-----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, D0eEG7eXsnjf78zmFQQUWCcJZTfK0BLxiZSUpe1/5r8mZN20sB57F1fiJJ+TWaGL iq1z/fdT4ujcpeF2xkCutA== 0000950123-03-007984.txt : 20030708 0000950123-03-007984.hdr.sgml : 20030708 20030708172912 ACCESSION NUMBER: 0000950123-03-007984 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030708 GROUP MEMBERS: GROUP MEMBERS LISTED IN FILING SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC CENTRAL INDEX KEY: 0000904571 IRS NUMBER: 133501777 STATE OF INCORPORATION: NY FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79110 FILM NUMBER: 03778941 BUSINESS ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 FORMER COMPANY: FORMER CONFORMED NAME: GOLDMAN SACHS GROUP LP DATE OF NAME CHANGE: 19930513 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC/ CENTRAL INDEX KEY: 0000886982 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 134019460 STATE OF INCORPORATION: DE FISCAL YEAR END: 1128 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 SC 13D/A 1 y88238sc13dza.txt AMENDMENT NO.42 TO SCHEDULE 13D SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 File No. 005-56295 ----------------------------------------------------- SCHEDULE 13D/A (Rule 13d-101) Amendment No. 42 INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) The Goldman Sachs Group, Inc. --------------------- (Name of Issuer) Common Stock, par value $.01 per share ----------------------------------------- (Title of Class of Securities) 38141G 10 4 --------------------- (CUSIP Number) Gregory K. Palm Esta E. Stecher James B. McHugh The Goldman Sachs Group, Inc. 85 Broad Street New York, New York 10004 Telephone: (212) 902-1000 -------------------- (Name, Address and Telephone Number of Persons Authorized to Receive Notices and Communications) June 30, 2003 -------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ]. (Continued on following pages) - -------------------- CUSIP NO. 38141G 104 13D - -------------------- - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS: Each of the persons identified on Appendix A. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP As to a group consisting solely of Covered Persons(1) (a) [x] As to a group consisting of persons other than Covered Persons (b) [x] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS: OO as to Covered Shares(1), OO and PF as to Uncovered Shares(2) (Applies to each person listed on Appendix A.) - -------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEM 2(d) OR 2(e) (Applies to each person listed on Appendix A.) - -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States unless otherwise indicated on Appendix A. - -------------------------------------------------------------------------------- 7. SOLE VOTING POWER (See Item 6) NUMBER OF As to Covered Shares, 0 SHARES As to Uncovered Shares, as stated in Appendix A BENEFICIALLY ------------------------------------------------------ OWNED BY 8. SHARED VOTING POWER (See Item 6) (Applies to REPORTING each person listed on Appendix A.) PERSON 175,702,899 Covered Shares held by Covered Persons WITH 19,066 Uncovered Shares held by Covered Persons(3) 1,778,694 other Uncovered Shares held by Covered Persons(4) ------------------------------------------------------ 9. SOLE DISPOSITIVE POWER (See Item 6) As to Covered Shares, less than 1% As to Uncovered Shares, as stated in Appendix A ------------------------------------------------------ 10. SHARED DISPOSITIVE POWER (See Item 6): As to Covered Shares, 0 As to Uncovered Shares, as stated in Appendix A - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 177,500,659 PERSON - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES [ ] CERTAIN SHARES - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 36.15% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON: OO as to persons listed in Appendix A under the captions "Trusts" and "Limited Liability Companies"; PN as to persons listed in Appendix A under the caption "Partnerships"; CO as to persons listed in Appendix A under the caption "Corporations"; IN as to all other persons listed in Appendix A. - -------------------------------------------------------------------------------- (1) For a definition of this term, please see Item 2. (2) For a definition of this term, please see Item 3. (3) These are Uncovered Shares also described in Row 7 which each Covered Person is deemed to beneficially own by application of Rule 13d-5(b)(1), but do not include the Uncovered Shares described in note 4. Each Covered Person disclaims beneficial ownership of Uncovered Shares held by each other Covered Person. (4) These are Uncovered Shares held by 84 private charitable foundations established by 84 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations and may be deemed to beneficially own such Uncovered Shares. Each other Covered Person may be deemed to beneficially own such Uncovered Shares by application of Rule 13d-5(b)(1). Each such Covered Person disclaims beneficial ownership of such Uncovered Shares, and each other Covered Person also disclaims beneficial ownership of such Uncovered Shares. 2 APPENDIX A
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- --------- ----------- ----------- Bradley I. Abelow 0 0 0 0 Peter C. Aberg 0 0 0 0 Daniel A. Abut Argentina 0 0 0 0 Hilary E. Ackermann 0 0 0 0 Jeffrey D. Adams 0 0 0 0 Alberto F. Ades Argentina 0 0 0 0 Ben I. Adler 0 0 0 0 Gregory A. Agran 0 0 0 0 Raanan A. Agus 0 0 0 0 Syed H. Ahmad Pakistan 0 0 0 0 Jonathan R. Aisbitt UK 0 0 0 0 Yusuf A. Aliredha Bahrain 0 0 0 0 Andrew M. Alper 0 0 0 0 Philippe J. Altuzarra France 0 0 0 0 Ignacio Alvarez-Rendueles Spain 0 0 0 0 Rebecca Amitai 0 0 0 0 Elizabeth D. Anderson 0 0 0 0 Jason R. Anderson 0 0 0 0 John G. Andrews USA/UK 0 0 0 0 Francois Andriot France 0 0 0 0 Douglas M. Angstrom 0 0 0 0 Arnaud M. Apffel France 0 0 0 0 Lori B. Appelbaum 0 0 0 0 William W. Archer 0 0 0 0 Jesus A. Arias Spain 0 0 0 0 Philip S. Armstrong UK 0 0 0 0 John A. Ashdown UK 0 0 0 0 Akio Asuke Japan 0 0 0 0 David M. Atkinson UK 0 0 0 0 Neil Z. Auerbach 0 0 0 0 Armen A. Avanessians 0 0 0 0 Dean C. Backer 0 0 0 0 William A. Badia 0 0 0 0 Charles Baillie 0 0 0 0 Bernardo Bailo Italy 0 0 0 0 Andrew G. Baird UK 0 0 0 0 Mona H. Baird 0 0 0 0 Michiel J. Bakker The 0 0 0 0 Netherlands Mark E. Bamford 0 0 0 0 William J. Bannon 0 0 0 0 John S. Barakat 0 0 0 0 Scott B. Barringer 0 0 0 0 Steven M. Barry 0 0 0 0 Christopher M. Barter 0 0 0 0 Stacy Bash-Polley 0 0 0 0 Christopher A. Bates 0 0 0 0 David Baum 0 0 0 0
3
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- --------- ----------- ----------- Andrew T. Bednar 0 0 0 0 Frank A. Bednarz 0 0 0 0 Jonathan A. Beinner 0 0 0 0 Douglas S. Bell UK 0 0 0 0 Janet L. Bell 0 0 0 0 Ron E. Beller 0 0 0 0 Driss Ben-Brahim Morocco 0 0 0 0 Jordan M. Bender 0 0 0 0 Tarek M. Ben Halim Saudi Arabia 0 0 0 0 Anna Maria J. Bentley UK 0 0 0 0 Susan M. Benz 0 0 0 0 Kenneth Berents 0 0 0 0 Michael G. Berini 0 0 0 0 Milton R. Berlinski The 0 0 0 0 Netherlands Andrew S. Berman 0 0 0 0 Frances R. Bermanzohn 0 0 0 0 Paul D. Bernard 0 0 0 0 Anthony D. Bernbaum UK 0 0 0 0 Stuart N. Bernstein 0 0 0 0 Robert A. Berry UK 0 0 0 0 John D. Bertuzzi 0 0 0 0 Elizabeth E. Beshel 0 0 0 0 Andrew M. Bevan UK 0 0 0 0 Jean-Luc Biamonti Monaco 0 0 0 0 Andrew C. Bieler 0 0 0 0 James J. Birch UK 0 0 0 0 Gary D. Black 0 0 0 0 Lloyd C. Blankfein 0 0 0 0 Abraham Bleiberg Mexico 0 0 0 0 Dorothee Blessing Germany 0 0 0 0 David W. Blood 0 0 0 0 Randall A. Blumenthal 0 0 0 0 David R. Boles 0 0 0 0 Johannes M. Boomaars The 0 0 0 0 Netherlands Douglas L. Borden 0 0 0 0 Antonio Borges Portugal 0 0 0 0 J. Theodore Borter 0 0 0 0 Alastair M. Borthwick UK 0 0 0 0 Alison L. Bott UK 0 0 0 0 Charles W.A. Bott UK 0 0 0 0 George M. Brady 0 0 0 0 Mairtin Brady Ireland 0 0 0 0 Benjamin S. Bram 0 0 0 0 Graham Branton UK 0 0 0 0 Thomas C. Brasco 0 0 0 0 Alan J. Brazil 0 0 0 0 Timothy J. Bridges UK 0 0 0 0 Victoria A. Bridges 0 0 0 0
4
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- --------- ----------- ----------- Peter L. Briger, Jr. 0 0 0 0 Craig W. Broderick 0 0 0 0 Richard J. Bronks UK 0 0 0 0 Julia A. Bronson 0 0 0 0 Holger Bross Germany 0 0 0 0 Julian J. Brown UK 0 0 0 0 Kathleen Brown 0 0 0 0 Melissa R. Brown 0 0 0 0 Peter D. Brundage 0 0 0 0 John J. Bu 0 0 0 0 Lawrence R. Buchalter 0 0 0 0 David D. Buckley UK 0 0 0 0 Mark J. Buisseret UK 0 0 0 0 Steven M. Bunson 0 0 0 0 Timothy B. Bunting UK 0 0 0 0 Nicholas F. Burgin 0 0 0 0 Andrew J. Burke-Smith Canada 0 0 0 0 Michael S. Burton UK 0 0 0 0 Joseph M. Busuttil 0 0 0 0 George H. Butcher III 0 0 0 0 Mary D. Byron 0 0 0 0 Jin Yong Cai China 0 0 0 0 Lawrence V. Calcano 0 0 0 0 Elizabeth V. Camp 0 0 0 0 John D. Campbell 0 0 0 0 Laurie G. Campbell Canada 0 0 0 0 Richard M. Campbell-Breeden UK 0 0 0 0 Sally W. Cantwell UK 0 600(5) 0 600(5) Gerald J. Cardinale 0 0 0 0 Mark M. Carhart 0 0 0 0 Mark J. Carlebach 0 0 0 0 Mariafrancesca Carli Italy 0 0 0 0 Valentino D. Carlotti 0 0 0 0 Mark J. Carney Canada 0 0 0 0 Anthony H. Carpet 0 0 0 0 Michael J. Carr 0 0 0 0 Christopher J. Carrera 10 0 10 0 Mark Carroll 0 0 0 0 Virginia E. Carter 0 0 0 0 Mary Ann Casati 0 0 0 0 Chris Casciato 0 0 0 0 Eduardo Centola Brazil 0 0 0 0 Lik Shuen David Chan Hong Kong 0 0 0 0 David K. Chang Taiwan 0 0 0 0 Amy L. Chasen 0 0 0 0 Sacha A. Chiaramonte Germany 0 0 0 0
- ------------------------- (5) Shared with family members. 5
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- --------- ----------- ----------- Andrew A. Chisholm Canada 0 0 0 0 W. Reed Chisholm, II 497 0 497 0 Thomas V. Cholnoky 0 0 0 0 Robert J. Christie 0 0 0 0 Jane P. Chwick 0 0 0 0 Peter T. Cirenza 0 0 0 0 Geoffrey G. Clark Canada 0 0 0 0 James B. Clark 0 0 0 0 Kent A. Clark Canada 0 0 0 0 Alexander Classen Switzerland 0 0 0 0 Catherine M. Claydon Canada 0 0 0 0 Zachariah Cobrinik 0 0 0 0 Abby Joseph Cohen 0 0 0 0 Lawrence A. Cohen 400 0 400 0 Marc I. Cohen 0 0 0 0 Gary D. Cohn 0 0 0 0 Christopher A. Cole 0 0 0 0 Timothy J. Cole 0 0 0 0 Colin Coleman South Africa 0 0 0 0 Marcus R. Colwell 0 0 0 0 Peter H. Comisar 0 0 0 0 Laura C. Conigliaro 0 0 0 0 William Connell 0 0 0 0 Thomas G. Connolly Ireland/USA 0 0 0 0 Frank T. Connor 0 0 0 0 Karen R. Cook UK 0 0 0 0 Edith W. Cooper 0 0 0 0 Philip A. Cooper 0 0 0 0 Kenneth W. Coquillette 0 0 0 0 Carlos A. Cordeiro 0 0 0 0 Henry Cornell 0 0 0 0 E. Gerald Corrigan 0 0 0 0 Claudio Costamagna Italy 0 0 0 0 Marta Z. Cotton 0 0 0 0 James A. Coufos 0 0 0 0 Frank L. Coulson, Jr. 0 0 0 0 Kenneth Courtis 0 0 0 0 Eric J. Coutts UK 0 0 0 0 Beverley M. Covell UK 0 0 0 0 Randolph L. Cowen 0 0 0 0 Brahm S. Cramer Canada 0 0 0 0 Nicholas P. Crapp UK 0 0 0 0 Michael J. Crinieri 0 0 0 0 Craig W. Crossman Australia 0 0 0 0 Neil D. Crowder 0 0 0 0 Michael L. Crowl 0 0 0 0 Eduardo A. Cruz 0 0 0 0 Jeffrey R. Currie 0 0 0 0 John P. Curtin, Jr. 0 0 0 0 John W. Curtis 0 0 0 0
6
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- --------- ----------- ----------- Matthew H. Cyzer UK 0 0 0 0 Michael D. Daffey Australia 0 0 0 0 Stephen C. Daffron 0 0 0 0 Linda S. Daines 0 0 0 0 Paul B. Daitz 0 0 0 0 John S. Daly Ireland 0 0 0 0 Stephen D. Daniel Canada 0 0 0 0 Philip M. Darivoff 0 0 0 0 Matthew S. Darnall 0 0 0 0 Timothy D. Dattels Canada 0 0 0 0 Gavyn Davies UK 0 0 0 0 Stephen Davies UK 0 0 0 0 Katherine R. Davisson 0 0 0 0 Oral W. Dawe Canada 0 0 0 0 Diego De Giorgi Italy 0 0 0 0 Michael G. De Lathauwer Belgium 0 0 0 0 Jean A. De Pourtales France/UK 0 0 0 0 Giorgio De Santis Italy 0 0 0 0 Luigi de Vecchi Italy 0 0 0 0 David A. Dechman 0 0 0 0 Daniel L. Dees 0 0 0 0 Bradley S. DeFoor 0 0 0 0 Mark Dehnert 0 0 0 0 Paul C. Deighton UK 0 0 0 0 Alvaro del Castano Spain 0 0 0 0 James Del Favero Australia 0 0 0 0 Juan A. Del Rivero Spain 0 0 0 0 Robert V. Delaney, Jr. 0 0 0 0 Joseph Della Rosa 0 0 0 0 Roger E. Denby-Jones UK 0 0 0 0 Neil V. DeSena 0 0 0 0 Martin R. Devenish UK 0 0 0 0 Andrew C. Devenport UK 0 0 0 0 Stephen D. Dias UK 0 0 0 0 Armando A. Diaz 0 0 0 0 Alexander C. Dibelius Germany 0 0 0 0 David G. Dick UK 0 0 0 0 James D. Dilworth 0 0 0 0 Simon P. Dingemans UK 0 0 0 0 Joseph P. DiSabato 0 0 0 0 Michele I. Docharty 0 0 0 0 Paula A. Dominick 0 0 0 0 Noel B. Donohoe Ireland 0 0 0 0 Suzanne O. Donohoe 0 0 0 0 James H. Donovan 0 0 0 0 Jana Hale Doty 0 0 0 0 Robert G. Doumar, Jr. 0 0 0 0 Thomas M. Dowling 0 0 0 0 John O. Downing 0 0 0 0 Mario Draghi Italy 0 0 0 0
