-----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, Dz2ndx8Pp9o0By16LV3xhQW1DlVUNrbfTwOIJTdB0ykymhGoDowEu0foU/28psN+ CxfOE1ECbXa44jGUllH4wQ== 0000947871-02-000619.txt : 20020415 0000947871-02-000619.hdr.sgml : 20020415 ACCESSION NUMBER: 0000947871-02-000619 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020405 COMPANY DATA: COMPANY CONFORMED NAME: GOELET LLC CENTRAL INDEX KEY: 0001137166 OWNER IRS NUMBER: 134035432 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 425 PARK AVE STREET 2: 28TH FL. CITY: NEW YORK STATE: NY ZIP: 10022 MAIL ADDRESS: STREET 1: 425 PARK AVE STREET 2: 28TH FL. CITY: NEW YORK STATE: NY ZIP: 10022 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: POGO PRODUCING CO CENTRAL INDEX KEY: 0000230463 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 741659398 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07792 FILM NUMBER: 02603109 BUSINESS ADDRESS: STREET 1: 5 GREENWAY PLAZA STE 2700 STREET 2: P O BOX 2504 CITY: HOUSTON STATE: TX ZIP: 77252-0504 BUSINESS PHONE: 7132975000 MAIL ADDRESS: STREET 1: 5 GREENWAY PLAZA SUITE 2700 STREET 2: P O BOX 2504 CITY: HOUSTON STATE: TX ZIP: 77252 FORMER COMPANY: FORMER CONFORMED NAME: PENNZOIL OFFSHORE GAS OPERATORS INC /TX/ DATE OF NAME CHANGE: 19600201 5 1 form5_040402.txt FORM 5
------------------------------------------------ FORM 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION ------------------------------------------------ Washington, D.C. 20549 o Check this box if no longer subject to ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). o Form 3 Holdings Reported Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, o Form 4 Transactions Reported Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 --------------------------------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person to Issuer Person* Goelet, LLC(2) Pogo Producing Company (PPP) (Check all applicable) ---------------------------------------------------------------------------------- (Last) (First) (Middle) 3. I.R.S. Identification 4. Statement for ---- Director X 10% Owner Number of Reporting Month/Year ---- Officer ---- Other Person, if an entity (give title below) (specify below) (Voluntary) September 2001 425 Park Avenue, 28th Floor November 2001 -------------------------------------- ----------------------------------------------------------------- (Street) 5. If Amendment, 7. Individual or Joint/Group Filing Date of Original (check applicable line) New York, New York 10022 (Month/Year) ----- Form Filed by One Reporting Person X Form Filed by More than One ----- Reporting Person --------------------------------------------------------------------------------------------------------------------------------- (City) (State) (Zip) Table I-- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned --------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security 2. Transaction 3.Trans- 4. Securities Acquired 5. Amount of 6. Owner- 7. Nature of (Instr. 3) Date action (A) or Disposed of Securities ship Indirect (Month/ Code (D) Instr. 3, 4 and 5) Beneficially Form: Di- Beneficial Day/ (Instr. Owned at rect (D) Ownership Year) 8) ------------------------- end of or Indi- (Instr. 4) Amount (A) or Price Issuer's rect (I) Fiscal Year (Instr. 4) or (Instr. 3 and 4) (D) --------------------------------------------------------------------------------------------------------------------------------- Common Stock (1) (2) 9/21/01 S 325,204 D N/A(2) 12,290,612 D(4) (4) --------------------------------------------------------------------------------------------------------------------------------- Common Stock (1) (2) 11/07/01 S 6,135,664 D $24.35(3) 6,154,948 D(4) (4) --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------
