-----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, IKp1bucfr9mEJg7VTNonCJZGqnLNXGexY6xIkG2CkEeFIRS+rC95yAoFcX5r8mUm v3gBn5JxWxsrEvGu42k3Dw== 0000950123-02-005438.txt : 20020520 0000950123-02-005438.hdr.sgml : 20020520 20020517174801 ACCESSION NUMBER: 0000950123-02-005438 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020520 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: 02656952 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 y60612sc13da.txt SCHEDULE 13D/A SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 File No. 005-56295 ----------------------------------------------------- SCHEDULE 13D/A (Rule 13d-101) Amendment No. 26 INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) The Goldman Sachs Group, Inc. --------------------- (Name of Issuer) Common Stock, par value $.01 per share --------------------------- (Title of Class of Securities) 38141G 10 4 --------------------- (CUSIP Number) Gregory K. Palm Esta E. Stecher James B. McHugh The Goldman Sachs Group, Inc. 85 Broad Street New York, New York 10004 Telephone: (212) 902-1000 -------------------- (Name, Address and Telephone Number of Persons Authorized to Receive Notices and Communications) May 8, 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 each person REPORTING listed on Appendix A.) PERSON 233,686,459 Covered Shares held by Covered Persons WITH 355,363 Uncovered Shares held by Covered Persons(3) 1,960,808 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 236,002,630 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) 48.39% 14. TYPE OF REPORTING PERSON: OO as to persons listed in Appendix A under the captions "Trusts" and "Limited Liability Companies"; PN as to persons listed in Appendix A under the caption "Partnerships"; CO as to persons listed in Appendix A under the caption "Corporations"; IN as to all other persons listed in Appendix A. (1) For a definition of this term, please see Item 2. (2) For a definition of this term, please see Item 3. (3) These are Uncovered Shares also described in Row 7 which each Covered Person is deemed to beneficially own by application of Rule 13d-5(b)(1), but do not include the Uncovered Shares described in note 4. Each Covered Person disclaims beneficial ownership of Uncovered Shares held by each other Covered Person. (4) These are Uncovered Shares held by 91 private charitable foundations established by 91 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations and may be deemed to beneficially own such Uncovered Shares. Each other Covered Person may be deemed to beneficially own such Uncovered Shares by application of Rule 13d-5(b)(1). Each such Covered Person disclaims beneficial ownership of such Uncovered Shares, and each other Covered Person also disclaims beneficial ownership of such Uncovered Shares. 2 APPENDIX A
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED 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(5) 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 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 Jonathan A. Beinner 0 0 0 0 Janet L. Bell 0 0 0 0
(5) See Item 6. 3
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - -------------------------- ---------- ------ ------ ------ ---------------- 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 Steven M. Bunson 0 0 0 0 Timothy B. Bunting UK 0 0 0 0
4
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - -------------------------- ---------- ------ ------ ------ ---------------- 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 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 496 0 496 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 Lawrence H. Cohen 0 0 0 0 Marc I. Cohen 0 0 0 0 Gary D. Cohn 0 0 0 0
5
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - -------------------------- ---------- ------ ------ ------ ---------------- 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 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
6
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - -------------------------- ---------- ------ ------ ------ ---------------- 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 Herbert E. Ehlers 0 0 0 0 Alexander S. Ehrlich 0 0 0 0 Howard B. Eisen 0 0 0 0
7
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - -------------------------- ---------- ------ ------ ------ ---------------- 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 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 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(6) 0 134(6) Edward C. Forst 0 0 0 0 George B. Foussianes 0 0 0 0 Oliver L. Frankel 0 0 0 0 Randy W. Frankel 0 0 0 0 Orit P. Freedman Israel 0 0 0 0 Matthew T. Fremont-Smith 0 0 0 0 Christopher G. French UK 0 0 0 0 Timothy G. Freshwater UK 0 0 0 0 Jacob Y. Friedman 0 0 0 0 Richard A. Friedman 0 0 0 0 Matthias K. Frisch Switzerland 0 0 0 0 Robert K. Frumkes 0 0 0 0 C. Douglas Fuge 0 0 0 0
