-----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, KfJPZbwFLEf0Wx2NdQpapkPXvlyR9PPQN6fKdTPypYaKxlWbJTi4axfK6XgqbbAl yHGrO1qx2S8ppkfKPOxkqw== 0000950123-09-008775.txt : 20090513 0000950123-09-008775.hdr.sgml : 20090513 20090513171336 ACCESSION NUMBER: 0000950123-09-008775 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090513 DATE AS OF CHANGE: 20090513 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: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-56295 FILM NUMBER: 09823509 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 FORMER COMPANY: FORMER CONFORMED NAME: GOLDMAN SACHS GROUP INC/ DATE OF NAME CHANGE: 20010104 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: 1231 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 FORMER COMPANY: FORMER CONFORMED NAME: GOLDMAN SACHS GROUP INC/ DATE OF NAME CHANGE: 20010104 SC 13D/A 1 y77195sc13dza.txt AMENDMENT TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 File No. 005-56295 ---------- SCHEDULE 13D/A (Rule 13d-101) Amendment No. 73 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) May 4, 2009 (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 and PF (Applies to each person listed on Appendix A.) - ------------------------------------------------------------------------------------------ 5. CHECK 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 19,438,336 Voting Shares(2) held by Covered Persons OWNED BY 3,660 Shared Ownership Shares held by Covered Persons(3) EACH 9,022,318 Sixty Day Shares held by Covered Persons(4) REPORTING 2,628,609 Other Shares held by Covered Persons (5) PERSON 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 31,092,923 - ------------------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - ------------------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.99% - ------------------------------------------------------------------------------------------ 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) 432,726 shares of Common Stock held by 22 private charitable foundations established by 22 Covered Persons; (ii) 1,907,422 shares of Common Stock held by certain family members of Covered Persons and by certain estate planning entities established by Covered Persons; (iii) 287,272 shares of Common Stock held in escrow for the benefit of certain Covered Persons; and (iv) 1,189 shares of Common Stock held by the trust underlying The Goldman Sachs 401(k) 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 or any family member of a Covered Person. -2- Appendix A
ITEM 6 CITIZENSHIP (UNITED STATES ITEM 1 UNLESS OTHERWISE NAMES OF REPORTING PERSONS INDICATED) - ----------------------------- -------------------- Paul R. Aaron Peter C. Aberg Mark E. Agne Gregory A. Agran Raanan A. Agus Sanggyun Ahn Korea Yusuf A. Aliredha Bahrain Philip S. Armstrong UK John A. Ashdown UK Armen A. Avanessians Dean C. Backer Charles Baillie Steven M. Barry Christopher M. Barter Stacy Bash-Polley Jonathan A. Beinner Milton R. Berlinski The Netherlands Philip R. Berlinski Belgium/USA Frances R. Bermanzohn Paul D. Bernard Stuart N. Bernstein Robert A. Berry UK Elizabeth E. Beshel Leslie A. Biddle Lloyd C. Blankfein Dorothee Blessing Germany Oliver R. Bolitho UK Johannes M. Boomars The Netherlands Atanas Bostandjiev UK Patrick T. Boyle UK Stephen Branton-Speak UK Anne F. Brennan Samuel S. Britton Craig W. Broderick Jason M. Brown UK Steven M. Bunson Nicholas F. Burgin Mary D. Byron Jason G. Cahilly Jin Yong Cai China/Hong Kong Richard M. Campbell-Breeden UK Gerald J. Cardinale Mark M. Carhart Valentino D. Carlotti Anthony H. Carpet Michael J. Carr Lik Shuen David Chan Hong Kong R. Martin Chavez Martin Cher Singapore
ITEM 6 CITIZENSHIP (UNITED STATES ITEM 1 UNLESS OTHERWISE NAMES OF REPORTING PERSONS INDICATED) - ----------------------------- -------------------- Andrew A. Chisholm Canada Jane P. Chwick James B. Clark Abby Joseph Cohen Alan M. Cohen Gary D. Cohn Christopher A. Cole Denis P. Coleman III Peter H. Comisar Laura C. Conigliaro William J. Conley, Jr. Thomas G. Connolly Ireland/USA Kevin P. Connors Ireland/USA Linnea K. Conrad Karen R. Cook UK Edith W. Cooper Colin J. Corgan Thomas W. Cornacchia Henry Cornell E. Gerald Corrigan Frank L. Coulson, Jr. James V. Covello Brahm S. Cramer Canada Jeffrey R. Currie Matthew H. Cyzer UK Michael D. Daffey Australia John S. Daly Ireland Stephen D. Daniel Canada Diego De Giorgi Italy Michael G. De Lathauwer Belgium Francois-Xavier de Mallmann France/Switzerland Jean A. De Pourtales France/UK Giorgio De Santis Italy Daniel L. Dees Mark F. Dehnert Martin R. Devenish UK Alexander C. Dibelius Germany Simon P. Dingemans UK Joseph P. DiSabato Albert F. Dombrowski Katinka I. Domotorffy Thomas M. Dowling Donald J. Duet Michael L. Dweck Gordon E. Dyal Isabelle Ealet France Glenn P. Earle UK Kenneth M. Eberts III Edward K. Eisler Austria
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ITEM 6 CITIZENSHIP (UNITED STATES ITEM 1 UNLESS OTHERWISE NAMES OF REPORTING PERSONS INDICATED) - ----------------------------- -------------------- Jason H. Ekaireb UK Kathleen G. Elsesser Peter C. Enns Canada L. Brooks Entwistle James P. Esposito Michael P. Esposito J. Michael Evans Canada Carl Faker France/Lebanon Elizabeth C. Fascitelli Douglas L. Feagin Stephan J. Feldgoise Steven M. Feldman Gregg J. Felton Benjamin W. Ferguson Luca D. Ferrari Italy/USA Wolfgang Fink Germany Pierre-Henri Flamand France Elisabeth Fontenelli Silverio Foresi Italy Colleen A. Foster Orit Freedman Israel Matthew T. Fremont-Smith Christopher G. French UK Richard A. Friedman Enrico S. Gaglioti Timur F. Galen Sean J. Gallagher Gonzalo R. Garcia Chile James R. Garman UK Kevin S. Gasvoda Paul E. Germain Robert R. Gheewalla Gary T. Giglio H. John Gilbertson, Jr. Joseph H. Gleberman Justin G. Gmelich Richard J. Gnodde Ireland/ South Africa Jeffrey B. Goldenberg Gregg A. Gonsalves Andrew M. Gordon Paul Graves UK Michael J. Graziano Stefan Green Australia David J. Greenwald Peter Gross Vishal Gupta India Celeste A. Guth Edward G. Hadden Canada
ITEM 6 CITIZENSHIP (UNITED STATES ITEM 1 UNLESS OTHERWISE NAMES OF REPORTING PERSONS INDICATED) - ----------------------------- -------------------- Jonathan J. Hall UK Rumiko Hasegawa Japan Jan Hatzius Germany Keith L. Hayes UK David B. Heller Robert D. Henderson Bruce A. Heyman Stephen P. Hickey Melina E. Higgins Martin Hintze Germany Kenneth L. Hirsch Kenneth W. Hitchner Maykin Ho Todd Hohman Simon N. Holden UK Margaret J. Holen Philip Holzer Germany James P. Houghton UK Zu Liu Frederick Hu China Paul J. Huchro Alastair J. Hunt UK/USA Edith A. Hunt Phillip S. Hylander UK Hidehiro Imatsu Japan Timothy J. Ingrassia Raymond J. Iwanowski William L. Jacob III Andrew J. Jonas Adrian M. Jones Ireland Robert C. Jones Andrew J. Kaiser Toshinobu Kasai Japan James C. Katzman Alan S. Kava Dimitrios Kavvathas Greece Larry M. Kellerman Kevin W. Kennedy Thomas J. Kenny Richard A. Kimball, Jr. Robert C. King, Jr. Timothy M. Kingston Hideki Kinuhata Japan Shigeki Kiritani Japan Michael E. Koester J. Christopher A. Kojima Canada Eric S. Lane Jonathan A. Langer Michiel P. Lap The Netherlands John J. Lauto
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ITEM 6 CITIZENSHIP (UNITED STATES ITEM 1 UNLESS OTHERWISE NAMES OF REPORTING PERSONS INDICATED) - ----------------------------- -------------------- Brian J. Lee George C. Lee Gregory D. Lee Australia Ronald Lee David A. Lehman Tim Leissner Brazil/Germany Todd W. Leland Gregg R. Lemkau Deborah R. Leone Hughes B. Lepic France Wai Man Kaven Leung Hong Kong Allan S. Levine Brian T. Levine Jack Levy Gwen R. Libstag Mitchell J. Lieberman Ryan D. Limaye John S. Lindfors Finland Anthony W. Ling UK Hao Cheng Liu Victor M. Lopez-Balboa Antigone Loudiadis Greece/UK Peter J. Lyon Mark G. Machin UK Paula B. Madoff John A. Mahoney Puneet Malhi UK Charles G. R. Manby UK Simon I. Mansfield UK David M. Marcinek Robert J. Markwick UK Serge Marquie France Allan S. Marson UK Alison J. Mass Blake W. Mather Kathy M. Matsui George N. Mattson John J. McCabe Stephen J. McGuinness John J. McGuire, Jr. John W. McMahon James A. McNamara Robert A. McTamaney Sanjeev K. Mehra Bernard A. Mensah UK Julian R. Metherell UK Michael J. Millette Milton R. Millman III Christopher Milner UK