* If the form is filed by more than one reporting person, see Instruction 4(b)(v). Table II-- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of 2. Conver- 3. Trans- 4.Transac- 5.Number of 6. Date 7. Title and 8. Price 9. Number 10. Owner- 11. Nature Derivative sion or action tion Deriva- Exercis Amount of of De- of De- ship of of Security Exer- Date Code tive Se- -able Underly- rivative rivative Deriva- Indirect (Instr. 3) cise Price (Month/ (Instr. curities and ing Secur- Security Secur- tive Se- Benefi- of Deriva- Day/Year) 8) Acquired Expira- ities (Instr. ities curity: cial tives Secur- (A) or tion Date (Instr. 3 5) Benefi- Direct Owner- ity Disposed (Month/ and 4) cially (D) or ship of (D) Day/Year) Owned at Indirect (Instr. (Instr. 3, End of (I) 4) 4 and 5) Year (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ (A) (D) Date Expir- Ti- Amount Exer- ation tle or Num- cis- Date ber able of Shares - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Page 3 of 31 Explanation of Responses: (1) The class of equity securities to which this joint statement on Form 5 relates is the common stock, par value $1.00 per share (the "Shares") of Pogo Producing Company, a Delaware corporation ("Pogo") with its principal executive offices at 5 Greenway Plaza, Suite 2700, Houston, Texas 77046. (2) This statement is filed on behalf of the group of former shareholders of NORIC Corporation, a New York corporation ("NORIC"), consisting of certain trusts for the benefit of the descendants of Robert Walton Goelet, the trustees of these trusts, as well as Arthur Field and Gilbert Kerlin and his affiliate, Windward Oil & Gas Corporation, a Delaware corporation, all listed below (collectively, the "Group"). If no address is given, the person's business address is c/o Goelet, LLC, 425 Park Avenue, 28th floor, New York, New York 10022. On September 11, 2001, Robert G. Goelet, Alexandra Gardiner Goelet and Robert Gardiner Goelet transferred all of their Pogo Common Stock to RGG Limited Partnership in exchange for membership interests in the RGG Limited Partnership. On September 21, 2001, Gilbert Kerlin transferred 325,204 shares of Pogo Common Stock to the Goldman Sachs 2001 Global Exchange Place Fund in exchange for units in the Goldman Exchange Place Fund. On October 29, 2001, Gilbert Kerlin transferred 160,000, 160,000, 40,000 and 60,000 Shares to Wave Hill Incorporated, Bank Street College of Education, Putney School and Trustees of Columbia University, respectively (collectively, the "Charities"). On November 7, 2001 members of the Group and the Charities closed the sale of a total of 6,135,664 shares of Pogo Common Stock in a public offering (the "Public Offering"). The Shares were sold to certain underwriters pursuant to a Purchase Agreement dated November 1, 2001, which was filed with the Securities and Exchange Commission on November 15, 2001 as Exhibit 7 on Amendment No. 2 to the Schedule 13D filed by the Group. In the aggregate, the Group now beneficially owns 6,154,948 Shares. Robert G. Goelet, Philip Goelet, Edmond de La Haye Jousselin, John H. Manice and Pamela Manice are trustees of the following trusts for the benefit of Beatrice G. Manice: (i) Trust under Agreement dated August 26, 1930, (ii) Trust under Agreement dated July 27, 1935, and (iii) Trust under the Will of Robert Walton Goelet. Alexandra C. Goelet, Philip Goelet and Edmond de La Haye Jousselin are trustees of the following trusts for the benefit of Robert G. Goelet: (i) Trust under Agreement dated August 26, 1930, and (ii) Trust under the Will of Robert Walton Goelet. In addition, Robert G. Goelet is a trustee of the trust under the Will of Robert Walton Goelet for the benefit of Robert G. Goelet. Alexandra C. Goelet, Philip Goelet, Edmond de La Haye Jousselin, Alexandra Gardiner Goelet and Robert Gardiner Goelet are trustees under the trust dated July 27, 1935 for the benefit of Robert G. Goelet. Robert G. Goelet, Philip Goelet and Edmond de La Haye Jousselin are trustees of the trust under Agreement dated July 27, 1935 for the benefit of Francis Goelet. Robert G. Goelet, Christopher Goelet, Philip Goelet, Edmond de La Haye Jousselin and Robert S. Rich are trustees of the following trusts for the benefit of John Goelet: (i) Trust under Agreement dated December 