(6) Shared with family members. 8
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - -------------------------- ---------- ------ ------ ------ ---------------- 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(7) 0 300(7) 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(8) 0 2,860(8) 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 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
(7) Shared with family members. (8) Shared with family members. 9
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - -------------------------- ---------- ------ ------ ------ ---------------- 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 0 100 0 100 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 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
10
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - -------------------------- ---------- ------ ------ ------ ---------------- 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. 618 0 618 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 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
11
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - -------------------------- ---------- ------ ------ ------ ---------------- 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 Douglas W. Kimmelman 443 0 443 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
12
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - -------------------------- ---------- ------ ------ ------ ---------------- 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 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
13
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - -------------------------- ---------- ------ ------ ------ ---------------- 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 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
14
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - -------------------------- ---------- ------ ------ ------ ---------------- 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 43 0 43 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 Thomas F. McGowan 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. 4,191 0 4,191 0 James A. McNamara 0 215(9) 0 215(9) 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 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
(9) Shared with family members. 15
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - -------------------------- ---------- ------ ------ ------ ---------------- 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 Timothy H. Moe 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 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
16
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - -------------------------- ---------- ------ ------ ------ ---------------- 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 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
17
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - -------------------------- ---------- ------ ------ ------ ---------------- Henry M. Paulson, Jr. 0 0 0 0 Arthur J. Peponis 286 0 286 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 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 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
18
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - -------------------------- ---------- ------ ------ ------ ---------------- 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 0 200(10) 0 200(10) 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 211 0 211 0 Richard A. Sapp 0 0 0 0 Neil I. Sarnak 0 0 0 0 Joseph Sassoon Israel 0 0 0 0 Atsuko Sato Japan 0 0 0 0 Masanori Sato Japan 0 0 0 0 Tsutomu Sato Japan 240 0 240 0 Muneer A. Satter 0 0 0 0 Marc P. Savini 0 0 0 0 Jonathan S. Savitz 0 0 0 0 Peter Savitz 0 0 0 0 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
(10) Shared with family members. 19
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - -------------------------- ---------- ------ ------ ------ ---------------- 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 0 339,501(11) 0 339,501(11) Thomas M. Schwartz 0 1,900(12) 0 1,900(12) 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 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
