0000950123-05-003684.txt : 20120615
0000950123-05-003684.hdr.sgml : 20120615
20050328172832
ACCESSION NUMBER: 0000950123-05-003684
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20050328
DATE AS OF CHANGE: 20050328
GROUP MEMBERS: GROUP MEMBERS LISTED IN FILING
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC/
CENTRAL INDEX KEY: 0000886982
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 134019460
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1128
FILING VALUES:
FORM TYPE: SC 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-56295
FILM NUMBER: 05707432
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: 1128
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
y07211sc13dza.txt
AMENDMENT NO. 58 TO SCHEDULE 13D
SECURITIES EXCHANGE COMMISSION
Washington, D.C. 20549
File No. 005-56295
--------------------------------------
SCHEDULE 13D/A
(Rule 13d-101)
Amendment No. 58
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)
Kenneth L. Josselyn
Beverly L. O'Toole
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)
March 18, 2005
--------------------
(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 104 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 and PF (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: 0
-----------------------------------------------------------------
NUMBER OF 8. SHARED VOTING POWER (See Item 6) (Applies to each person
SHARES listed on Appendix A.)
BENEFICIALLY 40,934,403 Voting Shares(2) held by Covered Persons
OWNED BY 3,470 Shared Ownership Shares held by Covered Persons(3)
REPORTING 21,947,876 Sixty Day Shares held by Covered Persons(4)
PERSON 2,505,667 Other Shares held by Covered Persons(5)
WITH -----------------------------------------------------------------
9. SOLE DISPOSITIVE POWER (See Item 6)
As to Voting Shares, less than 1%
As to Shared Ownership Shares, Sixty Day Shares and
Other Shares, 0
-----------------------------------------------------------------
10.SHARED DISPOSITIVE POWER (See Item 6):
As to Voting Shares, 0
As to Shared Ownership Shares, less than 0.01%
As to Sixty Day Shares and Other Shares, less than 1%.
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 65,391,416
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN [ ]
SHARES
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13.07%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON: IN as to Covered Persons; CO as to Reporting
Entities(1) that are corporations; OO as to Reporting Entities that are
trusts
-----------------------------
(1) For a definition of this term, please see Item 2.
(2) For a definition of this term, please see Item 6.
(3) "Shared Ownership Shares" are shares of Common Stock (other than Other
Shares, as defined below) of which a Covered Person shares beneficial
ownership with someone other than the Covered Person's spouse. Each
Covered Person disclaims beneficial ownership of Shared Ownership Shares
beneficially owned by each other Covered Person.
(4) "Sixty Day Shares" are shares of Common Stock deemed to be beneficially
owned under Rule 13d-3(d)(1) because a Covered Person has the right to
acquire beneficial ownership within 60 days of the date hereof. See Annex
D for a description of these shares. Upon acquisition by the Covered
Person, these shares will become Voting Shares. Each Covered Person
disclaims beneficial ownership of Sixty Day Shares beneficially owned by
each other Covered Person.
(5) "Other Shares" include: (i) 614,379 shares of Common Stock held by 40
private charitable foundations established by 32 Covered Persons; (ii)
1,891,288 shares of Common Stock held by certain estate planning entities
established by Covered Persons; and (iii) 290 shares of Common Stock held
by the trust underlying The Goldman Sachs Employees' Profit Sharing
Retirement Income Plan. Each Covered Person disclaims beneficial ownership
of Other Shares beneficially owned by each other Covered Person, and each
Covered Person disclaims beneficial ownership of all shares held by any
private charitable foundation.
ITEM 1 ITEM 6
--------------------------- CITIZENSHIP
(UNITED STATES
UNLESS OTHERWISE
NAMES OF REPORTING PERSONS INDICATED)
--------------------------- ----------------
Peter C. Aberg
Raanan A. Agus
Syed H. Ahmad Pakistan
Yusuf A. Aliredha Bahrain
John A. Ashdown UK
Philippe J. Altuzarra France
Akio Asuke Japan
Neil Z. Auerbach
Armen A. Avanessians
Dean C. Backer
Steven M. Barry
Christopher M. Barter
Stacy Bash-Polley
Jonathan A. Beinner
Driss Ben-Brahim Morocco
Milton R. Berlinski The Netherlands
Frances R. Bermanzohn
Paul D. Bernard
Stuart N. Bernstein
Jean-Luc Biamonti Monaco
Lloyd C. Blankfein
Charles W.A. Bott UK
Craig W. Broderick
Richard J. Bronks UK
John J. Bu
Lawrence V. Calcano
Richard M. Campbell-Breeden UK
Gerald J. Cardinale
Mark M. Carhart
Anthony H. Carpet
Michael J. Carr
Chris Casciato
Amy L. Chasen
Andrew A. Chisholm Canada
Robert J. Christie
Jane P. Chwick
Kent A. Clark Canada
Abby Joseph Cohen
Alan M. Cohen
Gary D. Cohn
Christopher A. Cole
Laura C. Conigliaro
Thomas G. Connolly Ireland/USA
Frank T. Connor
Linnea K. Conrad
Karen R. Cook UK
Edith W. Cooper
Thomas W. Cornacchia
Henry Cornell
E. Gerald Corrigan
Claudio Costamagna Italy
Frank L. Coulson, Jr.
Randolph L. Cowen
Brahm S. Cramer Canada
Neil D. Crowder
Matthew H. Cyzer UK
Michael D. Daffey Australia
John S. Daly Ireland
Stephen D. Daniel Canada
Philip M. Darivoff
Diego De Giorgi Italy
Michael G. De Lathauwer Belgium
Francois-Xavier de Mallmann France/Switzerland
Daniel L. Dees
Mark Dehnert
Paul C. Deighton UK
Juan A. Del Rivero Spain
James Del Favero Australia
Martin R. Devenish UK
Armando A. Diaz
Alexander C. Dibelius Germany
Simon P. Dingemans UK
Joseph P. DiSabato
Suzanne O. Donohoe
Mario Draghi Italy
William C. Dudley
Jay S. Dweck
Michael L. Dweck
Gordon E. Dyal
Isabelle Ealet France
Kenneth M. Eberts III
Paul S. Efron
Herbert E. Ehlers
Edward K. Eisler Austria
Kathleen G. Elsesser
Michael P. Esposito
J. Michael Evans Canada
Elizabeth C. Fascitelli
Steven M. Feldman
Stephen C. Fitzgerald Australia
Pierre-Henri Flamand France
Edward C. Forst
Christopher G. French UK
Richard A. Friedman
-3-
ITEM 1 ITEM 6
--------------------------- CITIZENSHIP
(UNITED STATES
UNLESS OTHERWISE
NAMES OF REPORTING PERSONS INDICATED)
--------------------------- ----------------
Robert K. Frumkes
Enrico S. Gaglioti
James R. Garvey Ireland
Peter C. Gerhard
Rajiv A. Ghatalia India
Robert R. Gheewalla
Scott A. Gieselman
Gary T. Giglio
H. John Gilbertson, Jr.
Justin G. Gmelich
Richard J. Gnodde Ireland/
South Africa
Jeffrey B. Goldenberg
James S. Golob
Gregg A. Gonsalves
Andrew M. Gordon
Frank J. Governali
William M. Grathwohl
Stefan Green Australia
David J. Greenwald
Douglas C. Grip
Peter Gross
Vishal Gupta India
Celeste A. Guth
Jana Hale Doty
Rumiko Hasegawa Japan
A. John Hass
Keith L. Hayes UK
David B. Heller
Robert D. Henderson
David L. Henle
Bruce A. Heyman
Stephen P. Hickey
Melina E. Higgins
Kenneth W. Hitchner
Maykin Ho
Margaret J. Holen
Peter Hollmann Germany
Philip Holzer Germany
Robert Howard
Zu Liu Frederick Hu China
Edith A. Hunt
Phillip S. Hylander UK
Timothy J. Ingrassia
Raymond J. Iwanowski
William L. Jacob III
Adrian M. Jones Ireland
Robert C. Jones
Ravindra J. Joseph UK/USA
David A. Kaplan
Robert S. Kaplan
Scott B. Kapnick
Toshinobu Kasai Japan
James C. Katzman
Richard L. Kauffman
Carsten Kengeter Germany
Kevin W. Kennedy
Thomas J. Kenny
Philippe Khuong-Huu France
Douglas W. Kimmelman
Robert C. King, Jr.
Timothy M. Kingston
Shigeki Kiritani Japan
Ewan M. Kirk UK
Remy Klammers France
Peter S. Kraus
Joseph A. LaNasa III
Eric S. Lane
Anthony D. Lauto
John J. Lauto
George C. Lee
Gregg R. Lemkau
Hughes B. Lepic France
Johan Leven Sweden
Jack Levy
Matthew G. L'Heureux
Gwen R. Libstag
Mitchell J. Lieberman
Ryan D. Limaye
Josephine Linden UK
Anthony W. Ling UK
Robert Litterman
Victor M. Lopez-Balboa
Antigone Loudiadis UK
Mark G. Machin UK
John A. Mahoney
Charles G. R. Manby UK
Robert J. Markwick UK
Alison J. Mass
John J. Masterson
David J. Mastrocola
Kathy M. Matsui
George N. Mattson
Jason E. Maynard
Theresa E. McCabe
Ian R. McCormick UK
-4-
ITEM 1 ITEM 6
--------------------------- CITIZENSHIP
(UNITED STATES
UNLESS OTHERWISE
NAMES OF REPORTING PERSONS INDICATED)
--------------------------- ----------------
Mark E. McGoldrick
Stephen J. McGuinness
John W. McMahon
Audrey A. McNiff
Robert A. McTamaney
Sanjeev K. Mehra India
Michael R. Miele
Therese L. Miller
Masanori Mochida Japan
Philip J. Moffitt Australia
Thomas K. Montag
William C. Montgomery
Wayne L. Moore
J. Ronald Morgan III
Simon P. Morris UK
Jeffrey M. Moslow
Sharmin Mossavar-Rahmani UK
Gregory T. Mount
Donald R. Mullen
Marc O. Nachmann Germany
Jeffrey P. Nedelman
Duncan L. Niederauer
Suzanne M. Nora Johnson
Anthony J. Noto
L. Peter O'Hagan Canada
Terence J. O'Neill UK
Timothy J. O'Neill
Richard T. Ong Malaysia
Taneki Ono Japan
Nigel M. O'Sullivan UK
Terence M. O'Toole
Fumiko Ozawa
Robert J. Pace
Gregory K. Palm
James R. Paradise UK
Geoffrey M. Parker
Sanjay H. Patel India
Henry M. Paulson, Jr.