18, 1931, (ii) Trust under Agreement dated July 27, 1935 and (iii) Trust under the Will of Robert Walton Goelet. Henrietta Goelet and Robert S. Rich are trustees of the trust under Agreement dated December 17, 1976 for the benefit of grandchildren of John Goelet. Amelia M. Berkowitz, Robert G. Goelet, Philip Goelet and Edmond de La Haye Jousselin are trustees of the trust under Agreement dated September 4, 1980 for the benefit of Anne de La Haye Jousselin. Page 4 of 31 John H. Manice's business address is c/o Strategen, LLC, 405 Park Avenue, Suite 1701, New York, NY 10022. Robert G. Manice's business address is 305 Newbury Street, Boston, MA 02116. Philip Goelet's business address is c/o Red Abbey, LLC, 2330 West Joppa Road, Suite 330, Lutherville, MD 21093. Christopher Goelet's business address is c/o Red Abbey, LLC, 2330 West Joppa Road, Suite 330, Lutherville, MD 21093. Gilbert Kerlin's business address is c/o Shearman & Sterling, 599 Lexington Avenue, New York, NY 10022. Windward Oil & Gas Corporation's business address is c/o 4605 Post Oak Place Drive, Suite 220, Houston, Texas 77027. Arthur N. Field's business address is c/o GxG Management, LLC, 444 Madison Avenue, 19th Floor, New York, NY 10022. Edmond de La Haye Jousselin's business address is c/o 55 Rue de La Boetie, Paris 75008, France. Robert S. Rich's business address is c/o The Antelope Company, 555 Seventeenth Street, Suite 2400, Denver, CO 80202. The business address of Goelet, LLC is 425 Park Avenue, 28th floor, New York, NY 10022. Alexandra Gardiner Goelet's business address is c/o JP Morgan Chase & Co., 270 Park Avenue, New York, NY 10017. Page 5 of 31 (3) $25.50 was the public offering price of the Shares sold in the Public Offering and the Group received $23.45 per Share after payment of underwriting commissions. The numbers of Shares sold by each member of the Group and the number of Shares held by each such Group member after giving effect to those sales are as set forth in Schedule I attached hereto. (4) The Trust under Agreement dated August 26, 1930 for the benefit of Beatrice G. Manice is the direct beneficial owner of 1,005,270 Shares. The Trust under Agreement dated July 27, 1935 for the benefit of Beatrice G. Manice is the direct beneficial owner of 323,123 Shares. The Trust under the Will of Robert Walton Goelet for the benefit of Beatrice G. Manice is the direct beneficial owner of 215,414 Shares. The Trust under Agreement dated August 26, 1930 for the benefit of Robert G. Goelet is the direct beneficial owner of 1,005,270 Shares. The Trust under Agreement dated July 27, 1935 for the benefit of Robert G. Goelet is the direct beneficial owner of 323,123 Shares. The Trust under the Will of Robert Walton Goelet for the benefit of Robert G. Goelet is the direct beneficial owner of 323,122 Shares. The Trust under Agreement dated July 27, 1935 for the benefit of Francis Goelet is the direct beneficial owner of 323,123 Shares. The Trust under Agreement dated December 18, 1931 for the benefit of John Goelet is the direct beneficial owner of 560,631 Shares. The Trust under Agreement dated December 17, 1976 for the benefit of grandchildren of John Goelet is the direct beneficial owner of 154,656 Shares. The Trust under Agreement dated July 27, 1935 for the benefit of John Goelet is the direct beneficial owner of 240,270 Shares. The Trust under the Will of Robert Walton Goelet for the benefit of John Goelet is the direct beneficial owner of 200,225 Shares. The Trust under the Agreement dated December 4, 1980 for the benefit of Anne de La Haye Jousselin is the direct beneficial owner of 46,774 Shares. RGG Limited Partnership is the direct beneficial owner of 439,491 Shares. Robert G. Goelet beneficially owns 0 Shares directly, 439,491 Shares through the RGG Limited Partnership, a Delaware limited partnership, and the following number of Shares indirectly as trustee of the following trusts: (a) the Trust under Agreement dated August 26, 1930 for the benefit of Beatrice G. Manice (1,005,270 