7
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- --------- ----------- ----------- Michael B. Dubno 0 0 0 0 Connie K. Duckworth 0 0 0 0 William C. Dudley 0 0 0 0 Donald J. Duet 0 0 0 0 Brian J. Duffy 0 0 0 0 Brian Duggan 0 0 0 0 Matthieu B. Duncan 0 0 0 0 C. Steven Duncker 0 0 0 0 Karlo J. Duvnjak Canada 0 0 0 0 Jay S. Dweck 0 0 0 0 Michael L. Dweck 0 0 0 0 Gordon E. Dyal 0 0 0 0 Isabelle Ealet France 0 0 0 0 Glenn P. Earle UK 0 0 0 0 David C. Earling 0 0 0 0 Seaborn S. Eastland 0 0 0 0 Kenneth M. Eberts, III 0 0 0 0 Paul S. Efron 0 0 0 0 Herbert E. Ehlers 0 0 0 0 Robert K. Ehudin 0 0 0 0 John E. Eisenberg 0 0 0 0 Edward K. Eisler Austria 0 0 0 0 Jason H. Ekaireb UK 0 0 0 0 Gregory H. Ekizian 0 0 0 0 Aubrey J. Ellis 0 0 0 0 Kathy G. Elsesser 0 0 0 0 Glenn D. Engel 0 0 0 0 Peter C. Enns Canada 0 0 0 0 Katherine B. Enquist 0 0 0 0 Earl S. Enzer 0 0 0 0 Christopher H. Eoyang 0 0 0 0 Christian Erickson 0 0 0 0 Fred W. Esiri UK 0 0 0 0 James P. Esposito 0 0 0 0 Michael P. Esposito 0 0 0 0 George C. Estey Canada 0 0 0 0 Mark D. Ettenger 0 0 0 0 Bruce J. Evans 0 0 0 0 Ian J. Evans UK 0 0 0 0 J. Michael Evans Canada 0 0 0 0 W. Mark Evans Canada 0 0 0 0 Charles P. Eve UK 0 0 0 0 Elizabeth C. Fascitelli 0 0 0 0 Jeffrey F. Fastov 0 0 0 0 Douglas L. Feagin 0 0 0 0 Regina M. Feeney 0 0 0 0 Pieter Maarten Feenstra The 0 0 0 0 Netherlands Norman Feit 0 0 0 0 Steven M. Feldman 0 0 0 0
8
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- --------- ----------- ----------- Laurie R. Ferber 0 0 0 0 Luca D. Ferrari 0 0 0 0 John A. Ferro, Jr. 0 0 0 0 Gail S. Fierstein 0 0 0 0 David A. Fishman 0 0 0 0 Lawton W. Fitt 0 0 0 0 Stephen C. Fitzgerald Australia 0 0 0 0 Thomas M. Fitzgerald III 0 0 0 0 Daniel M. FitzPatrick 0 0 0 0 James A. Fitzpatrick 0 0 0 0 Pierre-Henri Flamand France 0 0 0 0 David N. Fleischer 0 0 0 0 Alexander W. Fletcher UK 0 0 0 0 Mark C. Fletcher UK 0 0 0 0 David B. Ford 0 134(6) 0 134(6) Edward C. Forst 0 0 0 0 George B. Foussianes 0 0 0 0 Stephen H. Frank 0 0 0 0 Oliver L. Frankel 0 0 0 0 Orit P. Freedman Israel 0 0 0 0 Matthew T. Fremont-Smith 0 0 0 0 Christopher G. French UK 0 0 0 0 Timothy G. Freshwater UK 0 0 0 0 Jacob Y. Friedman 0 0 0 0 Richard A. Friedman 0 0 0 0 Matthias K. Frisch Switzerland 0 0 0 0 Robert K. Frumkes 0 0 0 0 C. Douglas Fuge 0 0 0 0 Shirley Fung UK 0 0 0 0 Timothy T. Furey 0 0 0 0 Enrico S. Gaglioti 0 0 0 0 Maryann L. Gallivan 0 2000(7) 0 2000(7) Gonzalo R. Garcia Chile 0 0 0 0 James R. Garvey Ireland 0 0 0 0 Joseph D. Gatto 0 0 0 0 Richard A. Genna 0 0 0 0 Hywel D. George UK 0 0 0 0 Peter C. Gerhard 0 0 0 0 Kenneth K. Gershenfeld 0 0 0 0 Rajiv A. Ghatalia India 0 0 0 0 Robert R. Gheewalla 0 0 0 0 Nomi P. Ghez Israel/USA 0 0 0 0 Scott A. Gieselman 0 0 0 0 Gary T. Giglio 0 0 0 0 H. John Gilbertson, Jr. 0 0 0 0
- ------------------------- (6) Shared with family members. (7) Shared with family members. 9
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- --------- ----------- ----------- Nicholas G. Giordano 0 300(8) 0 300(8) Joseph H. Gleberman 0 0 0 0 Nancy S. Gloor 0 0 0 0 Justin G. Gmelich 0 0 0 0 Richard J. Gnodde Ireland/South 0 0 0 0 Africa Jeffrey B. Goldenberg 0 2,860(9) 0 2,860(9) Jacob D. Goldfield 0 0 0 0 Daniel C. Goldwater UK 0 0 0 0 James S. Golob 0 0 0 0 Gregg A. Gonsalves 0 0 0 0 Amy O. Goodfriend 0 0 0 0 Jay S. Goodgold 0 0 0 0 Larry J. Goodwin 0 0 0 0 Andrew M. Gordon 0 0 0 0 Robert D. Gottlieb 0 0 0 0 Gregory M. Gould 0 0 0 0 Frank J. Governali 0 0 0 0 Lorenzo Grabau Italy 0 0 0 0 Geoffrey T. Grant 0 0 0 0 William M. Grathwohl 0 0 0 0 Pedro Gonzalez Grau Spain 0 0 0 0 Eldridge F. Gray 0 0 0 0 Michael J. Graziano 0 0 0 0 Carmen A. Greco 0 0 0 0 Stefan Green Australia 0 0 0 0 David J. Greenwald 0 0 0 0 Louis S. Greig UK 0 0 0 0 William W. Gridley 0 0 0 0 Peter W. Grieve 0 0 0 0 Christopher Grigg UK 0 0 0 0 Edward Sebastian Grigg UK/France 0 0 0 0 Michael J. Grimaldi 0 0 0 0 Douglas C. Grip 0 0 0 0 Peter Gross 0 0 0 0 David J. Grounsell UK 0 0 0 0 Eric P. Grubman 0 0 0 0 Arun M. Gunewardena Sri Lanka 0 0 0 0 Celeste A. Guth 0 0 0 0 Joseph D. Gutman 0 0 0 0 Douglas A. Guzman Canada 0 0 0 0 Erol Hakanoglu Turkey 0 0 0 0 David R. Hansen Australia 0 0 0 0 Mary L. Harmon 0 0 0 0 Roger C. Harper 0 0 0 0 Robert S. Harrison 0 0 0 0 Valerie J. Harrison UK 0 0 0 0
- ------------------------- (8) Shared with family members. (9) Shared with family members. 10
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- --------- ----------- ----------- Shelley A. Hartman 0 0 0 0 Paul R. Harvey 0 0 0 0 Rumiko Hasegawa Japan 0 0 0 0 Arthur J. Hass 0 0 0 0 Nobumichi Hattori Japan 0 0 0 0 Stephen J. Hay UK 0 0 0 0 Keith L. Hayes UK 0 0 0 0 Edward A. Hazel 879 300(10) 879 300(10) Thomas J. Healey 0 0 0 0 Robert C. Heathcote UK 0 0 0 0 Sylvain M. Hefes France 0 0 0 0 Douglas C. Heidt 0 0 0 0 David B. Heller 0 0 0 0 Steven M. Heller 0 0 0 0 William L. Hemphill 0 0 0 0 Ruud G. Hendriks The Netherlands 0 0 0 0 David P. Hennessey 0 0 0 0 R. Douglas Henderson 0 0 0 0 David L. Henle 0 0 0 0 Mary C. Henry 0 0 0 0 Benoit Herault France 0 0 0 0 Peter C. Herbert 0 0 0 0 Bruce A. Heyman 0 0 0 0 Stephen Hickey 0 0 0 0 Melina E. Higgins 0 0 0 0 Robert E. Higgins 0 0 0 0 Joanne M. Hill 0 0 0 0 Michael I. Hill UK 0 0 0 0 M. Roch Hillenbrand 0 0 0 0 Donald W. Himpele 0 0 0 0 Kenneth W. Hitchner 0 0 0 0 Maykin Ho 0 0 0 0 Timothy E. Hodgson Canada 0 0 0 0 Axel Hoerger Germany 0 0 0 0 Jacquelyn M. Hoffman-Zehner Canada 0 0 0 0 Christopher G. Hogg New Zealand/USA 0 0 0 0 Simon N. Holden UK 0 0 0 0 Margaret J. Holen 0 0 0 0 Daniel E. Holland III 0 0 0 0 Teresa E. Holliday 0 0 0 0 Peter Hollmann Germany 0 0 0 0 Philip Holzer Germany 0 0 0 0 Gregory T. Hoogkamp 0 0 0 0 Sean C. Hoover 0 0 0 0
- ------------------------- (10) Shared with family members. 11
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- --------- ----------- ----------- Shin Horie Japan 0 0 0 0 Jay D. Horine 0 0 0 0 Robert D. Hormats 0 0 0 0 Robert G. Hottensen, Jr. 576 0 576 0 Thomas J. Houle 0 0 0 0 Michael R. Housden UK 0 0 0 0 Zu Liu Frederick Hu China 0 0 0 0 Paul J. Huchro 0 0 0 0 James A. Hudis 0 0 0 0 Terry P. Hughes Ireland 0 0 0 0 Bimaljit S. Hundal UK 0 0 0 0 Edith A. Hunt 0 0 0 0 Susan J. Hunt UK 0 0 0 0 Janet T. Hurley 0 0 0 0 Fern Hurst 0 0 0 0 Robert J. Hurst 100 0 100 0 Elizabeth A. Husted 0 0 0 0 Walter V. Hutcherson 0 0 0 0 Phillip S. Hylander UK 0 0 0 0 John S. Iglehart 0 0 0 0 Robert F. Incorvaia 0 0 0 0 Toni-Dara Infante 0 0 0 0 Francis J. Ingrassia 0 0 0 0 Timothy J. Ingrassia 0 0 0 0 Margaret H. Isdale 0 0 0 0 Hideki Ishibashi Japan 0 0 0 0 Raymond J. Iwanowski 0 0 0 0 Walter A. Jackson 0 0 0 0 William L. Jacob III 0 0 0 0 Arthur L. Jacobson, Jr. 0 0 0 0 James A. Jacobson 0 0 0 0 Richard I. Jaffee 0 0 0 0 Stefan J. Jentzsch Germany 0 0 0 0 Andrew R. Jessop UK 0 0 0 0 Dan H. Jester 0 0 0 0 Thomas Jevon 0 0 0 0 Daniel J. Jick 0 0 0 0 David M. Jimenez-Blanco Spain 0 0 0 0 Peter T. Johnston 522 0 522 0 Andrew J. Jonas 0 0 0 0 Adrian M. Jones Ireland 0 0 0 0 Emerson P. Jones 0 0 0 0 Robert C. Jones 0 0 0 0 Terrence O. Jones 0 0 0 0 William J. Jones 0 0 0 0 Roy R. Joseph Guyana 0 0 0 0 Kenneth L. Josselyn 0 0 0 0 Chansoo Joung 0 0 0 0 Andrew J. Kaiser 0 0 0 0 Ann F. Kaplan 21 0 21 0
12
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- --------- ----------- ----------- Barry A. Kaplan 0 0 0 0 David A. Kaplan 0 0 0 0 Jason S. Kaplan 0 0 0 0 Robert S. Kaplan 0 0 0 0 Scott B. Kapnick 0 1666(11) 0 1666(11) Atul Kapur India 0 0 0 0 Erland S. Karlsson Sweden 0 0 0 0 James M. Karp 0 0 0 0 Toshinobu Kasai Japan 0 0 0 0 Shunji Katayama Japan 0 0 0 0 Richard Katz 0 0 0 0 Robert J. Katz 0 0 0 0 James C. Katzman 0 0 0 0 David K. Kaugher 0 0 0 0 Alan S. Kava 0 0 0 0 Larry M. Kellerman 0 0 0 0 John L. Kelly 0 0 0 0 Carsten Kengeter Germany 0 0 0 0 Kevin W. Kennedy 0 0 0 0 Gioia M. Kennett 0 0 0 0 William J. Kenney 0 0 0 0 Thomas J. Kenny 0 0 0 0 Steven Kerr 0 0 0 0 John G. Ketterer III 0 0 0 0 Lawrence S. Keusch 0 0 0 0 Rustom N. Khandalavala 0 0 0 0 Philippe Khuong-Huu France 0 0 0 0 Peter A. Kiernan UK 0 0 0 0 Peter D. Kiernan III 0 0 0 0 Sun Bae Kim Canada 0 0 0 0 Douglas W. Kimmelman 444 0 444 0 Colin E. King Canada 427 0 427 0 Robert C. King, Jr. 0 0 0 0 Timothy M. Kingston 0 0 0 0 Shigeki Kiritani Japan 0 0 0 0 Ewan M. Kirk UK 0 0 0 0 Remy Klammers France 0 0 0 0 Daniel H. Klebes II 0 0 0 0 Michael Klimek 0 0 0 0 Michael K. Klingher 0 0 0 0 Jonathan R. Knight UK 0 0 0 0 Bradford C. Koenig 0 0 0 0 Andreas Koernlein Germany 0 0 0 0 Mark J. Kogan 0 0 0 0 J. Christopher A. Kojima Canada 0 0 0 0 Kazuaki Kojima Japan 0 0 0 0 Jonathan L. Kolatch 0 0 0 0 Jeffrey A. Kolitch 0 0 0 0 Richard E. Kolman 0 0 0 0 Takahiro Komatsu Japan 0 0 0 0
- ------------------------- (11) Shared with family members. 13
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- --------- ----------- ----------- Philip J. Kopp III 0 0 0 0 David J. Kostin 0 0 0 0 Koji Kotaka Japan 0 0 0 0 Peter S. Kraus 15 0 15 0 Srihari Kumar India 0 0 0 0 Mary Lyn Valkenburg Kurish 0 0 0 0 Eiichiro Kuwana Japan 0 0 0 0 Joon Kwun South Korea 0 0 0 0 Peter Labbat 0 0 0 0 Peggy A. Lamb 0 0 0 0 Simon M. Lamb UK 0 0 0 0 David G. Lambert 0 0 0 0 Joseph A. LaNasa III 0 0 0 0 Eric S. Lane 0 0 0 0 Thomas K. Lane 0 0 0 0 Rudolf N. Lang Germany 0 0 0 0 Gary R. Lapidus 0 0 0 0 Bruce M. Larson 0 0 0 0 Thomas D. Lasersohn 0 0 0 0 Anthony D. Lauto 0 0 0 0 John J. Lauto 0 0 0 0 Matthew Lavicka 0 0 0 0 Peter T. Lawler 0 0 0 0 David N. Lawrence 0 0 0 0 Peter Layton 0 0 0 0 Susan R. Leadem 0 0 0 0 Andrew D. Learoyd UK 0 0 0 0 Brian J. Lee 0 0 0 0 Chan-Keun Lee South Korea 0 0 0 0 George C. Lee 0 0 0 0 Gregory D. Lee Australia 0 0 0 0 Kenneth H. M. Leet 0 0 0 0 Richard O. Leggett 0 0 0 0 Tim Leissner Brazil 0 0 0 0 Anthony J. Leitner 0 0 0 0 Todd W. Leland 0 0 0 0 Paulo C. Leme 0 0 0 0 Gregg R. Lemkau 0 0 0 0 Remco O. Lenterman The Netherlands 0 0 0 0 Hughes B. Lepic France 0 0 0 0 Johan H. Leven Sweden 0 0 0 0 Ronald S. Levin 0 0 0 0 Allan S. Levine 0 0 0 0 Brian T. Levine 0 0 0 0 Jack Levy 0 0 0 0 Richard J. Levy UK 0 0 0 0 Tobin V. Levy 0 0 0 0 P. Jeremy Lewis 0 0 0 0
14
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- --------- ----------- ----------- Thomas B. Lewis, Jr. 0 0 0 0 Mark E. Leydecker 0 0 0 0 Matthew G. L'Heureux 0 0 0 0 Michael Liberman 0 0 0 0 George C. Liberopoulos Canada/USA 0 0 0 0 Gwen R. Libstag 0 0 0 0 Stephen C. Lichtenauer 0 0 0 0 Roger A. Liddell UK 0 0 0 0 Richard J. Lieb 0 0 0 0 Lisette M. Lieberman 757 0 757 0 Mitchell J. Lieberman 0 0 0 0 Richerd C. Lightburn 0 0 0 0 Terence Tayseop Lim South Korea 0 0 0 0 Ryan D. Limaye 0 0 0 0 Josephine Linden UK 0 0 0 0 Lawrence H. Linden 0 0 0 0 Anthony W. Ling UK 0 0 0 0 Bonnie S. Litt 0 0 0 0 Robert Litterman 0 0 0 0 Robert H. Litzenberger 0 0 0 0 David McD. A. Livingstone Australia 0 0 0 0 Jill E. Lohrfink 0 0 0 0 Douglas F. Londal 0 0 0 0 Jacques M. Longerstaey USA/Belgium 0 0 0 0 Joseph Longo 0 0 0 0 Jonathan M. Lopatin 0 0 0 0 Francisco Lopez-Balboa 0 0 0 0 Victor M. Lopez-Balboa 0 0 0 0 Antigone Loudiadis UK 0 0 0 0 Kevin L. Lundeen 0 0 0 0 Mark A. Lynch UK 0 0 0 0 Michael R. Lynch 0 0 0 0 Richard E. Lyon, III 0 0 0 0 Peter B. MacDonald UK 0 0 0 0 Mark G. Machin UK 0 0 0 0 Paula B. Madoff 0 0 0 0 Shogo Maeda Japan 0 0 0 0 Christopher J. Magarro 0 0 0 0 John A. Mahoney 0 0 0 0 Sean O. Mahoney 0 0 0 0 Russell E. Makowsky 0 0 0 0 Keith A. Malas 0 0 0 0 Puneet Malhi UK 0 0 0 0 Peter G. C. Mallinson UK 0 0 0 0 John V. Mallory 0 0 0 0 Kathleen M. Maloney 0 0 0 0 Jean E. Manas Greece 0 0 0 0 Charles G. R. Manby UK 0 0 0 0 Robert S. Mancini 0 0 0 0 Barry A. Mannis 0 0 0 0
15