Arthur J. Peponis
David B. Philip
Stephen R. Pierce
Andrea Ponti Italy/USA
Ellen R. Porges
Richard H. Powers
Kevin A. Quinn
Jean Raby Canada
John J. Rafter Ireland
Charlotte P. Ransom UK
Joseph Ravitch
Jeffrey A. Resnick
William M. Roberts
John F. W. Rogers
Emmanuel Roman France
Eileen P. Rominger
Ralph F. Rosenberg
Ivan Ross
Stuart M. Rothenberg
Paul M. Russo
Richard M. Ruzika
David C. Ryan
Michael D. Ryan
Katsunori Sago Japan
Pablo J. Salame Ecuador
J. Michael Sanders
Muneer A. Satter
Marcus Schenck Germany
Gary B. Schermerhorn
Stephen M. Scherr
Howard B. Schiller
Jeffrey W. Schroeder
Eric S. Schwartz
Harvey M. Schwartz
Steven M. Scopellite
Karen D. Seitz
Lisa M. Shalett
Richard S. Sharp UK
David G. Shell
Richard G. Sherlund
Michael S. Sherwood UK
Ravi M. Singh
Ravi Sinha India/USA
Edward M. Siskind
Jeffrey S. Sloan
Michael M. Smith
Sarah E. Smith UK
Jonathan S. Sobel
David M. Solomon
Daniel L. Sparks
Marc A. Spilker
Esta E. Stecher
Steven H. Strongin
Hsueh J. Sung Taiwan
Gene T. Sykes
Shahriar Tadjbakhsh
Greg W. Tebbe
Roland W. Tegeder Germany
David H. Tenney
-5-
ITEM 1 ITEM 6
--------------------------- CITIZENSHIP
(UNITED STATES
UNLESS OTHERWISE
NAMES OF REPORTING PERSONS INDICATED)
--------------------------- ----------------
Mark R. Tercek
Massimo Tononi Italy
Mark J. Tracey UK
Stephen S. Trevor
Byron D. Trott
Michael A. Troy
Donald J. Truesdale
Irene Y. Tse Hong Kong
Robert B. Tudor III
Eiji Ueda Japan
Kaysie P. Uniacke
Ashok Varadhan
Corrado P. Varoli Canada
John J. Vaske
David A. Viniar
David H. Voon
John E. Waldron
George H. Walker IV
David M. Weil
Theodor Weimer Germany
John S. Weinberg
Peter A. Weinberg
Gregg S. Weinstein
George W. Wellde, Jr.
Lance N. West
Matthew Westerman UK
Elisha Wiesel
William Wicker
C. Howard Wietschner
Susan A. Willetts
Todd A. Williams
John S. Willian
Kendrick R. Wilson III
Jon Winkelried
Michael S. Wishart
Tracy R. Wolstencroft
Jon A. Woodruff
W. Thomas York, Jr.
Wassim G. Younan Lebanon
Paul M. Young
William J. Young
Paolo Zannoni Italy
Yoel Zaoui France
Jide J. Zeitlin
Kevin Zhang China
-6-
REPORTING ENTITIES
ITEM 1 ITEM 6 NAME OF ESTABLISHING
NAME OF ENTITY TYPE OF ENTITY PLACE OF ORGANIZATION COVERED PERSON
-------------------------------- -------------- --------------------- ---------------------------
Anahue Limited Corporation Jersey Andrew A. Chisholm
Bott 2004 Settlement Trust UK Charles W.A. Bott
Campbell-Breeden 2004 Settlement Trust UK Richard M. Campbell-Breeden
Chambolle Limited Corporation Jersey Emmanuel Roman
Deighton 2004 Settlement Trust UK Paul C. Deighton
Devenish 2004 Settlement Trust UK Martin R. Devenish
Dingemans 2004 Settlement Trust UK Simon P. Dingemans
Drayton 2004 Settlement Trust UK Karen R. Cook
French 2004 Settlement Trust UK Christopher G. French
HJS2 Limited Corporation Cayman Islands Hsueh J. Sung
Kirk 2004 Settlement Trust UK Ewan M. Kirk
Ling 2004 Settlement Trust UK Anthony W. Ling
Manby 2004 Settlement Trust UK Charles G.R. Manby
Markwick 2004 Settlement Trust UK Robert J. Markwick
O'Neill 2004 Trust Trust UK Terence J. O'Neill
Ransom 2004 Settlement Trust UK Charlotte P. Ransom
RJG Holding Company Corporation Cayman Islands Richard J. Gnodde
Robinelli Limited Corporation Jersey Claudio Costamagna
Sharp 2004 Settlement Trust UK Richard S. Sharp
Sherwood 2004 Settlement Trust UK Michael S. Sherwood
Tracey 2004 Settlement Trust UK Mark J. Tracey
Westerman 2004 Settlement Trust UK Matthew Westerman
Zurrah Limited Corporation Jersey Yoel Zaoui
7
This Amendment No. 58 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. 58 is being filed primarily because the number
of shares of Common Stock (as defined in Item 1 below) beneficially owned by
Covered Persons (as defined in Item 2 below) has decreased by an amount in
excess of one percent of the total number of shares of Common Stock outstanding.
ITEM 1. SECURITY AND ISSUER
This Schedule relates to the Common Stock, par value $.01 per share
(the "Common Stock"), of The Goldman Sachs Group, Inc. ("GS Inc."), a Delaware
corporation. 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 individuals ("Covered Persons") who are parties
to a Shareholders' Agreement, dated as of May 7, 1999 and amended and restated
as of June 22, 2004 (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 of each Covered
Person. Each Covered Person is a Participating Managing Director (as defined in
Item 6 below) employed by GS Inc. or one of its affiliates. GS Inc. is a global
investment banking and securities firm. The business address of each Covered
Person for purposes of this Schedule is 85 Broad Street, New York, New York
10004.
Each entity listed on Appendix A under "Reporting Entities" (each a
"Reporting Entity") is a trust or corporation created by or for a Covered Person
for estate planning purposes. Each Reporting Entity is controlled by a Covered
Person. The name, citizenship, business address and present principal occupation
or employment of each of the directors and executive officers of each Reporting
Entity that is a corporation (other than the Covered Person that established the
Reporting Entity) are set forth in Annex A hereto. The business address of each
Reporting Entity 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; and (iii) in the case of entities organized in the
United States, 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 and, to the best knowledge of the Covered Persons,
no executive officer or director of a Reporting Entity, has been convicted in a
criminal proceeding (excluding traffic violations or similar misdemeanors) or
has been a party to a civil proceeding or a judicial or administrative body of
competent jurisdiction resulting in such Covered Person or executive officer or
director 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 Persons have acquired and will acquire shares of Common
Stock in the following manners: (i) the former profit participating limited
partners active in the business of The Goldman Sachs Group, L.P. ("Group L.P.")
(the "IPO PMDs") acquired certain shares of Common Stock 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") and the former members (the "SLK Covered Persons" and, together
with the Hull Covered Persons, the "Acquisition Covered Persons") of SLK LLC
acquired certain shares of Common Stock in exchange for their interests in Hull
or SLK LLC, as applicable; and (iii) certain Covered Persons have acquired and
will acquire beneficial ownership of certain shares of Common Stock in
connection with GS Inc.'s initial public offering and/or pursuant to GS Inc.'s
employee compensation, benefit or similar plans. The
8
Reporting Entities have acquired and may in the future acquire beneficial
ownership of shares of Common Stock as contributions or gifts made by Covered
Persons.
Covered Persons may from time to time acquire shares of Common Stock
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 Covered Persons, other than the Acquisition Covered Persons,
acquired certain shares of Common Stock in connection with the succession of GS
Inc. to the business of Group L.P. and GS Inc.'s initial public offering and/or
through certain employee compensation, benefit or similar plans of GS Inc. The
Acquisition Covered Persons acquired certain shares of Common Stock in
connection with the acquisition by GS Inc. of Hull or the combination of GS Inc.
with SLK LLC, as applicable, and through certain employee compensation, benefit
or similar plans of GS Inc. The Reporting Entities acquired shares of Common
Stock as contributions or gifts made by Covered Persons.
Covered Persons may from time to time acquire shares of Common Stock
for investment purposes. Except as described herein and in Annex C and except
for the acquisition by Covered Persons or their Reporting Entities 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 the acquisition of additional
Common Stock by them or their Reporting Entities 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 or Reporting Entity 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 and
Appendix 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 set
forth for each Covered Person and Reporting Entity: the percentage range of
Voting Shares, Shared Ownership Shares, Sixty Day Shares and Other Shares (each
as defined on the cover page hereof) as to which there is sole power to vote or
direct the vote or to dispose or direct the disposition or shared power to vote
or direct the vote or to dispose or direct the disposition. The power to vote
Voting 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 or Reporting Entity has effected any
transactions in Common Stock in the past 60 days.
(d), (e) Not applicable.
9
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 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. The
Shareholders' Agreement was amended and restated effective as of the close of
business on June 22, 2004. References to the "board of directors" are to the
board of directors of The Goldman Sachs Group, Inc.
The Covered Persons under the Shareholders' Agreement include all
Managing Directors of GS Inc. who participate in the GS Inc. Partner
Compensation Plan or Restricted Partner Compensation Plan (each as defined in
the Shareholders' Agreement) or any other employee benefit plan specified by the
Shareholders' Committee (the "Participating Managing Directors").
The "Voting Shares" include all of the shares of Common Stock of
which a Covered Person is the sole beneficial owner (excluding shares of Common
Stock held by the trust underlying The Goldman Sachs Employees' Profit Sharing
Retirement Income Plan) and the shares of Common Stock held by the trust
underlying a Goldman Sachs Compensation Plan (as defined in the Shareholders'
Agreement) and allocated to a Covered Person. The interest of a spouse or
domestic partner in a joint account, an economic interest of GS Inc. as pledgee,
and the interest of certain persons in the Reporting Entities will be
disregarded for the purposes of determining whether a Covered Person is the sole
beneficial owner of shares of Common Stock.
TRANSFER RESTRICTIONS
Each Covered Person has agreed in the Shareholders' Agreement, among
other things, to retain sole beneficial ownership of a number of shares of
Common Stock at least equal to 25% of such Covered Person's Covered Shares (as
defined below) (the "General Transfer Restrictions"). In addition, certain
senior officers designated by the Shareholders' Committee have each agreed to
retain sole beneficial ownership of a number of shares of Common Stock at least
equal to 75% of such Covered Person's Covered Shares (the "Special Transfer
Restrictions" and, together with the General Transfer Restrictions, the
"Transfer Restrictions"). The same shares may be used to satisfy both the
Special Transfer Restrictions and the General Transfer Restrictions. The
Transfer Restrictions applicable to a Covered Person terminate upon the death of
the Covered Person. Any shares beneficially owned by a Covered Person through a
Reporting Entity may be deemed to count toward the satisfaction of the Transfer
Restrictions.