Shares); (b) the Trust under Agreement dated July 27, 1935 for the benefit of Beatrice G. Manice (323,123 Shares); (c) the Trust under the Will of Robert Walton Goelet for the benefit of Beatrice G. Manice (215,414 Shares); (d) the Trust under Agreement dated July 27, 1935 for the benefit of Francis Goelet (323,123 Shares); (e) the Trust under Agreement dated December 18, 1931 for the benefit of John Goelet (560,631 Shares); (f) the Trust under Agreement dated July 27, 1935 for the benefit of John Goelet (240,270 Shares); (g) the Trust under the Will of Robert Walton Goelet for the benefit of John Goelet (200,225 Shares); and (h) the Trust under Agreement dated September 4, 1980 for the benefit of Anne de La Haye Jousselin (46,774 Page 6 of 31 Shares). John H. Manice beneficially owns 35,308 Shares directly and the following number of Shares indirectly as trustee of the following trusts: (a) Trust under Agreement dated August 26, 1930 for the benefit of Beatrice G. Manice (1,005,270 Shares); (b) the Trust under Agreement dated July 27, 1935 for the benefit of Beatrice G. Manice (323,123 Shares); and (c) the Trust under the Will of Robert Walton Goelet for the benefit of Beatrice G. Manice (215,414 Shares). Robert G. Manice beneficially owns 12,543 Shares directly and 3,732 Shares indirectly as custodian for his minor children, Henry W. Manice, Emily P. Manice and Harriet W. Manice under the New York Uniform Transfers to Minors Act. Amelia M. Berkowitz beneficially owns 31,814 Shares directly and 46,774 Shares indirectly as trustee of the Trust under Agreement dated September 4, 1980, as amended, for the benefit of Anne de la Haye Jousselin. Alexandra Gardiner Goelet beneficially owns 0 Shares directly and 323,123 Shares indirectly as trustee of the Trust under Agreement dated July 27, 1935 for the benefit of Robert G. Goelet. Robert Gardiner Goelet beneficially owns 0 Shares directly and 323,123 Shares indirectly as trustee of the Trust under Agreement dated July 27, 1935 for the benefit of Robert G. Goelet. Pamela Manice beneficially owns 35,044 Shares directly and the following number of Shares indirectly as trustee of the following trusts: (a) the Trust under Agreement dated August 26, 1930 for the benefit of Beatrice G. Manice (1,005,270 Shares); (b) the Trust under Agreement dated July 27, 1935 for the benefit of Beatrice G. Manice (323,123 Shares); and (c) the Trust under the Will of Robert Walton Goelet for the benefit of Beatrice G. Manice (215,414 Shares). Phillip Goelet beneficially owns 61,002 Shares directly and the following number of Shares indirectly as trustee of the following trusts: (a) the Trust under Agreement dated December 18, 1931 for the benefit of John Goelet (560,631 Shares); (b) the Trust under Agreement dated July 27, 1935 for the benefit of John Goelet (323,123 Shares); (c) the Trust under the Will of Robert Walton Goelet for the benefit of John Goelet (200,225 Shares); (d) the Trust under Agreement dated August 26, 1930 for the benefit of Beatrice G. Manice (1,005,270 Shares); (e) the Trust under Agreement dated July 27, 1935 for the benefit of Beatrice G. Manice (323,123 Shares); (f) the Trust under the Will of Robert Walton Goelet for the benefit of Beatrice G. Manice (215,414 Shares); (g) the Trust under Agreement dated August 26, 1930 for the benefit of Robert G. Goelet (1,005,270 Shares); (h) the Trust under Agreement dated July 27, 1935 for the benefit of Robert G. Goelet (323,123 Shares); (i) the Trust under the Will of Robert Walton Goelet for the benefit of Robert G. Goelet (323,122 Shares); (j) the Trust under Agreement dated July 27, 1935 for the benefit of Francis Goelet (323,123 Shares); and (k) the Trust under Agreement dated September 4, 1980, as amended, for the benefit of Anne de La Haye Jousselin (46,774 Shares). Christopher Goelet beneficially owns 59,353 Shares directly and the following number of Shares indirectly as trustee of the following trusts: (a) the Trust under Agreement dated December 18, 1931 for