- ------------ (11) This covered person, as the co-executor of an estate that beneficially owns such shares of Common Stock, disclaims beneficial ownership of all such shares. (12) Shared with family members. 20
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- Cody J Smith 0 1,000(13) 0 1,000(13) 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 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
- ------------- (13) Shared with family members. 21
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- 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 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
22
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- George H. Walker IV 0 10 0 10 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 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 402 0 402 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 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
23
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- Jon A. Woodruf 0 0 0 0 Zi Wang Xu Canada/China 0 0 0 0 (PRC) Richard A. Yacenda 0 0 0 0 Tetsufumi Yamakawa Japan 0 0 0 0 Yasuyo Yamazaki Japan 0 0 0 0 Anne Yang 0 0 0 0 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(14) 0 55(14) 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 91 private N/A 0 1,960,808 0 1,960,808 charitable foundations established by 91 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations(15)
- ------------- (14) Shared with family members. (15) Each Covered Person disclaims beneficial ownership of all such shares of Common Stock. 24
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 -------------------------- ---------- ------ ------ ------ ------ TRUSTS 120 Broadway Partners(16) 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
- ------------- (16) Created by Peter R. Kellogg. 25
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 -------------------------- ---------- ------ ------ ------ ------ 2002 Douglas W. Kimmelman Grantor Retained Annuity Trust 0 0 0 0 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(17) 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(18) 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
- ------------- (17) Created by Andrew Cader. (18) Created by Andrew A. Chisholm. 26
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 -------------------------- ---------- ------ ------ ------ ------ 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 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
27
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 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 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
28
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 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 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
29
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 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 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
30
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION (NEW VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 Emily Stecher 2000 Trust 0 0 0 0 The Emma M.L. Mead 2000 Trust 0 0 0 0 The Eric Fithian 2000 Trust(19) 0 0 0 0 The Erin Marie Tormondsen 2000 Trust 0 0 0 0 The Esta Eiger Stecher 2000 Annuity Trust I 0 0 0 0 The Esta Eiger Stecher 2001 Annuity Trust I 0 0 0 0 The Esta Eiger Stecher 2002 Annuity Trust I 0 0 0 0 The Evans Trust(20) 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
- ------------- (19) Created by David A. Viniar. (20) Created by W. Mark Evans. 31
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION (NEW VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 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 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(21) Jersey 0 0 0 0 The Harvey Silverman 2001 Family Trust 0 0 0 0
- ------------- (21) Created by Erland S. Karlsson. 32
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION (NEW VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 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 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(22) 0 0 0 0 JG 2000 Trust (continuing trust)(22) 0 0 0 0 JG 2001 GRAT(22) 0 0 0 0 JG 2002 GRAT(22) 0 0 0 0 The John A. Thain Trust 0 0 0 0
- ------------- (22) Created by Jacob D. Goldfield. 33
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION (NEW VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 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 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 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
