-----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, EW7VhHnMkRV0FD45yG+SaSNCJcNwk/u1G/CXyaxTpcIy0Sdqu6viiMbFMGwYbKFj ENfSKy6Xphz/Lhl0BNYdbw== 0000769993-03-000041.txt : 20030205 0000769993-03-000041.hdr.sgml : 20030205 20030204174820 ACCESSION NUMBER: 0000769993-03-000041 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010630 FILED AS OF DATE: 20030205 EFFECTIVENESS DATE: 20030205 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC/ CENTRAL INDEX KEY: 0000886982 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 134019460 STATE OF INCORPORATION: DE FISCAL YEAR END: 1129 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-04981 FILM NUMBER: 03539334 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 13F-HR/A 1 f13f201x2cov.txt 13F Q2 2001 AMENDMENT GS GRP ---------------------------- OMB APPROVAL ---------------------------- OMB Number: Expires: Estimated average burden hours per response..... ---------------------------- SEC USE ONLY ---------------------------- ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F Cover Page THIS FILING LISTS SECURITIES HOLDINGS REPORTED ON THE FORM 13F FILED ON 08/14/01 PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON 08/14/02 DUE TO A TECHNICAL ISSUE, THE FOLLOWING ITEMS WERE INADVERTENTLY MISSING FROM THE PREVIOUS AMENDMENT Report for the Calendar Year or Quarter Ended June 30, 2001 If amended report check here: |x| Amendment Number: 2 This Amendment (Check only one): |_| is a restatement |x| adds new holding entries. Goldman Sachs Group, Inc. (The) - -------------------------------------------------------------------------------- Name of Institutional Investment Manager 85 Broad St. New York NY 10004 - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) 13F File Number: 28-04981 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Roger S. Begelman Vice President, Director of Compliance (212) 902-1469 - -------------------------------------------------------------------------------- Name (Title) (Phone) /s/ Roger S. Begelman ------------------------------------------ (Manual Signature of Person Duly Authorized to Submit This Report) New York NY, February 4, 2003 ------------------------------------------ (Place and Date of Signing) Report Type: [ x ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. SUMMARY PAGE Report Summary: 2 Number of Other Included Managers: ____________ 7 Form 13F Information Table Entry Total: _____________ 37,113.70 Form 13F Information Table Value Total: $____________ (thousands) List of Other Included Managers: Name and 13F file numbers of ALL Institutional Investment Managers with respect to which this schedule is filed (other than the one filing this report): (List in alphabetical order). [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] 13F File Numbers will be assigned to Institutional Investment Managers after they file their first report. 13F File No.: Name: ------------- --------------------- 1. 28-04981 Goldman, Sachs & Co. ------------- --------------------- 2. 28-05109 Goldman Sachs International ------------- --------------------- FORM 13F INFORMATION TABLE PAGE 1
ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 VOTING AUTHORITY FAIR TITLE MARKET SHARES OR SH/ Put/ Inv Other NAME OF ISSUER OF CUSIP VALUE PRINCIPAL PRN Call Dsc Mana- SOLE SHARED NONE CLASS NUMBER (x$1000) AMOUNT (A) (B) (C) gers (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ AQUILA INC. CMN 03840J106 8,627.50 350,000 SH DEF 1 350,000 CROSSWAVE COMMUNICATIONS INC. ADR 227686102 8,862.92 3,939,077 SH DEF 1 3,939,077 INVERNESS MED. TECHNOLOGY INC. CMN 461268104 10,667.10 288,300 SH DEF 1 288,300 MOMENTUM BUSINESS APPLICATIONS INC. CMN 60877P108 2,720.00 200,000 SH DEF 1 200,000 ROSETTA INPHARMATICS, INC. CMN 777777103 1,260.18 81,302 SH DEF 2 81,302 TELECOM HOLDERS TRUST PUT 87927P9WJ 260.00 100,000 SH DEF 1 100,000 UTILITIES HOLDERS TRUST CMN 918019100 4,716.00 45,000 SH DEF 1 45,000
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