ITEM 6 CITIZENSHIP (UNITED STATES ITEM 1 UNLESS OTHERWISE NAMES OF REPORTING PERSONS INDICATED) - ----------------------------- -------------------- Christina P. Minnis Masanori Mochida Japan Timothy H. Moe Philip J. Moffitt Australia William C. Montgomery J. Ronald Morgan III Simon P. Morris UK Thomas C. Morrow Jeffrey M. Moslow Sharmin Mossavar-Rahmani UK Donald R. Mullen Takashi Murata Japan Ken N. Murphy Arjun N. Murti Marc O. Nachmann Germany/USA Kenichi Nagasu Japan Jeffrey P. Nedelman Gavin G. O'Connor L. Peter O'Hagan Canada/USA Terence J. O'Neill UK Timothy J. O'Neill Peter C. Oppenheimer UK Todd G. Owens Fumiko Ozawa Japan Craig W. Packer Gregory K. Palm Konstantinos N. Pantazopoulos Greece James R. Paradise UK Sanjay H. Patel Sheila H. Patel David B. Philip Stephen R. Pierce Kenneth A. Pontarelli Ellen R. Porges Richard H. Powers Gilberto Pozzi Italy Lora J. Price Kevin A. Quinn Jean Raby Canada Lorin P. Radtke John J. Rafter Ireland Dioscoro-Roy I. Ramos Philippines Richard N. Ramsden UK Charlotte P. Ransom UK Krishna S. Rao India Buckley T. Ratchford Joseph Ravitch Sara E. Recktenwald Gene Reilly
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ITEM 6 CITIZENSHIP (UNITED STATES ITEM 1 UNLESS OTHERWISE NAMES OF REPORTING PERSONS INDICATED) - ----------------------------- -------------------- Jeffrey A. Resnick Michael J. Richman Michael Rimland Luigi G. Rizzo Italy John F. W. Rogers Scott A. Romanoff Eileen P. Rominger Ivan Ross Paul M. Russo Richard M. Ruzika David C. Ryan David M. Ryan Australia Katsunori Sago Japan Ankur A. Sahu India Guy E. Saidenberg France Pablo J. Salame Ecuador Julian Salisbury UK Muneer A. Satter Susan J. Scher Gary B. Schermerhorn Stephen M. Scherr Clare R. Scherrer Howard B. Schiller Jeffrey W. Schroeder Harvey M. Schwartz Paul D. Scialla Peter E. Scialla Steven M. Scopellite John A. Sebastian Peter A. Seccia Karen D. Seitz Peter D. Selman UK Rebecca M. Shaghalian Devesh P. Shah India Lisa M. Shalett David G. Shell Heather K. Shemilt Canada Magid N. Shenouda UK Michael S. Sherwood UK Suhail A. Sikhtian Gavin Simms UK Ravi Sinha India/USA Edward M. Siskind Jeffrey S. Sloan Marshall Smith Sarah E. Smith UK David M. Solomon Theodore T. Sotir Marc A. Spilker
ITEM 6 CITIZENSHIP (UNITED STATES ITEM 1 UNLESS OTHERWISE NAMES OF REPORTING PERSONS INDICATED) - ----------------------------- -------------------- Christoph W. Stanger Austria Esta E. Stecher Laurence Stein South Africa/USA Chase O. Stevenson John D. Storey Australia Patrick M. Street UK Steven H. Strongin Ram K. Sundaram India Robert J. Sweeney Michael J. Swenson Jonathan R. Symonds UK Gene T. Sykes Morgan C. Sze Shahriar Tadjbakhsh Roland W. Tegeder Germany Thomas D. Teles Daisuke Toki Japan Jeffrey M. Tomasi Peter K. Tomozawa Massimo Tononi Italy David G. Torrible Canada/UK Frederick Towfigh Michael A. Troy Donald J. Truesdale Greg A. Tusar Eiji Ueda Japan Kaysie P. Uniacke Lucas van Praag UK Ashok Varadhan John J. Vaske Andrea Vella Italy Jeffrey L. Verschleiser Robin A. Vince UK David A. Viniar Andrea A. Vittorelli Italy Alejandro Vollbrechthausen Mexico David H. Voon Hong Kong/USA Casper W. Von Koskull Finland John E. Waldron Paul Walker Theodore T. Wang China Alasdair J. Warren UK John S. Weinberg Gregg S. Weinstein Martin M. Werner Mexico Matthew Westerman UK Elisha Wiesel C. Howard Wietschner
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ITEM 6 CITIZENSHIP (UNITED STATES ITEM 1 UNLESS OTHERWISE NAMES OF REPORTING PERSONS INDICATED) - ----------------------------- -------------------- Susan A. Willetts Todd A. Williams John S. Willian Andrew F. Wilson New Zealand Dominic A. Wilson UK Steve Windsor UK Samuel J. Wisnia France Martin Wiwen-Nilsson Sweden Andrew E. Wolff Tracy R. Wolstencroft Jon A. Woodruff
ITEM 6 CITIZENSHIP (UNITED STATES ITEM 1 UNLESS OTHERWISE NAMES OF REPORTING PERSONS INDICATED) - ----------------------------- -------------------- Neil J. Wright UK Denise A. Wyllie UK Shinichi Yokote Japan W. Thomas York, Jr. Wassim G. Younan Lebanon/UK Paul M. Young Sanaz Zaimi UK Paolo Zannoni Italy Yoel Zaoui France Han Song Zhu China
-7- Reporting Entities
ITEM 6 ITEM 1 PLACE OF NAME OF ESTABLISHING NAME OF ENTITY TYPE OF ENTITY ORGANIZATION COVERED PERSON - -------------------------------- -------------- -------------- --------------------------- Anahue Limited Corporation Jersey Andrew A. Chisholm Campbell-Breeden 2004 Settlement Trust UK Richard M. Campbell-Breeden 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 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 Sherwood 2004 Settlement Trust UK Michael S. Sherwood Westerman 2004 Settlement Trust UK Matthew Westerman Zurrah Limited Corporation Jersey Yoel Zaoui
-8- This Amendment No. 73 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. 73 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 bank holding company and a global investment banking, securities and investment management 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; and (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. (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 "Acquisition Covered Persons") of Hull and Associates, L.L.C. ("Hull") acquired certain shares of Common Stock in exchange for their interests in Hull; 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 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. -9- 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 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. 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 GS 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 -10- in the Shareholders' Agreement) or any other employee benefit plan specified by the Shareholders' Committee described below under "Information Regarding 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 401(k) Plan). 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 and other approved estate planning vehicles 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. Shares beneficially owned by a Covered Person through a Reporting Entity or certain other approved estate planning vehicles established by Covered Persons are generally 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, exercises a stock option (not including, in each case, awards in connection with GS Inc.'s initial public offering) or receives an award of restricted stock. The calculation of Covered Shares will include the gross number of shares underlying such restricted stock units or stock options or the gross number of shares of restricted stock, in each case 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. The Shareholders' Committee has the power to determine, and has determined from time to time in particular situations, whether shares of Common Stock delivered pursuant to restricted stock units or stock options are deemed "Covered Shares." Each of Lloyd C. Blankfein, Gary D. Cohn and David A. Viniar (each an "Executive") has executed a letter agreement with GS Inc. in which the Executive agreed that, with certain exceptions, until the earlier of October 1, 2011 and the date of redemption of all of GS Inc.'s 10% Cumulative Perpetual Preferred Stock, Series G, (i) the Executive will continue to satisfy the Special Transfer Restrictions; and (ii) the Executive, his spouse and any estate planning vehicles will not dispose of more than 10% of the aggregate number of shares of Common Stock they beneficially owned on September 28, 2008. The form of letter agreement is filed as an Exhibit to this Schedule, and the foregoing summary of the letter agreements is qualified in its entirety by reference thereto. WAIVERS The Shareholders' Committee has the power to waive, and has waived, the Transfer Restrictions from time to time to permit Covered Persons to transfer Common Stock in particular situations (such as transfers to family members, partnerships or trusts), but not generally. The Shareholders' Committee also has the power to waive the Transfer Restriction 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; and transfer Common Stock held in employee benefit plans. Taking into account the Shareholders' Committee's waivers and determinations regarding Covered Shares to date, 3,202,390 shares of Common Stock are subject to the Transfer Restrictions. 