34
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION (NEW VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 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 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(23) 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(24) Jersey 0 0 0 0 The Kyle F. Textor 2000 Trust The Lauren Schiller 2000 Trust 0 0 0 0
- ------------- (23) Created by David A. Viniar. (24) Created by Sylvain M. Hefes. 35
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 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 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
36
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 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 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(25) 0 0 0 0 The Melissa Jane Minehan 2001 Trust(25) 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
- ------------- (25) Created by E. Gerald Corrigan. 37
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 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(26) 0 0 0 0 Murphy 2000 (continuing trust)(26) 0 0 0 0 Murphy 2001 GRAT(26) 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 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
- ------------- (26) Created by Thomas S. Murphy, Jr. 38
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 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 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(27) 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
- ------------- (27) Created by Emmanuel Roman. 39
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 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 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
40
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 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 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 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
41
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 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 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
42
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 -------------------------- ---------- ------ ------ ------ ------ Trust for the benefit of Megan H. Hagerty u/a DTD 3/26/01(28) 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(29) UK 0 0 0 0 Vyrona Trust(30) 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 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 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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.(31) Delaware 0 0 0 0 Beech Associates, L.P.(32) Delaware 0 0 0 0 Bermuda Partners, L.P.(33) Delaware 0 0 0 0 Crestley, L.P.(34) Delaware 0 0 0 0 EPG Associates, L.P.(35) 0 0 0 0 Greenley Partners, L.P.(36) Delaware 0 0 0 0
- ------------- (28) Created by Thomas J. Healey. (29) Created by Wiet H.M. Pot. (30) Created by Sylvain M. Hefes. (31) Created by Charles B. Seelig, Jr. (32) Created by David B. Ford. (33) Created by Peter R. Kellogg. (34) Created by Thomas J. Healey. (35) Created by Edward S. Gutman. (36) Created by Jaime E. Yordan. 43
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 -------------------------- ---------- ------ ------ ------ ------ Harris Capital Partners, Limited Partnership Delaware 0 0 0 0 HEMPA Limited Partnership(37) Delaware 0 0 0 0 JSS Investment Partners, L.P.(38) 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(39) 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.(40) 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.(41) Delaware 0 0 0 0 Winkelried Investment Partners, L.P. Delaware 0 0 0 0
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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
- ------------- (37) Created by Henry M. Paulson, Jr. (38) Created by Jonathan S. Savitz. (39) Created by Peter Layton. (40) Created by Connie K. Duckworth. (41) Created by Joseph D. Gutman. 44
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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 Todd Christie Family LLC Delaware 0 0 0 0
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK 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(42) Jersey 0 0 0 0 Chambolle Limited(43) Jersey 0 0 0 0 Guapulo Holdings Limited(44) Jersey 0 0 0 0 HJS2 Limited(45) Cayman Islands 0 0 0 0 IAT Reinsurance Syndicate Ltd.(46) Bermuda 0 0 0 0 Majix Limited(47) Jersey 0 0 0 0 Melalula Limited(48) Jersey 0 0 0 0 RJG Holding Company(49) Cayman Islands 0 0 0 0 Robinelli Limited(50) Jersey 0 0 0 0 Vyrona Holdings Limited(51) Jersey 0 0 0 0 Zurrah Limited(52) Jersey 0 0 0 0