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- --------- ----------- ----------- Simon I. Mansfield 0 0 0 0 Elizabeth C. Marcellino 0 0 0 0 Ronald G. Marks 0 0 0 0 Robert J. Markwick UK 0 0 0 0 Nicholas I. Marovich 0 0 0 0 David J. Marshall 0 0 0 0 Allan S. Marson UK 0 0 0 0 Eff W. Martin 0 0 0 0 Jacques Martin Canada 0 0 0 0 Alison J. Mass 0 0 0 0 Robert A. Mass 0 0 0 0 John J. Masterson 0 0 0 0 David J. Mastrocola 0 0 0 0 Blake W. Mather 0 0 0 0 Kathy M. Matsui 0 0 0 0 Naomi Matsuoka Japan 0 0 0 0 George N. Mattson 0 0 0 0 Thomas J. McAdam 82 0 82 0 Richard F. McArdle 0 0 0 0 John J. McCabe 0 0 0 0 Theresa E. McCabe 0 0 0 0 Joseph M. McConnell 0 0 0 0 Ian R. McCormick UK 0 0 0 0 Lynn M. McCormick 0 0 0 0 Gordon R. McCulloch UK 0 0 0 0 Mark E. McGoldrick 0 0 0 0 Joseph P. McGrath, Jr. 0 0 0 0 Stephen J. McGuinness 0 0 0 0 John C. McIntire 0 0 0 0 Matthew B. McLennan Australia 0 0 0 0 John W. McMahon 0 0 0 0 Geraldine F. McManus 0 0 0 0 Gerald C. McNamara, Jr. 0 0 0 0 James A. McNamara 0 215(12) 0 215(12) Richard P. McNeil Jamaica 0 0 0 0 Audrey A. McNiff 0 0 0 0 John P. McNulty 0 0 0 0 Stuart G. McPherson UK 0 0 0 0 Robert A. McTamaney 0 0 0 0 E. Scott Mead 160 0 160 0 Lance P. Meaney 0 0 0 0 Sharon I. Meers 0 0 0 0 David M. Meerschwam The Netherlands 0 0 0 0 Sanjeev K. Mehra India 0 0 0 0 Christian A. Meissner Austria 0 0 0 0 Stephen J. Mellas 0 0 0 0 Andrew J. Melnick 0 0 0 0
- ------------------------- (12) Shared with family members. 16
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- --------- ----------- ----------- Bruce H. Mendelsohn 100 400(13) 100 400(13) Michael A. Mendelson 0 0 0 0 Bernard A. Mensah UK 0 0 0 0 Garry E. Menzel UK 0 0 0 0 T. Willem Mesdag 0 0 0 0 Andrew L. Metcalfe UK 0 0 0 0 Julian R. Metherell UK 0 0 0 0 Michael R. Miele 0 0 0 0 Therese L. Miller 0 0 0 0 Michael J. Millette 0 0 0 0 James E. Milligan 0 0 0 0 Milton R. Millman 0 0 0 0 Eric M. Mindich 0 0 0 0 Luciana D. Miranda Brazil 0 0 0 0 Edward S. Misrahi Italy 0 0 0 0 Masatoki J. Mitsumata Japan 0 0 0 0 Steven T. Mnuchin 0 0 0 0 Masanori Mochida Japan 0 0 0 0 Timothy H. Moe 0 0 0 0 Douglas D. Moffitt 0 0 0 0 Philip J. Moffitt Australia 0 0 0 0 Karsten N. Moller Denmark 0 0 0 0 Thomas K. Montag 0 0 0 0 William C. Montgomery 0 0 0 0 Wayne L. Moore 0 0 0 0 J. Ronald Morgan, III 0 0 0 0 Yukihiro Moroe Japan 0 0 0 0 James P. Morris 0 0 0 0 R. Scott Morris 0 0 0 0 Robert B. Morris III 0 0 0 0 Simon P. Morris UK 0 0 0 0 Thomas C. Morrow 0 0 0 0 Jeffrey M. Moslow 0 0 0 0 Sharmin Mossavar-Rahmani UK 0 0 0 0 Gregory T. Mount 0 0 0 0 Ian Mukherjee UK 0 0 0 0 Edward A. Mule 0 0 0 0 Donald R. Mullen 0 0 0 0 Eric D. Mullins 0 0 0 0 Donald J. Mulvihill 0 0 0 0 Patrick E. Mulvihill Ireland 0 0 0 0 Alvise J. Munari UK 0 0 0 0 Robert G. Munro UK 0 0 0 0 Rie Murayama Japan 0 0 0 0 Richard A. Murley UK 0 0 0 0 Patrick E. Murphy 0 0 0 0 Philip D. Murphy 0 0 0 0 Thomas S. Murphy, Jr. 0 0 0 0
- ------------------------- (13) Shared with family members. 17
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- --------- ----------- ----------- Gaetano J. Muzio 0 0 0 0 Marc O. Nachmann Germany 0 0 0 0 Michiya Nagai Japan 0 0 0 0 Avi M. Nash 0 0 0 0 Kevin D. Naughton 227 0 227 0 Mark J. Naylor UK 0 0 0 0 Jeffrey P. Nedelman 0 0 0 0 Daniel M. Neidich 58 0 58 0 Kipp M. Nelson 0 0 0 0 Leslie S. Nelson 0 0 0 0 Robin Neustein 0 0 0 0 Claire M. Ngo 0 0 0 0 Duncan L. Niederauer 0 0 0 0 Theodore E. Niedermayer USA/France 0 0 0 0 Erik F. Nielsen Denmark 0 0 0 0 Hideya Niimi Japan 0 0 0 0 Susan M. Noble UK 0 0 0 0 Markus J. Noe-Nordberg Austria 0 0 0 0 Suok J. Noh 0 0 0 0 David J. Nolan Australia 0 0 0 0 Suzanne M. Nora Johnson 0 0 0 0 Christopher K. Norton 0 0 0 0 Michael E. Novogratz 0 0 0 0 Jay S. Nydick 0 0 0 0 Katherine K. Oakley 0 0 0 0 Eric M. Oberg 0 0 0 0 Alok Oberoi India 0 0 0 0 Gavin G. O'Connor 0 0 0 0 Fergal J. O'Driscoll Ireland 0 0 0 0 L. Peter O'Hagan Canada 0 0 0 0 Terence J. O'Neill UK 0 0 0 0 Timothy J. O'Neill 0 0 0 0 Richard T. Ong Malaysia 0 0 0 0 Ronald M. Ongaro 0 0 0 0 Taneki Ono Japan 0 0 0 0 Donald C. Opatrny, Jr. 0 0 0 0 Daniel P. Opperman 0 0 0 0 Daniel B. O'Rourke 0 0 0 0 Roderick S. Orr UK 0 0 0 0 Calum M. Osborne UK 0 0 0 0 Robert J. O'Shea 0 0 0 0 Joel D. Ospa 0 0 0 0 Greg M. Ostroff 0 0 0 0 Nigel M. O'Sullivan UK 0 0 0 0 James B. Otness 0 0 0 0 Terence M. O'Toole 0 0 0 0 Brett R. Overacker 0 0 0 0 Todd G. Owens 0 0 0 0 Fumiko Ozawa Japan 0 0 0 0 Robert J. Pace 0 0 0 0
18
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- --------- ----------- ----------- Helen Paleno 0 0 0 0 Gregory K. Palm 0 0 0 0 Bryant F. Pantano 0 0 0 0 Massimo Pappone Italy 0 0 0 0 James R. Paradise UK 0 0 0 0 Mukesh K. Parekh 0 0 0 0 Simon Y. Park 0 0 0 0 Geoffrey M. Parker 0 0 0 0 Archie W. Parnell 100 100(14) 100 100(14) Ketan J. Patel UK 0 0 0 0 Sheila H. Patel 0 0 0 0 Douglas S. Patterson 0 0 0 0 Henry M. Paulson, Jr. 0 0 0 0 David T. Pearson 0 0 0 0 Arthur J. Peponis 287 0 287 0 David E. Perlin 0 0 0 0 David B. Philip 0 0 0 0 Paul A. Phillips 0 0 0 0 Todd J. Phillips 0 0 0 0 Alberto M. Piedra, Jr. 0 0 0 0 Stephen R. Pierce 0 0 0 0 Philip J. Pifer 0 0 0 0 Steven M. Pinkos 0 0 0 0 Scott M. Pinkus 0 0 0 0 Timothy C. Plaut Germany 0 0 0 0 Andrea Ponti Italy/USA 0 0 0 0 Ellen R. Porges 0 0 0 0 Wiet H.M. Pot The Netherlands 0 0 0 0 Michael J. Poulter UK 0 0 0 0 John J. Powers 0 0 0 0 Richard H. Powers 0 0 0 0 Alberto Pravettoni Italy 0 0 0 0 Michael A. Price 0 0 0 0 Scott Prince 0 0 0 0 Anthony J. Principato 35 0 35 0 Steven D. Pruett 0 0 0 0 Andrew F. Pyne 0 0 0 0 Kevin A. Quinn 0 0 0 0 Stephen D. Quinn 0 0 0 0 William M. Quinn 0 0 0 0 B. Andrew Rabin 0 0 0 0 Jean Raby Canada 0 0 0 0 John J. Rafter Ireland 0 0 0 0 Jonathan Raleigh 0 0 0 0 Dioscoro-Roy I. Ramos Philippines 0 0 0 0 Gregory G. Randolph 0 0 0 0
- ------------------------- (14) Shared with family members. 19
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- ----------- ----------- ----------- Charlotte P. Ransom UK 0 0 0 0 Michael G. Rantz 0 0 0 0 Philip A. Raper UK 0 0 0 0 Alan M. Rapfogel 0 0 0 0 Sandy C. Rattray UK 0 0 0 0 Joseph Ravitch 0 0 0 0 Sara E. Recktenwald 0 0 0 0 Girish V. Reddy 0 0 0 0 Nicholas T. Reid UK 0 0 0 0 David Reilly UK 0 0 0 0 Gene Reilly 0 0 0 0 Arthur J. Reimers III 0 0 0 0 Filip A. Rensky 0 0 0 0 Jeffrey A. Resnick 0 0 0 0 Richard J. Revell UK 0 0 0 0 Craig Reynolds 0 0 0 0 Peter Richards UK 0 0 0 0 Michael J. Richman 0 0 0 0 Andrew J. Rickards UK 0 0 0 0 Thomas S. Riggs, III 0 0 0 0 James P. Riley, Jr. 0 0 0 0 Kirk L. Rimer 0 0 0 0 Kimberly E. Ritrievi 0 0 0 0 Paul M. Roberts UK 0 0 0 0 Richard T. Roberts 6 0 6 0 William M. Roberts 0 0 0 0 Simon M. Robertson UK 0 0 0 0 Juliet A. Robinson UK 0 0 0 0 Normann G. Roesch Germany 0 0 0 0 Marina L. Roesler USA/Brazil 0 0 0 0 James H. Rogan 0 0 0 0 J. David Rogers 0 200(15) 0 200(15) John F. W. Rogers 0 0 0 0 Emmanuel Roman France 0 0 0 0 Eileen P. Rominger 0 0 0 0 Pamela P. Root 0 0 0 0 Ralph F. Rosenberg 0 0 0 0 David J. Rosenblum 0 0 0 0 Jacob D. Rosengarten 0 0 0 0 Richard J. Rosenstein 0 0 0 0 Ivan Ross 0 0 0 0 Marc A. Rothenberg 0 0 0 0 Stuart M. Rothenberg 0 0 0 0 Michael S. Rotter 0 0 0 0 Thomas A. Roupe 0 0 0 0 Michael S. Rubinoff 0 0 0 0 Paul M. Russo 0 0 0 0
- ------------------------- (15) Shared with family members. 20
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- ----------- ----------- ----------- John P. Rustum Ireland/USA 0 0 0 0 Richard M. Ruzika 0 0 0 0 David C. Ryan 0 0 0 0 David M. Ryan Australia 0 0 0 0 Jeri Lynn Ryan 0 0 0 0 John C. Ryan 0 0 0 0 Michael D. Ryan 0 0 0 0 Katsunori Sago Japan 0 0 0 0 Pablo J. Salame Ecuador 0 0 0 0 Roy J. Salameh 0 0 0 0 J. Michael Sanders 0 0 0 0 Allen Sangines-Krause Mexico 212 0 212 0 Richard A. Sapp 0 0 0 0 Neil I. Sarnak 0 0 0 0 Joseph Sassoon Israel 0 0 0 0 Atsuko Sato Japan 0 0 0 0 Tsutomu Sato Japan 240 0 240 0 Muneer A. Satter 0 0 0 0 Marc P. Savini 0 0 0 0 Jonathan S. Savitz 0 0 0 0 Peter Savitz 0 0 0 0 James E. Sawtell UK 0 0 0 0 Paul S. Schapira Italy 0 0 0 0 P. Sheridan Schechner 1,000 0 1,000 0 Marcus Schenck Germany 0 0 0 0 Susan J. Scher 0 0 0 0 Gary B. Schermerhorn 0 0 0 0 Stephen M. Scherr 0 0 0 0 Howard B. Schiller 0 0 0 0 Erich P. Schlaikjer 0 0 0 0 Daniel Schmitz Germany 0 0 0 0 Jeffrey W. Schroeder 0 0 0 0 Matthew L. Schroeder 0 0 0 0 Antoine Schwartz France 0 0 0 0 Eric S. Schwartz 0 0 0 0 Harvey M. Schwartz 0 0 0 0 Mark Schwartz 0 0 0 0 Thomas M. Schwartz 0 1,900(16) 0 1,900(16) Steven M. Scopellite 0 0 0 0 David J. Scudellari 0 0 0 0 Charles B. Seelig, Jr. 0 0 0 0 Peter A. Seibold 0 0 0 0 Karen D. Seitz 0 0 0 0 Hiran N. Selvaratnam Australia 0 0 0 0 Anik Sen UK 0 0 0 0 Randolph Sesson, Jr. 0 0 0 0 Steven M. Shafran 0 0 0 0 Lisa M. Shalett 0 0 0 0
- ------------------------- (16) Shared with family members. 21
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- ----------- ----------- ----------- Richard S. Sharp UK 0 0 0 0 John P. Shaughnessy 0 0 0 0 Robert J. Shea, Jr. 0 0 0 0 Daniel M. Shefter 0 0 0 0 David G. Shell 0 0 0 0 James M. Sheridan 0 0 0 0 Richard G. Sherlund 0 0 0 0 Michael S. Sherwood UK 0 0 0 0 Masaru Shibata Japan 0 0 0 0 David A. Shiffman 0 0 0 0 Abraham Shua 0 0 0 0 Susan E. Sidd 0 0 0 0 Michael H. Siegel 0 0 0 0 Daniel J. Silber 0 0 0 0 Leslie C. Sillcox 0 0 0 0 Ralph J. Silva 0 0 0 0 Harry Silver 0 0 0 0 Howard A. Silverstein 0 0 0 0 Richard P. Simon 0 0 0 0 Victor R. Simone, Jr. 0 0 0 0 David T. Simons 0 0 0 0 Christine A. Simpson 0 0 0 0 Dinakar Singh 0 0 0 0 Ravi M. Singh 0 0 0 0 Ravi Sinha India/USA 0 0 0 0 Edward M. Siskind 0 0 0 0 Christian J. Siva-Jothy UK 0 0 0 0 Mark F. Slaughter 0 0 0 0 Guy C. Slimmon UK 0 0 0 0 Jeffrey S. Sloan 0 0 0 0 Linda J. Slotnick 0 0 0 0 Cody J Smith 0 1,000(17) 0 1,000(17) Derek S. Smith 0 0 0 0 Michael M. Smith 0 0 0 0 Sarah E. Smith UK 0 0 0 0 Trevor A. Smith UK 0 0 0 0 John E. Smollen 0 0 0 0 Randolph C. Snook 0 0 0 0 Jonathan S. Sobel 0 0 0 0 David M. Solomon 0 0 0 0 Judah C. Sommer 0 0 0 0 Theodore T. Sotir 0 0 0 0 Sergio E. Sotolongo 0 0 0 0 Vickrie C. South 0 0 0 0 Daniel L. Sparks 0 0 0 0 Claudia Spiess Switzerland 0 0 0 0 Marc A. Spilker 0 0 0 0
- ------------------------- (17) Shared with family members. 22
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- ----------- ----------- ----------- Howard Q. Spooner UK 0 0 0 0 Joseph F. Squeri 0 0 0 0 Christoph W. Stanger Austria 0 0 0 0 Daniel W. Stanton 0 0 0 0 Steven R. Starker 0 0 0 0 Keith G. Starkey UK 0 0 0 0 Esta E. Stecher 0 0 0 0 Cathrine Steck 0 0 0 0 Fredric E. Steck 0 0 0 0 Robert K. Steel 0 0 0 0 Jean-Michel Steg France 0 0 0 0 Joseph P. Stevens 0 0 0 0 Chase O. Stevenson 0 0 0 0 Richard J. Stingi 0 0 0 0 Raymond S. Stolz 0 0 0 0 Timothy T. Storey Canada 0 0 0 0 George C. Strachan 0 0 0 0 Raymond B. Strong, III 0 0 0 0 Steven H. Strongin 0 0 0 0 Andrew J. Stuart Australia 0 0 0 0 Nobumichi Sugiyama Japan 0 0 0 0 Christopher P. Sullivan USA/Ireland 0 0 0 0 Patrick Sullivan 0 0 0 0 Johannes R. Sulzberger Austria 0 0 0 0 Hsueh J. Sung Taiwan 0 0 0 0 Howard B. Surloff 0 0 0 0 Richard J. Sussman 0 0 0 0 Peter D. Sutherland S.C. Ireland 0 0 0 0 Watanan Suthiwartnarueput Thailand 0 0 0 0 Gary J. Sveva 0 0 0 0 Eric S. Swanson 0 0 0 0 Gene T. Sykes 0 0 0 0 Shahriar Tadjbakhsh 0 0 0 0 Kunio Tahara Japan 0 0 0 0 Ronald K. Tanemura UK/USA 0 0 0 0 Kui F. Tang China (PRC) 0 0 0 0 Caroline H. Taylor UK 0 0 0 0 John H. Taylor 0 0 0 0 Greg W. Tebbe 0 0 0 0 Roland W. Tegeder Germany 0 0 0 0 David H. Tenney 0 0 0 0 Mark R. Tercek 0 0 0 0 Donald F. Textor 0 0 0 0 John A. Thain 0 0 0 0 John L. Thornton 0 0 0 0 Stephen M. Thurer 0 0 0 0 Nicolas F. Tiffou France 0 0 0 0 Jason A. Tilroe 0 0 0 0 Daisuke Toki Japan 0 0 0 0 Peter K. Tomozawa 0 0 0 0
23