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 -11- 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 substantially 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, Lloyd C. Blankfein, Gary D. Cohn and David A. Viniar are the members of the Shareholders' Committee. EMPLOYEE BENEFIT PLAN TRANSFER RESTRICTIONS Shares of Common Stock delivered to Covered Persons pursuant to certain GS Inc. employee compensation plans and arrangements are subject to restrictions on transfer. These restrictions lapse at various times depending on the terms of the grant or award. -12- PLEDGE AGREEMENTS Certain Covered Persons have pledged in the aggregate 842,128 shares of Common Stock to banks 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. DERIVATIVE INSTRUMENTS Certain 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. 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)). F. 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)). G. 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)). H. 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)). I. 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)). J. 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.). K. 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.). L. 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)). M. 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.). N. 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)). O. Form of Letter Agreement, dated September 28, 2008, between certain Covered Persons and The Goldman Sachs Group, Inc. (incorporated by reference to Exhibit O to Amendment No. 71 to the Initial Schedule 13D, filed October 1, 2008 (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 COMMON STOCK OF STATE LAWS WITHIN THE GOLDMAN NAME CITIZENSHIP BUSINESS ADDRESS PRESENT EMPLOYMENT THE LAST FIVE YEARS SACHS GROUP, INC. ---- ----------- ------------------- ----------------------------- ------------------- ----------------- Steven M. Bunson USA 85 Broad Street Managing Director, None Less than 1% of New York, NY The Goldman Sachs Group, Inc. the outstanding 10004 shares of Common Stock. Michael H. Richardson UK 26 New Street, Partner, Bedell Cristin None None St. Helier, Jersey, JE4 3RA Anthony J. Dessain UK 26 New Street, Partner, Bedell Cristin None None St. Helier, Jersey, 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 9,022,318 shares of Common Stock are deliverable to Covered Persons upon the exercise of stock options that have vested and are exercisable. This share amount includes the gross number of shares of Common Stock underlying these options, which are included in the aggregate number of shares beneficially owned by the Covered Persons under Rule 13d-3(d)(1) because they represent a right to acquire beneficial ownership within 60 days of the date hereof. 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 the 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. 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 or by delivery to counterparties upon settlement of derivative transactions:
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $) - ----------------------------- ------------------ ---------------- ---------------------- Stephen Branton-Speak March 20, 2009 6,900 70.0000 Stephen Branton-Speak March 20, 2009 6,000 80.0000 Nicholas F. Burgin March 20, 2009 2,500 95.0000 Simon Dingemans March 20, 2009 20,000 95.0000 Christopher G. French March 20, 2009 5,000 90.0000 Christopher G. French March 20, 2009 5,000 95.0000 Robert A. McTamaney March 20, 2009 27,100 90.0000 Ravi Sinha March 20, 2009 10,000 90.0000 Edward M. Siskind March 20, 2009 4,600 95.0000 David H. Voon March 20, 2009 2,500 65.0000 Theodore T. Wang March 20, 2009 3,000 80.0000 C. Howard Wietschner March 20, 2009 800 65.0000 C. Howard Wietschner March 20, 2009 1,600 70.0000 C. Howard Wietschner March 20, 2009 500 75.0000 C. Howard Wietschner March 20, 2009 1,100 80.0000 C. Howard Wietschner March 20, 2009 700 85.0000 C. Howard Wietschner March 20, 2009 500 90.0000 David B. Heller April 13, 2009 4,200 60.0000 Gregory A. Agran April 15, 2009 5,082 119.1258 Frances R. Bermanzohn April 15, 2009 15,416 119.0000 Patrick T. Boyle April 15, 2009 7,625 118.8000 Anne F. Brennan April 15, 2009 2,087 120.8504 Nicholas F. Burgin April 15, 2009 6,808 118.5000 Mary D. Byron April 15, 2009 2,713 120.6863 Thomas G. Connolly April 15, 2009 16,727 117.7266 Frank L. Coulson, Jr. April 15, 2009 1,965 119.3649 Frank L. Coulson, Jr. April 15, 2009 2,000 120.7405 Jeffrey R. Currie April 15, 2009 1,000 119.0000 John S. Daly April 15, 2009 1,000 121.0540 Albert F. Dombrowski April 15, 2009 13,157 117.7576 James P. Esposito April 15, 2009 5,000 119.1802 Colleen A. Foster April 15, 2009 2,500 120.0240 Matthew T. Fremont-Smith April 15, 2009 10,500 119.1347 James R. Garman April 15, 2009 1,000 119.0000 Gary T. Giglio April 15, 2009 2,000 117.0885 Justin G. Gmelich April 15, 2009 10,000 119.4104 David J. Greenwald April 15, 2009 1,000 119.4720 Paul J. Huchro April 15, 2009 3,633 114.8557 Alastair J. Hunt April 15, 2009 5,120 119.7557 Hidehiro Imatsu April 15, 2009 3,000 119.0000 Hidehiro Imatsu April 15, 2009 3,000 119.0000 Hidehiro Imatsu April 15, 2009 2,014 119.0000 Hidehiro Imatsu April 15, 2009 6,782 119.0000 Hidehiro Imatsu April 15, 2009 3,000 119.9000
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COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $) - ----------------------------- ------------------ ---------------- ---------------------- J. Christopher A. Kojima April 15, 2009 800 120.7000 J. Christopher A. Kojima April 15, 2009 1,100 120.7100 J. Christopher A. Kojima April 15, 2009 100 120.7400 J. Christopher A. Kojima April 15, 2009 100 120.7400 J. Christopher A. Kojima April 15, 2009 100 120.7400 J. Christopher A. Kojima April 15, 2009 200 120.7400 J. Christopher A. Kojima April 15, 2009 100 120.7500 J. Christopher A. Kojima April 15, 2009 100 120.7500 J. Christopher A. Kojima April 15, 2009 100 120.7500 J. Christopher A. Kojima April 15, 2009 100 120.7500 J. Christopher A. Kojima April 15, 2009 100 120.7600 J. Christopher A. Kojima April 15, 2009 100 120.7600 Eric S. Lane April 15, 2009 4,000 118.7315 Eric S. Lane April 15, 2009 5,000 122.0000 John J. Lauto April 15, 2009 2,000 117.5825 Gregg R. Lemkau April 15, 2009 4,000 119.2283 David M. Marcinek April 15, 2009 200 120.0000 David M. Marcinek April 15, 2009 200 120.0000 David M. Marcinek April 15, 2009 300 120.0000 David M. Marcinek April 15, 2009 600 120.0000 David M. Marcinek April 15, 2009 200 120.0000 David M. Marcinek April 15, 2009 200 120.0000 John J. McGuire, Jr. April 15, 2009 939 120.7500 Christopher Milner April 15, 2009 2,000 119.0000 Christopher Milner April 15, 2009 5,000 119.0000 Christopher Milner April 15, 2009 3,669 120.0000 Gavin G. O'Connor April 15, 2009 1,653 115.8121 Craig Packer April 15, 2009 5,000 119.0000 Jeffrey A. Resnick April 15, 2009 1,300 118.8700 Jeffrey A. Resnick April 15, 2009 100 118.8900 Jeffrey A. Resnick April 15, 2009 100 118.8900 Jeffrey A. Resnick April 15, 2009 100 118.8900 Jeffrey A. Resnick April 15, 2009 400 118.9000 Jeffrey A. Resnick April 15, 2009 200 118.9000 Jeffrey A. Resnick April 15, 2009 100 118.9100 Jeffrey A. Resnick April 15, 2009 100 118.9100 Jeffrey A. Resnick April 15, 2009 100 118.9200 Michael J. Richman April 15, 2009 1,299 119.0000 Ivan Ross April 15, 2009 1,000 119.8610 Richard M. Ruzika April 15, 2009 20,000 118.2404 Katsunori Sago April 15, 2009 7,000 121.8000 Ankur A. Sahu April 15, 2009 8,728 120.0000 Edward M. Siskind April 15, 2009 8,589 118.2758 Edward M. Siskind April 15, 2009 8,911 118.2758 David M. Solomon April 15, 2009 11,000 120.0000 Marc A. Spilker April 15, 2009 30,000 118.3006 Ram K. Sundaram April 15, 2009 500 116.3600 Ram K. Sundaram April 15, 2009 100 116.3700 Ram K. Sundaram April 15, 2009 700 116.3700 Ram K. Sundaram April 15, 2009 100 116.3900 Ram K. Sundaram April 15, 2009 100 116.4100 Ram K. Sundaram April 15, 2009 100 116.4100 Ram K. Sundaram April 15, 2009 200 116.4100 Ram K. Sundaram April 15, 2009 100 116.4100
-20-