For these purposes, "Covered Shares," with respect to a Covered
Person, will be recalculated each time the Covered Person receives Common Stock
underlying an award of restricted stock units, becomes vested in an award under
The Goldman Sachs Defined Contribution Plan with respect to fiscal 1999 or 2000
or exercises a stock option (not including, in each case, awards in connection
with GS Inc.'s initial public offering). The calculation of Covered Shares will
include the gross number of shares underlying such restricted stock units,
Defined Contribution Plan awards or stock options, less (i) a number of shares
determined by reference to tax rates specified by the Shareholders' Committee
and (ii) the number of shares necessary to cover the option exercise price, if
applicable (all as calculated pursuant to a formula set out in the Shareholders'
Agreement). The calculation of Covered Shares will only take into account awards
that occurred after the Covered Person became a Participating Managing Director.
WAIVERS
The Shareholders' Committee, described below under "Information
Regarding the Shareholders' Committee," has the power to waive the Transfer
Restrictions to permit Covered Persons to: participate as sellers in
underwritten public offerings of, and stock repurchase programs and tender and
exchange offers by GS Inc. for, Common Stock; transfer Common Stock to
charities, including charitable foundations; transfer Common Stock held in
employee benefit plans; and transfer Common Stock in particular situations (such
as transfers to family members, partnerships or trusts), but not generally.
10
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 outstanding
Covered Shares; or if the board of directors is recommending rejection of the
tender or exchange offer, by 66 2/3% of the outstanding Covered Shares.
In the case of a tender or exchange offer by GS Inc., a majority of
the outstanding Covered Shares may also 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 all Voting Shares on each
matter upon which a vote of the shareholders is proposed to be taken (the
"Preliminary Vote"). Each Voting Share will be voted in accordance with the
majority of the votes cast by the Voting Shares in the Preliminary Vote. In
elections of directors, each Voting Share will be voted in favor of the election
of those persons, equal in number to the number of such positions to be filled,
receiving the highest numbers of votes cast by the Voting Shares in the
Preliminary Vote.
OTHER RESTRICTIONS
The Shareholders' Agreement also prohibits 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, a Covered Person may not:
participate in a proxy solicitation to or with a Restricted Person; deposit any
shares of Common Stock in a voting trust or subject any shares of Common Stock
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 Covered Shares. The Shareholders' Agreement may generally be
amended at any time by a majority of the outstanding Covered Shares.
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 constituted pursuant to the
Shareholders' Agreement (the "Shareholders' Committee") shall at any time
consist of each of those individuals who are both 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 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 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
Covered Persons. Currently, Henry M. Paulson, Jr., Robert S. Kaplan and Lloyd C.
Blankfein are the members of the Shareholders' Committee.
11
PLEDGE AGREEMENTS
On July 31, 2000, certain Covered Persons pledged some of their
shares of Common Stock 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.
In addition, one or more Covered Persons have pledged in the
aggregate 555,075 shares of Common Stock to a bank as collateral for loans. A
portion of these pledged shares may be sold from time to time with the consent
of the third-party lending institution.
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, January 9, 2002, December 23, 2002,
January 8, 2003, December 22, 2003 and January 8, 2004, GS Inc. entered into a
Registration Rights Instrument and five substantially similar Supplemental
Registration Rights Instruments (the "Charitable Supplements"). The following is
a description of the Registration Rights Instrument, as supplemented by the
Charitable Supplements. The Registration Rights Instrument and the Charitable
Supplements are filed as Exhibits to this Schedule, and the following summary of
these agreements is qualified in its entirety by reference thereto.
Pursuant to the Registration Rights Instrument and the Charitable
Supplements, GS Inc. has agreed to register the donated shares of Common Stock
for resale by charitable foundations and public charities. GS Inc. has agreed in
the Registration Rights Instrument and the Charitable Supplements to pay all of
the fees and expenses relating to the offering by the charitable organizations,
other than any agency fees and commissions or underwriting commissions or
discounts or any transfer taxes incurred by the charitable organizations in
connection with their resales. GS Inc. also has agreed to indemnify the
charitable organizations against certain liabilities, including those arising
under the Securities Act.
GS Inc. may amend the Registration Rights Instrument and the
Charitable Supplements in any manner that it deems appropriate, without the
consent of any charitable organization. However, GS Inc. may not make any
amendment that would cause the shares of Common Stock to fail to be "qualified
appreciated stock" within the meaning of Section 170 of the Internal Revenue
Code. In addition, GS Inc. may not make any amendment that would materially and
adversely affect the rights of any charitable organization without the consent
of a majority of the materially and adversely affected charitable organizations.
REGISTRATION RIGHTS INSTRUMENT FOR FORMER EMPLOYEE MANAGING DIRECTORS
In connection with the sale by certain Covered Persons (the "Former
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 Former Employee
Managing Directors, other than any agency fees and commissions or underwriting
commissions or discounts or any transfer taxes incurred by the Former Employee
Managing Directors in connection with the sales. GS Inc. also has agreed to
indemnify the Former Employee Managing Directors against certain liabilities,
including those arising under the Securities Act.
12
DERIVATIVE INSTRUMENTS
Certain Covered Persons, Reporting Entities and estate planning
entities (which are not Reporting Entities) established by Covered Persons have
entered into derivative transactions with regard to shares of Common Stock as
described in Annex F.
13
MATERIAL TO BE FILED AS EXHIBITS
Exhibit Description
------- -----------
A. 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)).
B. 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)).
C. 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)).
D. 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)).
E. 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)).
F. 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)).
G. 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)).
H. 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.).
I. Supplemental Registration Rights Instrument, dated as of December 20, 2002 (incorporated
by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No.
333-101093) filed by The Goldman Sachs Group, Inc.).
J. Form of Written Consent Relating to Sale and Purchase of Common Stock (incorporated by
reference to Exhibit FF to Amendment No. 35 to the Initial Schedule 13D, filed January 8,
2003 (File No. 005-56295)).
K. Supplemental Registration Rights Instrument, dated as of December 19, 2003 (incorporated
by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No.
333-110371) filed by The Goldman Sachs Group, Inc.).
L. Amended and Restated Shareholders' Agreement, effective as of the close of business on
June 22, 2004 (incorporated by reference to Exhibit M to Amendment No. 54 to the Initial
Schedule 13D, filed June 22, 2004 (File No. 005-56295)).
14
ANNEX A
INFORMATION REQUIRED AS TO EXECUTIVE OFFICERS AND DIRECTORS OF CORPORATE
REPORTING ENTITIES.
CONVICTIONS OR BENEFICIAL
VIOLATIONS OF OWNERSHIP OF THE
FEDERAL OR STATE COMMON STOCK OF THE
LAWS WITHIN THE GOLDMAN SACHS
NAME CITIZENSHIP BUSINESS ADDRESS PRESENT EMPLOYMENT LAST FIVE YEARS GROUP, INC.
---------- ----------- ------------------- ------------------ ---------------- -------------------
Steven M. USA 85 Broad Street Managing Director, None Less than 1% of the
Bunson New York, NY The Goldman Sachs outstanding shares
10004 Group, Inc. of Common Stock.
Russell E. USA 85 Broad Street Managing Director, None Less than 1% of the
Makowsky New York, NY The Goldman Sachs outstanding shares
10004 Group, Inc. of Common Stock.
Michael H. UK 26 New Street, Partner, None None
Richardson St. Helier, Jersey, Bedell Cristin
JE4 3RA
Anthony J. UK 26 New Street, Partner, None None
Dessain St. Helier, Jersey, Bedell Cristin
JE4 3RA
15
ANNEX B
ITEMS 2(D)
AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS.
None.
16
ANNEX C
ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS OR
REPORTING ENTITIES.
None.
17
ANNEX D
ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE
EXERCISABLE WITHIN 60 DAYS.
An aggregate of 21,947,876 shares of Common Stock are deliverable to Covered
Persons upon the exercise of stock options, all of which have vested and are
exercisable.
The share amount given above includes the gross number of shares of Common Stock
underlying these options, and is included in the aggregate number of shares
beneficially owned by the Covered Persons under Rule 13d-3(d)(1) because the
options represent a right to acquire beneficial ownership within 60 days of the
date hereof. Upon delivery of the shares upon the exercise of stock options, a
net amount of shares will be actually delivered to the Covered Person, with some
shares withheld for tax payments, to fund the option strike price or for other
reasons. The net shares delivered to the Covered Person will continue to be
included in aggregate number of shares beneficially owned by the Covered
Persons. The withheld shares will cease to be beneficially owned by any Covered
Person, and will no longer be included in the aggregate number of shares
beneficially owned by Covered Persons.
Prior to delivery, the shares are included in Sixty Day Shares because the
Covered Persons do not have the right to vote the shares. Upon delivery, the
shares become Voting Shares.
18
ANNEX E
ITEM 5(C). DESCRIPTION OF ALL TRANSACTIONS IN THE COMMON STOCK EFFECTED BY
COVERED PERSONS OR REPORTING ENTITIES IN THE PAST 60 DAYS AND NOT
PREVIOUSLY REPORTED ON SCHEDULE 13D.
On December 14, 2004, December 29, 2004 and January 6, 2005, an aggregate of
30,981,587,646 and 878,107 shares of Common Stock, respectively, were delivered
pursuant to the terms of an equal number of restricted stock units. Upon
delivery, these shares became Voting Shares.