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- ----------- ----------- ----------- Massimo Tononi Italy 0 0 0 0 Brian J. Toolan 0 0 0 0 John R. Tormondsen 0 0 0 0 John L. Townsend III 0 0 0 0 Mark J. Tracey UK 0 0 0 0 Stephen S. Trevor 0 0 0 0 Byron D. Trott 0 0 0 0 Michael A. Troy 0 0 0 0 Daniel Truell UK 0 0 0 0 Donald J. Truesdale 0 0 0 0 Irene Y. Tse Hong Kong 0 0 0 0 Robert B. Tudor III 0 0 0 0 Keith Tuffley Australia 0 0 0 0 Thomas E. Tuft 0 0 0 0 John Tumilty UK 0 0 0 0 Barry S. Turkanis 0 0 0 0 Malcolm B. Turnbull Australia 0 0 0 0 Christopher H. Turner 0 0 0 0 Gareth N. Turner Canada 0 0 0 0 Eiji Ueda Japan 0 0 0 0 Scott B. Ullem 0 0 0 0 Kaysie P. Uniacke 0 0 0 0 Can Uran 0 0 0 0 John E. Urban 0 0 0 0 Lucas van Praag UK 0 0 0 0 Hugo H. Van Vredenburch The Netherlands 0 0 0 0 Frederick G. Van Zijl 0 0 0 0 Lee G. Vance 0 0 0 0 Ashok Varadhan 0 0 0 0 Corrado P. Varoli Canada 0 0 0 0 John J. Vaske 0 0 0 0 Robin A. Vince UK 0 0 0 0 David A. Viniar 0 0 0 0 Andrea A. Vittorelli Italy 0 0 0 0 Barry S. Volpert 20 0 20 0 Casper W. Von Koskull Finland 0 0 0 0 David H. Voon 0 0 0 0 Robert T. Wagner 0 0 0 0 John E. Waldron 0 0 0 0 George H. Walker IV 0 10(18) 0 10(18) Joann B. Walker 0 0 0 0 Thomas B. Walker III 0 0 0 0 Robert P. Wall 0 0 0 0 Steven A. Wallace UK 0 0 0 0 Berent A. Wallendahl Norway 0 0 0 0 Alastair J. Walton UK/Australia 0 0 0 0
- ------------------------- (18) Shared with family members. 24
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------------- --------- ----------- ----------- ----------- David R. Walton UK 0 0 0 0 Hsueh-Ming Wang 0 0 0 0 Theodore T. Wang China (PRC) 0 0 0 0 Patrick J. Ward 0 0 0 0 Michael W. Warren UK 0 0 0 0 Haruko Watanuki Japan 0 0 0 0 Jerry T. Wattenberg 0 0 0 0 Mark K. Weeks UK 0 0 0 0 David M. Weil 0 0 0 0 Theodor Weimer Germany 0 0 0 0 John S. Weinberg 0 0 0 0 Peter A. Weinberg 0 0 0 0 Gregg S. Weinstein 0 0 0 0 Scott R. Weinstein 0 0 0 0 Mark S. Weiss 0 0 0 0 George W. Wellde, Jr. 0 0 0 0 Christopher S. Wendel 0 0 0 0 Martin M. Werner Mexico 0 0 0 0 Richard T. Wertz 0 0 0 0 Lance N. West 0 0 0 0 Matthew Westerman UK 0 0 0 0 Barbara A. White 0 0 0 0 Melanie J. White UK 0 0 0 0 William Wicker 0 0 0 0 A. Carver Wickman 0 0 0 0 Elisha Wiesel 0 0 0 0 C. Howard Wietschner 0 0 0 0 David D. Wildermuth 0 0 0 0 Edward R. Wilkinson 77 0 77 0 Kevin L. Willens 0 0 0 0 Susan A. Willetts 0 0 0 0 Anthony G. Williams UK 0 0 0 0 Christopher G. Williams UK 0 0 0 0 Gary W. Williams 0 0 0 0 Meurig R. Williams UK 0 0 0 0 Todd A. Williams 90 0 90 0 John S. Willian 0 0 0 0 Kenneth W. Willman 0 0 0 0 Keith R. Wills UK 0 0 0 0 Andrew F. Wilson New Zealand 0 0 0 0 Kendrick R. Wilson III 0 0 0 0 Kurt D. Winkelmann 0 0 0 0 Jon Winkelried 0 0 0 0 Steven J. Wisch 0 0 0 0 Michael S. Wishart 0 0 0 0 Richard E. Witten 0 0 0 0 Alexander D. Wohl 0 0 0 0 William H. Wolf, Jr. 0 0 0 0 Melinda B. Wolfe 0 0 0 0 Tracy R. Wolstencroft 0 0 0 0
25
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- ----------- ----------- ----------- Jon A. Woodruf 0 0 0 0 Neil J. Wright UK 0 0 0 0 Denise A. Wyllie UK 0 0 0 0 Zi Wang Xu Canada/China 0 0 0 0 (PRC) Richard A. Yacenda 0 0 0 0 Tetsufumi Yamakawa Japan 0 0 0 0 Yasuyo Yamazaki Japan 0 0 0 0 Anne Yang 0 0 0 0 Danny O. Yee 0 0 0 0 Jaime E. Yordan 0 0 0 0 W. Thomas York, Jr. 0 0 0 0 Wassim G. Younan Lebanon 0 0 0 0 Paul M. Young 0 0 0 0 William J. Young 0 0 0 0 Sanaz Zaimi UK 0 0 0 0 Michael J. Zamkow 0 40(19) 0 40(19) Paolo Zannoni Italy 0 0 0 0 Yoel Zaoui France 0 0 0 0 Gregory H. Zehner 0 0 0 0 Jide J. Zeitlin 0 0 0 0 Gregory Zenna 0 0 0 0 Yi Kevin Zhang China (PRC) 0 0 0 0 Joan H. Zief 0 0 0 0 John W. Ziegler 0 0 0 0 Joseph R. Zimmel 0 0 0 0 James P. Ziperski 0 0 0 0 Barry L. Zubrow 0 0 0 0 Mark A. Zurack 0 0 0 0 Shares held by 84 private N/A 0 1,778,694 0 1,778,694 charitable foundations established by 84 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations(20)
- ------------------------- (19) Shared with family members. (20) Each Covered Person disclaims beneficial ownership of all such shares of Common Stock. 26
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- ----------- ----------- ----------- TRUSTS 2000 John A. Thain Grantor Retained Annuity Trust 0 0 0 0 2001 John A. Thain Grantor Retained Annuity Trust 0 0 0 0 2002 Avi M. Nash Grantor Retained Annuity Trust 0 0 0 0 2002 Danny O. Yee Grantor Retained Annuity Trust 0 0 0 0 2002 Douglas W. Kimmelman Grantor Retained Annuity Trust 0 0 0 0 2002 James M. Sheridan Grantor Retained Annuity Trust 0 0 0 0 2002 John A. Thain Grantor Retained Annuity Trust 0 0 0 0 2002 Mary Ann Casati Grantor Retained Annuity Trust 0 0 0 0 2002 Scott S. Prince Grantor Retained Annuity Trust 0 0 0 0 2003 Scott S. Prince Grantor Retained Annuity Trust 0 0 0 0 2003 John A. Thain Grantor Retained Annuity Trust 0 0 0 0 2003 Danny O. Yee Grantor Retained Annuity Trust 0 0 0 0 The Abby Joseph Cohen 2000 Family Trust 0 0 0 0 The Abby Joseph Cohen 2002 Annuity Trust I 0 0 0 0 The Abby Joseph Cohen 2002 Annuity Trust II 0 0 0 0 The Abby Joseph Cohen 2003 Annuity Trust I 0 0 0 0 The Abby Joseph Cohen 2003 Annuity Trust II 0 0 0 0 The Adina R. Lopatin 2000 Trust 0 0 0 0 The Alexander H. Witten 2000 Trust 0 0 0 0 The Alexander I. Berlinski 2000 Trust 0 0 0 0 The Alexander Litzenberger Remainder Trust 0 0 0 0 The Alexandra D. Steel 2000 Trust
27
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- ----------- ----------- ----------- The Alexis Blood 2000 Trust The Alyssa Blood 2000 Trust 0 0 0 0 The Amanda Liann Mead 2000 Trust 0 0 0 0 Anahue Trust(21) Jersey 0 0 0 0 Andrew L. Fippinger-Millennium Trust(22) 0 0 0 0 The Andrew M. Alper 2002 Annuity Trust I 0 0 0 0 The Andrew M. Alper 2002 Annuity Trust II 0 0 0 0 The Andrew M. Alper 2003 Annuity Trust I 0 0 0 0 The Andrew M. Alper 2003 Annuity Trust II 0 0 0 0 The Andrew M. Gordon 2000 Family Trust 0 0 0 0 The Anne R. Witten 2000 Trust 0 0 0 0 The Anne Sullivan Wellde 2000 Trust 0 0 0 0 The Anthony D. Lauto 2000 Family Trust 0 0 0 0 The Anthony D. Lauto 2002 Annuity Trust I 0 0 0 0 The Anthony D. Lauto 2002 Annuity Trust II 0 0 0 0 The Anthony D. Lauto 2003 Annuity Trust I 0 0 0 0 The Anthony D. Lauto 2003 Annuity Trust II 0 0 0 0 The Arthur J. Reimers, III Defective Trust 2000 Connecticut 0 0 0 0 The Avi M. Nash 2000 Family Trust 0 0 0 0 The Bari Marissa Schwartz 2000 Trust 0 0 0 0 Barry A. Kaplan 2000 Family Trust 0 0 0 0 Barry A. Kaplan 2002 GRAT 0 0 0 0 Barry A. Kaplan 2003 GRAT 0 0 0 0 The Barry L. Zubrow 2000 Family Trust 0 0 0 0 The Barry L. Zubrow 2002 Annuity Trust I 0 0 0 0 The Barry L. Zubrow 2002 Annuity Trust II 0 0 0 0 Beller 2002 GRAT 0 0 0 0
- ------------------------- (21) Created by Andrew A. Chisholm. (22) Created by Ann F. Kaplan. 28
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- ----------- ----------- ----------- Beller 2003 GRAT 0 0 0 0 Beller 2003 Family Trust 0 0 0 0 The Beller/Moses Trust 0 0 0 0 The Benjamin H. Sherlund 2000 Trust 0 0 0 0 The Benjamin Kraus 2000 Trust 0 0 0 0 The Bradford C. Koenig 2001 Family Trust 0 0 0 0 The Bradford C. Koenig 2002 Annuity Trust I 0 0 0 0 The Bradley Abelow Family 2000 Trust 0 0 0 0 The Brian Patrick Minehan 2001 Trust(23) 0 0 0 0 The Caceres Novogratz Family Trust 0 0 0 0 The Carlos A. Cordeiro Trust 0 0 0 0 The Charlotte Steel 2000 Trust 0 0 0 0 The Charlotte Textor 2000 Trust 0 0 0 0 The Christopher A. Cole 2000 Family Trust 0 0 0 0 The Christopher A. Cole 2002 Annuity Trust I 0 0 0 0 The Christopher A. Cole 2002 Annuity Trust II 0 0 0 0 The Christopher A. Cole 2003 Annuity Trust I 0 0 0 0 The Christopher A. Cole 2003 Annuity Trust II 0 0 0 0 The Christopher K. Norton 2000 Family Trust 0 0 0 0 The Christopher Palmisano Remainder Trust(24) 0 0 0 0 The Christopher Ryan Tortora 2000 Trust 0 0 0 0 The Cody J Smith 2000 Family Trust 0 0 0 0 The Cody J Smith 2002 Annuity Trust I 0 0 0 0 The Cody J Smith 2002 Annuity Trust II 0 0 0 0 The Connie K. Duckworth 2000 Family Trust 0 0 0 0 Dangui Trust(25) 0 0 0 0
- ------------------------- (23) Created by E. Gerald Corrigan. (24) Created by Robert H. Litzenberger. (25) Created by Emmanuel Roman. 29
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- ----------- ----------- ----------- The Daniel Alexander Schwartz 2000 Trust 0 0 0 0 The Daniel M. Neidich 2002 Annuity Trust I 0 0 0 0 The Daniel M. Neidich 2002 Annuity Trust II 0 0 0 0 The Daniel M. Neidich 2003 Annuity Trust I 0 0 0 0 The Daniel M. Neidich 2003 Annuity Trust II 0 0 0 0 The Daniel W. Stanton 2002 Annuity Trust I 0 0 0 0 The Daniel W. Stanton 2002 Annuity Trust II 0 0 0 0 The Daniel W. Stanton II 2000 Trust 0 0 0 0 The Danny O. Yee Trust 0 0 0 0 The David B. Ford 2002 Annuity Trust dtd as of 6/26/2002 Pennsylvania 0 0 0 0 The David B. Ford 2003 Annuity Trust dtd as of 6/26/2003 Pennsylvania 0 0 0 0 The David B. Heller 2000 Family Trust 0 0 0 0 The David G. Lambert 2000 Family Trust 0 0 0 0 The David G. Lambert 2002 Annuity Trust I 0 0 0 0 The David G. Lambert 2002 Annuity Trust II 0 0 0 0 The David L. Henle 2000 Family Trust 0 0 0 0 The David L. Henle 2002 Annuity Trust I 0 0 0 0 The David L. Henle 2002 Annuity Trust II 0 0 0 0 The David L. Henle 2003 Annuity Trust I 0 0 0 0 The David L. Henle 2003 Annuity Trust II 0 0 0 0 The David M. Baum Family 2000 Trust New Jersey 0 0 0 0 The David Viniar 2002 Annuity Trust I 0 0 0 0 The David Viniar 2002 Annuity Trust II 0 0 0 0 The David Viniar 2003 Annuity Trust I 0 0 0 0 The David Viniar 2003 Annuity Trust II 0 0 0 0
30
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------- ---------------- --------- --------- ----------- ----------- The David W. Blood 2002 Annuity Trust I 0 0 0 0 The David W. Blood 2002 Annuity Trust II 0 0 0 0 The Donald F. Textor 2002 Annuity Trust I 0 0 0 0 The Donald F. Textor 2002 Annuity Trust II 0 0 0 0 The Donald F. Textor 2003 Annuity Trust I 0 0 0 0 The Donald F. Textor 2003 Annuity Trust II 0 0 0 0 The Douglas W. Kimmelman Trust 0 0 0 0 The E. Gerald Corrigan 2002 Annuity Trust I 0 0 0 0 The E. Gerald Corrigan 2003 Annuity Trust I 0 0 0 0 The Eaddy Adele Kiernan 2000 Trust 0 0 0 0 The Edward C. Forst 2000 Family Trust 0 0 0 0 The Edward C. Forst 2002 Annuity Trust I 0 0 0 0 The Edward C. Forst 2002 Annuity Trust II 0 0 0 0 The Edward Scott Mead 2001 Annuity Trust I 0 0 0 0 The Edward Scott Mead 2002 Annuity Trust I 0 0 0 0 The Edward Scott Mead 2002 Annuity Trust II 0 0 0 0 The Edward Scott Mead 2003 Annuity Trust I 0 0 0 0 The Edward Scott Mead 2003 Annuity Trust II 0 0 0 0 Eff Warren Martin 2000 Children's Trust California 0 0 0 0 The Elizabeth Anne Corrigan 2000 Trust 0 0 0 0 The Elizabeth H. Coulson 2000 Trust 0 0 0 0 The Elizabeth L. Heller 2000 Trust 0 0 0 0 The Elizabeth Lin Mead 2000 Trust 0 0 0 0 The Elizabeth M. Stanton 2000 Trust 0 0 0 0 The Elizabeth Steel 2000 Trust 0 0 0 0
31
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------- ---------------- --------- --------- ----------- ----------- The Ellie Dorit Neustein 2000 Trust 0 0 0 0 The Emily Austen Katz 2000 Trust 0 0 0 0 The Emily Stecher 2000 Trust 0 0 0 0 The Emma M.L. Mead 2000 Trust 0 0 0 0 The Eric Fithian 2000 Trust(26) 0 0 0 0 The Erin Marie Tormondsen 2000 Trust 0 0 0 0 The Esta Eiger Stecher 2002 Annuity Trust I 0 0 0 0 The Esta Eiger Stecher 2002 Annuity Trust II 0 0 0 0 The Esta Eiger Stecher 2003 Annuity Trust I 0 0 0 0 The Esta Eiger Stecher 2003 Annuity Trust II 0 0 0 0 The Evans Trust(27) 0 0 0 0 The Francis J. Ingrassia 2000 Family Trust 0 0 0 0 The Francis J. Ingrassia 2002 Annuity Trust I 0 0 0 0 The Francis J. Ingrassia 2002 Annuity Trust II 0 0 0 0 The Frank L. Coulson III 2000 Trust 0 0 0 0 The Fredric E. Steck 2000 Family Trust 0 0 0 0 The Fredric E. Steck 2002 Annuity Trust I 0 0 0 0 The Fredric E. Steck 2002 Annuity Trust II 0 0 0 0 The Fredric E. Steck 2003 Annuity Trust I 0 0 0 0 The Fredric E. Steck 2003 Annuity Trust II 0 0 0 0 Gary D. Cohn 2000 Family Trust 0 0 0 0 The Gary W. Williams 2001 Trust 0 0 0 0 The Gene Tiger Sykes 2001 Family Trust 0 0 0 0 The Gene Tiger Sykes 2002 Annuity Trust I 0 0 0 0 The Gene Tiger Sykes 2002 Annuity Trust II 0 0 0 0
- ------------------------- (26) Created by David A. Viniar. (27) Created by W. Mark Evans. 32
