -------------------------------------------------------------------- Eric M. Mindich*** 1,724 1,724 -------------------------------------------------------------------- Steven T. Mnuchin 3,126 40,638 -------------------------------------------------------------------- Masanori Mochida 3,897 50,661 -------------------------------------------------------------------- Karsten N. Moller 1,562 20,306 -------------------------------------------------------------------- Thomas K. Montag 2,759 35,867 -------------------------------------------------------------------- Robert B. Morris III 2,873 37,349 -------------------------------------------------------------------- R. Scott Morris 69 897 -------------------------------------------------------------------- Sharmin Mossavar-Rahmani 3,448 44,824 -------------------------------------------------------------------- Edward A. Mule** 2,069 18,621 -------------------------------------------------------------------- Timothy R. Mullen 5,172 67,236 -------------------------------------------------------------------- Thomas S. Murphy, Jr. 517 6,721 -------------------------------------------------------------------- Philip D. Murphy*** 3,448 3,448 -------------------------------------------------------------------- Avi M. Nash 345 4,485 -------------------------------------------------------------------- Daniel M. Neidich** 3,328 29,952 -------------------------------------------------------------------- Kipp M. Nelson 1,663 21,619 -------------------------------------------------------------------- Robin Neustein** 3,448 31,032 -------------------------------------------------------------------- Suzanne Nora Johnson** 3,595 32,355 -------------------------------------------------------------------- Michael E. Novogratz 736 9,568 -------------------------------------------------------------------- Terence J. O'Neill 2,983 38,779 -------------------------------------------------------------------- Timothy J. O'Neill 3,151 40,963 --------------------------------------------------------------------
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-------------------------------------------------------------------- SHARES SOLD TOTAL SHARES EACH SOLD ON ALL COVERED PERSON TRADING DAY TRADING DAYS -------------------------------------------------------------------- Donald C. Opatrny, Jr. 2,948 38,324 -------------------------------------------------------------------- Robert J. O'Shea** 2,482 22,338 -------------------------------------------------------------------- Greg M. Ostroff 563 7,319 -------------------------------------------------------------------- Terence M. O'Toole 3,448 44,824 -------------------------------------------------------------------- Robert J. Pace 593 7,709 -------------------------------------------------------------------- Bryant F. Pantano 172 2,236 -------------------------------------------------------------------- Scott M. Pinkus*** 3,055 3,055 -------------------------------------------------------------------- Timothy C. Plaut 1,795 23,335 -------------------------------------------------------------------- Wiet H.M. Pot 2,246 29,198 -------------------------------------------------------------------- John J. Powers*** 1,034 1,034 -------------------------------------------------------------------- Michael A. Price*** 862 862 -------------------------------------------------------------------- Scott S. Prince 655 8,515 -------------------------------------------------------------------- Stephen D. Quinn 1,724 22,412 -------------------------------------------------------------------- Michael G. Rantz 1,535 19,955 -------------------------------------------------------------------- James P. Riley, Jr. 2,805 36,465 -------------------------------------------------------------------- Simon M. Robertson 2,069 26,897 -------------------------------------------------------------------- J. David Rogers** 3,318 29,862 -------------------------------------------------------------------- Emmanuel Roman 865 11,245 -------------------------------------------------------------------- Ralph F. Rosenberg 625 8,125 -------------------------------------------------------------------- Stuart M. Rothenberg 1,207 15,691 -------------------------------------------------------------------- Michael S. Rubinoff 784 10,192 -------------------------------------------------------------------- Richard M. Ruzika 790 10,270 -------------------------------------------------------------------- John C. Ryan** 862 7,758 -------------------------------------------------------------------- Jeri Lynn Ryan** 462 4,158 -------------------------------------------------------------------- Michael D. Ryan 517 6,721 -------------------------------------------------------------------- Richard C. Salvadore** 1,667 15,003 -------------------------------------------------------------------- Richard A. Sapp 3,448 44,824 -------------------------------------------------------------------- Joseph Sassoon 2,580 33,540 -------------------------------------------------------------------- Tsutomu Sato 1,029 13,377 -------------------------------------------------------------------- Muneer A. Satter** 1,399 12,591 -------------------------------------------------------------------- Jonathan S. Savitz 472 6,136 -------------------------------------------------------------------- Peter Savitz 1,278 16,614 -------------------------------------------------------------------- Howard B. Schiller** 1,789 16,101 -------------------------------------------------------------------- Antoine Schwartz 1,003 13,039 -------------------------------------------------------------------- Eric S. Schwartz 2,792 36,296 -------------------------------------------------------------------- Mark Schwartz*** 3,448 3,448 -------------------------------------------------------------------- Patrick P. Scire 2,273 29,549 -------------------------------------------------------------------- Charles B. Seelig, Jr. 2,912 37,856 -------------------------------------------------------------------- Steven M. Shafran 1,183 15,379 -------------------------------------------------------------------- Richard S. Sharp 4,323 56,199 -------------------------------------------------------------------- James M. Sheridan 1,444 18,772 -------------------------------------------------------------------- Richard G. Sherlund 1,804 23,452 -------------------------------------------------------------------- Harvey Silverman*** 1,650 1,650 -------------------------------------------------------------------- Howard A. Silverstein*** 690 690 -------------------------------------------------------------------- Dinakar Singh 808 10,504 -------------------------------------------------------------------- Christian J. Siva-Jothy 828 10,764 -------------------------------------------------------------------- Cody J Smith** 1,483 13,347 -------------------------------------------------------------------- Jonathan S. Sobel 794 10,322 -------------------------------------------------------------------- Marc A. Spilker 1,456 18,928 --------------------------------------------------------------------