- ------------- (42) Created by Andrew A. Chisholm. (43) Created by Emmanuel Roman. (44) Created by Erland S. Karlsson. (45) Created by Hsueh J. Sung. (46) Created by Peter R. Kellogg. (47) Created by Alok Oberoi. (48) Created by Peter D. Sutherland. (49) Created by Richard J. Gnodde. (50) Created by Claudio Costamagna. (51) Created by Sylvain M. Hefes. (52) Created by Yoel Zaoui. 45 This Amendment No. 26 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. 26 is being filed primarily because, on May 8, 2002, the Partner Tranfer Restrictions (as defined below) lapsed as to 25,325,624 Covered Shares (as defined below). 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. 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) are 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 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 46 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, certain Covered Persons sold shares of Common Stock under the Rule 144 Program. These sales commenced during the week of March 25, 2002 and ended on May 7, 2002, with an aggregate of 7,606,368 Covered Shares having been sold. See Annex E for sales since the last amendment to this Schedule 13D. 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. 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. 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 47 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. With respect to the Covered Shares subject to the Partner Transfer Restrictions, 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 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 after May 7, 2002, the third anniversary of the date of GS Inc.'s initial public offering of its Common 48 Stock (the "Partner Transfer Restrictions" and, together with the General Transfer Restrictions, the "Transfer Restrictions"). The Partner Transfer Restrictions lapsed as to 25,325,624 Covered Shares on May 8, 2002 and will lapse as to the remaining Covered Shares beneficially owned by the PMDs, Hull Covered Persons, SLK Covered Persons and Jacobson Covered Persons in equal installments on each of May 8, 2003 and May 8, 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. An aggregate of 7,606,368 Covered Shares were actually sold in the Rule 144 Program during such quarter. The Shareholders' Committee waived the Partner Transfer Restrictions on all of the Covered Shares beneficially owned by Paul M. Achleitner effective after the date of the filing of this amendment. In the case of a third-party tender or exchange offer, the Transfer Restrictions may be waived or terminated: if the board of directors is recommending acceptance or is not making any recommendation with respect to acceptance of the tender or exchange offer, by a majority of the Voting Interests (as defined below); or if the board of directors is recommending rejection of the tender or exchange offer, by 66 2/3% of the outstanding Voting Interests. In the case of a tender or exchange offer by GS Inc., a majority of the outstanding Voting Interests may also elect to waive or terminate the Transfer Restrictions. VOTING Prior to any vote of the shareholders of GS Inc., the Shareholders' Agreement requires a separate, preliminary vote of the Voting Interests on each matter upon which a vote of the shareholders is proposed to be taken (the "Preliminary Vote"). Each Covered Share held by an Employee Covered Person and each other Covered Share subject to the Partner Transfer Restrictions will be voted in accordance with the majority of the votes cast by the Voting Interests in the Preliminary Vote. In elections of directors, each Covered Share will be voted in favor of 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: 49 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 served on the board of directors on May 7, 1999, 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 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 50 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. 51 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)). 52 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. 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)). Q. 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)). R. 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)). S. 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)). T. 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)). U. 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)). V. 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)). W. 