The following sales of Voting Shares were made by the following Covered Persons
or Reporting Entities through one or more subsidiaries of GS Inc. for cash on
the New York Stock Exchange:
COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $)
------------------------- ---------------- ---------- ----------------------
Biamonti, Jean-Luc 3,000 12/17/04 105
Cardinale, Gerald J 1,000 12/17/04 105
Cohen, Abby Joseph 5,000 12/17/04 104.6224
Conigliaro, Laura C 14,500 12/17/04 105.0659
Robinelli Limited 1,137 12/17/04 105
Robinelli Limited 950 12/17/04 105
Cowen, Randolph L 25,000 12/17/04 104.9206
Daly, John S 3,000 12/17/04 104.5
Dingemans, Simon 20,000 12/17/04 105
Dweck, Michael L 4,674 12/17/04 104.8
Efron, Paul S 15,000 12/17/04 104.2025
Elsesser, Kathleen G 10,450 12/17/04 104.5648
Flamand, Pierre-Henri 667 12/17/04 104.92
Gieselman, Scott A 19,641 12/17/04 104.8711
Giglio, Gary T 1,000 12/17/04 104.1
Gilbertson Jr, H. John 10,000 12/17/04 104.1
Golob, James S 2,500 12/17/04 104.97
Governali, Frank J 14,192 12/17/04 104.9577
Greenwald, David J 2,000 12/17/04 104.1
Gross, Peter 1,000 12/17/04 104.98
Henle, David L 10,000 12/17/04 105
Hickey, Stephen P 7,200 12/17/04 104.2333
Ho, Maykin 2,000 12/17/04 105
Kengeter, Carsten 533 12/17/04 104.1
Kengeter, Carsten 2,139 12/17/04 104.1
Kimmelman, Douglas W 30,000 12/17/04 105
Lemkau, Gregg R 3,000 12/17/04 104.4667
Leven, Johan 3,116 12/17/04 104.1
Leven, Johan 1,884 12/17/04 104.1
Mahoney, John A 10,000 12/17/04 104.63
McCabe, Theresa E 5,000 12/17/04 104.8
McGuinness, Stephen J 30,000 12/17/04 104.6917
Mossavar-Rahmani, Sharmin 10,000 12/17/04 104.3162
O'Neill, Terence J 60,000 12/17/04 104.6964
Pace, Robert J 35,000 12/17/04 104.7513
Philip, David B 7,000 12/17/04 104.3257
Porges, Ellen R 1,550 12/17/04 104.9287
Rogers, John F.W 51,182 12/17/04 104.5278
Ross, Ivan 1,000 12/17/04 104.9
19
COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $)
------------------------- ---------------- ---------- ----------------------
Rothenberg, Stuart M 10,000 12/17/04 105
Rothenberg, Stuart M 15,000 12/17/04 105
Russo, Paul M 377 12/17/04 104.5
Sago, Katsunori 10,861 12/17/04 104.5
Salame, Pablo J 21,671 12/17/04 104.1
Schwartz, Harvey M 5,000 12/17/04 105
Scopellite, Steve M 1,300 12/17/04 105.0054
Sherlund, Richard G 67,593 12/17/04 104.5251
Sinha, Ravi 10,000 12/17/04 104.91
Smith, Michael M 3,600 12/17/04 104.15
Sobel, Jonathan S 20,000 12/17/04 104.1
Tebbe, Greg W 16,648 12/17/04 104.4801
Tegeder, Roland W 2,528 12/17/04 104.1
Tercek, Mark R 15,000 12/17/04 105.275
Tercek, Mark R 15,000 12/17/04 104.265
Trevor, Stephen S 3,000 12/17/04 104.492
Trott, Byron D 21,963 12/17/04 104.1
Tse, Irene Y 3,513 12/17/04 105
Ueda, Eiji 9,700 12/17/04 104.1
Voon, David H 6,243 12/17/04 104.7338
Weil, David M 10,000 12/17/04 104.3
Weinberg, John S 50,000 12/17/04 105
Weinberg, John S 50,000 12/17/04 104.1
Weinberg, John S 50,000 12/17/04 104.1
Weinberg, Peter A 50,000 12/17/04 104.1
Weinberg, Peter A 25,000 12/17/04 104.1
Weinberg, Peter A 50,000 12/17/04 104.1
Weinberg, Peter A 25,000 12/17/04 104.1
Wietschner, C. Howard 500 12/17/04 90
Wilson III, Kendrick R 30,000 12/17/04 104.6827
Zannoni, Paolo 23,728 12/17/04 104.1
Zannoni, Paolo 4,695 12/17/04 104.1
Cardinale, Gerald J 4,076 12/20/04 104.7036
Chwick, Jane P 1,527 12/20/04 104.8014
Coulson Jr, Frank L 10,000 12/20/04 104.6947
Cramer, Brahm S 1,098 12/20/04 104.74
Daly, John S 1,000 12/20/04 104.67
Dees, Daniel L 1,000 12/20/04 103.76
Del Rivero, Juan A 12,638 12/20/04 103.76
Hale Doty, Jana 2,500 12/20/04 105
Elsesser, Kathleen G 1,449 12/20/04 104.8
Guth, Celeste A 4,500 12/20/04 104.8969
Henle, David L 10,000 12/20/04 105
Ho, Maykin 3,000 12/20/04 105
Jacob III, William L 5,000 12/20/04 104.356
Kenny, Thomas J 2,584 12/20/04 104.4496
Lieberman, Mitchell J 5,687 12/20/04 105
Linden, Josephine 1,000 12/20/04 103.71
Litterman, Robert B 5,000 12/20/04 104.6558
Montgomery, William C 6,167 12/20/04 103.6048
Moslow, Jeffrey M 3,000 12/20/04 104.46
O'Neill, Timothy J 100,000 12/20/04 104.0744
20
COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $)
------------------------- ---------------- ---------- ----------------------
Philip, David B 3,582 12/20/04 104.7599
Rominger, Eileen P 8,000 12/20/04 103.4541
Ross, Ivan 2,000 12/20/04 103.554
Russo, Paul M 2,500 12/20/04 104.7
Sago, Katsunori 10,861 12/20/04 104.7
Sago, Katsunori 10,861 12/20/04 104.2
Schwartz, Eric S 8,334 12/20/04 104.1638
Smith, Michael M 3,500 12/20/04 104.5643
HJS2 Limited 2,500 12/20/04 104.55
HJS2 Limited 2,500 12/20/04 104.25
Trevor, Stephen S 3,000 12/20/04 104.1667
Zaoui, Yoel 7,085 12/20/04 105
Zaoui, Yoel 19,474 12/20/04 105
Zhang, Kevin 5,908 12/20/04 103.76
Conigliaro, Laura C 14,200 12/21/04 104.3414
Coulson Jr, Frank L 10,000 12/21/04 104.3964
Cramer, Brahm S 11,168 12/21/04 104.5037
Daly, John S 1,000 12/21/04 104.28
Darivoff, Philip M 10,000 12/21/04 105
Dees, Daniel L 500 12/21/04 104.5
Hale Doty, Jana 2,500 12/21/04 105.0524
Frumkes, Robert K 5,000 12/21/04 104.5048
Grathwohl, William M 10,000 12/21/04 104.75
Gross, Peter 4,946 12/21/04 105.0127
Guth, Celeste A 4,000 12/21/04 104.785
Ho, Maykin 4,000 12/21/04 105.08
Jacob III, William L 6,000 12/21/04 104.4535
Kennedy, Kevin W 25,000 12/21/04 104.3344
Kraus, Peter S 25,000 12/21/04 104.9252
Lauto, John J 1,000 12/21/04 105
Lemkau, Gregg R 1,000 12/21/04 105
Mattson, George N 2,000 12/21/04 104.66
Moslow, Jeffrey M 3,000 12/21/04 104.3047
Mullen, Donald R 3,293 12/21/04 104.5215
O'Neill, Timothy J 20,000 12/21/04 105
Pace, Robert J 5,000 12/21/04 105.15
Pace, Robert J 2,500 12/21/04 105.05
Pace, Robert J 2,000 12/21/04 105.03
Pace, Robert J 500 12/21/04 105.01
Porges, Ellen R 3,500 12/21/04 104.5329
Quinn, Kevin A 4,000 12/21/04 105
Ross, Ivan 2,000 12/21/04 104.65
Russo, Paul M 6,000 12/21/04 104.5922
Schwartz, Eric S 8,333 12/21/04 104.5109
Schwartz, Harvey M 5,000 12/21/04 105
Scopellite, Steve M 5,000 12/21/04 105
Smith, Michael M 2,000 12/21/04 104.745
Sykes, Gene T 25,000 12/21/04 104.4547
Tercek, Mark R 15,000 12/21/04 105
Trevor, Stephen S 3,000 12/21/04 104.489
Uniacke, Kaysie P 9,000 12/21/04 104.794
Weil, David M 10,000 12/21/04 105
21
COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $)
------------------------- ---------------- ---------- ----------------------
Beinner, Jonathan A 11,980 12/22/04 105.3271
Bott, Charles W.A 2,284 12/22/04 104.45
Cardinale, Gerald J 500 12/22/04 105.44
Del Favero, James 5,000 12/22/04 104.45
Greenwald, David J 2,000 12/22/04 104.89
Guth, Celeste A 1,000 12/22/04 105.063
Ho, Maykin 4,000 12/22/04 105
Jacob III, William L 3,000 12/22/04 105.1233
Moslow, Jeffrey M 3,000 12/22/04 105.064
Mossavar-Rahmani, Sharmin 10,000 12/22/04 104.881
Pace, Robert J 10,000 12/22/04 105.3355
Ross, Ivan 1,500 12/22/04 104.6273
Russo, Paul M 1,500 12/22/04 105.2367
Schwartz, Eric S 8,333 12/22/04 104.8921
Scopellite, Steve M 3,067 12/22/04 105
Smith, Michael M 500 12/22/04 105.354
HJS2 Limited 2,500 12/22/04 105
Sykes, Gene T 25,000 12/22/04 105.0003
Sykes, Gene T 15,300 12/22/04 105.5
Trevor, Stephen S 3,000 12/22/04 104.9133
Ueda, Eiji 3,000 12/22/04 105.3
Vaske, John J 8,504 12/22/04 105
Williams, Todd A 20,000 12/22/04 105.4111
Cole, Christopher A 10,000 12/23/04 104.7947
Darivoff, Philip M 15,000 12/23/04 105.003
Gross, Peter 3,000 12/23/04 105.07
Guth, Celeste A 2,000 12/23/04 105
Ho, Maykin 4,000 12/23/04 105
Kennedy, Kevin W 25,000 12/23/04 105.0872
Lepic, Hughes B 7,503 12/23/04 105.28
Lepic, Hughes B 6,613 12/23/04 105.26
Lepic, Hughes B 2,111 12/23/04 105.29
Lepic, Hughes B 722 12/23/04 105.25