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $) - ----------------------------- ------------------ ---------------- ---------------------- Ram K. Sundaram April 15, 2009 100 116.4100 Michael A. Troy April 15, 2009 8,193 119.6023 Eiji Ueda April 15, 2009 14,724 119.0000 Andrea A. Vittorelli April 15, 2009 2,000 119.8389 Dean C. Backer April 16, 2009 9,536 120.0675 Dean C. Backer April 16, 2009 7,785 120.0675 Dean C. Backer April 16, 2009 2,679 120.0675 Stuart N. Bernstein April 16, 2009 500 121.2080 Leslie A. Biddle April 16, 2009 3,623 121.3912 Jason M. Brown April 16, 2009 20,000 123.0000 Mary D. Byron April 16, 2009 2,997 121.4227 Laura C. Conigliaro April 16, 2009 2,100 121.2137 Frank L. Coulson, Jr. April 16, 2009 2,000 122.0690 Christopher G. French April 16, 2009 835 123.0000 Gary T. Giglio April 16, 2009 1,000 122.0000 Gary T. Giglio April 16, 2009 1,000 122.0220 David J. Greenwald April 16, 2009 3,000 122.1226 Martin Hintze April 16, 2009 600 121.1183 Eric S. Lane April 16, 2009 10,000 121.4703 Michiel P. Lap April 16, 2009 2,311 121.0590 John J. Lauto April 16, 2009 1,000 123.0000 Brian J. Lee April 16, 2009 200 121.9300 Brian J. Lee April 16, 2009 400 121.9300 Brian J. Lee April 16, 2009 100 121.9400 Philip J. Moffitt April 16, 2009 750 121.2180 Jeffrey A. Resnick April 16, 2009 100 121.5900 Jeffrey A. Resnick April 16, 2009 500 121.5900 Jeffrey A. Resnick April 16, 2009 700 121.6000 Jeffrey A. Resnick April 16, 2009 600 121.6100 Jeffrey A. Resnick April 16, 2009 800 121.6200 Jeffrey A. Resnick April 16, 2009 1,100 121.6300 Jeffrey A. Resnick April 16, 2009 200 121.6400 Jeffrey A. Resnick April 16, 2009 400 121.6500 Jeffrey A. Resnick April 16, 2009 200 121.6600 Jeffrey A. Resnick April 16, 2009 100 121.6900 Jeffrey A. Resnick April 16, 2009 100 121.6900 Jeffrey A. Resnick April 16, 2009 100 121.7000 Jeffrey A. Resnick April 16, 2009 100 121.7000 Ivan Ross April 16, 2009 500 121.4020 Ivan Ross April 16, 2009 500 122.1700 Paul M. Russo April 16, 2009 5,000 120.5984 Paul M. Russo April 16, 2009 5,000 120.7600 Paul M. Russo April 16, 2009 3,700 121.7100 Katsunori Sago April 16, 2009 7,000 123.0000 Karen D. Seitz April 16, 2009 9,041 121.6890 Edward M. Siskind April 16, 2009 9,644 121.4669 Edward M. Siskind April 16, 2009 6,856 121.4669 David M. Solomon April 16, 2009 5,500 121.1989 Marc A. Spilker April 16, 2009 26,190 121.1918 Marc A. Spilker April 16, 2009 112 121.1918 Peter K. Tomozawa April 16, 2009 800 121.5000 Peter K. Tomozawa April 16, 2009 200 121.5000 Peter K. Tomozawa April 16, 2009 1,000 122.0690 Michael A. Troy April 16, 2009 5,766 121.1394
-21-
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $) - ----------------------------- ------------------ ---------------- ---------------------- Greg A. Tusar April 16, 2009 827 121.0024 Eiji Ueda April 16, 2009 10,000 123.0000 Gregory A. Agran April 17, 2009 15,000 80.0000 Gregory A. Agran April 17, 2009 10,000 105.0000 Leslie A. Biddle April 17, 2009 2,000 85.0000 Nicholas F. Burgin April 17, 2009 3,000 80.0000 Nicholas F. Burgin April 17, 2009 2,000 85.0000 Nicholas F. Burgin April 17, 2009 2,000 90.0000 Nicholas F. Burgin April 17, 2009 2,000 95.0000 Lik Shuen David Chan April 17, 2009 27,500 95.0000 Peter H. Comisar April 17, 2009 1,000 75.0000 Peter H. Comisar April 17, 2009 2,000 90.0000 Peter H. Comisar April 17, 2009 1,000 95.0000 Frank L. Coulson, Jr. April 17, 2009 2,000 121.7970 Stephen D. Daniel April 17, 2009 5,000 90.0000 Kathleen G. Elsesser April 17, 2009 4,500 105.0000 Luca D. Ferrari April 17, 2009 5,200 95.0000 Gonzalo R. Garcia April 17, 2009 2,503 121.1800 Gary T. Giglio April 17, 2009 1,000 122.5360 David J. Greenwald April 17, 2009 2,500 70.0000 David J. Greenwald April 17, 2009 2,500 80.0000 Edward G. Hadden April 17, 2009 8,600 85.0000 David B. Heller April 17, 2009 20,800 60.0000 Martin Hintze April 17, 2009 100 121.1600 Maykin Ho April 17, 2009 7,500 110.0000 William L. Jacob III April 17, 2009 7,200 95.0000 William L. Jacob III April 17, 2009 7,200 100.0000 J. Christopher A. Kojima April 17, 2009 200 120.2400 J. Christopher A. Kojima April 17, 2009 100 120.2400 J. Christopher A. Kojima April 17, 2009 100 120.2500 J. Christopher A. Kojima April 17, 2009 100 120.2500 J. Christopher A. Kojima April 17, 2009 100 120.2500 J. Christopher A. Kojima April 17, 2009 100 120.2500 J. Christopher A. Kojima April 17, 2009 100 120.2500 J. Christopher A. Kojima April 17, 2009 100 120.2500 J. Christopher A. Kojima April 17, 2009 100 120.2600 J. Christopher A. Kojima April 17, 2009 100 120.4200 J. Christopher A. Kojima April 17, 2009 100 120.4500 J. Christopher A. Kojima April 17, 2009 100 120.4500 J. Christopher A. Kojima April 17, 2009 100 120.4500 J. Christopher A. Kojima April 17, 2009 100 120.4560 J. Christopher A. Kojima April 17, 2009 100 120.4600 J. Christopher A. Kojima April 17, 2009 100 120.4600 J. Christopher A. Kojima April 17, 2009 100 120.4600 J. Christopher A. Kojima April 17, 2009 100 120.4600 J. Christopher A. Kojima April 17, 2009 100 120.4800 Simon I. Mansfield April 17, 2009 15,000 110.0000 David M. Marcinek April 17, 2009 900 122.0200 David M. Marcinek April 17, 2009 100 122.0300 David M. Marcinek April 17, 2009 100 122.0400 David M. Marcinek April 17, 2009 400 122.0400 Alison J. Mass April 17, 2009 35,000 100.0000 Jeffrey M. Moslow April 17, 2009 9,000 90.0000 Jeffrey M. Moslow April 17, 2009 15,000 100.0000
-22-
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $) - ----------------------------- ------------------ ---------------- ---------------------- Jeffrey M. Moslow April 17, 2009 5,000 105.0000 Jeffrey M. Moslow April 17, 2009 5,000 110.0000 L. Peter O'Hagan April 17, 2009 20,000 75.0000 L. Peter O'Hagan April 17, 2009 10,000 85.0000 Todd G. Owens April 17, 2009 1,000 110.0000 Richard H. Powers April 17, 2009 10,000 105.0000 Dioscoro-Roy I. Ramos April 17, 2009 4,300 105.0000 Joseph Ravitch April 17, 2009 5,500 90.0000 Joseph Ravitch April 17, 2009 5,600 95.0000 Jeffrey A. Resnick April 17, 2009 10,000 65.0000 Jeffrey A. Resnick April 17, 2009 2,500 75.0000 Jeffrey A. Resnick April 17, 2009 2,500 80.0000 Jeffrey A. Resnick April 17, 2009 17,500 80.0000 Jeffrey A. Resnick April 17, 2009 5,000 85.0000 Jeffrey A. Resnick April 17, 2009 5,000 90.0000 Scott A. Romanoff April 17, 2009 3,000 95.0000 Ivan Ross April 17, 2009 2,000 100.0000 Ivan Ross April 17, 2009 300 121.9367 Paul M. Russo April 17, 2009 5,000 75.0000 Paul M. Russo April 17, 2009 5,000 80.0000 Paul M. Russo April 17, 2009 1,300 85.0000 Richard M. Ruzika April 17, 2009 30,000 90.0000 Stephen M. Scherr April 17, 2009 5,900 90.0000 Clare R. Scherrer April 17, 2009 5,000 90.0000 Howard B. Schiller April 17, 2009 20,000 100.0000 Howard B. Schiller April 17, 2009 20,000 110.0000 Paul D. Scialla April 17, 2009 300 120.3100 Paul D. Scialla April 17, 2009 100 120.3200 Paul D. Scialla April 17, 2009 100 120.3200 Paul D. Scialla April 17, 2009 100 120.3300 Paul D. Scialla April 17, 2009 900 120.3300 Paul D. Scialla April 17, 2009 100 120.3300 Paul D. Scialla April 17, 2009 100 120.3400 Peter E. Scialla April 17, 2009 400 120.0200 Peter E. Scialla April 17, 2009 100 120.0300 Peter E. Scialla April 17, 2009 150 120.1200 Peter E. Scialla April 17, 2009 100 120.1200 Peter E. Scialla April 17, 2009 100 120.1200 Peter E. Scialla April 17, 2009 100 120.1200 Peter E. Scialla April 17, 2009 100 120.1200 Peter E. Scialla April 17, 2009 100 120.1300 Peter E. Scialla April 17, 2009 100 120.1300 Peter D. Selman April 17, 2009 10,000 120.6788 Gavin Simms April 17, 2009 4,000 80.0000 Gavin Simms April 17, 2009 2,000 85.0000 Edward M. Siskind April 17, 2009 15,807 121.1815 Edward M. Siskind April 17, 2009 693 121.1815 David H. Voon April 17, 2009 6,800 80.0000 Paul Walker April 17, 2009 1,000 120.3500 C. Howard Wietschner April 17, 2009 300 70.0000 C. Howard Wietschner April 17, 2009 300 80.0000 C. Howard Wietschner April 17, 2009 900 90.0000 John S. Willian April 17, 2009 2,000 100.0000 W. Thomas York, Jr. April 17, 2009 2,000 105.0000
-23-