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)). X. 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)). Y. 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)). Z. 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)). AA. 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 OF BENEFICIAL OWNERSHIP OF FEDERAL OR STATE THE COMMON STOCK OF THE NAME CITIZENSHIP BUSINESS ADDRESS PRESENT EMPLOYMENT LAWS WITHIN THE LAST GOLDMAN SACHS GROUP, FIVE YEARS INC. - ----------------------------------------------------------------------------------------------------------------------------------- Steven M. USA 85 Broad Street Managing Director, The None Covered Person, so Bunson New York, NY Goldman Sachs Group, ownership is as set 10004 Inc. forth in or incorporated into Item 5 above. - ----------------------------------------------------------------------------------------------------------------------------------- Russell E. USA 85 Broad Street Managing Director, The None Covered Person, so Makowsky New York, NY Goldman Sachs Group, ownership is as set 10004 Inc. forth in or incorporated into Item 5 above. - ----------------------------------------------------------------------------------------------------------------------------------- Michael H. UK 26 New Street, Partner, None None Richardson St. Helier, Jersey, Bedell Cristin JE4 3RA - ----------------------------------------------------------------------------------------------------------------------------------- John D. Amaral UK Victoria Hall Vice President/ None None 11 Victoria St. Account Manager, Hamilton HM11 J&H Marsh & McLennan Bermuda - ----------------------------------------------------------------------------------------------------------------------------------- Marguerite R. USA 120 Broadway Vice President, Spear, None None Gorman New York, NY Leeds & Kellogg, L.P. 10271 - ----------------------------------------------------------------------------------------------------------------------------------- Richard D. UK 41 Cedar Avenue Partner, Appleby, None None Spurling Hamilton HM12 Spurling & Kempe Bermuda - -----------------------------------------------------------------------------------------------------------------------------------
54 ANNEX B ITEMS 2(D) AND 2(E) INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS None. 55 ANNEX D ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE EXERCISABLE WITHIN 60 DAYS. On or about June 21, 2002, 8,226,967 shares of Common Stock will be delivered pursuant to the terms of an equal number of restricted stock units, and stock options covering 8,198,609 shares of Common Stock will vest and become exercisable, with the underlying shares to be delivered upon the exercise of the relevant stock options. Upon delivery, these shares of Common Stock will be Covered Shares. 56 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 -------------- ---------- ---------------- --------------- Charles T. Harris III April 16, 2002 5,000 $84.11 Charles T. Harris III April 16, 2002 5,000 84.11 Reuben Jeffery III April 16, 2002 74,077 83.43 Jaime E. Yordan April 16, 2002 10,000 84.15 Gaetano J. Muzio April 19, 2002 10,000 86.32 Gaetano J. Muzio April 19, 2002 3,487 86.45 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 -------------- ---------- ---------------- --------------- David K. Kaugher April 16, 2002 300 $82.81 Daisuke Toki April 17, 2002 2,034 85.49 John S. Daly April 18, 2002 400 84.34 Lawrence V. Calcano April 18, 2002 3,240 84.34 Karen A. Matte April 18, 2002 900 84.34 Mukesh K. Parekh April 18, 2002 4,955 84.34 Ellen R. Porges April 18, 2002 150 84.34 Gary B. Schermerhorn April 18, 2002 1,573 84.34 Gary B. Schermerhorn April 18, 2002 237 84.34 Richard P. Simon April 18, 2002 966 84.34 Robert J. Christie April 19, 2002 1,224 85.87 Christian Erickson April 19, 2002 223 85.87 Earl S. Enzer April 19, 2002 768 85.87 David M. Jimenez-Blanco April 19, 2002 646 85.87 David M. Jimenez-Blanco April 19, 2002 1,221 85.87 Mary Lyn Valkenburg Kurish April 19, 2002 1,145 85.87 Mark E. Leydecker April 19, 2002 968 85.87 Mark E. Leydecker April 19, 2002 411 85.87 Daniel O'Rourke April 23, 2002 1,274 82.80 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: COVERED PERSON ACQUISITION OR TRANSACTION NUMBER PRICE PER DISPOSITION DATE OF SHARES SHARE -------------- -------------- ----------- --------- --------- W. Reed Chisholm II Acquisition April 26, 2002 1 $79.15 Robert G. Hottensen, Jr. Acquisition April 26, 2002 1 $79.15 Douglas W. Kimmelman Acquisition April 26, 2002 1 $79.15 Thomas J. McAdam Acquisition April 26, 2002 1 $79.15 Gerald C. McNamara, Jr. Acquisition April 26, 2002 7 $79.15 Arthur J. Peponis Acquisition April 26, 2002 1 $79.15 Allen Sangines-Krause Acquisition April 26, 2002 1 $79.15 David D. Wildermuth Acquisition April 26, 2002 1 $79.15 Thomas J. McAdam Acquisition April 30, 2002 1 $78.75 RULE 144 PROGRAM Since the last amendment to this Schedule 13D, the Covered Persons listed in Table I below sold an aggregate of 3,404,865 Covered Shares under the Rule 144 Program referred to in Item 4 above through May 7, 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