Lepic, Hughes B 612 12/23/04 105.31
Lepic, Hughes B 555 12/23/04 105.27
Lepic, Hughes B 334 12/23/04 105.3
Lepic, Hughes B 5,997 12/23/04 105.28
Lepic, Hughes B 5,287 12/23/04 105.26
Lepic, Hughes B 1,689 12/23/04 105.29
Lepic, Hughes B 578 12/23/04 105.25
Lepic, Hughes B 488 12/23/04 105.31
Lepic, Hughes B 445 12/23/04 105.27
Lepic, Hughes B 266 12/23/04 105.3
Litterman, Robert B 5,000 12/23/04 105.073
Moslow, Jeffrey M 3,000 12/23/04 105.054
Pace, Robert J 10,000 12/23/04 104.8352
Rafter, John J 9,030 12/23/04 104.8018
Ross, Ivan 2,500 12/23/04 105.292
Russo, Paul M 2,000 12/23/04 104.9675
Ryan, Michael D 25,000 12/23/04 105
Scopellite, Steve M 408 12/23/04 105.09
Sinha, Ravi 11,000 12/23/04 104.5379
22
COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $)
------------------------- ---------------- ---------- ----------------------
Smith, Michael M 300 12/23/04 105
Uniacke, Kaysie P 3,000 12/23/04 105.236
Berlinski, Milton R 19,100 12/27/04 105
Gonsalves, Gregg A 1,000 12/27/04 104.52
Henle, David L 10,000 12/27/04 105
Mossavar-Rahmani, Sharmin 10,000 12/27/04 104.2
Russo, Paul M 2,000 12/27/04 104.88
Uniacke, Kaysie P 7,000 12/27/04 105
Bernstein, Stuart N 500 12/28/04 105
Biamonti, Jean-Luc 4,000 12/28/04 105
Calcano, Lawrence V 10,000 12/28/04 105
Ho, Maykin 6,000 12/28/04 105.0552
Moslow, Jeffrey M 3,000 12/28/04 105.05
Mossavar-Rahmani, Sharmin 10,000 12/28/04 105.0896
O'Neill, Timothy J 20,000 12/28/04 105
Russo, Paul M 2,000 12/28/04 105
Ryan, Michael D 10,000 12/28/04 105.0743
Auerbach, Neil Z 1,636 12/29/04 105
Auerbach, Neil Z 1,635 12/29/04 104.64
Avanessians, Armen A 10,000 12/29/04 105
Avanessians, Armen A 10,000 12/29/04 104.75
Christie, Robert J 5,000 12/29/04 105
Cole, Christopher A 10,000 12/29/04 104.722
De Giorgi, Diego 4,000 12/29/04 104.39
Higgins, Melina E 6,630 12/29/04 105.06
Ho, Maykin 3,000 12/29/04 105.1
Moslow, Jeffrey M 3,000 12/29/04 105.1293
Moslow, Jeffrey M 2,940 12/29/04 104.9
Russo, Paul M 3,000 12/29/04 104.7347
Scherr, Stephen M 637 12/29/04 104.69
York Jr, W 1,752 12/29/04 104.8775
Bernstein, Stuart N 1,000 12/30/04 105.25
Cole, Christopher A 5,000 12/30/04 104.9
Connolly, Thomas G 23,448 12/30/04 104.9727
Greenwald, David J 1,938 12/30/04 105.3648
Henle, David L 10,000 12/30/04 105.2555
Hu, Zu Liu Frederick 2,700 12/30/04 105.13
Hu, Zu Liu Frederick 1,300 12/30/04 105.19
Mattson, George N 1,000 12/30/04 105.5
Russo, Paul M 2,000 12/30/04 105.05
Sykes, Gene T 34,700 12/30/04 105.5
Ueda, Eiji 3,000 12/30/04 105.3
Weil, David M 15,869 12/30/04 105
Young, Paul M 1,900 12/30/04 105.23
Young, Paul M 118 12/30/04 105.25
Russo, Paul M 1,907 12/31/04 104.2926
Giglio, Gary T 1,000 1/3/05 104.52
Kenny, Thomas J 1,128 1/3/05 104.952
Lauto, John J 900 1/3/05 104.98
Lauto, John J 100 1/3/05 105
Linden, Josephine 1,000 1/3/05 104.87
Philip, David B 1,467 1/3/05 104.72
23
COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $)
-------------- ---------------- ---------- ----------------------
Quinn, Kevin A 4,000 1/3/05 104.9635
Ross, Ivan 2,000 1/3/05 104.8525
Dees, Daniel L 500 1/4/05 104.8
Eberts III, Kenneth M 6,600 1/4/05 104.85
Eberts III, Kenneth M 226 1/4/05 104.86
Gerhard, Peter C 10,000 1/4/05 105.05
Goldenberg, Jeffrey B 20,000 1/4/05 104.8
Libstag, Gwen R 15,000 1/4/05 104.962
Machin, Mark G 5,000 1/4/05 104.75
McCabe, Theresa E 7,182 1/4/05 104.2554
Moslow, Jeffrey M 2,000 1/4/05 105.05
Raby, Jean 1,000 1/4/05 104.9
Ross, Ivan 1,000 1/4/05 104.73
Schwartz, Harvey M 3,649 1/4/05 105
HJS2 Limited 5,000 1/4/05 105
HJS2 Limited 5,000 1/4/05 104.8
Trevor, Stephen S 2,000 1/4/05 104.8
Altuzarra, Philippe J 4,000 1/5/05 104.69
Altuzarra, Philippe J 3,899 1/5/05 104.65
Altuzarra, Philippe J 3,000 1/5/05 104.6
de Mallmann, Franoois-Xavier 990 1/5/05 103.75
Dees, Daniel L 500 1/5/05 103.9
Garvey, James R 3,500 1/5/05 104.49
Garvey, James R 143 1/5/05 104.52
Golob, James S 2,500 1/5/05 103.75
Linden, Josephine 1,000 1/5/05 104.12
Machin, Mark G 5,000 1/5/05 104.2588
Miele, Michael R 10,000 1/5/05 103.75
Quinn, Kevin A 5,000 1/5/05 104.44
Ross, Ivan 1,000 1/5/05 104.21
Sago, Katsunori 10,861 1/5/05 104.98
HJS2 Limited 5,000 1/5/05 104.5
Trevor, Stephen S 1,000 1/5/05 104.01
West, Lance N 3,500 1/5/05 104.25
Broderick, Craig W 10,000 1/6/05 104.14
Cardinale, Gerald J 1,738 1/6/05 104.47
Dees, Daniel L 388 1/6/05 103.96
Gerhard, Peter C 9,600 1/6/05 104.8947
Gerhard, Peter C 5,400 1/6/05 104.8947
Giglio, Gary T 2,000 1/6/05 104.36
Gilbertson Jr, H. John 1,055 1/6/05 104.25
Gilbertson Jr, H. John 1,000 1/6/05 104.39
Gilbertson Jr, H. John 1,000 1/6/05 104.405
Gilbertson Jr, H. John 1,000 1/6/05 104.45
Gilbertson Jr, H. John 1,000 1/6/05 105.2
Gilbertson Jr, H. John 1,000 1/6/05 105.15
Gilbertson Jr, H. John 1,000 1/6/05 105
Gilbertson Jr, H. John 1,000 1/6/05 104.8
Gilbertson Jr, H. John 1,000 1/6/05 104.7
Gilbertson Jr, H. John 1,000 1/6/05 104.64
Gilbertson Jr, H. John 1,000 1/6/05 104.5
Gilbertson Jr, H. John 1,000 1/6/05 104.49
24
COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $)
-------------- ---------------- ---------- ----------------------
Gilbertson Jr, H. John 1,000 1/6/05 104.47
Gilbertson Jr, H. John 195 1/6/05 105.15
Gilbertson Jr, H. John 1,000 1/6/05 105.2
Gilbertson Jr, H. John 1,000 1/6/05 104.5
Guth, Celeste A 5,000 1/6/05 105
Henle, David L 10,000 1/6/05 105.14
Holen, Margaret J 2,025 1/6/05 104.3693
Jacob III, William L 7,449 1/6/05 104.2718
Kenny, Thomas J 1,711 1/6/05 104.89
Kingston, Timothy M 5,470 1/6/05 105
Lee, George C 8,741 1/6/05 105.065
Machin, Mark G 5,000 1/6/05 104.561
McCabe, Theresa E 5,000 1/6/05 104.2
O'Neill, Timothy J 20,000 1/6/05 105
Rafter, John J 6,873 1/6/05 104.4
Rafter, John J 3,558 1/6/05 104.4024
Ravitch, Joseph 6,006 1/6/05 104.8508
Ross, Ivan 2,000 1/6/05 104.895
Salame, Pablo J 3,832 1/6/05 104.3832
Smith, Michael M 419 1/6/05 104.16
HJS2 Limited 10,000 1/6/05 105
HJS2 Limited 5,000 1/6/05 104.75
HJS2 Limited 5,000 1/6/05 104.5
Trevor, Stephen S 1,204 1/6/05 104
Bernstein, Stuart N 500 1/7/05 105.15
Carhart, Mark M 10,000 1/7/05 105.1242
Corrigan, E Gerald 10,000 1/7/05 105.23
Efron, Paul S 10,000 1/7/05 105.23
Kennedy, Kevin W 25,000 1/7/05 105.0726
Lemkau, Gregg R 2,000 1/7/05 105
Machin, Mark G 5,000 1/7/05 105.04
Masterson, John J 2,000 1/7/05 105.23
Porges, Ellen R 1,827 1/7/05 104.9844
Quinn, Kevin A 4,000 1/7/05 104.82
Ross, Ivan 1,000 1/7/05 105.335
HJS2 Limited 10,000 1/7/05 105.26
HJS2 Limited 10,000 1/7/05 105.01
Bernstein, Stuart N 500 1/10/05 105.26
Biamonti, Jean-Luc 4,000 1/10/05 105
Cohen, Abby Joseph 10,000 1/10/05 104.6
Golob, James S 10,000 1/10/05 104.28
Ho, Maykin 10,154 1/10/05 105.2177
Hylander, Phillip S 6,300 1/10/05 105.25
Hylander, Phillip S 4,300 1/10/05 105.17
Hylander, Phillip S 2,500 1/10/05 105.24
Hylander, Phillip S 2,000 1/10/05 105.29
Hylander, Phillip S 1,600 1/10/05 105.19
Hylander, Phillip S 1,500 1/10/05 105.36
Hylander, Phillip S 1,300 1/10/05 105.22
Hylander, Phillip S 1,100 1/10/05 105.35
Hylander, Phillip S 900 1/10/05 105.12
Hylander, Phillip S 800 1/10/05 105.34
25
COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $)
-------------- ---------------- ---------- ----------------------
Hylander, Phillip S 700 1/10/05 105.16
Hylander, Phillip S 600 1/10/05 105.13
Hylander, Phillip S 200 1/10/05 105.14
Hylander, Phillip S 200 1/10/05 105.32
Hylander, Phillip S 100 1/10/05 105.11
Hylander, Phillip S 100 1/10/05 105.18
Hylander, Phillip S 100 1/10/05 105.26
Hylander, Phillip S 100 1/10/05 105.28
Hylander, Phillip S 100 1/10/05 105.3
Hylander, Phillip S 100 1/10/05 105.31
Hylander, Phillip S 52 1/10/05 105.15
Linden, Josephine 2,000 1/10/05 105.0825