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-------------------------------------------------------------------- SHARES SOLD TOTAL SHARES EACH SOLD ON ALL COVERED PERSON TRADING DAY TRADING DAYS -------------------------------------------------------------------- Daniel W. Stanton 2,069 26,897 -------------------------------------------------------------------- Steven R. Starker 2,448 31,824 -------------------------------------------------------------------- Esta E. Stecher*** 1,313 1,313 -------------------------------------------------------------------- Fredric E. Steck 1,379 17,927 -------------------------------------------------------------------- Cathrine Stickney Steck** 646 5,814 -------------------------------------------------------------------- Robert K. Steel 3,448 44,824 -------------------------------------------------------------------- Gene T. Sykes 2,586 33,618 -------------------------------------------------------------------- Mark R. Tercek 1,328 17,264 -------------------------------------------------------------------- Donald F. Textor** 1,634 14,706 -------------------------------------------------------------------- Gary S. Tolchin** 2,058 18,522 -------------------------------------------------------------------- Brian J. Toolan 913 11,869 -------------------------------------------------------------------- John R. Tormondsen 1,207 15,691 -------------------------------------------------------------------- Leslie C. Tortora** 2,999 26,991 -------------------------------------------------------------------- John L. Townsend III 2,716 35,308 -------------------------------------------------------------------- Byron D. Trott** 1,552 13,968 -------------------------------------------------------------------- Robert B. Tudor III*** 690 690 -------------------------------------------------------------------- Thomas E. Tuft*** 1,712 1,712 -------------------------------------------------------------------- John E. Urban 663 8,619 -------------------------------------------------------------------- Lee G. Vance 1,906 24,778 -------------------------------------------------------------------- David A. Viniar*** 3,069 3,069 -------------------------------------------------------------------- Barry S. Volpert** 3,448 31,032 -------------------------------------------------------------------- George H. Walker 743 9,659 -------------------------------------------------------------------- Peter A. Weinberg 6,284 81,692 -------------------------------------------------------------------- George W. Wellde, Jr. ** 2,069 18,621 -------------------------------------------------------------------- Anthony G. Williams** 2,808 25,272 -------------------------------------------------------------------- Kendrick R. Wilson III 690 8,970 -------------------------------------------------------------------- Jon Winkelried*** 1,724 1,724 -------------------------------------------------------------------- Steven J. Wisch 1,458 18,954 -------------------------------------------------------------------- Richard E. Witten** 3,272 29,448 -------------------------------------------------------------------- Tracy R. Wolstencroft 2,556 33,228 -------------------------------------------------------------------- Yasuyo Yamazaki 977 12,701 -------------------------------------------------------------------- Danny O. Yee 1,733 22,529 -------------------------------------------------------------------- Yoel Zaoui*** 663 663 -------------------------------------------------------------------- Gregory H. Zehner 1,282 16,666 -------------------------------------------------------------------- Alphonse Zenna 862 11,206 -------------------------------------------------------------------- Joseph R. Zimmel 3,573 46,449 -------------------------------------------------------------------- Mark A. Zurack 1,426 18,538 -------------------------------------------------------------------- -------------------------------------------------------------------- TRUSTS -------------------------------------------------------------------- 120 Broadway Partners 1,138 14,794 -------------------------------------------------------------------- Anahue Trust** 352 3,168 -------------------------------------------------------------------- The Edward Scott Mead 2001 Trust*** 862 862 -------------------------------------------------------------------- The Gary W. Williams 2001 Trust 2,414 31,382 -------------------------------------------------------------------- The Girish V. Reddy 2001 Trust 747 9,711 -------------------------------------------------------------------- Mark Dehnert Living Trust 172 2,236 -------------------------------------------------------------------- The Michael J. Zamkow 2001 Trust 1,724 22,412 -------------------------------------------------------------------- Trust u/w James Kellogg III 1,345 17,485 --------------------------------------------------------------------
68 ]