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ----------------------------------------------- ---------------- --------- --------- ----------- ----------- The Gene Tiger Sykes 2003 Annuity Trust I 0 0 0 0 The Gene Tiger Sykes 2003 Annuity Trust II 0 0 0 0 The Geoffrey T. Grant 2000 Family Trust 0 0 0 0 The George H. Walker 2000 Family Trust 0 0 0 0 The George H. Walker 2002 Annuity Trust I 0 0 0 0 The George H. Walker 2002 Annuity Trust II 0 0 0 0 The George W. Wellde, Jr. 2002 Annuity Trust I 0 0 0 0 The George W. Wellde, Jr. 2002 Annuity Trust II 0 0 0 0 The George William Wellde III 2000 Trust 0 0 0 0 Ghez 2000 GRAT 0 0 0 0 Ghez 2000 Non-GST-Exempt Trust 0 0 0 0 The Girish V. Reddy 2001 Trust 0 0 0 0 The Girish V. Reddy Trust 0 0 0 0 The Goldenberg 2000 Family Trust 0 0 0 0 The Greg M. Ostroff 2000 Family Trust 0 0 0 0 The Gregory D. Cohen 2000 Trust 0 0 0 0 The Gregory H. Zehner 2000 Family Trust 0 0 0 0 The Gregory K. Palm 2000 Family Trust 0 0 0 0 The Gregory K. Palm 2002 Annuity Trust I 0 0 0 0 The Gregory K. Palm 2002 Annuity Trust II 0 0 0 0 The Gregory K. Palm 2003 Annuity Trust I 0 0 0 0 The Gregory K. Palm 2003 Annuity Trust II 0 0 0 0 The Guapulo Trust(28) Jersey 0 0 0 0 The Howard A. Silverstein 2000 Family Trust 0 0 0 0 The Howard A. Silverstein 2002 Annuity Trust I 0 0 0 0
- ------------------------- (28) Created by Erland S. Karlsson. 33
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ----------------------------------------------- ---------------- --------- --------- ----------- ----------- The Howard A. Silverstein 2002 Annuity Trust II 0 0 0 0 The Howard A. Silverstein 2003 Annuity Trust I 0 0 0 0 The Howard A. Silverstein 2003 Annuity Trust II 0 0 0 0 The Isabelle M.L. Mead 2000 Trust 0 0 0 0 The J. David Rogers 2002 Annuity Trust I 0 0 0 0 The J. David Rogers 2002 Annuity Trust II 0 0 0 0 The J. David Rogers 2003 Annuity Trust I 0 0 0 0 The J. David Rogers 2003 Annuity Trust II 0 0 0 0 The James Alexander Mead 2000 Trust 0 0 0 0 The James M. Sheridan Shares Trust 0 0 0 0 The James M. Sheridan Trust 0 0 0 0 The James Nicholas Katz 2000 Trust 0 0 0 0 James P. Riley, Jr. 2000 Family Trust 0 0 0 0 The James P. Riley, Jr. 2002 Family GST Trust 0 0 0 0 The Jason Kraus 2000 Trust UK 0 0 0 0 The Jason William Tortora 2000 Trust 0 0 0 0 The Jeffrey D. Witten 2000 Trust 0 0 0 0 The Jennifer Lauren Alper 2000 Trust 0 0 0 0 JG 2000 Trust(28) 0 0 0 0 JG 2000 Trust (continuing trust)(29) 0 0 0 0 JG 2002 GRAT(28) 0 0 0 0 JG 2003 GRAT(28) 0 0 0 0 JG 2003 Family Trust(28) 0 0 0 0 The John A. Thain Trust 0 0 0 0 The John J. Powers 2000 Family Trust 0 0 0 0 The John O. Downing 2000 Family Trust 0 0 0 0 The John O. Downing 2002 Annuity Trust I 0 0 0 0
- ------------------------- (29) Created by Jocob D. Goldfield. 34
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------- ---------------- --------- --------- ----------- ----------- The John O. Downing 2002 Annuity Trust II 0 0 0 0 The John O. Downing 2003 Annuity Trust I 0 0 0 0 The John P. Curtin, Jr. 2000 Family Trust 0 0 0 0 The John P. Curtin, Jr. 2001 Annuity Trust I 0 0 0 0 The John R. Tormondsen 2002 Annuity Trust I 0 0 0 0 The John R. Tormondsen 2002 Annuity Trust II 0 0 0 0 The John R. Tormondsen 2003 Annuity Trust I 0 0 0 0 The John R. Tormondsen 2003 Annuity Trust II 0 0 0 0 The John R. Tormondsen, Jr. 2000 Trust 0 0 0 0 The John S. Weinberg 2000 Family Trust 0 0 0 0 The John S. Weinberg 2002 Annuity Trust I 0 0 0 0 The John S. Weinberg 2002 Annuity Trust II 0 0 0 0 The John S. Weinberg 2003 Annuity Trust I 0 0 0 0 The John S. Weinberg 2003 Annuity Trust II 0 0 0 0 The Jonathan G. Neidich 2000 Trust 0 0 0 0 The Jonathan L. Cohen 2002 Annuity Trust I 0 0 0 0 The Jonathan M. Lopatin 2002 Annuity Trust I 0 0 0 0 The Jonathan M. Lopatin 2002 Annuity Trust II 0 0 0 0 The Jordan Viniar 2000 Trust 0 0 0 0 The Joseph Della Rosa 2000 Family Trust 0 0 0 0 The Joseph Della Rosa 2002 Annuity Trust I 0 0 0 0 The Joseph Della Rosa 2002 Annuity Trust II 0 0 0 0 The Joseph H. Gleberman 2000 Family Trust 0 0 0 0 The Joseph H. Gleberman 2002 Annuity Trust I 0 0 0 0 The Karen Barlow Corrigan 2000 Trust 0 0 0 0
35
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------- ---------------- --------- --------- ----------- ----------- The Karen Rebecca Alper 2000 Trust 0 0 0 0 The Karsten Moller & Barbara Kahn-Moller Trust Jersey 0 0 0 0 The Katherine A. M. Stanton 2000 Trust 0 0 0 0 The Katheryn C. Coulson 2000 Trust 0 0 0 0 The Kathryn Margaret Wellde 2000 Trust 0 0 0 0 The Kelsey Fithian 2000 Trust(30) 0 0 0 0 The Kenneth Litzenberger Remainder Trust 0 0 0 0 The Kevin W. Kennedy 2000 Family Trust 0 0 0 0 The Kevin W. Kennedy 2001 Siblings Trust 0 0 0 0 The Kevin W. Kennedy 2002 Annuity Trust I 0 0 0 0 The Kevin W. Kennedy 2002 Annuity Trust II 0 0 0 0 The Kevin W. Kennedy 2002 Annuity Trust III 0 0 0 0 The Kevin W. Kennedy 2003 Annuity Trust I 0 0 0 0 The Kevin W. Kennedy 2003 Annuity Trust II 0 0 0 0 The Kevin W. Kennedy 2003 Annuity Trust III 0 0 0 0 The Kimberly Lynn Macaione 2000 Trust(31) 0 0 0 0 The Kimberly R. Textor 2000 Trust 0 0 0 0 The Kipp M. Nelson Trust 0 0 0 0 The Kuala Trust(32) Jersey 0 0 0 0 The Kyle F. Textor 2000 Trust The Lauren Schiller 2000 Trust 0 0 0 0 The Lawrence R. Buchalter 2000 Family Trust 0 0 0 0 Lawrence R. Buchalter 2002 Annuity Trust I 0 0 0 0 The Lawrence R. Buchalter 2002 Annuity Trust II 0 0 0 0 The Lee G. Vance 2000 Family Trust 0 0 0 0
- ------------------------- (30) Created by David A. Viniar. (31) Created by Frank L. Coulson, Jr. (32) Created by Sylvain M. Hefes. 36
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------- ---------------- --------- --------- ----------- ----------- The Lee G. Vance 2002 Annuity Trust I 0 0 0 0 The Leslie C. Sillcox 2003 Annuity Trust I 0 0 0 0 The Leslie C. Sillcox 2003 Annuity Trust II 0 0 0 0 The Leslie C. Tortora 2002 Annuity Trust I 0 0 0 0 The Leslie C. Tortora 2002 Annuity Trust II 0 0 0 0 Lloyd C. Blankfein 2000 Family Trust 0 0 0 0 The Lloyd C. Blankfein 2002 Annuity Trust I 0 0 0 0 The Louise Rice Townsend 2000 Trust 0 0 0 0 M. Roch Hillenbrand Trust f/b/o C. Justin Hillenbrand New Jersey 0 0 0 0 M. Roch Hillenbrand Trust f/b/o Molly D. Hillenbrand New Jersey 0 0 0 0 The Mallory G. Neidich 2000 Trust 0 0 0 0 The Marc A. Spilker 2000 Family Trust 0 0 0 0 The Mark A. Zurack 2000 Family Trust 0 0 0 0 The Mark A. Zurack 2000 Issue Trust 0 0 0 0 The Mark A. Zurack 2002 Annuity Trust I 0 0 0 0 The Mark A. Zurack 2002 Annuity Trust II 0 0 0 0 The Mark A. Zurack 2003 Annuity Trust I Mark Dehnert Living Trust Illinois 0 0 0 0 The Mark Tercek 2000 Family Trust 0 0 0 0 The Mark Tercek 2002 Annuity Trust I 0 0 0 0 The Mark Tercek 2002 Annuity Trust II 0 0 0 0 The Mark Tercek 2003 Annuity Trust I 0 0 0 0 Marks 2000 (continuing trust) 0 0 0 0 The Mary Agnes Reilly Kiernan 2000 Trust 0 0 0 0 The Mary Ann Casati Trust 0 0 0 0 The Matthew D. Rogers 2000 Trust 0 0 0 0
37
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------- ---------------- --------- --------- ----------- ----------- The Maya Bettina Linden 2000 Trust 0 0 0 0 Melissa Jane Minehan 2001 Trust(33) 0 0 0 0 The Merritt Moore Townsend 2000 Trust 0 0 0 0 The Mesdag Family Trust Delaware 0 0 0 0 The Michael A. Price 2000 Family Trust 0 0 0 0 The Michael D. Ryan 2000 Family Trust 0 0 0 0 The Michael D. Ryan 2002 Annuity Trust II 0 0 0 0 The Michael D. Ryan 2003 Annuity Trust I 0 0 0 0 The Michael J. Zamkow 2000 Family Trust 0 0 0 0 The Michael J. Zamkow 2001 Trust 0 0 0 0 The Michael J. Zamkow 2002 Annuity Trust I 0 0 0 0 The Michael J. Zamkow 2002 Annuity Trust II 0 0 0 0 The Michael Stecher 2000 Trust 0 0 0 0 The Milton R. Berlinski 2002 Annuity Trust I 0 0 0 0 The Milton R. Berlinski 2002 Annuity Trust II 0 0 0 0 The Milton R. Berlinski 2003 Annuity Trust I 0 0 0 0 The Milton R. Berlinski 2003 Annuity Trust II 0 0 0 0 The Milton R. and Jena M. Berlinski 2003 Life Insurance Trust 0 0 0 0 The Mossavar-Rahmani 2000 Family Trust 0 0 0 0 Murphy 2000 (continuing trust)(34) 0 0 0 0 Murphy 2002 GRAT(34) 0 0 0 0 The Natalie Cailyn Rogers 2000 Trust 0 0 0 0 The Nicole Schiller 2000 Trust 0 0 0 0 The Patrick J. Ward 2001 Trust 0 0 0 0 The Peter C. Gerhard 2000 Family Trust 0 0 0 0
- ------------------------- (33) Created by E. Gerald Corrigan. (34) Created by Thomas S. Murphy, Jr. 38
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------- ---------------- --------- --------- ----------- ----------- The Peter C. Gerhard 2002 Annuity Trust I 0 0 0 0 The Peter C. Gerhard 2002 Annuity Trust II 0 0 0 0 The Peter C. Gerhard 2003 Annuity Trust I 0 0 0 0 The Peter C. Gerhard 2003 Annuity Trust II 0 0 0 0 The Peter D. Kiernan, III 2002 Annuity Trust I 0 0 0 0 The Peter D. Kiernan, III 2002 Annuity Trust II 0 0 0 0 The Peter Kiernan IV 2000 Trust 0 0 0 0 The Peter S. Kraus 2002 Annuity Trust I 0 0 0 0 The Peter S. Kraus 2002 Annuity Trust II 0 0 0 0 The Peter S. Kraus 2003 Annuity Trust I 0 0 0 0 The Peter S. Kraus 2003 Annuity Trust II 0 0 0 0 The Philip D. Murphy 2000 Family Trust 0 0 0 0 The Philip D. Murphy 2002 Annuity Trust I 0 0 0 0 The Philip D. and Tammy S. Murphy 2002 Life Insurance Trust 0 0 0 0 The Philip Darivoff 2002 Annuity Trust I 0 0 0 0 The Philip Darivoff 2002 Annuity Trust II 0 0 0 0 The Philip Darivoff 2002 Family Trust 0 0 0 0 The Rachel M. Darivoff 2000 Trust 0 0 0 0 The Ralph F. Rosenberg 2000 Family Trust 0 0 0 0 The Ralph F. Rosenberg 2002 Annuity Trust I 0 0 0 0 The Ralph F. Rosenberg 2002 Annuity Trust II 0 0 0 0 The Ralph F. Rosenberg 2003 Annuity Trust I 0 0 0 0 The Ralph F. Rosenberg 2003 Annuity Trust II 0 0 0 0
39
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------- ---------------- --------- --------- ----------- ----------- Randal M. Fippinger-Millennium Trust(35) 0 0 0 0 The Randolph L. Cowen 2000 Family Trust 0 0 0 0 Rayas Trust(36) Jersey 0 0 0 0 The Rebecca Viniar 2000 Trust 0 0 0 0 The Richard A. Friedman 2002 Annuity Trust I 0 0 0 0 The Richard A. Friedman 2000 Family Trust 0 0 0 0 The Richard A. Sapp 2000 Family Trust 0 0 0 0 The Richard A. Sapp 2002 Annuity Trust I 0 0 0 0 The Richard A. Sapp 2003 Annuity Trust I 0 0 0 0 The Richard E. Witten 2002 Annuity Trust I 0 0 0 0 The Richard E. Witten 2002 Annuity Trust II 0 0 0 0 The Richard E. Witten 2003 Annuity Trust I 0 0 0 0 The Richard E. Witten 2003 Annuity Trust II 0 0 0 0 The Richard G. Sherlund 2002 Annuity Trust I 0 0 0 0 Robert A. Fippinger, Jr. Millennium Trust(37) 0 0 0 0 The Robert B. Litterman 2000 Family Trust 0 0 0 0 The Robert B. Litterman 2002 Annuity Trust I 0 0 0 0 The Robert B. Litterman 2002 Annuity Trust II 0 0 0 0 The Robert B. Morris III 2000 Family Trust 0 0 0 0 The Robert B. Morris III 2002 Annuity Trust I 0 0 0 0 The Robert B. Morris III 2002 Annuity Trust II 0 0 0 0 The Robert B. Morris III 2003 Annuity Trust I 0 0 0 0 The Robert B. Morris III 2003 Annuity Trust II 0 0 0 0 The Robert J. Hurst 2000 Family Trust 0 0 0 0
- ------------------------- (35) Created by Ann F. Kaplan. (36) Created by Emmanuel Roman. (37) Created by Ann F. Kaplan. 40
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------- ---------------- --------- --------- ----------- ----------- The Robert J. Hurst 2002 Annuity Trust I 0 0 0 0 The Robert J. Hurst 2002 Annuity Trust II 0 0 0 0 The Robert J. Hurst 2003 Annuity Trust I 0 0 0 0 The Robert J. Hurst 2003 Annuity Trust II 0 0 0 0 The Robert J. Katz 2002 Annuity Trust I 0 0 0 0 The Robert J. Katz 2002 Annuity Trust II 0 0 0 0 The Robert J. Katz 2003 Annuity Trust I 0 0 0 0 The Robert J. Katz 2003 Annuity Trust II 0 0 0 0 The Robert J. O'Shea 2000 Family Trust 0 0 0 0 The Robert J. O'Shea 2002 Annuity Trust I 0 0 0 0 The Robert J. O'Shea 2002 Annuity Trust II 0 0 0 0 The Robert J. O'Shea 2003 Annuity Trust I 0 0 0 0 The Robert J. O'Shea 2003 Annuity Trust II 0 0 0 0 The Robert J. Pace 2000 Family Trust 0 0 0 0 The Robert J. Pace 2002 Annuity Trust I 0 0 0 0 The Robert J. Pace 2003 Annuity Trust I 0 0 0 0 The Robert J. Pace 2003 Annuity Trust II 0 0 0 0 The Robert K. Steel 2002 Annuity Trust I 0 0 0 0 The Robert K. Steel 2002 Annuity Trust II 0 0 0 0 The Robert K. Steel 2003 Annuity Trust I 0 0 0 0 The Robert K. Steel 2003 Annuity Trust II 0 0 0 0 Robin Neustein 2002 Annuity Trust 0 0 0 0 Robin Neustein 2003 Annuity Trust 0 0 0 0 The Samantha Schiller 2000 Trust 0 0 0 0 The Sarah B. Lopatin 2000 Trust 0 0 0 0
41