the benefit of John Goelet (388,738 Shares); (b) the Trust under Agreement dated July 27, 1935 for the benefit of John Goelet (166,602 Shares); and (c) the Trust under the Will of Robert Walton Goelet for the benefit of John Goelet (178,835 Shares). Alexandra C. Goelet beneficially owns 0 Shares directly and the following number of Shares indirectly as trustee of the following trusts: (a) the Trust under Agreement dated August 26, 1930 for the benefit of Robert G. Goelet (1,005,270 Shares); (b) the Trust under Agreement dated July 27, 1935 for the benefit of Robert G. Goelet (323,123 Shares); and (c) the Trust under the Will of Robert Walton Goelet for the benefit of Robert G. Goelet (323,122 Shares). Page 7 of 31 Henrietta Goelet beneficially owns 67,237 Shares indirectly by herself as trustee of the Trust under Agreement dated December 17, 1976 for the benefit of grandchildren of John Goelet. Edmond de La Haye Jousselin beneficially owns 0 Shares directly and the following number of Shares indirectly as trustee of the following trusts: (a) the Trust under Agreement dated December 18, 1931 for the benefit of John Goelet (388,738 Shares); (b) the Trust under Agreement dated July 27, 1935 for the benefit of John Goelet (166,602 Shares); (c) the Trust under the Will of Robert Walton Goelet for the benefit of John Goelet (178,835 Shares); (d) the Trust under Agreement dated August 26, 1930 for the benefit of Beatrice G. Manice (697,047 Shares); (e) the Trust under Agreement dated July 27, 1935 for the benefit of Beatrice G. Manice (244,051 Shares); (f) the Trust under the Will of Robert Walton Goelet for the benefit of Beatrice G. Manice (149,367 Shares); (g) the Trust under Agreement dated August 26, 1930 for the benefit of Robert G. Goelet (1,005,270 Shares); (h) the Trust under Agreement dated July 27, 1935 for the benefit of Robert G. Goelet (323,123 Shares); (i) the Trust under the Will of Robert Walton Goelet for the benefit of Robert G. Goelet (323,122 Shares); (j) the Trust under Agreement dated July 27, 1935 for the benefit of Francis Goelet (224,051 Shares); and (k) the Trust under Agreement dated September 4, 1980, as amended, for the benefit of Anne de La Haye Jousselin (46,774 Shares). Gilbert Kerlin beneficially owns 747,546 Shares directly. Arthur N. Field beneficially owns 8,114 Shares directly. Robert S. Rich owns 0 Shares directly and the following number of Shares indirectly as trustee of the following trusts: (a) Trust under Agreement dated December 18, 1931 for the benefit of John Goelet (388,738 Shares); and (b) Trust under Agreement dated July 27, 1935 for the benefit of John Goelet (240,270 Shares) and (c) Trust under the Will of Robert Walton Goelet for the benefit of John Goelet (200,225 Shares); and (d) Trust under Agreement dated December 17, 1976 for the benefit of grandchildren of John Goelet (154,656 Shares). The filing of this Form 5 shall not be deemed as an admission that the members of the Group, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, are the beneficial owners of the Shares reported by them under this Form 5, and accordingly, they disclaim beneficial ownership of the following Shares: (a) the Trust under Agreement dated August 26, 1930 for the benefit for Beatrice G. Manice disclaims beneficial ownership of 5,149,678 Shares, (b) the Trust under Agreement dated July 27, 1935 for the benefit of Beatrice G. Manice disclaims beneficial ownership of 5,831,825 shares, (c) the Trust under the Will of Robert Walton Goelet for the benefit of Beatrice G. Manice disclaims beneficial ownership of 5,939,534 Shares, (d) the Trust under Agreement dated August 26, 1930 for the benefit of Robert G. Goelet disclaims beneficial ownership of 5,149,678 Shares, (e) the Trust under Agreement dated July 27, 1935 for the benefit of Robert G. Goelet disclaims beneficial ownership of 5,831,825 Shares, (f) the Trust under the Will of Robert Walton Goelet for the benefit of Robert G. Goelet disclaims beneficial ownership of 5,831,826 