COVERED PERSON SHARES SOLD EACH TOTAL SHARES SOLD ON ALL TRADING DAY TRADING DAYS Bradley I. Abelow** 735 1,470 Paul M. Achleitner*** 3,869 30,952 Andrew M. Alper** 517 1,034 Armen A. Avanessians** 1,207 2,414
57
TOTAL SHARES SHARES SOLD EACH SOLD ON ALL COVERED PERSON TRADING DAY TRADING DAYS Christopher A. Bates 272 4,362 David M. Baum*** 739 5,912 Richard J. Bronks*** 823 6,584 Lawrence R. Buchalter** 1,297 2,594 Andrew Cader*** 6,897 55,176 Michael J. Carr*** 970 7,760 Christopher J. Carrera 793 12,691 Mark Carroll*** 89 712 Mary Ann Casati 586 9,382 Mark A. Castellano** 3,189 6,378 Andrew A. Chisholm** 817 1,634 Todd J. Christie** 1,657 3,314 Zachariah Cobrinik 1,248 19,960 Lawrence A. Cohen*** 1,575 12,600 Gary D. Cohn** 2,278 4,556 Christopher A. Cole 1,379 22,073 Carlos A. Cordeiro*** 2,586 20,688 Henry Cornell** 2,803 5,606 E. Gerald Corrigan*** 1,034 8,272 James A. Coufos** 690 1,380 Frank L. Coulson, Jr. 3,093 49,495 Randolph L. Cowen** 690 1,380 Timothy D. Dattels 1,512 24,192 Gavyn Davies** 862 1,724 David A. Dechman 773 12,368 Paul C. Deighton*** 2,593 20,744 Joseph Della Rosa*** 2,373 18,984 Neil V. Desena*** 659 5,272 Alexander C. Dibelius** 276 552 Stephen J. Dilascio*** 456 3,648 John O. Downing** 1,552 3,104 Connie K. Duckworth 1,907 30,501 C. Steven Duncker*** 1,843 14,744 Gordon E. Dyal** 1,310 2,620 Glenn P. Earle 1,470 23,517 Paul S. Efron** 814 1,628 Lawton W. Fitt*** 1,724 13,792 David B. Ford*** 3,051 24,408 Edward C. Forst** 741 1,482 Randy W. Frankel*** 3,448 27,584 Richard A. Friedman*** 4,310 34,480 Peter C. Gerhard 2,452 39,242 Joseph H. Gleberman 2,876 46,011 Jacob D. Goldfield** 2,574 5,148 Gary F. Goldring 5,172 82,764 Andrew M. Gordon** 862 1,724 Thomas J. Gravina 773 12,372 Eric P. Grubman** 862 1,724 Joseph D. Gutman*** 690 5,520 Robert S. Harrison*** 1,379 11,032
58
TOTAL SHARES SHARES SOLD EACH SOLD ON ALL COVERED PERSON TRADING DAY TRADING DAYS Thomas J. Healey 1,590 25,453 David B. Heller 1,724 27,588 Mary C. Henry 1,515 24,239 M. Roch Hillenbrand 690 11,030 Jacquelyn M. Hoffman-Zehner 1,162 18,600 Richard R. Hogan** 1,724 3,448 Robert J. Hurst*** 2,759 22,072 Fern K. Hurst** 944 1,888 Francis J. Ingrassia 1,759 28,135 Timothy J. Ingrassia 873 13,969 James A. Jacobson** 690 1,380 Ann F. Kaplan*** 2,724 21,792 Barry A. Kaplan** 1,113 2,226 Robert J. Katz 3,898 62,372 Peter R. Kellogg 828 13,236 William J. Kenney 1,173 18,764 Bradford C. Koenig 1,332 21,299 Jonathan L. Kolatch*** 1,764 14,112 Philip J. Kopp III** 182 364 Peter S. Kraus** 2,447 4,894 David G. Lambert 1,134 18,142 Anthony D. Lauto*** 811 6,488 Stephen M. Levick 627 10,040 Matthew G. L'Heureux** 888 1,776 Robert Litterman 1,590 25,446 Robert H. Litzenberger** 586 1,172 Jonathan M. Lopatin 1,269 20,294 Michael R. Lynch*** 2,069 16,552 Peter G.C. Mallinson*** 2,069 16,552 Ronald G. Marks 1,432 22,903 Nicholas L. Marovich*** 216 1,728 Eff W. Martin*** 2,347 18,776 John P. McNulty 4,076 65,222 T. Willem Mesdag*** 2,508 20,064 Steven T. Mnuchin*** 3,126 25,008 Masanori Mochida*** 3,897 31,176 Karsten N. Moller 1,562 25,004 Thomas K. Montag 2,759 44,133 Robert B. Morris III 2,873 45,959 R. Scott Morris*** 69 552 Sharmin Mossavar-Rahmani*** 3,448 27,584 Edward A. Mule** 2,069 4,138 Timothy R. Mullen 5,172 82,764 Thomas S. Murphy, Jr. *** 517 4,136 Avi M. Nash 345 5,515 Daniel M. Neidich** 3,328 6,656 Kipp M. Nelson*** 1,663 13,304 Robin Neustein** 3,448 6,896 Suzanne Nora Johnson** 3,595 7,190 Michael E. Novogratz 736 11,787
59