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- The Sarah Delacy Kiernan 2000 Trust 0 0 0 0 The Sarah M. Darivoff 2000 Trust 0 0 0 0 The Sarah Rose Berlinski 2000 Trust 0 0 0 0 The Scott B. Kapnick 2000 Family Trust 0 0 0 0 The Scott B. Kapnick 2002 Annuity Trust I 0 0 0 0 The Scott B. Kapnick 2003 Annuity Trust I 0 0 0 0 Scott M. Pinkus 2000 Family Trust New Jersey 0 0 0 0 The Scott S. Prince Trust 0 0 0 0 The Sharmin Mossavar-Rahmani 2002 Annuity Trust I 0 0 0 0 The Sharmin Mossavar-Rahmani 2003 Annuity Trust I 0 0 0 0 The Stephen M. Neidich 2000 Trust 0 0 0 0 The Steven J. Wisch 2001 Family Trust 0 0 0 0 The Steven J. Wisch 2002 Annuity Trust I 0 0 0 0 The Steven J. Wisch 2003 Annuity Trust I 0 0 0 0 The Steven M. Heller, Jr. 2000 Trust 0 0 0 0 The Steven Starker 2001 Family Trust 0 0 0 0 The Steven Starker 2002 Grantor Retained Annuity Trust 0 0 0 0 The Steven T. Mnuchin 2000 Family Trust 0 0 0 0 The Steven T. Mnuchin 2002 Annuity Trust I 0 0 0 0 The Steven T. Mnuchin 2003 Annuity Trust I 0 0 0 0 The Steven T. Mnuchin 2003 Annuity Trust II 0 0 0 0 The Stuart Mark Rothenberg 2000 Family Trust 0 0 0 0 The Stuart Mark Rothenberg 2002 Annuity Trust I 0 0 0 0 The Stuart Mark Rothenberg 2002 Annuity Trust II 0 0 0 0
42
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- The Stuart Mark Rothenberg 2003 Annuity Trust I 0 0 0 0 The Stuart Mark Rothenberg 2003 Annuity Trust II 0 0 0 0 The Suzanne E. Cohen 2000 Trust 0 0 0 0 The Terence M. O' Toole 2000 Family Trust 0 0 0 0 The Terence M. O' Toole 2002 Annuity Trust I 0 0 0 0 The Tess Augusta Linden 2000 Trust 0 0 0 0 The Thomas J. Healey 2001 Annuity Trust New Jersey 0 0 0 0 The Thomas J. Healey 2002 Annuity Trust 0 0 0 0 The Thomas J. Healey 2003 Annuity Trust New Jersey 0 0 0 0 The Thomas J. Healey 2003 Annuity Trust II New Jersey 0 0 0 0 The Thomas K. Montag 2000 Family Trust 0 0 0 0 The Tracy Richard Wolstencroft 2000 Family Trust 0 0 0 0 The Tracy Richard Wolstencroft 2002 Annuity Trust I 0 0 0 0 The Tracy Richard Wolstencroft 2003 Annuity Trust I 0 0 0 0 Trust for the benefit of David Ford, Jr. under Indenture of Trust B of David B. Ford dated 6/16/00 Pennsylvania 0 0 0 0 Trust for the benefit of Jamie Ford under Indenture of Trust B of David B. Ford dated as of 6/16/00 Pennsylvania 0 0 0 0 Trust for the benefit of Megan H. Hagerty u/a DTD 3/26/01(38) New Jersey 0 0 0 0 Trust f/b/o Megan H. Hagerty u/a/d June 5, 2002(38) 0 0 0 0 Trust f/b/o Megan H. Hagerty u/a/d March 26, 2003(38) New Jersey 0 0 0 0 Trust f/b/o Megan H. Hagerty u/a/d June 13, 2003(38) New Jersey Trust for the benefit of Thomas Jeremiah Healey u/a DTD 3/26/01 New Jersey 0 0 0 0
- ------------------------- (38) Created by Thomas J. Healey. 43
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Trust f/b/o Thomas Jeremiah Healey u/a/d June 5, 2002 0 0 0 0 Trust f/b/o Thomas Jeremiah Healey u/a/d March 26, 2003 New Jersey 0 0 0 0 Trust f/b/o Thomas Jeremiah Healey u/a/d June 13, 2003 New Jersey 0 0 0 0 The Unicorn Trust(39) UK 0 0 0 0 Vyrona Trust(40) Jersey 0 0 0 0 The William C. Sherlund 2000 Trust 0 0 0 0 The William Keith Litzenberger Remainder Trust 0 0 0 0 Zachariah Cobrinik 2001 Family Trust 0 0 0 0 The Zachariah Cobrinik Family 2000 Trust 0 0 0 0 Zachariah Cobrinik 2002 Annuity Trust 0 0 0 0 Zachariah Cobrinik 2003 Annuity Trust 0 0 0 0 PARTNERSHIPS ALS Investment Partners, L.P.(41) Delaware 0 0 0 0 Beech Associates, L.P.(42) Delaware 0 0 0 0 Crestley, L.P.(43) Delaware 0 0 0 0 Greenley Partners, L.P.(44) Delaware 0 0 0 0 HEMPA Limited Partnership(45) Delaware 0 0 0 0 JSS Investment Partners, L.P.(46) Delaware 0 0 0 0 The Litzenberger Family Limited Partnership Delaware 0 0 0 0 Mesdag Family Limited Partnership Delaware 0 0 0 0 Mijen Family Partnership(47) Illinois 0 0 0 0 Opatrny Investment Partners, L.P. Delaware 0 0 0 0 Quail Brook GS Partners, L.P.(48) Delaware 0 0 0 0 Rantz GS Investment Partners, L.P. Delaware 0 0 0 0
- ------------------------- (39) Created by Wiet H.M. Pot. (40) Created by Sylvain M. Hefes. (41) Created by Charles B. Seelig, Jr. (42) Created by David B. Ford. (43) Created by Thomas J. Healey. (44) Created by Jaime E. Yordan. (45) Created by Henry M. Paulson, Jr. (46) Created by Jonathan S. Savitz. (47) Created by Peter Layton. (48) Created by Barry L. Zubrow. 44
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Savitz Investment Partners, L.P.(49) Delaware 0 0 0 0 Stone Gate GS Partners, L.P.(50) Delaware 0 0 0 0 Trott GS Investment Partners, L.P. Delaware 0 0 0 0 Tuft GS Investment Partners, L.P. Delaware 0 0 0 0 Ward Investment Partners, L.P. Delaware 0 0 0 0 Windy Hill Investment Company II, L.P.(51) Delaware 0 0 0 0 Winkelried Investment Partners, L.P. Delaware 0 0 0 0 LIMITED LIABILITY COMPANIES The James Coufos Family LLC Delaware 0 0 0 0 The Lawrence Cohen Family LLC Delaware 0 0 0 0 The Rebecca Amitai Family LLC Delaware 0 0 0 0 The Steven Starker Family LLC Delaware 0 0 0 0 CORPORATIONS Anahue Limited(52) Jersey 0 0 0 0 Chambolle Limited(53) Jersey 0 0 0 0 Guapulo Holdings Ltd(54) Jersey 0 0 0 0 HJS2 Limited(55) Cayman Islands 0 0 0 0 Majix Limited(56) Jersey 0 0 0 0 Melalula Limited(57) Jersey 0 0 0 0 RJG Holding Company(58) Cayman Islands 0 0 0 0 Robinelli Limited(59) Jersey 0 0 0 0 Vyrona Holdings Limited(60) Jersey 0 0 0 0 Zurrah Limited(61) Jersey 0 0 0 0
- ------------------------- (49) Created by Peter Savitz. (50) Created by Connie K. Duckworth. (51) Created by Joseph D. Gutman. (52) Created by Andrew A. Chisholm. (53) Created by Emmanuel Roman. (54) Created by Erland S. Karlsson. (55) Created by Hsueh J. Sung. (56) Created by Alok Oberoi. (57) Created by Peter D. Sutherland. (58) Created by Richard J. Gnodde. (59) Created by Claudio Costamagna. (60) Created by Sylvain M. Hefes. (61) Created by Yoel Zaoui. 45 This Amendment No. 42 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. 42 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 persons ("Covered Persons") who beneficially own Common Stock subject to a Shareholders' Agreement ("Covered Shares"), dated as of May 7, 1999, to which the Covered Persons are party (as amended from time to time, the "Shareholders' Agreement"). This filing is being made on behalf of all of the Covered Persons, and their agreement that this filing may be so made is contained in the Shareholders' Agreement. Appendix A hereto also provides the citizenship or place of organization of each Covered Person. Each Covered Person who is an individual (an "Individual Covered Person") is a senior professional employed or formerly employed by GS Inc. or one of its affiliates or a spouse or former spouse thereof. GS Inc. is a global investment banking and securities firm. Each Covered Person who is not an individual is a trust, limited partnership, limited liability company or corporation created by or for an Individual Covered Person for estate planning purposes. Each Covered Person listed in Appendix A under the caption "Partnerships" is a limited partnership of which an Individual Covered Person is general partner. Each Covered Person listed in Appendix A under the caption "Corporations" (a "Corporate Covered Person") is controlled by an Individual Covered Person (the "Controlling Covered Person"). Each Covered Person listed in Appendix A under the caption "Limited Liability Companies" (a "Limited Liability Covered Person") is a limited liability company of which an Individual Covered Person is a managing member. The name, citizenship, business address and present principal occupation or employment of each of the directors and executive officers of each Corporate Covered Person (other than the Controlling Covered Person) are set forth in Annex A hereto. The business address of each Covered Person for purposes of this Schedule is: (i) in the case of entities organized in Jersey or under the laws of the United Kingdom, 26 New Street, St. Helier, Jersey, JE2 3RA; (ii) in the case of entities organized in the Cayman Islands, P.O. Box 309, Ugland House, South Church Street, George Town, Grand Cayman, Cayman Islands; (iii) in the case of entities organized in Bermuda, Victoria Hall, 11 Victoria Street, Hamilton HM11, Bermuda; and (iv) in the case of all other Covered Persons, 85 Broad Street, New York, New York 10004. (d), (e) Except as described in Annex A or Annex B, during the last five years no Covered Person or, to the best knowledge of the Covered Persons, any executive officer or director of a Covered Person, has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction resulting in such Covered Person being subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION The Covered Shares have been and will be acquired by the Covered Persons in the following manner: (i) the former profit participating limited partners active in the business of The Goldman Sachs Group, L.P. ("Group L.P.") (each such former partner, a "PMD" and, collectively, the "PMDs") acquired certain Covered Shares in exchange for their interests in Group L.P. and certain of its affiliates and investee corporations; (ii) the former owners (the "Hull Covered Persons") of Hull and Associates, L.L.C. ("Hull"), the former members (the "SLK Covered Persons") of SLK LLC, the former members (the "Jacobson Covered 46 Persons") of Benjamin Jacobson & Sons, LLC ("Jacobson") and the former members (the "Walter Frank Covered Persons" and, together with the Hull Covered Persons, the SLK Covered Persons and the Jacobson Covered Persons, the "Acquisition Covered Persons") of Walter N. Frank & Co., LLC ("Walter Frank") acquired certain Covered Shares in exchange for their interests in Hull, SLK LLC, Jacobson or Walter Frank, as applicable; (iii) certain Individual Covered Persons have acquired and will acquire beneficial ownership of certain other Covered Shares in connection with GS Inc.'s initial public offering and/or pursuant to GS Inc.'s employee compensation, benefit or similar plans; (iv) certain Individual Covered Persons (the "Transferee Covered Persons") acquired their Covered Shares from other Individual Covered Persons in accordance with pre-existing contractual arrangements or judicial decrees; and (v) certain Covered Persons (the "Estate Planning Covered Persons") have acquired and will acquire beneficial ownership of their Covered Shares as contributions or gifts made by Individual Covered Persons. Covered Persons may from time to time acquire Common Stock not subject to the Shareholders' Agreement ("Uncovered Shares") for investment purposes. Such Common Stock may be acquired with personal funds of or funds borrowed by such Covered Person. ITEM 4. PURPOSE OF TRANSACTIONS The Individual Covered Persons, other than the Acquisition Covered Persons and the Transferee Covered Persons, acquired certain Covered Shares in connection with the succession of GS Inc. to the business of Group L.P. and GS Inc.'s initial public offering and through certain employee compensation, benefit or similar plans of GS Inc. The Acquisition Covered Persons acquired certain Covered Shares in connection with the acquisition by GS Inc. of Hull, Jacobson or Walter Frank or the combination of GS Inc. with SLK LLC, as applicable, and through certain employee compensation, benefit or similar plans of GS Inc. The Transferee Covered Persons acquired their Covered Shares from other Individual Covered Persons in accordance with pre-existing contractual arrangements or judicial decrees. As a condition to the transfer of the Covered Shares, the Shareholders' Committee required that each Transferee Covered Person agree to become a party to the Shareholders' Agreement and to be bound by the Partner Transfer Restrictions referred to in Item 6 below. The Estate Planning Covered Persons acquired the Covered Shares as contributions or gifts made for estate planning purposes by Individual Covered Persons, and the provisions of the organizational documents of certain Estate Planning Covered Persons provide for the distribution of Common Stock to certain other Covered Persons. As a condition to the contribution or gift of the Covered Shares, the Shareholders' Committee required that