McMahon, John W 10,000 1/10/05 105.1848
Ravitch, Joseph 2,500 1/10/05 105.21
Ravitch, Joseph 1,000 1/10/05 105.38
Ross, Ivan 1,000 1/10/05 105.22
Rothenberg, Stuart M 10,000 1/10/05 105.2139
Solomon, David M 5,000 1/10/05 105.1288
HJS2 Limited 10,000 1/10/05 105.25
HJS2 Limited 10,000 1/10/05 105.0036
HJS2 Limited 10,000 1/10/05 104.6
Tebbe, Greg W 956 1/10/05 104.75
West, Lance N 2,180 1/10/05 105.22
West, Lance N 1,157 1/10/05 105.22
Wicker, William M 2,724 1/10/05 104.9112
Cooper, Edith W 9,238 1/11/05 104.05
McCormick, Ian R 3,606 1/11/05 103.7567
Morgan III, J.Ronald 2,763 1/11/05 104.1568
O'Neill, Timothy J 13,000 1/11/05 104.1762
Pierce, Stephen R 5,000 1/11/05 104.0286
Sago, Katsunori 837 1/11/05 104.05
Smith, Michael M 557 1/11/05 103.93
Giglio, Gary T 2,000 1/12/05 103.2715
Hickey, Stephen P 2,500 1/12/05 104.1
Loudiadis, Antigone 700 1/12/05 104.06
Loudiadis, Antigone 2,400 1/12/05 104.0575
Pierce, Stephen R 5,000 1/12/05 103.2716
Schiller, Howard B 20,000 1/12/05 103.174
Tracey, Mark J 10,000 1/12/05 102.979
Carhart, Mark M 4,738 1/13/05 103.4329
Greenwald, David J 1,000 1/13/05 102.95
Mullen, Donald R 11,486 1/13/05 103.6034
Pierce, Stephen R 5,000 1/13/05 103.3986
Schiller, Howard B 20,000 1/13/05 103.4046
HJS2 Limited 2,500 1/13/05 103.3036
HJS2 Limited 2,500 1/13/05 103.75
Uniacke, Kaysie P 20,574 1/13/05 103.9273
Christie, Robert J 6,974 1/14/05 104.2803
Giglio, Gary T 4,000 1/14/05 104.02
Gonsalves, Gregg A 11,375 1/14/05 103.4531
Green, Stefan 3,000 1/14/05 104
Holzer, Philip 2,000 1/14/05 103.65
26
COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $)
-------------- ---------------- ---------- ----------------------
Lopez-Balboa, Victor M 43,661 1/14/05 103.6824
Lopez-Balboa, Victor M 6,791 1/14/05 103.6824
Loudiadis, Antigone 15,526 1/14/05 103.7031
Loudiadis, Antigone 48,106 1/14/05 104.046
McGuinness, Stephen J 801 1/14/05 103.35
Mount, Gregory T 5,700 1/14/05 103.69
Mount, Gregory T 3,300 1/14/05 103.75
O'Neill, Timothy J 26,000 1/14/05 103.6445
Pierce, Stephen R 5,000 1/14/05 103.6764
Raby, Jean 900 1/14/05 103.84
Raby, Jean 600 1/14/05 103.85
HJS2 Limited 2,500 1/14/05 104.25
HJS2 Limited 2,500 1/14/05 103.75
Ueda, Eiji 837 1/14/05 103.85
Biamonti, Jean-Luc 4,000 1/18/05 104.5
Calcano, Lawrence V 10,000 1/18/05 105.05
Christie, Robert J 10,000 1/18/05 105
Corrigan, E Gerald 10,000 1/18/05 104.9251
Cyzer, Matthew H 5,200 1/18/05 104.77
Cyzer, Matthew H 4,200 1/18/05 104.71
Cyzer, Matthew H 4,000 1/18/05 104.73
Cyzer, Matthew H 2,800 1/18/05 104.72
Cyzer, Matthew H 71 1/18/05 104.76
Daly, John S 1,000 1/18/05 104.95
Goldenberg, Jeffrey B 5,000 1/18/05 105
Grathwohl, William M 5,417 1/18/05 105
Jones, Robert C 2,500 1/18/05 104.952
Jones, Robert C 2,500 1/18/05 104.942
Jones, Robert C 2,500 1/18/05 104.934
Jones, Robert C 2,500 1/18/05 104.91
Jones, Robert C 2,500 1/18/05 104.85
Jones, Robert C 2,500 1/18/05 104.7584
Jones, Robert C 2,500 1/18/05 104.54
Jones, Robert C 2,500 1/18/05 104.49
Jones, Robert C 423 1/18/05 104.93
Kingston, Timothy M 5,000 1/18/05 105
Lauto, Anthony D 50,000 1/18/05 104.6553
Lieberman, Mitchell J 4,902 1/18/05 105
Linden, Josephine 1,000 1/18/05 104.686
Manby, Charles G R 10,000 1/18/05 105
Ravitch, Joseph 5,667 1/18/05 105
Chambolle Limited 532 1/18/05 103.66
Chambolle Limited 1,173 1/18/05 103.66
Ryan, Michael D 637 1/18/05 105
Siskind, Edward M 16,111 1/18/05 104.94
Tudor III, Robert B 30,000 1/18/05 104.9522
West, Lance N 4,859 1/18/05 104.15
West, Lance N 3,893 1/18/05 104.22
Zhang, Kevin 2,412 1/18/05 103.6
Campbell-Breeden, Richard M 14,206 1/19/05 103.9855
Robinelli Limited 33,333 1/19/05 104.33
French, Christopher G 10,932 1/19/05 104.2493
27
COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $)
-------------- ---------------- ---------- ----------------------
Gilbertson Jr, H. John 20,000 1/19/05 95
Hickey, Stephen P 4,780 1/19/05 104.4646
Litterman, Robert B 12,000 1/19/05 104.33
Mossavar-Rahmani, Sharmin 10,000 1/19/05 104.678
Noto, Anthony J 10,262 1/19/05 104.0253
Pace, Robert J 5,000 1/19/05 104.4
Pace, Robert J 5,000 1/19/05 104.1
Raby, Jean 700 1/19/05 104.68
Raby, Jean 300 1/19/05 104.67
Siskind, Edward M 10,806 1/19/05 103.8774
Siskind, Edward M 16,110 1/19/05 104.2528
HJS2 Limited 5,300 1/19/05 95
Uniacke, Kaysie P 46 1/19/05 104.5
Vaske, John J 10,000 1/19/05 104.1738
West, Lance N 8,237 1/19/05 104.13
Wietschner, C. Howard 160 1/19/05 103.95
Aberg, Peter C 10,000 1/20/05 100
Carr, Michael J 14,000 1/20/05 103.5229
Conrad, Linnea K 6,000 1/20/05 103.4518
Cowen, Randolph L 20,000 1/20/05 100
Cowen, Randolph L 15,000 1/20/05 95
Cowen, Randolph L 15,000 1/20/05 90
Daly, John S 1,433 1/20/05 103.68
Dees, Daniel L 812 1/20/05 103.3434
Efron, Paul S 10,000 1/20/05 95
Fascitelli, Elizabeth C 15,941 1/20/05 103.3612
Feldman, Steven M 3,000 1/20/05 103.3683
Gerhard, Peter C 25,000 1/20/05 100
Giglio, Gary T 4,000 1/20/05 103.311
Holzer, Philip 300 1/20/05 103.52
Holzer, Philip 212 1/20/05 103.44
Holzer, Philip 200 1/20/05 103.6
Holzer, Philip 200 1/20/05 103.5
Holzer, Philip 200 1/20/05 103.41
Holzer, Philip 100 1/20/05 103.75
Holzer, Philip 100 1/20/05 103.66
Holzer, Philip 100 1/20/05 103.59
Holzer, Philip 100 1/20/05 103.4
Holzer, Philip 100 1/20/05 103.39
Holzer, Philip 100 1/20/05 103.37
Holzer, Philip 100 1/20/05 103.35
Holzer, Philip 100 1/20/05 103.34
Holzer, Philip 100 1/20/05 103.29
Holzer, Philip 100 1/20/05 103.25
Ingrassia, Timothy J 20,000 1/20/05 103.3634
Mattson, George N 5,000 1/20/05 95
Mattson, George N 2,600 1/20/05 100
Mattson, George N 2,500 1/20/05 90
Mehra, Sanjeev K 50,000 1/20/05 100
Moslow, Jeffrey M 3,500 1/20/05 100
Ponti, Andrea 4,448 1/20/05 103.55
Solomon, David M 25,000 1/20/05 103.4
28
COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $)
-------------- ---------------- ---------- ----------------------
HJS2 Limited 20,000 1/20/05 100
HJS2 Limited 14,700 1/20/05 95
Tercek, Mark R 20,000 1/20/05 100
Tercek, Mark R 20,000 1/20/05 95
Vaske, John J 5,000 1/20/05 103.25
Wellde Jr, George W 20,000 1/20/05 95
Willetts, Susan A 7,500 1/20/05 90
Bott, Charles W A W A 2,000 1/21/05 104
Cohen, Abby Joseph 10,000 1/21/05 104.25
Cooper, Edith W 9,247 1/21/05 102.8
Coulson Jr, Frank L 10,000 1/21/05 103.5076
Daly, John S 5,000 1/21/05 103.4734
Dees, Daniel L 854 1/21/05 103.6808
Dweck, Michael L 1,738 1/21/05 103.3802
Elsesser, Kathleen G 2,000 1/21/05 104.1075
Forst, Edward C 20,000 1/21/05 103.4385
Garvey, James R 1,700 1/21/05 103.41
Garvey, James R 109 1/21/05 103.44
Gerhard, Peter C 25,000 1/21/05 104.3692
Giglio, Gary T 732 1/21/05 103.7383
Goldenberg, Jeffrey B 5,000 1/21/05 104.3
Golob, James S 4,300 1/21/05 104.39
Golob, James S 700 1/21/05 104.41
Ingrassia, Timothy J 30,000 1/21/05 103.7605
Katzman, James C 8,630 1/21/05 104.3
Kennedy, Kevin W 25,000 1/21/05 104.3535
Kimmelman, Douglas W 56,630 1/21/05 104
King Jr., Robert C 12,467 1/21/05 103.7071
Leven, Johan 5,103 1/21/05 103.2
Libstag, Gwen R 11,649 1/21/05 103.1638
Lieberman, Mitchell J 6,232 1/21/05 104.33
Linden, Josephine 1,000 1/21/05 104.39
Masterson, John J 1,000 1/21/05 103.28
Mattson, George N 4,602 1/21/05 104.4007
McMahon, John W 11,649 1/21/05 104.3724
McNiff, Audrey A 10,000 1/21/05 104.3
Pace, Robert J 5,000 1/21/05 103.25
Pace, Robert J 2,500 1/21/05 103.3
Pace, Robert J 2,500 1/21/05 103.2
Pierce, Stephen R 9,759 1/21/05 103.2793
Chambolle Limited 20,000 1/21/05 104
Tadjbakhsh, Shahriar 3,000 1/21/05 103.98
Ueda, Eiji 3,861 1/21/05 103.2
Varoli, Corrado P 320 1/21/05 103.67
Vaske, John J 5,000 1/21/05 103.7594
Westerman, Matthew C 2,401 1/21/05 104.3121
York Jr, W 2,010 1/21/05 103.7111