TOTAL SHARES COVERED PERSON SHARES SOLD EACH SOLD ON ALL TRADING DAY TRADING DAYS Terence J. O'Neill*** 2,983 23,864 Timothy J. O'Neill 3,151 50,430 Donald C. Opatrny, Jr. 2,948 47,168 Robert J. O'Shea** 2,482 4,964 Greg M. Ostroff 563 9,019 Terence M. O'Toole*** 3,448 27,584 Robert J. Pace*** 593 4,744 Bryant F. Pantano*** 172 1,376 Timothy C. Plaut 1,795 28,721 Wiet H.M. Pot 2,246 35,945 Scott S. Prince 655 10,485 Stephen D. Quinn*** 1,724 13,792 Michael G. Rantz*** 1,535 12,280 James P. Riley, Jr. 2,805 44,882 Simon M. Robertson*** 2,069 16,552 J. David Rogers** 3,318 6,636 Emmanuel Roman*** 865 6,920 Ralph F. Rosenberg*** 625 5,000 Stuart M. Rothenberg*** 1,207 9,656 Michael S. Rubinoff 784 12,550 Richard M. Ruzika 790 12,641 John C. Ryan** 862 1,724 Jeri Lynn Ryan** 462 924 Michael D. Ryan 517 8,279 Richard C. Salvadore** 1,667 3,334 Richard A. Sapp*** 3,448 27,584 Joseph Sassoon*** 2,580 20,640 Tsutomu Sato 1,029 16,471 Muneer A. Satter** 1,399 2,798 Jonathan S. Savitz 472 7,555 Peter Savitz 1,278 20,459 Howard B. Schiller** 1,789 3,578 Antoine Schwartz 1,003 16,043 Eric S. Schwartz 2,792 44,664 Patrick P. Scire 2,273 36,368 Charles B. Seelig, Jr. *** 2,912 23,296 Steven M. Shafran 1,183 18,931 Richard S. Sharp*** 4,323 34,584 James M. Sheridan 1,444 23,115 Richard G. Sherlund 1,804 28,862 Dinakar Singh 808 12,920 Christian J. Siva-Jothy*** 828 6,624 Cody J Smith** 1,483 2,966 Jonathan S. Sobel 794 12,697 Marc A. Spilker 1,456 23,306 Daniel W. Stanton*** 2,069 16,552 Steven R. Starker 2,448 39,180 Fredric E. Steck*** 1,379 11,032 Cathrine Stickney Steck** 646 1,292 Robert K. Steel 3,448 55,176
60
COVERED PERSON SHARES SOLD EACH TOTAL SHARES SOLD ON ALL TRADING DAY TRADING DAYS Gene T. Sykes 2,586 41,382 Mark R. Tercek 1,328 21,239 Donald F. Textor** 1,634 3,268 Gary S. Tolchin** 2,058 4,116 Brian J. Toolan*** 913 7,304 John R. Tormondsen 1,207 19,309 Leslie C. Tortora** 2,999 5,998 John L. Townsend III*** 2,716 21,728 Byron D. Trott** 1,552 3,104 John E. Urban 663 10,598 Lee G. Vance 1,906 30,489 Barry S. Volpert** 3,448 6,896 George H. Walker 743 11,890 Peter A. Weinberg 6,284 100,543 George W. Wellde, Jr. ** 2,069 4,138 Anthony G. Williams** 2,808 5,616 Kendrick R. Wilson III*** 690 5,520 Steven J. Wisch 1,458 23,323 Richard E. Witten** 3,272 6,544 Tracy R. Wolstencroft 2,556 40,894 Yasuyo Yamazaki 977 15,643 Danny O. Yee*** 1,733 13,864 Gregory H. Zehner 1,282 20,512 Alphonse Zenna*** 862 6,896 Joseph R. Zimmel 3,573 57,162 Mark A. Zurack 1,426 22,830 TRUSTS 120 Broadway Partners 1,138 18,206 A.C. Trust*** 419 3,352 Anahue Trust** 352 704 The Beller/Moses Trust** 1,558 3,116 The Gary W. Williams 2001 Trust 2,414 38,618 The Girish V. Reddy 2001 Trust 747 11,963 Mark Dehnert Living Trust*** 172 1,376 The Michael J. Zamkow 2001 Trust*** 1,724 13,792 Trust u/w James Kellogg III 1,345 21,515 The Patrick J. Ward 2001 Trust 3,316 53,049 The Unicorn Trust 1,268 20,290 PARTNERSHIPS Bermuda Partners, L.P. 621 9,927 The Rizner Family Limited Partnership 384 6,132 CORPORATIONS Guapulo Holdings Ltd** 1,860 3,720 Melalula Limited*** 3,090 24,720 M.B. Turnbull Pty, Limited** 863 1,726 Robinelli Limited*** 1,034 8,272
61
COVERED PERSON SHARES SOLD EACH TOTAL SHARES SOLD ON ALL TRADING DAY TRADING DAYS Vyrona Holdings Limited 3,397 54,340
* 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 on April 18, 2002 and April 22, 2002 and no other shares through May 7, 2002. *** This Covered Person sold shares from April 16, 2002 through April 24, 2002 and on May 3, 2002 and no other shares through May 7, 2002. Table II
TRADING DAY PRICE PER SHARE April 16, 2002 $84.20 April 17, 2002 85.37 April 18, 2002 84.35 April 19, 2002 86.15 April 22, 2002 84.95 April 23, 2002 83.17 April 24, 2002 80.91 April 25, 2002 77.73 April 26, 2002 79.30 April 29, 2002 78.33 April 30, 2002 79.12 May 1, 2002 78.24 May 2, 2002 80.25 May 3, 2002 79.13 May 6, 2002 77.60 May 7, 2002 75.50
62 SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: May 16, 2002 By: /s/ Esta E. Stecher -------------------------------------- Name: Esta E. Stecher Title: Attorney-in-Fact 63 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)). 64 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. 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)). R. 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)). S. 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)). T. 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)). U. 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)). V. 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)). W. 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)). X. 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)). Y. 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)). Z. 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)). AA. 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 65 Exhibit Description No. 20 to the Initial Schedule 13D, filed December 21, 2001 (File No. 005-56295)). BB. 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.). 66 -----END PRIVACY-ENHANCED MESSAGE-----