each Estate Planning Covered Person agree to become a party to the Shareholders' Agreement and to be bound by the Partner Transfer Restrictions referred to in Item 6 below. The board of directors of GS Inc. and, in the case of the PMDs and the Transferee Covered Persons, the Shareholders' Committee have approved sales by the PMDs, Transferee Covered Persons and certain Estate Planning Covered Persons and Acquisition Covered Persons of a portion of their shares of Common Stock through two programs (the "Channel A Sales Program" and the "Channel B Sales Program"). Sales under the Channel A and Channel B Sales Programs commenced on June 26, 2003 and are expected to terminate on or around July 25, 2003. See Annex E for sales since the last amendment to this Schedule 13D. The Channel A and Channel B Sales Programs may continue in subsequent fiscal quarters, but can be suspended, modified or terminated at any time. The participants in the Channel A Sales Program may sell, in a coordinated manner, a portion of their Covered Shares in accordance with the volume and manner of sale limitations of Rule 144 under the Securities Act of 1933, as amended ("Rule 144"), and a volume limitation that will be established by GS Inc. (the "Channel A Sales Limit"). Subject to the volume limitations of Rule 144 and the Channel A Sales Limit, up to 16,655,384 Covered Shares are eligible for sale by Covered Persons under the Channel A Sales Program (of which 411,274 Covered Shares have been sold from June 26, 2003 through June 30, 2003). These consist of those Covered Shares that had been subject to the Partner Transfer Restrictions (as defined below) that lapsed on May 8, 2002 and May 8, 2003, as well as up to 10% of each Covered Person's shares that are subject to the Partner Transfer Restrictions that would otherwise lapse on May 8, 2004 (generally not including shares held through U.S. estate planning vehicles or private charitable foundations). Certain participants in the Channel A Sales Program are effecting their sales pursuant to plans designed to comply 47 with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended, as described in Annex C. With respect to other participants, the decision as to whether and how many shares to sell will be made by each participant on a daily basis, subject to the foregoing limitations. The participants in the Channel B Sales Program may sell, in a coordinated manner, a portion of their shares of Common Stock in accordance with Rule 144(k) and a volume limitation that will be established by GS Inc. (the "Channel B Sales Limit"). Subject to the Channel B Sales Limit, up to 22,981,290 Covered Shares are eligible for sale by Covered Persons under the Channel B Sales Program (of which 2,000,955 Covered Shares have been sold from June 26, 2003 through June 30, 2003). These consist of those Covered Shares that had been subject to the Partner Transfer Restrictions that lapsed on May 8, 2002 and May 8, 2003, as well as up to 10% of each Covered Person's shares that are subject to the Partner Transfer Restrictions that would otherwise lapse on May 8, 2004 (generally not including shares held through U.S. estate planning vehicles or private charitable foundations). The decision as to whether and how many shares to sell will be made by each participant on a daily basis, subject to the volume limitation. Covered Persons may from time to time acquire Uncovered Shares for investment purposes. Except as described herein and except for the acquisition by Covered Persons of Common Stock pursuant to employee compensation, benefit or similar plans of GS Inc. in the future or as described above, none of the Covered Persons has any plans or proposals which relate to or would result in their acquisition of additional Common Stock or any of the other events described in Item 4(a) through 4(j). Each Covered Person is expected to evaluate on an ongoing basis GS Inc.'s financial condition and prospects and his or her interests in and with respect to GS Inc. Accordingly, each Covered Person may change his or her plans and intentions at any time and from time to time. In particular, each Covered Person may at any time and from time to time acquire or dispose of shares of Common Stock. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) Rows (11) and (13) of the cover page to this Schedule, Appendix A and Annex A are hereby incorporated by reference. Each Covered Person hereby disclaims beneficial ownership of any shares of Common Stock held by any other Covered Person. Except as described in Annex D, none of the shares of Common Stock reported in rows (11) and (13) of the cover page to this Schedule and Appendix A are shares as to which there is a right to acquire exercisable within 60 days. (b) Rows (7) through (10) of the cover page to this Schedule, Appendix A and Annex A set forth the percentage range of Covered Shares as to which there is sole power to vote or direct the vote or to dispose or direct the disposition; the number of Uncovered Shares as to which there is sole power to vote or direct the vote or to dispose or direct the disposition; and the number of shares of Common Stock as to which there is shared power to vote or direct the vote or to dispose or direct the disposition. With respect to the Covered Shares subject to the Partner Transfer Restrictions, the power to vote Covered Shares by Covered Persons is shared with each other Covered Person, as described below in response to Item 6. Each Covered Person hereby disclaims beneficial ownership of any shares of Common Stock held by any other Covered Person. (c) Except as described in Annex E or previously reported on Schedule 13D, no Covered Person has effected any transactions in Common Stock in the past 60 days. (d), (e) Not applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Each Covered Person listed on the cover page to this Schedule and Appendix A hereto is a party to the Shareholders' Agreement. The Shareholders' Agreement, and forms of the Counterparts to the Shareholders' Agreement executed by or on behalf of the Estate Planning Covered Persons, certain Hull Covered Persons and the Transferee Covered Persons, are filed as Exhibits to this Schedule and the following summary of the terms of the Shareholders' Agreement is qualified in its entirety by reference thereto. In the case of each SLK Covered Person, certain of the provisions and restrictions discussed below are set forth in 48 an Amended and Restated Member Agreement, dated as of September 10, 2000, and amended and restated as of October 26, 2000 (an "SLK Member Agreement"), between such SLK Covered Person and GS Inc. In the case of each Jacobson Covered Person, certain of the provisions and restrictions discussed below are set forth in a Member Agreement, dated as of January 26, 2001 (the "Jacobson Member Agreement"), between such Jacobson Covered Person and GS Inc. In the case of each Walter Frank Covered Person, certain of the provisions and restrictions discussed below are set forth in a Member Agreement, dated as of May 16, 2002 (the "Walter Frank Member Agreement" and, together with the SLK Member Agreement and the Jacobson Member Agreement, the "Member Agreements"), between such Walter Frank Covered Person and GS Inc. The forms of the Member Agreements are filed as Exhibits to this Schedule and the following summary is qualified in its entirety by reference thereto. References to the "board of directors" are to the board of directors of The Goldman Sachs Group, Inc. The Covered Shares include generally all Common Stock acquired or to be acquired from GS Inc. by the Covered Persons. Covered Shares include: shares of Common Stock acquired by the PMDs in exchange for their interests in Group L.P. and certain of its affiliates; shares of Common Stock acquired by the Acquisition Covered Persons in exchange for their interests in Hull, SLK LLC, Jacobson or Walter Frank, as applicable; shares of Common Stock acquired or to be acquired through the grant of restricted stock units, stock options and interests in a defined contribution plan (except for certain Uncovered Shares as specified in Appendix A); shares of Common Stock acquired by the Transferee Covered Persons in accordance with pre-existing contractual arrangements or judicial decrees; shares of Common Stock acquired or to be acquired by Estate Planning Covered Persons from Individual Covered Persons for estate planning purposes and shares of Common Stock to be distributed by Estate Planning Covered Persons to Individual Covered Persons or to other Estate Planning Covered Persons; and, unless otherwise determined by the board of directors and the Shareholders' Committee, any shares of Common Stock acquired or to be acquired by the Covered Persons from GS Inc. through any other employee compensation, benefit or similar plan. Covered Shares do not include any shares of Common Stock purchased or to be purchased by a Covered Person in the open market or in a subsequent underwritten public offering. TRANSFER RESTRICTIONS Each Individual Covered Person (other than the Transferee Covered Persons and, with respect to the shares of Common Stock received in exchange for their interests in Hull, the Hull Covered Persons) has agreed in the Shareholders' Agreement, among other things, to retain beneficial ownership of Covered Shares at least equal to 25% of the cumulative number of Covered Shares beneficially owned by him or her at the time he or she became a Covered Person or acquired by him or her thereafter and with no credit for dispositions (the "General Transfer Restrictions") for so long as he or she is a Covered Person and an employee of GS Inc. (an "Employee Covered Person"). The PMDs are also subject to limitations on their ability to transfer some of the Covered Shares received in connection with the succession of GS Inc. to the business of Group L.P. Such restrictions also apply to some of the Covered Shares acquired by the Acquisition Covered Persons in exchange for their interests in Hull, SLK LLC, Jacobson or Walter Frank, as applicable. Under these restrictions (the "Partner Transfer Restrictions" and, together with the General Transfer Restrictions, the "Transfer Restrictions"), each PMD, Hull Covered Person, SLK Covered Person and Jacobson Covered Person agreed not to transfer such Covered Shares until after May 7, 2002, the third anniversary of the date of GS Inc.'s initial public offering of its Common Stock, and each Walter Frank Covered Person agreed not to transfer such Covered Shares until after June 26, 2003, the first anniversary of the closing of the acquisition by GS Inc. of Walter Frank. The Partner Transfer Restrictions lapsed as to 25,325,624 Covered Shares on May 8, 2002, 54,786,126 Covered Shares on May 8, 2003 and 177,851 Covered Shares on June 26, 2003, and will lapse as to the remaining Covered Shares beneficially owned by the PMDs, Hull Covered Persons, SLK Covered Persons and Jacobson Covered Persons on May 8, 2004, and as to the Covered Shares beneficially owned by the Walter Frank Covered Persons in equal installments on each of June 26, 2004 and June 26, 2005. The Covered Shares held by each Estate Planning Covered Person and Transferee Covered Person are subject to the same Partner Transfer Restrictions that applied to such Covered Shares prior to such Covered Person's acquisition thereof. The Transfer Restrictions applicable to an Individual Covered Person (and his or her Estate Planning Covered Persons) terminate upon the death of the Individual Covered Person. 