Shares, (g) the Trust under Agreement dated July 27, 1935 for the benefit of Francis Goelet disclaims beneficial ownership of 5,831,825 Shares, (h) the Trust under Agreement dated December 18, 1931 for the benefit of John Goelet disclaims Page 8 of 31 beneficial ownership of 5,594,317 Shares, (i) the Trust under Agreement dated December 17, 1976 for the benefit of grandchildren of John Goelet disclaims beneficial ownership of 6,000,292 Shares, (j) the Trust under Agreement dated July 27, 1935 for the benefit of John Goelet disclaims beneficial ownership of 5,914,678 Shares, (k) the Trust under the Will of Robert Walton Goelet for the benefit of John Goelet disclaims beneficial ownership of 5,954,723 Shares, (l) the Trust under Agreement dated September 4, 1980 for the benefit of Anne de La Haye Jousselin disclaims beneficial ownership of 6,108,174 Shares, (m) Robert G. Goelet disclaims beneficial ownership of 6,154,948 Shares, (n) John H. Manice disclaims beneficial ownership of 6,120,640 Shares, (o) Robert G. Manice disclaims beneficial ownership of 6,138,673 Shares (the Shares beneficially owned by Robert G. Manice also include 3,732 Shares held by him as custodian for his three minor children under the New York Uniform Transfers to Minors Act), (p) Amelia M. Berkowitz disclaims beneficial ownership of 6,123,134 Shares, (q) Pamela Manice disclaims beneficial ownership of 6,119,904 Shares, (r) Philip Goelet disclaims beneficial ownership of 6,093,946 Shares, (s) Christopher Goelet disclaims beneficial ownership of 6,113,793 Shares, (t) Gilbert Kerlin disclaims beneficial ownership of 5,407,402 Shares, (u) Arthur N. Field disclaims beneficial ownership of 6,146,834 Shares, (v) Alexandra Gardiner Goelet disclaims beneficial ownership of 6,154,948 Shares, (w) Henrietta Goelet disclaims beneficial ownership of 6,154,948 Shares, (x) Edmond de La Haye Jousselin disclaims beneficial ownership of 6,154,948 Shares, (y) Robert S. Rich disclaims beneficial ownership of 6,154,948 Shares, (z) RGG Limited Partnership disclaims beneficial ownership of 5,715,457 Shares, (aa) Goelet, LLC disclaims beneficial ownership of all 6,154,948 Shares, (bb) Robert Gardiner Goelet disclaims beneficial ownership of 6,154,948 Shares, and (cc) Alexandra C. Goelet disclaims beneficial ownership of 6,154,948 Shares. April 5, 2002 Page 9 of 31 ROBERT G. GOELET /s/ Robert G. Goelet* --------------------------------- As Trustee of (a) the Trust u/a dated August 26, 1930 f/b/o Beatrice G. Manice; (b) the Trust u/a dated July 27, 1935 f/b/o Beatrice G. Manice; (c) the Trust u/w of Robert Walton Goelet f/b/o Beatrice G. Manice; (d) the Trust u/w of Robert Walton Goelet f/b/o Robert G. Goelet; (e) the Trust u/a dated July 27, 1935 f/b/o Francis Goelet; (f) the Trust u/a dated December 18, 1931 f/b/o John Goelet; (g) the Trust u/a dated July 27, 1935 f/b/o John G oelet; (h) the Trust u/w of Robert Walton Goelet f/b/o John Goelet; and (i) the Trust u/a dated September 4, 1980, as amended, f/b/o Anne de La Haye Jousselin Page 10 of 31 JOHN H. MANICE /s/ John H. Manice* ----------------------- Individually, and as Trustee of (a) the Trust u/a dated August 26, 1930 f/b/o Beatrice G. Manice; (b) the Trust u/a dated July 27, 1935 f/b/o Beatrice G. Manice; and (c) the Trust u/w of Robert Walton Goelet f/b/o Beatrice G. Manice Page 11 of 31 ROBERT G. MANICE /s/ Robert G. Manice* ------------------------- Individually, and as custodian for Henry W. Manice, Emily P. Manice and Harriet W. Manice under the New York Uniform Transfers to Minors Act Page 12 of 31 AMELIA M. BERKOWITZ /s/ Amelia M. Berkowitz* ---------------------------- Individually and as Trustee of the Trust u/a dated September 4, 1980, as amended, f/b/o Anne de La Haye Jousselin Page 13 of 31 PAMELA MANICE /s/ Pamela Manice* ---------------------- Individually and as Trustee of (a) the Trust u/a dated August 26, 1930 f/b/o Beatrice G. Manice; (b) the Trust u/a dated July 27, 1935 f/b/o Beatrice G. Manice; and (c) the Trust u/w of Robert Walton Goelet