Gerhard, Peter C 25,000 2/18/05 105
Bernstein, Stuart N 2,000 3/18/05 110.045
Casciato, Chris 28,814 3/18/05 110.05
Casciato, Chris 4,091 3/18/05 110.1
Casciato, Chris 4,030 3/18/05 110.05
29
COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $)
-------------- ---------------- ---------- ----------------------
Casciato, Chris 1,189 3/18/05 110.05
Casciato, Chris 575 3/18/05 110.05
Casciato, Chris 4,097 3/18/05 110.05
Casciato, Chris 4,165 3/18/05 110.05
Casciato, Chris 27,887 3/18/05 110.0877
Casciato, Chris 152 3/18/05 110.05
Evans, J. Michael 125,000 3/18/05 110.0768
Feldman, Steven M 725 3/18/05 109.9507
Gheewalla, Robert R 2,000 3/18/05 110.1
Giglio, Gary T 96 3/18/05 110.28
Golob, James S 5,878 3/18/05 110.04
Hass, A.John 7,000 3/18/05 109.7
Henle, David L 5,000 3/18/05 110
Rothenberg, Stuart M 10,000 3/18/05 110.1205
Scopellite, Steve M 5,000 3/18/05 110.01
Sherwood, Michael S 130,000 3/18/05 109.9824
Singh, Ravi M 3,977 3/18/05 110
Singh, Ravi M 600 3/18/05 110.15
Singh, Ravi M 400 3/18/05 110.12
Sloan, Jeffrey S 1,000 3/18/05 110.25
Sykes, Gene T 20,000 3/18/05 110
Trevor, Stephen S 1,139 3/18/05 109.9188
Weinberg, Peter A 125,000 3/18/05 110
The following sales of Other Shares were made by estate planning entities (which
are not Reporting Entities) established by the following Covered Persons through
one or more subsidiaries of GS Inc. for cash on the New York Stock Exchange:
COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $)
-------------- ---------------- ---------- ----------------------
Lauto, Anthony D 20,434 12/17/04 104.4823
Lauto, Anthony D 27,296 12/17/04 104.4785
Lauto, Anthony D 4,407 12/17/04 104.4949
Trott, Byron D 46,337 12/17/04 104.1
Winkelried, Jon 17,500 12/17/04 104.6498
Woodruff, Jon A 1,400 12/17/04 104.6571
Dehnert, Mark F 2,625 12/20/04 103.6954
Nedelman, Jeffrey P 5,000 12/20/04 104.762
Parker Geoffrey M 1,000 12/20/04 103.76
Dehnert, Mark F 2,500 12/21/04 104.5188
Nedelman, Jeffrey P 2,000 12/21/04 104.25
Dehnert, Mark F 3,000 12/22/04 104.8937
Gordon, Andrew M 47,700 12/22/04 105.0004
Gordon, Andrew M 12,000 12/22/04 105
Dehnert, Mark F 2,874 12/23/04 105.1337
Sanders, J. Michael 3,400 12/23/04 104.9
Nedelman, Jeffrey P 1,506 12/28/04 105.08
Limaye, Ryan D 974 12/29/04 104.6369
Satter, Muneer A 50,000 1/3/05 105.0522
Dehnert, Mark F 5,000 1/6/05 104.93
Cowen, Randolph L 25,000 1/7/05 105.0518
Kennedy, Kevin W 1,000 1/7/05 105.35
Woodruff, Jon A 182 1/7/05 104.88
Satter, Muneer A 363 1/10/05 104.59
30
COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $)
-------------- ---------------- ---------- ----------------------
Trott, Byron D 10,000 1/20/05 95
Kennedy, Kevin W 1,000 1/21/05 104.371
Dehnert, Mark F 5,000 2/18/05 105
The following cashless exercises of stock options were effected by the following
Covered Persons, with the indicated number of underlying shares sold through an
affiliate of Mellon Investor Services LLC for cash on the New York Stock
Exchange:
NUMBER OF
DATE OF NUMBER OF STRIKE NUMBER OF SHARES
COVERED PERSON EXERCISE OPTIONS PRICE SALES PRICE SHARES SOLD RETAINED
---------------------- -------- --------- ------ ----------- ----------- --------
Cardinale, Gerald J 12/17/04 10,152 53 104.5022 10,152 0
Gilbertson Jr, H. John 12/17/04 20,000 53 104.5022 20,000 0
Kengeter, Carsten 12/17/04 3,003 53 104.5022 3,003 0
Kengeter, Carsten 12/17/04 3,658 82.875 104.5022 3,658 0
Kengeter, Carsten 12/17/04 12,542 53 104.5022 12,542 0
Limaye, Ryan D 12/17/04 8,000 53 104.5022 8,000 0
Matsui, Kathy M 12/17/04 2,000 53 104.5022 2,000 0
McNiff, Audrey A 12/17/04 10,000 53 104.5022 10,000 0
Sago, Katsunori 12/17/04 41,513 53 104.5022 41,513 0
Scherr, Stephen M 12/17/04 7,914 53 104.5022 7,914 0
Ueda, Eiji 12/17/04 9,435 82.875 104.5022 9,435 0
Ueda, Eiji 12/17/04 30,742 53 104.5022 30,742 0
Agus, Raanan A 12/20/04 15,000 53 103.8718 15,000 0
Dingemans, Simon 12/20/04 60,033 53 103.8718 60,033 0
Gieselman, Scott A 12/20/04 17,007 53 103.8718 17,007 0
Matsui, Kathy M 12/20/04 3,000 53 103.8718 3,000 0
O'Hagan, L. Peter 12/20/04 7,934 53 103.8718 7,934 0
Sago, Katsunori 12/20/04 41,514 53 103.8718 41,514 0
Salame, Pablo J 12/20/04 100,473 53 103.8718 100,473 0
Willian, John S 12/20/04 10,000 53 103.8718 10,000 0
Cardinale, Gerald J 12/21/04 3,000 53 104.4846 3,000 0
Chwick, Jane P 12/21/04 1,126 53 104.4846 1,126 0
Hitchner, Kenneth W 12/21/04 39,563 53 104.4846 39,563 0
Kirk, Ewan M 12/21/04 15,000 53 104.4846 15,000 0
Matsui, Kathy M 12/21/04 2,000 53 104.4846 2,000 0
O'Neill, Terence J 12/21/04 46,545 82.875 104.4846 46,545 0
Tse, Irene Y 12/21/04 2,000 53 104.4846 2,000 0
Agus, Raanan A 12/22/04 15,000 53 104.849 15,000 0
Kirk, Ewan M 12/22/04 14,799 53 104.849 14,799 0
Schermerhorn, Gary B 12/22/04 40,138 53 104.849 40,138 0
Ueda, Eiji 12/22/04 5,000 53 104.849 5,000 0
Agus, Raanan A 12/23/04 15,000 53 104.9614 15,000 0
Matsui, Kathy M 12/23/04 3,000 53 104.9614 3,000 0
Daniel, Stephen D 12/27/04 9,172 53 104.4154 9,172 0
Dweck, Jay S 12/27/04 20,000 53 104.4154 20,000 0
Holzer, Philip 12/27/04 2,150 0 104.4154 2,150 0
Ueda, Eiji 12/27/04 35,176 159 313.2462 35,176 0
Holen, Margaret J 12/29/04 567 82.875 104.6147 567 0
Holen, Margaret J 12/29/04 945 53 104.6147 945 0
Connolly, Thomas G 12/30/04 43,592 53 105.1589 43,592 0
Matsui, Kathy M 12/30/04 3,000 53 105.1589 3,000 0
31
NUMBER OF NUMBER OF
DATE OF NUMBER OF STRIKE SHARES SHARES
COVERED PERSON EXERCISE OPTIONS PRICE SALES PRICE SOLD RETAINED
-------------- -------- --------- ------ ----------- --------- --------
Agus, Raanan A 12/31/04 23,680 53 104.5453 23,680 0
McGoldrick, Mark E 12/31/04 29,172 82.875 104.5453 29,172 0
McGoldrick, Mark E 12/31/04 43,441 53 104.5453 43,441 0
Bu, John J 1/3/05 5,000 53 104.7136 5,000 0
Dudley, William C 1/3/05 13,263 53 104.7136 13,263 0
Limaye, Ryan D 1/3/05 10,000 53 104.7136 10,000 0
Niederauer, Duncan L 1/3/05 82,166 53 104.7136 82,166 0
Scherr, Stephen M 1/3/05 7,914 53 104.7136 7,914 0
Beinner, Jonathan A 1/4/05 19,981 53 104.741 19,981 0
Bu, John J 1/4/05 5,000 53 104.741 5,000 0
Jones, Robert C 1/4/05 64,203 53 104.741 64,203 0
McGoldrick, Mark E 1/4/05 137,166 91.61 104.741 37,166 0
O'Neill, Terence J 1/4/05 68,793 91.61 104.741 68,793 0
Kiritani, Shigeki 1/5/05 16,212 91.61 104.081 16,212 0
Matsui, Kathy M 1/5/05 3,000 53 104.081 3,000 0
Gross, Peter 1/7/05 25,974 53 104.9778 25,974 0
Matsui, Kathy M 1/7/05 3,000 53 104.9778 3,000 0
Cardinale, Gerald J 1/10/05 750 53 104.8897 750 0
de Mallmann, Francois-Xavier 1/10/05 1,148 82.875 104.8897 1,148 0
de Mallmann, Francois-Xavier 1/10/05 1,190 53 104.8897 1,190 0
de Mallmann, Francois-Xavier 1/10/05 2,212 53 104.8897 2,212 0
Loudiadis, Antigone 1/10/05 99,968 53 104.8897 99,968 0
Cardinale, Gerald J 1/11/05 900 53 104.0312 900 0
DiSabato, Joseph P 1/11/05 12,500 53 104.0312 12,500 0
Gheewalla, Robert R 1/11/05 8,000 53 104.0312 8,000 0
Holzer, Philip 1/11/05 5,113 0 104.0312 1,001 4,112
Loudiadis, Antigone 1/11/05 25,602 53 104.0312 25,602 0
Matsui, Kathy M 1/11/05 3,000 53 104.0312 3,000 0
Schenck, Marcus 1/11/05 4,125 0 104.0312 4,125 0
Tse, Irene Y 1/11/05 5,672 53 104.0312 5,672 0
Bu, John J 1/12/05 5,000 53 103.0471 5,000 0
Hollmann, Peter 1/12/05 8,824 0 103.0471 4,294 4,530
Matsui, Kathy M 1/12/05 3,553 53 103.0471 3,553 0
Cardinale, Gerald J 1/13/05 1,100 53 103.4496 1,100 0
Frumkes, Robert K 1/13/05 23,297 53 103.4496 23,297 0
Jacob III, William L 1/13/05 11,046 53 103.4496 11,046 0
Zannoni, Paolo 1/13/05 26,770 53 103.4496 26,770 0
Zannoni, Paolo 1/13/05 30,965 53 103.4496 30,965 0
Cardinale, Gerald J 1/14/05 1,100 53 103.5637 1,100 0