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $) - ----------------------------- ------------------ ---------------- ---------------------- W. Thomas York, Jr. April 17, 2009 2,000 110.0000 Paul M. Young April 17, 2009 10,000 100.0000 Paul M. Young April 17, 2009 7,306 121.8597 James P. Esposito April 20, 2009 5,229 116.8300 Jeffrey A. Resnick April 20, 2009 200 117.0700 Jeffrey A. Resnick April 20, 2009 1,800 117.0800 Jeffrey A. Resnick April 20, 2009 100 117.1100 Jeffrey A. Resnick April 20, 2009 100 117.1100 Jeffrey A. Resnick April 20, 2009 100 117.1100 Jeffrey A. Resnick April 20, 2009 100 117.1200 Jeffrey A. Resnick April 20, 2009 100 117.1400 Jeffrey A. Resnick April 20, 2009 1,200 117.3100 Jeffrey A. Resnick April 20, 2009 100 117.3300 Jeffrey A. Resnick April 20, 2009 200 117.3400 Jeffrey A. Resnick April 20, 2009 200 117.3400 Jeffrey A. Resnick April 20, 2009 100 117.3600 Jeffrey A. Resnick April 20, 2009 100 117.3600 Jeffrey A. Resnick April 20, 2009 100 117.3600 Jeffrey A. Resnick April 20, 2009 200 117.3600 Jeffrey A. Resnick April 20, 2009 100 117.3700 Jeffrey A. Resnick April 20, 2009 100 117.3800 Jeffrey A. Resnick April 20, 2009 100 117.3900 John D. Storey April 20, 2009 400 115.9600 John D. Storey April 20, 2009 100 115.9700 John D. Storey April 20, 2009 100 115.9808 John D. Storey April 20, 2009 100 115.9900 John D. Storey April 20, 2009 100 115.9900 John D. Storey April 20, 2009 100 115.9900 John D. Storey April 20, 2009 164 116.0100 John D. Storey April 20, 2009 100 116.0100 John D. Storey April 20, 2009 100 116.0100 John D. Storey April 20, 2009 100 116.0100 John D. Storey April 20, 2009 100 116.0200 Steven H. Strongin April 20, 2009 12,960 116.5649 Ram K. Sundaram April 20, 2009 1,000 116.7500 John S. Willian April 20, 2009 3,000 115.9391 William J. Conley, Jr. April 21, 2009 2,000 120.2520 Frank L. Coulson, Jr. April 21, 2009 2,000 120.0915 James V. Covello April 21, 2009 7,753 120.3475 Edward K. Eisler April 21, 2009 1,000 120.0000 Edward K. Eisler April 21, 2009 1,000 121.0000 Enrico S. Gaglioti April 21, 2009 5,000 119.1680 Gary T. Giglio April 21, 2009 1,922 119.7587 Eric S. Lane April 21, 2009 2,500 120.2535 Allan S. Marson April 21, 2009 2,000 115.0000 Bernard A. Mensah April 21, 2009 1,000 118.7390 Bernard A. Mensah April 21, 2009 1,000 120.0000 Katsunori Sago April 21, 2009 7,000 119.3000 Paul D. Scialla April 21, 2009 100 119.2800 Paul D. Scialla April 21, 2009 250 119.3200 Paul D. Scialla April 21, 2009 100 119.3200 Paul D. Scialla April 21, 2009 100 119.3200 Shahriar Tadjbakhsh April 21, 2009 5,000 120.1829 John E. Waldron April 21, 2009 2,500 120.3984
-24-
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $) - ----------------------------- ------------------ ---------------- ---------------------- Martin Cher April 22, 2009 1,000 123.0000 Frank L. Coulson, Jr. April 22, 2009 2,000 122.5655 Edward K. Eisler April 22, 2009 1,000 122.0000 Edward K. Eisler April 22, 2009 1,000 123.0000 Edward K. Eisler April 22, 2009 1,000 124.0000 Timur F. Galen April 22, 2009 4,981 122.1592 David J. Greenwald April 22, 2009 1,000 123.2290 David B. Heller April 22, 2009 5,000 123.7233 J. Christopher A. Kojima April 22, 2009 300 124.2400 J. Christopher A. Kojima April 22, 2009 100 124.2400 J. Christopher A. Kojima April 22, 2009 100 124.2400 Eric S. Lane April 22, 2009 9,000 123.2297 Gregg R. Lemkau April 22, 2009 2,000 123.7035 John A. Mahoney April 22, 2009 7,000 122.2719 Alison J. Mass April 22, 2009 100 120.4500 John W. McMahon April 22, 2009 5,000 121.6681 Gene Reilly April 22, 2009 500 121.5000 Gene Reilly April 22, 2009 400 121.5000 Gene Reilly April 22, 2009 100 121.5000 Gene Reilly April 22, 2009 100 121.5000 Ivan Ross April 22, 2009 400 122.0275 Katsunori Sago April 22, 2009 7,000 122.3000 Magid N. Shenouda April 22, 2009 7,924 121.7159 Marshall Smith April 22, 2009 200 124.3900 Marshall Smith April 22, 2009 113 124.4000 Marshall Smith April 22, 2009 100 124.4000 Marshall Smith April 22, 2009 100 124.4100 Peter K. Tomozawa April 22, 2009 200 122.5000 Peter K. Tomozawa April 22, 2009 100 122.5000 Peter K. Tomozawa April 22, 2009 200 122.5000 Peter K. Tomozawa April 22, 2009 100 122.5000 Peter K. Tomozawa April 22, 2009 100 122.5000 Peter K. Tomozawa April 22, 2009 300 122.5000 Peter K. Tomozawa April 22, 2009 293 123.0000 Robin A. Vince April 22, 2009 800 123.2800 Robin A. Vince April 22, 2009 500 123.2900 Robin A. Vince April 22, 2009 100 123.3000 Robin A. Vince April 22, 2009 200 123.3100 Robin A. Vince April 22, 2009 184 123.3500 Robin A. Vince April 22, 2009 153 124.3700 Robin A. Vince April 22, 2009 100 124.3700 C. Howard Wietschner April 22, 2009 20 124.3300 Douglas L. Feagin April 23, 2009 2,805 120.1486 Jonathan A. Langer April 23, 2009 2,135 119.4077 Ivan Ross April 23, 2009 400 120.6300 Frank L. Coulson, Jr. April 24, 2009 2,000 122.9780 Celeste A. Guth April 24, 2009 2,000 123.5000 Eric S. Lane April 24, 2009 1,500 123.2193 Ivan Ross April 24, 2009 500 122.6940 Robin A. Vince April 24, 2009 600 121.5000 Robin A. Vince April 24, 2009 100 121.5000 Robin A. Vince April 24, 2009 100 121.5000 Robin A. Vince April 24, 2009 200 121.5000 Susan A. Willetts April 24, 2009 5,000 123.0986
-25-
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $) - ----------------------------- ------------------ ---------------- ---------------------- W. Thomas York, Jr. April 24, 2009 1,000 123.5000 Frank L. Coulson, Jr. April 27, 2009 2,000 123.1175 Katinka I. Domotorffy April 27, 2009 2,978 123.0816 Timothy M. Kingston April 27, 2009 5,000 124.0000 Eric S. Lane April 27, 2009 2,000 123.3750 Gene Reilly April 27, 2009 6 121.5000 Ivan Ross April 27, 2009 190 123.9100 Ivan Ross April 27, 2009 310 123.9300 Julian Salisbury April 27, 2009 7,380 122.8374 John E. Waldron April 27, 2009 2,500 123.9105 W. Thomas York, Jr. April 27, 2009 1,000 124.0000 James R. Garman April 28, 2009 500 120.0000 Celeste A. Guth April 28, 2009 2,000 120.0625 Gene Reilly April 28, 2009 400 122.0000 Gene Reilly April 28, 2009 400 122.0000 Gene Reilly April 28, 2009 200 122.0000 Gregory A. Agran April 29, 2009 5,000 125.0000 Jin Yong Cai April 29, 2009 5,100 125.0000 Jane P. Chwick April 29, 2009 5,000 125.0000 Abby Joseph Cohen April 29, 2009 500 127.0000 William J. Conley, Jr. April 29, 2009 2,000 126.7840 Thomas W. Cornacchia April 29, 2009 5,000 126.0000 Frank L. Coulson, Jr. April 29, 2009 4,000 124.6516 James R. Garman April 29, 2009 500 127.0000 Justin G. Gmelich April 29, 2009 5,000 125.8957 Celeste A. Guth April 29, 2009 2,000 126.4855 J. Christopher A. Kojima April 29, 2009 100 125.3300 J. Christopher A. Kojima April 29, 2009 100 125.3400 J. Christopher A. Kojima April 29, 2009 100 125.3400 J. Christopher A. Kojima April 29, 2009 100 125.3400 J. Christopher A. Kojima April 29, 2009 100 125.3400 J. Christopher A. Kojima April 29, 2009 100 127.1700 J. Christopher A. Kojima April 29, 2009 100 127.1700 J. Christopher A. Kojima April 29, 2009 100 127.1700 J. Christopher A. Kojima April 29, 2009 100 127.1700 J. Christopher A. Kojima April 29, 2009 100 127.1800 Gregg R. Lemkau April 29, 2009 2,200 126.3768 Peter J. Lyon April 29, 2009 9,900 125.0000 L. Peter O'Hagan April 29, 2009 10,000 125.3081 Gene Reilly April 29, 2009 100 122.9000 Gene Reilly April 29, 2009 400 122.9000 Gene Reilly April 29, 2009 300 122.9000 Gene Reilly April 29, 2009 100 122.9000 Gene Reilly April 29, 2009 100 122.9000 Gene Reilly April 29, 2009 400 123.7500 Gene Reilly April 29, 2009 100 123.7500 Gene Reilly April 29, 2009 100 123.7500 Gene Reilly April 29, 2009 400 123.7500 Gene Reilly April 29, 2009 1,000 125.0000 Gene Reilly April 29, 2009 200 125.9000 Gene Reilly April 29, 2009 200 125.9000 Gene Reilly April 29, 2009 200 125.9000 Gene Reilly April 29, 2009 200 125.9000 Gene Reilly April 29, 2009 100 125.9000
-26-