-------------------------------------------------------------------- SHARES SOLD TOTAL SHARES EACH SOLD ON ALL COVERED PERSON TRADING DAY TRADING DAYS -------------------------------------------------------------------- The Patrick J. Ward 2001 Trust 3,316 43,108 -------------------------------------------------------------------- The Unicorn Trust 1,268 16,484 -------------------------------------------------------------------- A.C. Trust 419 5,447 -------------------------------------------------------------------- The Beller/Moses Trust** 1,558 14,022 -------------------------------------------------------------------- -------------------------------------------------------------------- PARTNERSHIPS -------------------------------------------------------------------- Bermuda Partners, L.P. 621 8,073 -------------------------------------------------------------------- The Rizner Family Limited Partnership 384 4,992 -------------------------------------------------------------------- Silverman Partners, L.P.*** 1,465 1,465 -------------------------------------------------------------------- -------------------------------------------------------------------- CORPORATIONS -------------------------------------------------------------------- Guapulo Holdings Ltd** 1,860 16,740 -------------------------------------------------------------------- HJS2 Limited*** 172 172 -------------------------------------------------------------------- M.B. Turnbull Pty, Limited** 863 7,767 -------------------------------------------------------------------- Melalula Limited 3,090 40,170 -------------------------------------------------------------------- RJG Holding Company*** 1,255 1,255 -------------------------------------------------------------------- Robinelli Limited 1,034 13,442 -------------------------------------------------------------------- Vyrona Holdings Limited 3,397 44,161 --------------------------------------------------------------------
- ---------- * 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. ** This Covered Person sold shares from March 27, 2002 through April 9, 2002 and no other shares through April 15, 2002. *** This Covered Person sold shares on April 1, 2002 and no other shares through April 15, 2002. Table II ------------------------------------------------------ TRADING DAY PRICE PER SHARE ------------------------------------------------------ March 27, 2002 $89.46 ------------------------------------------------------ March 28, 2002 90.32 ------------------------------------------------------ April 1, 2002 88.39 ------------------------------------------------------ April 2, 2002 87.75 ------------------------------------------------------ April 3, 2002 87.03 ------------------------------------------------------ April 4, 2002 86.34 ------------------------------------------------------ April 5, 2002 86.73 ------------------------------------------------------ April 8, 2002 85.43 ------------------------------------------------------ April 9, 2002 85.30 ------------------------------------------------------ April 10, 2002 84.30 ------------------------------ ----------------------- April 11, 2002 82.15 ------------------------------ ----------------------- April 12, 2002 82.18 ------------------------------ ----------------------- April 15, 2002 82.12 ------------------------------ ----------------------- 69 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: April 19, 2002 By: /s/ Gregory K. Palm ------------------------------------ Name: Gregory K. Palm Title: Attorney-in-Fact 70
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. 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.). C. 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.). D. 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)). E. 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)). F. 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)). G. 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)). H. 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)). I. 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)). J. 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)). K. 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)). L. 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)). M. 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)).
71
Exhibit Description - ----------- ------------------------------------------------------------------- N. 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)). O. 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)). P. 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)). Q. 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)). R. 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)). S. 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)). T. 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)). U. 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)). V. Power of Attorney (incorporated by reference to Exhibit X to Amendment No. 14 to the Initial Schedule 13D, filed March 29, 2001 (File No. 005-56295)). W. 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)). X. 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)). Y. 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)). Z. 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)). AA. 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)).
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Exhibit Description - ----------- ------------------------------------------------------------------- BB. Form of Guarantee and Pledge Agreement for trusts (incorporated by reference to Exhibit DD to Amendment No. 19 to the Initial Schedule 13D, filed October 30, 2001 (File No. 005-56295)). CC. Form of Pledge Agreement for beneficiaries of trusts (incorporated by reference to Exhibit EE to Amendment No. 19 to the Initial Schedule 13D, filed October 30, 2001 (File No. 005-56295)). DD. Form of Guarantee and Pledge Agreement for non-U.S. trusts holding Common Stock through non-U.S. corporations (incorporated by reference to Exhibit FF to Amendment No. 20 to the Initial Schedule 13D, filed December 21, 2001 (File No. 005-56295)). EE. Form of Pledge Agreement for beneficiaries of non-U.S. trusts holding Common Stock through non-U.S. corporations (incorporated by reference to Exhibit GG to Amendment No. 20 to the Initial Schedule 13D, filed December 21, 2001 (File No. 005-56295)). FF. Supplemental Registration Rights Instrument, dated as of December 21, 2001 (incorporated by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No. 333-74006) filed by The Goldman Sachs Group, Inc.).
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