Chasen, Amy L 1/14/05 16,131 53 103.5637 16,131 0
Willian, John S 1/14/05 10,000 53 103.5637 10,000 0
Cardinale, Gerald J 1/18/05 1,100 53 104.5536 1,100 0
Carpet, Anthony H 1/18/05 42,761 53 104.5536 30,945 11,816
Bu, John J 1/19/05 10,000 53 104.1911 10,000 0
Cardinale, Gerald J 1/19/05 1,100 53 104.1911 1,100 0
Gheewalla, Robert R 1/19/05 10,000 53 104.1911 10,000 0
Nedelman, Jeffrey P 1/19/05 13,515 53 104.1911 13,515 0
Shalett, Lisa M 1/19/05 9,061 53 104.1911 9,061 0
32
NUMBER OF NUMBER OF
DATE OF NUMBER OF STRIKE SHARES SHARES
COVERED PERSON EXERCISE OPTIONS PRICE SALES PRICE SOLD RETAINED
-------------- -------- --------- ------ ----------- --------- --------
Smith, Michael M 1/19/05 17,202 53 104.1911 17,202 0
Weil, David M 1/19/05 50,000 53 104.1911 50,000 0
Willian, John S 1/19/05 10,005 53 104.1911 10,005 0
Connor, Frank T 1/20/05 60,000 53 103.3067 60,000 0
Esposito, Michael P 1/20/05 20,621 53 103.3067 20,621 0
Fascitelli, Elizabeth C 1/20/05 30,000 53 103.3067 30,000 0
Gonsalves, Gregg A 1/20/05 10,000 53 103.3067 10,000 0
Barter, Christopher M 1/21/05 5,303 53 103.6513 5,303 0
Barter, Christopher M 1/21/05 13,315 53 103.6513 13,315 0
Feldman, Steven M 1/21/05 4,000 53 103.6513 4,000 0
Gheewalla, Robert R 1/21/05 6,000 53 103.6513 6,000 0
Mount, Gregory T 1/21/05 43,607 53 103.6513 43,607 0
Ross, Ivan 1/21/05 5,000 53 103.6513 5,000 0
Sanders, J. Michael 1/21/05 9,696 82.875 103.6513 9,696 0
Sanders, J. Michael 1/21/05 25,283 91.61 103.6513 25,283 0
Sanders, J. Michael 1/21/05 30,426 53 103.6513 30,426 0
Schwartz, Harvey M 1/21/05 6,600 82.875 103.6513 6,600 0
Schwartz, Harvey M 1/21/05 64,000 53 103.6513 64,000 0
Williams, Todd A 1/21/05 15,660 53 103.6513 15,660 0
Clark, Kent A 3/18/05 22,641 53 109.9008 22,641 0
Cramer, Brahm S 3/18/05 35,570 53 109.9008 35,570 0
Feldman, Steven M 3/18/05 3,044 53 109.9008 3,044 0
Lane, Eric S 3/18/05 1,500 53 109.9008 1,500 0
Mattson, George N 3/18/05 3,000 53 109.9008 3,000 0
McNiff, Audrey A 3/18/05 2,000 53 109.9008 2,000 0
The following charitable contributions or other transfers of shares in
transactions for which no consideration was received were made by the following
Covered Persons:
COVERED PERSON TRANSFER DATE NUMBER OF SHARES
-------------- ------------- ----------------
Goldenberg, Jeffrey B. 12/17/04 1,000
Governali, Frank J. 12/17/04 475
Kennedy, Kevin W. 12/17/04 16,000
King Jr., Robert C. 12/17/04 10,000
Kingston, Timothy M. 12/17/04 2,500
Mount, Gregory T. 12/17/04 335
Nora Johnson, Suzanne 12/17/04 1,425
Pace, Robert J. 12/17/04 6,000
Paulson Jr, Henry M. 12/17/04 19,300
Porges, Ellen R. 12/17/04 145
Quinn, Kevin A. 12/17/04 140
Ross, Ivan 12/17/04 95
Schwartz, Harvey M. 12/17/04 15,588
Tebbe, Greg W. 12/17/04 1,525
Trott, Byron D. 12/17/04 5,000
Woodruff, Jon A. 12/17/04 100
Uniacke, Kaysie P. 12/18/04 240
Winkelried, Jon 12/18/04 9,600
Connor, Frank T. 12/20/04 800
33
COVERED PERSON TRANSFER DATE NUMBER OF SHARES
-------------- ------------- ----------------
McNiff, Audrey A. 12/20/04 285
Nora Johnson, Suzanne 12/20/04 2,850
Rominger, Eileen P. 12/20/04 170
Smith, Michael M. 12/20/04 500
Troy, Michael A. 12/20/04 1,173
Donohoe, Suzanne O. 12/21/04 195
Greenwald, David J. 12/21/04 80
Ho, Maykin 12/21/04 917
Kapnick, Scott B. 12/21/04 4,800
Kraus, Peter S. 12/21/04 11,490
Ryan, Michael D. 12/21/04 35,000
Schwartz, Harvey M. 12/21/04 2,380
Henle, David L. 12/22/04 19,230
Smith, Sarah E. 12/22/04 228
McNiff, Audrey A. 12/23/04 500
Ross, Ivan 12/23/04 33
Nora Johnson, Suzanne 12/27/04 950
Wilson III, Kendrick R. 12/27/04 15,000
Tudor III, Robert B. 12/29/04 2,000
Wietschner, C. Howard 12/29/04 600
Kapnick, Scott B. 12/30/04 23,770
Walker, George H. 12/30/04 96
Avanessians, Armen A. 12/31/04 4,378
Christie, Robert J. 12/31/04 335
Katzman, James C. 12/31/04 540
Blankfein, Lloyd C. 1/3/05 15,000
O'Neill, Terence J. 1/6/05 2,700
Jacob III, William L. 1/10/05 138
Aberg, Peter C. 1/12/05 300
Bernstein, Stuart N. 1/13/05 335
Rafter, John J. 1/21/05 75
Conrad, Linnea K. 3/18/05 160
34
ANNEX F
ITEM 6. DESCRIPTION OF POSITIONS IN DERIVATIVE INSTRUMENTS OF COVERED PERSONS OR
REPORTING ENTITIES.
The following Covered Persons or Reporting Entities have written American-style
standardized call options or purchased American-Style standardized put options
on Voting Shares with the following terms:
CALL WRITTEN
OR PUT NUMBER OF STRIKE
COVERED PERSON PURCHASED SHARES PRICE MATURITY DATE TRANSACTION DATE
-------------- ------------ --------- ------ ------------- ----------------
Aberg, Peter C Call Written 7,500 $110 07/16/05 1/21/05
Calcano, Lawrence V Call Written 10,000 115 01/21/06 1/21/05
Calcano, Lawrence V Call Written 15,000 110 01/21/06 1/21/05
Carr, Michael J Call Written 20,000 95 04/16/05 11/03/04
Corrigan, E Gerald Call Written 85,000 100 01/21/06 1/3/05
Corrigan, E Gerald Put Purchased 125,000 90 01/21/06 4/03/04
Corrigan, E Gerald Call Written 40,000 120 01/21/06 1/03/05
Gerhard, Peter C Call Written 50,000 115 01/21/06 3/18/05
Kimmelman, Douglas W Call Written 50,000 100 04/16/05 1/21/05
HJS2 Limited Call Written 20,000 105 04/16/05 1/13/05
HJS2 Limited Call Written 20,000 110 04/16/05 1/13/05
Tercek, Mark R Call Written 50,000 115 07/16/05 1/21/05
Willetts, Susan A Call Written 15,000 95 04/16/05 1/03/04
Estate planning entities (which are not Reporting Entities) established by the
following Covered Persons have written American-style standardized call options
or purchased American-Style standardized put options on Other Shares with the
following terms:
CALL WRITTEN
OR PUT NUMBER OF STRIKE
COVERED PERSON PURCHASED SHARES PRICE MATURITY DATE TRANSACTION DATE
-------------- ------------ --------- ------ ------------- ----------------
Andrew M. Gordon Call Written 15,000 $100 4/16/05 11/03/04
Andrew M. Gordon Call Written 15,000 105 4/16/05 11/03/04
Andrew M. Gordon Call Written 1,500 100 4/16/05 11/03/04
Andrew M. Gordon Call Written 1,500 105 4/16/05 11/03/04
Woodruff, Jon A Call Written 3,000 100 4/16/05 10/05/04
35
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: March 28, 2005
By: /s/ Kenneth L. Josselyn
-----------------------------
Name: Kenneth L. Josselyn
Title: Attorney-in-Fact
36
EXHIBIT INDEX
Exhibit Description
------- -----------
A. 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)).
B. 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)).
C. 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)).
D. 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)).
E. 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)).
F. 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)).
G. 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)).
H. 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.).
I. Supplemental Registration Rights Instrument, dated as of December 20,
2002 (incorporated by reference to Exhibit 4.4 to the registration
statement on Form S-3 (File No. 333-101093) filed by The Goldman Sachs
Group, Inc.).
J. Form of Written Consent Relating to Sale and Purchase of Common Stock
(incorporated by reference to Exhibit FF to Amendment No. 35 to the
Initial Schedule 13D, filed January 8, 2003 (File No. 005-56295)).
K. Supplemental Registration Rights Instrument, dated as of December 19,
2003 (incorporated by reference to Exhibit 4.4 to the registration
statement on Form S-3 (File No. 333-110371) filed by The Goldman Sachs
Group, Inc.).
L. Amended and Restated Shareholders' Agreement, effective as of the close
of business on June 22, 2004 (incorporated by reference to Exhibit M to
Amendment No. 54 to the Initial Schedule 13D, filed June 22, 2004 (File
No. 005-56295)).