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $) - ----------------------------- ------------------ ---------------- ---------------------- Gene Reilly April 29, 2009 100 125.9000 Gene Reilly April 29, 2009 400 127.0000 Gene Reilly April 29, 2009 100 127.0000 Gene Reilly April 29, 2009 500 127.0000 Michael Rimland April 29, 2009 8,000 126.4065 Ivan Ross April 29, 2009 700 125.7000 Ivan Ross April 29, 2009 300 127.0600 Katsunori Sago April 29, 2009 7,000 127.8000 Paul D. Scialla April 29, 2009 250 127.3400 Ravi Sinha April 29, 2009 10,000 125.0000 Ram K. Sundaram April 29, 2009 700 125.9500 Ram K. Sundaram April 29, 2009 100 125.9700 Ram K. Sundaram April 29, 2009 100 125.9700 Ram K. Sundaram April 29, 2009 100 125.9700 Ram K. Sundaram April 29, 2009 100 125.9700 Ram K. Sundaram April 29, 2009 100 125.9700 Ram K. Sundaram April 29, 2009 100 125.9700 Ram K. Sundaram April 29, 2009 100 125.9700 Ram K. Sundaram April 29, 2009 100 125.9700 Peter K. Tomozawa April 29, 2009 400 125.0000 Peter K. Tomozawa April 29, 2009 500 125.0000 Peter K. Tomozawa April 29, 2009 100 125.0000 Eiji Ueda April 29, 2009 10,000 127.9000 Robin A. Vince April 29, 2009 100 123.3000 Robin A. Vince April 29, 2009 100 123.3000 Robin A. Vince April 29, 2009 800 123.3000 John E. Waldron April 29, 2009 2,500 126.3370 Martin Wiwen-Nilsson April 29, 2009 2,000 125.0000 Martin Wiwen-Nilsson April 29, 2009 2,000 125.0000 W. Thomas York, Jr. April 29, 2009 2,000 125.0000 Oliver R. Bolitho April 30, 2009 2,707 128.4700 Martin Hintze April 30, 2009 467 127.4314 John J. Lauto April 30, 2009 1,000 128.4700 Gene Reilly April 30, 2009 129 128.9000 Jeffrey A. Resnick April 30, 2009 2,100 127.1400 Jeffrey A. Resnick April 30, 2009 500 127.1500 Jeffrey A. Resnick April 30, 2009 500 127.1600 Jeffrey A. Resnick April 30, 2009 600 127.1700 Jeffrey A. Resnick April 30, 2009 100 127.1800 Jeffrey A. Resnick April 30, 2009 100 127.1800 Jeffrey A. Resnick April 30, 2009 100 127.1800 Jeffrey A. Resnick April 30, 2009 100 127.1800 Jeffrey A. Resnick April 30, 2009 100 127.1800 Jeffrey A. Resnick April 30, 2009 100 127.1800 Jeffrey A. Resnick April 30, 2009 100 127.1800 Jeffrey A. Resnick April 30, 2009 100 127.1900 Jeffrey A. Resnick April 30, 2009 100 127.1900 Jeffrey A. Resnick April 30, 2009 100 127.1900 Jeffrey A. Resnick April 30, 2009 100 127.1900 Jeffrey A. Resnick April 30, 2009 200 127.1900 Katsunori Sago April 30, 2009 7,000 128.8000 Guy E. Saidenberg April 30, 2009 4,100 129.6000 Marshall Smith April 30, 2009 100 126.7500 Marshall Smith April 30, 2009 100 126.7600
-27-
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $) - ----------------------------- ------------------ ---------------- ---------------------- Marshall Smith April 30, 2009 100 126.7900 Marshall Smith April 30, 2009 100 126.8000 Marshall Smith April 30, 2009 100 126.8000 Ram K. Sundaram April 30, 2009 100 127.9000 Ram K. Sundaram April 30, 2009 100 127.9000 Ram K. Sundaram April 30, 2009 200 127.9000 Ram K. Sundaram April 30, 2009 100 127.9000 Frederick Towfigh April 30, 2009 1,000 128.4700 Orit Freedman Weissman April 30, 2009 17,199 126.7019 Jane P. Chwick May 1, 2009 5,000 130.0000 Celeste A. Guth May 1, 2009 2,000 130.0000 Hidehiro Imatsu May 1, 2009 3,000 129.9000 Timothy M. Kingston May 1, 2009 5,000 130.0000 Mitchell J. Lieberman May 1, 2009 5,000 129.2538 Robert A. McTamaney May 1, 2009 57 129.0200 L. Peter O'Hagan May 1, 2009 5,000 129.6286 Craig Packer May 1, 2009 5,000 130.0000 Gene Reilly May 1, 2009 200 130.0000 Gene Reilly May 1, 2009 500 130.0000 Gene Reilly May 1, 2009 300 130.0000 Guy E. Saidenberg May 1, 2009 5,900 129.6092 Steve M. Scopellite May 1, 2009 5,000 130.0000 Thomas W. Cornacchia May 4, 2009 5,000 131.0350 Frank L. Coulson, Jr. May 4, 2009 2,000 131.3255 Justin G. Gmelich May 4, 2009 5,000 129.7218 Paul Graves May 4, 2009 100 131.2000 Paul Graves May 4, 2009 100 131.2200 Paul Graves May 4, 2009 100 131.2200 Timothy J. Ingrassia May 4, 2009 7,000 133.8400 James C. Katzman May 4, 2009 6,000 130.1562 J. Christopher A. Kojima May 4, 2009 250 129.4800 J. Christopher A. Kojima May 4, 2009 100 130.4600 J. Christopher A. Kojima May 4, 2009 100 130.4600 J. Christopher A. Kojima May 4, 2009 100 131.3000 Mitchell J. Lieberman May 4, 2009 5,000 131.0164 Mitchell J. Lieberman May 4, 2009 5,000 133.0914 David M. Marcinek May 4, 2009 100 129.1300 David M. Marcinek May 4, 2009 100 129.1300 David M. Marcinek May 4, 2009 100 129.1300 David M. Marcinek May 4, 2009 100 129.1300 David M. Marcinek May 4, 2009 400 129.1300 David M. Marcinek May 4, 2009 100 129.1400 David M. Marcinek May 4, 2009 100 129.1400 L. Peter O'Hagan May 4, 2009 5,000 134.0000 Richard H. Powers May 4, 2009 15,000 130.0000 Ivan Ross May 4, 2009 500 129.5980 David C. Ryan May 4, 2009 5,000 132.7397 Katsunori Sago May 4, 2009 7,000 131.8000 Katsunori Sago May 4, 2009 7,000 132.8000 Katsunori Sago May 4, 2009 5,672 133.8000 Paul D. Scialla May 4, 2009 250 129.8900 Karen D. Seitz May 4, 2009 1,000 131.1880 Marshall Smith May 4, 2009 500 130.0000 Marshall Smith May 4, 2009 400 134.0400
-28-
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $) - ----------------------------- ------------------ ---------------- ---------------------- Marshall Smith May 4, 2009 100 134.0500 Ram K. Sundaram May 4, 2009 505 134.1800 Ram K. Sundaram May 4, 2009 200 134.1900 Shahriar Tadjbakhsh May 4, 2009 5,000 131.3784 John E. Waldron May 4, 2009 2,000 130.4795 Paul Walker May 4, 2009 100 129.3700 Paul Walker May 4, 2009 100 129.3700 Paul Walker May 4, 2009 100 129.3700 Paul Walker May 4, 2009 100 129.3700 Paul Walker May 4, 2009 100 129.3700 Paul Walker May 4, 2009 147 133.2600 Paul Walker May 4, 2009 100 133.2600 Gregg S. Weinstein May 4, 2009 2,500 130.8208 Martin Wiwen-Nilsson May 4, 2009 2,000 133.0000
The following purchases of Voting Shares were made by the following Covered Persons through one or more subsidiaries of GS Inc. for cash on the New York Stock Exchange or by delivery from counterparties upon settlement of derivative transactions:
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $) - ----------------------------- ------------------ ---------------- ---------------------- Todd A. Williams April 15, 2009 4,310 116.0081 Simon I. Mansfield April 17, 2009 15,000 95.0000 David M. Ryan April 30, 2009 3,900 128.0000 Steven M. Feldman May 4, 2009 104 129.4800
The following sales of Other Shares were made by family members of the following Covered Persons or by estate planning entities (which are not Reporting Entities) established by the following Covered Persons or through one or more subsidiaries of GS Inc. for cash on the New York Stock Exchange or by delivery to counterparties upon settlement of derivative transactions:
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $) - ----------------------------- ------------------ ---------------- ---------------------- Andrew M. Gordon April 15, 2009 5,000 120.0000 Marc O. Nachmann April 15, 2009 4,000 116.1408 Andrew M. Gordon April 16, 2009 5,000 122.0774 Jeffrey P. Nedelman April 16, 2009 4,000 122.9109 Marc O. Nachmann April 17, 2009 1,000 85.0000 Marc O. Nachmann April 17, 2009 1,500 90.0000 Marc O. Nachmann April 17, 2009 1,000 120.0000 Marc O. Nachmann April 20, 2009 1,000 118.0000 Andrew M. Gordon April 27, 2009 2,000 122.0730 George C. Lee II April 27, 2009 5,000 123.8693 Andrew M. Gordon April 29, 2009 5,000 125.0000 Andrew M. Gordon April 29, 2009 116 126.8416 Andrew M. Gordon April 29, 2009 100 126.8900 Andrew M. Gordon April 29, 2009 153 126.9400 Andrew M. Gordon April 29, 2009 1,630 127.2293 Andrew M. Gordon May 4, 2009 6,000 132.0000 Andrew M. Gordon May 4, 2009 4,368 132.2000 Gene T. Sykes May 4, 2009 10,000 130.2353
-29- The following purchases of Other Shares were made by family members of the following Covered Persons or 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 or by delivery from counterparties upon settlement of derivative transactions:
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $) - ----------------------------- ------------------ ---------------- ---------------------- Todd A. Williams April 15, 2009 198 116.0400 Todd A. Williams April 15, 2009 198 116.0700 David M. Ryan April 30, 2009 3,900 128.0000