f/b/o Beatrice G. Manice Page 14 of 31 RGG LIMITED PARTNERSHIP /s/ Robert G. Goelet* ------------------------- By: Robert G. Goelet Its: General Partner Page 15 of 31 ROBERT GARDINER GOELET /s/ Robert Gardiner Goelet* ------------------------------- as Trustee of the Trust u/a dated July 27, 1935 f/b/o Robert G. Goelet Page 16 of 31 PHILIP GOELET /s/ Philip Goelet* -------------------------- Individually and as Trustee of (a) the Trust u/a dated August 26, 1930 f/b/o Beatrice G. Manice; (b) the Trust u/a dated July 27, 1935 f/b/o Beatrice G. Manice; (c) the Trust u/w of Robert Walton Goelet f/b/o Beatrice G. Manice; (d) the Trust u/a dated August 26, 1930 f/b/o Robert G. Goelet; (e) the Trust u/a dated July 27, 1935 f/b/o Robert G. Goelet; (f) the Trust u/w of Robert Walton Goelet f/b/o Robert G. Goelet; (g) the Trust u/a dated July 27, 1935 f/b/o Francis Goelet; (h) the Trust u/a dated December 18, 1931 f/b/o John Goelet; (i) the Trust u/a dated July 27, 1935 f/b/o John Goelet; (j) the Trust u/w of Robert Walton Goelet f/b/o John Goelet; and (k) the Trust u/a dated September 4, 1980, as amended, f/b/o Anne de La Haye Jousselin Paeg 17 of 31 CHRISTOPHER GOELET /s/ Christopher Goelet* --------------------------------- Individually and as Trustee of (a) the Trust u/a dated December 18, 1931 f/b/o John Goelet; (b) the Trust u/a dated July 27, 1935 f/b/o John Goelet; and (c) the Trust u/w of Robert Walton Goelet f/b/o John Goelet Page 18 of 31 GILBERT KERLIN /s/ Gilbert Kerlin* ---------------------------------- page 19 of 31 WINDWARD OIL & GAS CORPORATION /s/ Gilbert Kerlin* ------------------------------ By: Gilbert Kerlin Its: President Page 20 of 31 ARTHUR N. FIELD /s/ Arthur N. Field* ------------------------ Page 21 of 31 HENRIETTA GOELET /s/ Henrietta Goelet* ------------------------- As Trustee of the Trust u/a dated December 17, 1976 f/b/o grandchildren of John Goelet Page 22 of 31 ALEXANDRA C. GOELET /s/ Alexandra C. Goelet* ---------------------------- As Trustee of (a) the Trust u/a dated August 26, 1930 f/b/o Robert G. Goelet; (b) the Trust u/a dated July 27, 1935 f/b/o Robert G. Goelet; and (c) the Trust u/w Robert Walton Goelet f/b/o Robert G. Goelet Page 23 of 31 ALEXANDRA GARDINER GOELET /s/ Alexandra Gardiner Goelet* ---------------------------------------- as Trustee of the Trust u/a dated July 27, 1935 f/b/o Robert G. Goelet Page 24 of 31 EDMOND DE LA HAYE JOUSSELIN /s/ Edmond De La Haye Jousselin* --------------------------------- As Trustee of (a) the Trust u/a dated August 26, 1930 f/b/o Beatrice G. Manice; (b) the Trust u/a dated July 27, 1935 f/b/o Beatrice G. Manice; (c) the Trust u/w of Robert Walton Goelet f/b/o Beatrice G. Manice; (d) the Trust u/a dated August 26, 1930 f/b/o Robert G. Goelet; (e) the Trust u/a dated July 27, 1935 f/b/o Robert G. Goelet; (f) the Trust u/w of Robert Walton Goelet f/b/o Robert G. Goelet; (g) the Trust u/a dated July 27, 1935 f/b/o Francis Goelet; (h) the Trust u/a dated December 18, 1931 f/b/o John Goelet; (i) the Trust u/a dated July 27, 1935 f/b/o John Goelet; (j) the Trust u/w of Robert Walton Goelet f/b/o John Goelet; and (k) the Trust u/a dated September 4, 1980, as amended, f/b/o Anne de La Haye Jousselin Page 25 of 31 ROBERT S. RICH /s/ Robert S. Rich* ---------------------------- As Trustee of (a) the Trust u/a dated December 18, 1931 f/b/o John Goelet; (b) the Trust u/a dated July 27, 1935 f/b/o John Goelet; (c) the Trust u/w of Robert Walton Goelet f/b/o John Goelet; and (d) the Trust u/a dated December 17, 1976 f/b/o grandchildren of John Goelet Page 26 of 31 GOELET, LLC /s/ Robert W. Kiley ------------------------------- By: Robert W. Kiley Its: President and Chief Operating Officer /s/ Mark Rosenbaum -------------------------------- By: Mark Rosenbaum Its: Chief Financial Officer and Treasurer Page 27 of 31 *GOELET, LLC Attorney-in-fact /s/ Robert W. Kiley ----------------------------------- By: Robert W. Kiley Its: President and Chief Operating Officer /s/ Mark Rosenbaum ----------------------------------- By: Mark Rosenbaum Its: Chief Financial Officer and Treasurer ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C 1001 and 15 U.S.C 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Page 28 of 31 SCHEDULE I Shareholder - ----------- Number of Shares Number of Shares Sold held after such Sales ---------------- --------------------- Robert G. Goelet, Philip Goelet, 773,284 1,005,270 Edmond de La Haye Jousselin, John H. Manice and Pamela Manice, as Trustees under Agreement dated August 26, 1930 for the benefit of Beatrice G. Manice Robert G. Goelet, Philip Goelet, 248,555 323,123 Edmond de La Haye Jousselin, John H. Manice and Pamela Manice, as Trustees under Agreement dated July 27, 1935 for the benefit of Beatrice G. Manice Robert G. Goelet, Philip Goelet, 165,705 215,414 Edmond de La Haye Jousselin, John H. Manice and Pamela Manice, as Trustees of the Trust under the Will of Robert Walton Goelet for the benefit of Beatrice G. Manice Alexandra C. Goelet, Philip Goelet 773,284 1,005,270 and Edmond de La Haye Jousselin, as Trustees under Agreement dated August 26, 1930 for the benefit of Robert G. Goelet Alexandra C. Goelet, Philip Goelet, 248,555 323,123 Edmond de La Haye Jousselin, Alexandra Gardiner Goelet and Robert Gardiner Goelet, as Trustees under Agreement dated July 27, 1935 for the benefit of Robert G. Goelet Alexandra C. Goelet, Philip Goelet, 248,556 323,122 Robert G. Goelet and Edmond de La Haye Jousselin, as Trustees of the Trust under the Will of Robert Walton Goelet for the benefit of Robert G. Goelet Page 29 of 31 Shareholder - ----------- Number of Shares Number of Shares Sold held after such Sales ---------------- --------------------- Robert G. Goelet, Philip Goelet and 248,555 323,123 Edmond de La Haye Jousselin, as Trustees of the Trust under Agreement dated July 27, 1935 for the benefit of Francis Goelet Robert G. Goelet, Philip Goelet, 773,284 560,631 Christopher Goelet, Edmond de La Haye Jousselin and Robert S. Rich, as Trustees of the Trust under Agreement dated December 18, 1931 for the benefit of John Goelet Henrietta Goelet and Robert S. Rich, 289,982 154,656 as Trustees of the Trust under Agreement dated December 17, 1976 for the benefit of grandchildren of John Goelet Robert G. Goelet, Philip Goelet, 331,408 240,270 Christopher Goelet, Edmond de La Haye Jousselin and Robert S. Rich, as Trustees of the Trust under Agreement dated July 27, 1935 for the benefit of John Goelet Robert G. Goelet, Philip Goelet, 276,173 200,225 Christopher Goelet, Edmond de La Haye Jousselin and Robert S. Rich, as Trustees of the Trust under the Will of Robert Walton Goelet for the benefit of John Goelet RGG Limited Partnership 338,070 439,491 John H. Manice 35,389 35,308 Robert G. Goelet, Philip Goelet, 35,981 46,774 Edmond de La Haye Jousselin and Amelia M. Berkowitz, as Trustees of the Trust under Page 30 of 31 Shareholder - ----------- Number of Shares Number of Shares Sold held after such Sales ---------------- --------------------- Agreement dated September 4, 1980, as amended, for the benefit of Anne de La Haye Jousselin Robert G. Manice 16,956 12,543 Robert G. Manice, as custodian for 1,627 1,244 Henry W. Manice under the New York Uniform Transfers to Minors Act Robert G. Manice, as custodian for 1,627 1,244 Emily P. Manice under the New York Uniform Transfers to Minors Act Robert G. Manice as custodian for 1,627 1,244 Harriet W. Manice under the New York Uniform Transfers to Minors Act Amelia M. Berkowitz 38,883 31,814 Pamela Manice 45,558 35,044 Philip Goelet 114,377 61,002 Christopher Goelet 111,289 59,353 Gilbert Kerlin -- 747,546 Windward Oil & Gas Corporation 590,698 -- Wave Hill Incorporated 160,000 -- Bank Street College of Education 160,000 -- Page 31 of 31 Shareholder - ----------- Number of Shares Number of Shares Sold held after such Sales ---------------- --------------------- Putney School 40,000 -- Trustees of Columbia University 160,000 -- Arthur N. Field 6,241 8,114 -----END PRIVACY-ENHANCED MESSAGE-----