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 STRIKE SALES NUMBER NUMBER OF PRICE PRICE OF SHARES OF SHARES COVERED PERSON DATE OF EXERCISE OPTIONS (IN $) (IN $) SOLD RETAINED - ------------------------ ------------------ ------- ------ -------- --------- --------- John A. Ashdown April 15, 2009 2,500 53.00 117.3788 2,500 0 Mary D. Byron April 15, 2009 1,566 82.875 120.0000 1,566 0 Valentino D. Carlotti April 15, 2009 3,424 53.00 119.0000 3,424 0 Lik Shuen David Chan April 15, 2009 5,000 53.00 121.0000 5,000 0 Christopher A. Cole April 15, 2009 5,011 82.875 120.0000 5,011 0 Rumiko Hasegawa April 15, 2009 3,000 53.00 120.0000 3,000 0 Gwen R. Libstag April 15, 2009 7,000 53.00 120.0000 4,964 2,036 Mitchell J. Lieberman April 15, 2009 5,000 53.00 120.5558 5,000 0 John J. McCabe April 15, 2009 500 53.00 117.2500 500 0 John J. McCabe April 15, 2009 500 53.00 118.5000 500 0 Edward M. Siskind April 15, 2009 13,217 82.875 120.0000 13,217 0 Edward M. Siskind April 15, 2009 6,304 82.875 120.0000 6,304 0 Andrea A. Vittorelli April 15, 2009 2,652 82.875 120.0000 2,652 0 Andrew F. Wilson April 15, 2009 10,000 53.00 120.0000 10,000 0 Andrew E. Wolff April 15, 2009 2,264 53.00 119.0000 2,264 0 Andrew E. Wolff April 15, 2009 267 78.87 119.0000 267 0 Mitchell J. Lieberman April 17, 2009 5,000 53.00 122.5306 5,000 0 James R. Paradise April 17, 2009 1,000 53.00 120.4800 1,000 0 James R. Paradise April 17, 2009 1,030 53.00 121.1800 1,030 0 James R. Paradise April 17, 2009 2,000 53.00 121.9980 2,000 0 Jean Raby April 17, 2009 2,000 53.00 120.5505 2,000 0 Peter A. Seccia April 17, 2009 135 53.00 120.8300 135 0 Daisuke Toki April 17, 2009 907 53.00 121.1800 907 0 Gwen R. Libstag* April 20, 2009 2,000 53.00 116.9500 0 2,000 Gwen R. Libstag* April 20, 2009 4,000 53.00 116.9500 0 4,000 John J. McCabe April 20, 2009 500 53.00 116.2600 500 0 John J. McCabe April 20, 2009 500 53.00 116.5140 500 0 John J. McCabe April 20, 2009 500 53.00 116.7645 500 0 John J. McCabe April 20, 2009 500 53.00 117.6000 500 0 John J. McCabe April 20, 2009 500 53.00 117.6000 500 0 John J. McCabe April 20, 2009 500 53.00 117.6661 500 0 John J. McCabe April 20, 2009 500 53.00 118.0000 500 0 John J. McCabe April 20, 2009 500 53.00 118.4960 500 0 John J. McCabe April 20, 2009 500 53.00 118.5000 500 0 John J. McCabe April 20, 2009 500 53.00 118.6000 500 0 James R. Paradise April 20, 2009 1,000 53.00 115.7380 1,000 0 Wassim G. Younan April 20, 2009 14,003 53.00 115.8318 14,003 0 Wassim G. Younan April 20, 2009 2,222 53.00 116.0442 2,222 0
-30-
NUMBER STRIKE SALES NUMBER NUMBER OF PRICE PRICE OF SHARES OF SHARES COVERED PERSON DATE OF EXERCISE OPTIONS (IN $) (IN $) SOLD RETAINED - ------------------------ ------------------ ------- ------ -------- --------- --------- Christopher A. Cole April 21, 2009 2,000 82.875 120.0000 2,000 0 Gwen R. Libstag* April 21, 2009 7,000 53.00 117.2650 0 7,000 John J. McCabe April 21, 2009 500 53.00 116.3300 500 0 John A. Ashdown April 22, 2009 2,500 53.00 122.5396 2,500 0 Paul D. Bernard April 22, 2009 6,534 53.00 123.6292 6,534 0 Robert A. Berry April 22, 2009 17,420 53.00 121.7074 17,420 0 John J. McCabe April 22, 2009 500 53.00 123.1500 500 0 James R. Paradise April 22, 2009 500 53.00 118.3300 500 0 W. Thomas York, Jr. April 22, 2009 2,000 53.00 123.7990 2,000 0 Rumiko Hasegawa April 23, 2009 3,000 53.00 121.9000 3,000 0 James R. Paradise April 23, 2009 500 53.00 121.9000 500 0 Heather K. Shemilt April 23, 2009 1,769 53.00 119.2540 1,769 0 Rumiko Hasegawa April 24, 2009 1,500 53.00 123.5000 1,500 0 Rumiko Hasegawa April 24, 2009 3,000 53.00 123.5000 3,000 0 Rumiko Hasegawa April 27, 2009 2,000 53.00 120.0000 2,000 0 John J. McCabe April 27, 2009 500 53.00 122.0500 500 0 John J. McCabe April 27, 2009 500 53.00 123.2000 500 0 John J. McCabe April 27, 2009 500 53.00 123.9200 500 0 James R. Paradise April 27, 2009 500 53.00 122.9400 500 0 James R. Paradise April 27, 2009 500 53.00 123.7420 500 0 Jean Raby April 27, 2009 1,000 53.00 123.0180 1,000 0 John J. Vaske April 27, 2009 8,610 91.61 122.8247 8,610 0 Rumiko Hasegawa April 28, 2009 2,000 53.00 119.8500 2,000 0 John J. McCabe April 28, 2009 500 53.00 120.5000 500 0 Robert A. Berry April 29, 2009 17,419 53.00 124.0800 17,419 0 Laura C. Conigliaro April 29, 2009 5,000 82.875 126.3274 5,000 0 Joseph H. Gleberman April 29, 2009 20,000 82.875 123.4444 16,606 3,394 Rumiko Hasegawa April 29, 2009 2,000 53.00 122.5000 2,000 0 Rumiko Hasegawa April 29, 2009 3,000 53.00 125.0000 3,000 0 Rumiko Hasegawa April 29, 2009 2,000 53.00 125.0000 2,000 0 John J. McCabe April 29, 2009 500 53.00 125.8000 500 0 Stephen R. Pierce April 29, 2009 11,000 53.00 127.6107 11,000 0 Heather K. Shemilt April 29, 2009 53 53.00 125.8700 53 0 Andrew F. Wilson April 29, 2009 3,530 53.00 126.5000 3,530 0 Andrew F. Wilson April 29, 2009 2,832 53.00 127.0000 2,832 0 W. Thomas York, Jr. April 29, 2009 2,000 53.00 125.0000 2,000 0 Rumiko Hasegawa April 30, 2009 1,500 53.00 128.4700 1,500 0 John J. McCabe April 30, 2009 500 53.00 127.5000 500 0 Jean Raby April 30, 2009 733 53.00 127.8255 733 0 Andrew F. Wilson April 30, 2009 10,000 53.00 129.0000 10,000 0 W. Thomas York, Jr. April 30, 2009 1,000 53.00 127.5480 1,000 0 Rumiko Hasegawa May 1, 2009 713 53.00 128.0200 713 0 Rumiko Hasegawa May 1, 2009 3,000 53.00 130.0000 3,000 0 W. Thomas York, Jr. May 1, 2009 1,000 53.00 129.1500 1,000 0 W. Thomas York, Jr. May 1, 2009 1,000 53.00 130.0000 1,000 0 Steven M. Feldman May 4, 2009 2,000 78.87 129.3500 2,000 0 Joseph H. Gleberman May 4, 2009 15,000 82.875 129.5126 12,388 2,612 John J. McCabe May 4, 2009 500 53.00 128.7000 500 0
-31-
NUMBER STRIKE SALES NUMBER NUMBER OF PRICE PRICE OF SHARES OF SHARES COVERED PERSON DATE OF EXERCISE OPTIONS (IN $) (IN $) SOLD RETAINED - ------------------------ ------------------ ------- ------ -------- --------- --------- John J. McCabe May 4, 2009 500 53.00 130.0800 500 0 W. Thomas York, Jr. May 4, 2009 1,000 53.00 129.1580 1,000 0
* This transaction was a cash-for-stock exercise, not a cashless exercise, and did not involve the sale of stock. The following charitable contributions and other transfers of shares in transactions for which no consideration was received were made by the following Covered Persons:
ACQUISITION OR COVERED PERSON TRANSFER DATE NUMBER OF SHARES DISPOSITION - ------------------------ ----------------- ---------------- -------------- Jeffrey B. Goldenberg April 20, 2009 800 Disposition Celeste A. Guth April 20, 2009 425 Disposition Celeste A. Guth April 20, 2009 2,374 Disposition Celeste A. Guth April 20, 2009 9,991 Disposition Ivan Ross April 21, 2009 406 Disposition Kevin W. Kennedy April 27, 2009 2,000 Disposition Kevin W. Kennedy April 27, 2009 10,000 Disposition Stuart N. Bernstein April 30, 2009 100 Disposition Timothy J. Ingrassia April 30, 2009 785 Disposition Timothy J. Ingrassia April 30, 2009 785 Disposition Timothy J. Ingrassia April 30, 2009 1,178 Disposition Timothy J. Ingrassia April 30, 2009 1,962 Disposition Timothy M. Kingston April 30, 2009 2,000 Disposition
The Covered Persons listed below participate in the Common Stock fund of The Goldman Sachs 401(k) Plan. These Covered Persons acquired or disposed of interests in the Common Stock fund representing the number of Other Shares set forth below:
ACQUISITION OR PRICE PER COVERED PERSON DISPOSITION TRANSACTION DATE NUMBER OF SHARES SHARE (IN $) - ------------------------ -------------- ---------------- ---------------- ------------ Peter K. Tomozawa Acquisition March 13, 2009 1 98.8000 Peter K. Tomozawa Acquisition March 31, 2009 1 106.0200 Peter K. Tomozawa Acquisition April 15, 2009 1 121.1900 Douglas L. Feagin Disposition April 22, 2009 691 120.4900 Peter K. Tomozawa Acquisition April 30, 2009 1 128.5000
-32- 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 or purchased American-style standardized call options or put options on Voting Shares with the following terms:
INSTRUMENT NUMBER OF STRIKE PRICE COVERED PERSON AND POSITION SHARES (IN $) TRANSACTION DATE MATURITY DATE - -------------------------- -------------- --------- ------------ ------------------ ----------------- Gary T. Giglio Put Written 4,000 80 October 10, 2008 January 16, 2010 Laura C. Conigliaro Call Written 5,000 100 January 16, 2009 January 16, 2010 David J. Greenwald Call Written 1,000 90 January 16, 2009 January 16, 2010 David H. Voon Call Written 5,000 75 January 21, 2009 July 18, 2009 David H. Voon Call Written 200 95 January 21, 2009 July 18, 2009 Michael J. Millette Call Written 2,400 90 January 26, 2009 July 18, 2009 Kenneth A. Pontarelli Call Written 5,000 125 January 27, 2009 January 16, 2010 Robert J. Sweeney Call Written 3,000 95 January 27, 2009 July 18, 2009 Peter C. Aberg Call Written 1,000 125 January 28, 2009 January 16, 2010 Peter C. Aberg Call Written 1,000 150 January 28, 2009 January 22, 2011 Peter C. Aberg Call Written 1,000 160 January 28, 2009 January 22, 2011 Kevin S. Gasvoda Call Written 3,000 100 January 28, 2009 July 18, 2009 Michael E. Koester Call Written 2,000 90 January 28, 2009 July 18, 2009 Richard M. Ruzika Call Written 30,000 100 January 28, 2009 July 18, 2009 Jeffrey M. Tomasi Call Written 2,000 90 January 28, 2009 July 18, 2009 Theodore T. Wang Call Written 10,000 90 January 28, 2009 July 18, 2009 Susan A. Willetts Call Written 5,000 100 January 28, 2009 July 18, 2009 Kevin S. Gasvoda Call Written 1,500 105 January 29, 2009 July 18, 2009 Peter C. Aberg Call Written 12,000 130 February 2, 2009 January 22, 2011 Peter C. Aberg Call Written 8,000 140 February 2, 2009 January 22, 2011 Richard A. Kimball, Jr. Call Written 12,000 95 February 2, 2009 July 18, 2009 Larry M. Kellerman Call Written 4,000 110 February 4, 2009 July 18, 2009 Larry M. Kellerman Call Written 2,000 115 February 4, 2009 July 18, 2009 Michael Rimland Call Written 10,000 105 February 4, 2009 July 18, 2009 John S. Daly Call Written 10,000 135 February 5, 2009 January 16, 2010 Kevin S. Gasvoda Call Written 1,000 115 February 5, 2009 July 18, 2009 Edward G. Hadden Call Written 2,800 150 February 5, 2009 July 18, 2009 Christopher A. Cole Call Written 10,000 120 February 6, 2009 July 18, 2009 Todd G. Owens Call Written 1,000 120 February 6, 2009 July 18, 2009 Michael J. Swenson Call Written 5,000 105 February 6, 2009 July 18, 2009 Milton R. Berlinski Put Written 72,600 60 February 9, 2009 July 18, 2009 Milton R. Berlinski Call Written 72,600 110 February 9, 2009 July 18, 2009 Jack Levy Call Written 25,000 115 February 9, 2009 January 16, 2010 Jack Levy Call Written 75,000 130 February 9, 2009 January 16, 2010 Thomas J. Kenny Call Written 7,600 90 February 12, 2009 January 16, 2010 Joseph Ravitch Call Written 13,200 95 February 13, 2009 July 18, 2009 Ivan Ross Call Written 1,500 110 February 13, 2009 July 18, 2009 Ivan Ross Call Written 500 115 February 13, 2009 July 18, 2009 John E. Waldron Call Written 3,300 115 February 13, 2009 July 18, 2009 John E. Waldron Call Written 3,300 120 February 13, 2009 July 18, 2009 John E. Waldron Call Written 3,400 125 February 13, 2009 July 18, 2009 Milton R. Berlinski Put Written 70,000 50 February 18, 2009 July 18, 2009 David J. Greenwald Call Written 2,000 90 February 19, 2009 July 18, 2009
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INSTRUMENT NUMBER OF STRIKE PRICE COVERED PERSON AND POSITION SHARES (IN $) TRANSACTION DATE MATURITY DATE - -------------------------- -------------- --------- ------------ ------------------ ----------------- David J. Greenwald Call Written 4,000 100 February 19, 2009 January 16, 2010 Peter Gross Call Written 19,400 125 February 20, 2009 July 18, 2009 David H. Voon Call Written 5,000 85 February 20, 2009 January 16, 2010 David H. Voon Call Written 2,500 70 February 23, 2009 July 18, 2009 Dean C. Backer Call Written 10,000 130 April 15, 2009 July 18, 2009 Colin J. Corgan Call Written 26,000 140 April 15, 2009 May 16, 2009 Jean A. De Pourtales Call Written 15,200 140 April 15, 2009 October 17, 2009 Mark F Dehnert Call Written 18,500 125 April 15, 2009 May 16, 2009 Mark F Dehnert * Call Written 3,900 125 April 15, 2009 May 16, 2009 Justin G. Gmelich Call Written 10,000 140 April 15, 2009 July 18, 2009 Todd G. Owens Call Written 1,000 150 April 15, 2009 October 17, 2009 Richard M. Ruzika Call Written 20,000 140 April 15, 2009 July 18, 2009 Alejandro Vollbrechthausen Put Written 1,000 95 April 15, 2009 May 16, 2009 Paolo Zannoni Call Written 14,800 145 April 15, 2009 October 17, 2009 Paolo Zannoni Call Written 11,200 145 April 15, 2009 October 17, 2009 Kathleen G. Elsesser Call Written 4,500 125 April 16, 2009 July 18, 2009 Diego De Giorgi Call Written 6,800 145 April 16, 2009 July 18, 2009 Jeffrey B. Goldenberg Call Written 10,000 110 April 16, 2009 May 16, 2009 David J. Greenwald Call Written 1,000 120 April 16, 2009 July 18, 2009 Maykin Ho Call Written 7,500 125 April 16, 2009 July 18, 2009 George N. Mattson Call Written 10,000 140 April 16, 2009 July 18, 2009 Marc O. Nachmann * Call Written 1,500 120 April 16, 2009 May 16, 2009 Marc O. Nachmann * Call Written 500 130 April 16, 2009 May 16, 2009 Jean Raby Call Written 2,000 100 April 16, 2009 July 18, 2009 Peter K. Tomozawa Call Written 2,000 125 April 16, 2009 May 16, 2009 Andrea A. Vittorelli Call Written 2,100 120 April 16, 2009 July 18, 2009 Matthew C. Westerman Call Written 20,000 145 April 16, 2009 July 18, 2009 Larry M. Kellerman Call Written 3,900 140 April 17, 2009 October 17, 2009 Jeffrey M. Moslow Call Written 5,000 130 April 17, 2009 July 18, 2009 Jeffrey M. Moslow Call Written 5,000 145 April 17, 2009 July 18, 2009 Milton R. Berlinski Put Written 50,000 105 April 20, 2009 January 16, 2010 Milton R. Berlinski Call Purchased 50,000 120 April 20, 2009 January 16, 2010 Milton R. Berlinski Call Written 50,000 190 April 20, 2009 January 16, 2010 Edward G. Hadden Call Written 4,500 125 April 20, 2009 October 17, 2009 Simon I. Mansfield Call Written 15,800 130 April 20, 2009 July 18, 2009 Enrico S. Gaglioti Call Written 10,000 120 April 21, 2009 July 18, 2009 Michael J. Graziano Call Written 4,000 150 April 21, 2009 January 16, 2010 Kenneth A. Pontarelli Call Written 2,500 140 April 21, 2009 October 17, 2009 David J. Greenwald Call Written 2,000 130 April 22, 2009 October 17, 2009 Charlotte P. Ransom Call Written 4,000 150 April 22, 2009 October 17, 2009 Peter K. Tomozawa Call Written 2,000 125 April 22, 2009 June 20, 2009 C. Howard Wietschner Call Written 800 100 April 22, 2009 June 20, 2009 Larry M. Kellerman Call Written 9,000 120 April 23, 2009 July 18, 2009 Larry M. Kellerman Call Written 5,000 140 April 23, 2009 January 16, 2010 Larry M. Kellerman Call Written 2,200 140 April 23, 2009 October 17, 2009 Larry M. Kellerman Call Written 10,000 150 April 23, 2009 October 17, 2009 Peter A. Seccia Call Written 5,000 130 April 24, 2009 June 20, 2009 Steve M. Scopellite Call Written 5,000 130 April 24, 2009 June 20, 2009 W. Thomas York, Jr. Call Written 1,000 125 April 24, 2009 July 18, 2009 W. Thomas York, Jr. Call Written 1,000 130 April 24, 2009 July 18, 2009 Diego De Giorgi Call Written 5,000 145 April 29, 2009 July 18, 2009
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INSTRUMENT NUMBER OF STRIKE PRICE COVERED PERSON AND POSITION SHARES (IN $) TRANSACTION DATE MATURITY DATE - -------------------------- -------------- --------- ------------ ------------------ ----------------- Anahue Limited Call Written 11,500 150 April 30, 2009 January 16, 2010 Craig W. Broderick * Call Written 10,000 140 April 30, 2009 July 18, 2009 Andrew A. Chisholm Call Written 20,000 140 April 30, 2009 January 16, 2010 Andrew A. Chisholm Call Written 8,500 150 April 30, 2009 January 16, 2010 Ivan Ross Call Written 600 130 April 30, 2009 January 16, 2010 Ivan Ross Call Written 600 135 April 30, 2009 January 16, 2010 Martin M. Werner Call Written 10,000 150 April 30, 2009 July 18, 2009 Yoel Zaoui Call Written 9,500 150 April 30, 2009 October 17, 2009 Jeffrey M. Moslow Call Written 5,000 135 May 1, 2009 July 18, 2009 Michael J. Graziano Call Written 4,000 165 May 4, 2009 January 16, 2010 Jeffrey A. Resnick Call Written 5,000 135 May 4, 2009 July 18, 2009 Ivan Ross Call Written 400 140 May 4, 2009 January 16, 2010
* This transaction was conducted through an estate planning entity and relates to Other Shares. -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: May 13, 2009 By: /s/ Beverly L. O'Toole ------------------------------------ Name: Beverly L. O'Toole 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. 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)). F. 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)). G. 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)). H. 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)). I. 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)). J. 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.). K. 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.). L. 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)). M. 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.). N. 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)). O. Form of Letter Agreement, dated September 28, 2008, between certain Covered Persons and The Goldman Sachs Group, Inc. (incorporated by reference to Exhibit O to Amendment No. 71 to the Initial Schedule 13D, filed October 1, 2008 (File No. 005-56295)).
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