49 WAIVERS Except in the case of a third-party tender or exchange offer, the Partner Transfer Restrictions may be waived or terminated at any time by the Shareholders' Committee described below under "Information Regarding the Shareholders' Committee". The Shareholders' Committee also has the power to waive the Transfer Restrictions to permit Covered Persons to: participate as sellers in underwritten public offerings of Common Stock and tender and exchange offers and share repurchase programs by GS Inc.; transfer Covered Shares to charities, including charitable foundations; transfer Covered Shares held in employee benefit plans; and transfer Covered Shares in specific transactions (for example, to immediate family members and trusts) or other circumstances. The Shareholders' Committee permitted the transfers of Covered Shares to the Estate Planning Covered Persons and the Transferee Covered Persons on the condition that each Estate Planning Covered Person and Transferee Covered Person agree to become a party to the Shareholders' Agreement and to be bound by the Partner Transfer Restrictions. On July 31, 2000, the Shareholders' Committee waived the Partner Transfer Restrictions solely to permit certain Covered Persons to pledge a portion of their Covered Shares to obtain approximately $400,000,000 in loan commitments to make investments from time to time in certain merchant banking funds sponsored by GS Inc. The loan commitments are for five years, may be drawn upon from time to time and generally require that any loans be collateralized by shares of Common Stock with a market value four times that of the amount borrowed. Pursuant to Rule 13d-3(d)(3) under the Securities Exchange Act of 1934, as amended, the pledgees did not acquire beneficial ownership of the pledged shares by virtue of the pledge. The Shareholders' Committee and, in the case of the Acquisition Covered Persons, the board of directors waived the Partner Transfer Restrictions to permit the sale of up to an aggregate of 647,058 Covered Shares by certain Covered Persons under the Channel A Sales Program described in Item 4 and up to an aggregate of 2,171,950 Covered Shares by certain Covered Persons under the Channel B Sales Program described in Item 4. These amounts represent no more than 10% of the Covered Shares held by each participant in the Channel A or Channel B Sales Program that are subject to the Partner Transfer Restrictions that would otherwise lapse on May 8, 2004 (generally not including shares held through U.S. estate planning vehicles or private charitable foundations). In the case of a third-party tender or exchange offer, the Transfer Restrictions may be waived or terminated: if the board of directors is recommending acceptance or is not making any recommendation with respect to acceptance of the tender or exchange offer, by a majority of the Voting Interests (as defined below); or if the board of directors is recommending rejection of the tender or exchange offer, by 66 2/3% of the outstanding Voting Interests. In the case of a tender or exchange offer by GS Inc., a majority of the outstanding Voting Interests may also elect to waive or terminate the Transfer Restrictions. VOTING Prior to any vote of the shareholders of GS Inc., the Shareholders' Agreement requires a separate, preliminary vote of the Voting Interests on each matter upon which a vote of the shareholders is proposed to be taken (the "Preliminary Vote"). Each Covered Share held by an Employee Covered Person and each other Covered Share subject to the Partner Transfer Restrictions will be voted in accordance with the majority of the votes cast by the Voting Interests in the Preliminary Vote. In elections of directors, each Covered Share will be voted in favor of the election of those persons receiving the highest numbers of votes cast by the Voting Interests in the Preliminary Vote. "Voting Interests" are Covered Shares beneficially owned by all Employee Covered Persons. OTHER RESTRICTIONS The Shareholders' Agreement also prohibits the Employee Covered Persons from engaging in certain activities relating to any securities of GS Inc. with any person who is not a Covered Person or a director, officer or employee of GS Inc. ("Restricted Persons"). Among other things, an Employee Covered 50 Person may not: participate in a proxy solicitation to or with a Restricted Person; deposit any Covered Shares in a voting trust or subject any Covered Shares to any voting agreement or arrangement that includes any Restricted Person; form, join or in any way participate in a "group" with any Restricted Person; or together with any Restricted Person, propose certain transactions with GS Inc. or seek the removal of any directors of GS Inc. or any change in the composition of the board of directors. TERM, AMENDMENT AND CONTINUATION The Shareholders' Agreement is to continue in effect until the earlier of January 1, 2050 and the time it is terminated by the vote of 66 2/3% of the outstanding Voting Interests. The Partner Transfer Restrictions will not terminate upon the expiration or termination of the Shareholders' Agreement unless previously waived or terminated or unless subsequently waived or terminated by the board of directors. The Shareholders' Agreement may generally be amended at any time by a majority of the outstanding Voting Interests. Unless otherwise terminated, in the event of any transaction in which a third party succeeds to the business of GS Inc. and in which Covered Persons hold securities of the third party, the Shareholders' Agreement will remain in full force and effect as to the securities of the third party, and the third party shall succeed to the rights and obligations of GS Inc. under the Shareholders' Agreement. INFORMATION REGARDING THE SHAREHOLDERS' COMMITTEE The Shareholders' Committee constituted pursuant to the Shareholders' Agreement (the "Shareholders' Committee") shall at any time consist of each of those individuals who are both Employee Covered Persons and members of the board of directors and who agree to serve as members of the Shareholders' Committee. If there are less than three individuals who are both Employee Covered Persons and members of the board of directors and who agree to serve as members of the Shareholders' Committee, the Shareholders' Committee shall consist of each such individual plus such additional individuals who are Employee Covered Persons and who are selected pursuant to procedures established by the Shareholders' Committee as shall assure a Shareholders' Committee of not less than three members who are Employee Covered Persons. Currently, Henry M. Paulson, Jr., John A. Thain and Lloyd C. Blankfein are the members of the Shareholders' Committee. PLEDGE AGREEMENTS Each PMD has pledged (the "IPO Pledge") to GS Inc. Common Stock or other assets with an initial value equal to $15 million for each such person who served on the board of directors on May 7, 1999, the Management Committee or the Partnership Committee of GS Inc. and $10 million for each other such person. This pledge secures the liquidated damages provision of a noncompetition agreement which each such person has entered into with GS Inc. The form of agreement relating to noncompetition and other covenants and the form of pledge agreement, as amended, are filed as Exhibits to this Schedule and the foregoing summary of these agreements is qualified in its entirety by reference thereto. In connection with the transfers by persons subject to a noncompetition agreement to Estate Planning Covered Persons who are corporations and certain transfers to Estate Planning Covered Persons who are trusts, the IPO Pledge was replaced with a guarantee and pledge agreement that was entered into by the relevant Estate Planning Covered Person. In addition, each transferring Covered Person in these transfers was required to pledge the capital stock or trust interests, as applicable, of the relevant Estate Planning Covered Person to GS Inc. in order to further secure the transferring Covered Person's obligations under the noncompetition agreement. The forms of the pledge agreements, as amended, are filed as Exhibits to this Schedule and the foregoing summary of these agreements is qualified in its entirety by reference thereto. On June 25, 2003, a similar arrangement was established with respect to a previously established Estate Planning Covered Person, with the IPO Pledge being replaced by a guarantee and pledge agreement entered into by the Estate Planning Covered Person and the Individual Covered Person pledging his interests in the entity to GS Inc. 51 In connection with GS Inc.'s combination with SLK and acquisitions of Jacobson and Walter Frank, each SLK Covered Person, Jacobson Covered Person and Walter Frank Covered Person who is an individual has pledged to GS Inc. Common Stock or other assets to secure the Covered Person's obligation under his or her Member Agreement to pay liquidated damages upon breach of certain provisions relating to noncompetition and nonsolicitation. The form of each pledge agreement, as amended, is filed as an Exhibit to this Schedule and the foregoing summary of this agreement is qualified in its entirety by reference thereto. In addition to pledges pursuant to the arrangements described in the second paragraph under "Waivers" above, one or more Covered Persons have pledged in the aggregate 1,331,643 Covered Shares to third-party lending institutions 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 and January 8, 2003, GS Inc. entered into a Registration Rights Instrument and four 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 EMPLOYEE MANAGING DIRECTORS In connection with the sale by certain Covered Persons (the "Employee Managing Directors") of shares of Common Stock acquired from GS Inc. pursuant to the terms of restricted stock units, GS Inc. entered into a Supplemental Registration Rights Instrument (the "EMD Supplement"), which supplements the Registration Rights Instrument referred to above. The following is a description of the Registration Rights Instrument, as supplemented by the EMD Supplement. The Registration Rights Instrument and the EMD Supplement are filed as Exhibits to this Schedule, and the following summary of these agreements is qualified in its entirety by reference thereto. Pursuant to the Registration Rights Instrument and the EMD Supplement, GS Inc. has agreed to pay all of the fees and expenses relating to the registered offering of shares of Common Stock held by the Employee Managing Directors, other than any agency fees and commissions or underwriting commissions or discounts or any transfer taxes incurred by the Employee Managing Directors in connection with the sales. GS Inc. also has agreed to indemnify the Employee Managing Directors against certain liabilities, including those arising under the Securities Act. 52 DERIVATIVE INSTRUMENTS Certain Individual Covered Persons have written American-style call options on an aggregate of 2,925,700 Covered Shares with strike prices ranging from $65 to $100 and maturity dates ranging from July 19, 2003 to January 21, 2006. None of these Covered Persons is employed by Goldman Sachs. On May 8, 2003, an Individual Covered Person purchased an American-style put option on 40,000 Covered Shares with a strike price of $70.00 and an expiration date of January 17, 2004 and wrote an American-style call option on 40,000 Covered Shares with a strike price of $85.00 and an expiration date of January 17, 2004. On June 3, 2003, this Individual Covered Person purchased an American-style put option on 30,000 Covered Shares with a strike price of $75.00 and an expiration date of January 17, 2004 and wrote an American-style call option on 30,000 Covered Shares with a strike price of $90.00 and expiration date of January 17, 2004. This Covered Person is not employed by Goldman Sachs. Certain private foundations established by one or more Individual Covered Persons, none of whom are employed by Goldman Sachs, have written American-style call options on an aggregate of 155,100 Uncovered Shares with strike prices ranging from $80 to $90 and maturity dates ranging from July 19, 2003 to October 18, 2003. 53 Material to be Filed as Exhibits
Exhibit Description - ------- ----------- A. Shareholders' Agreement, dated as of May 7, 1999 (incorporated by reference to Exhibit A to the Schedule 13D filed May 17, 1999 (File No. 005-56295) (the "Initial Schedule 13D")). B. Form of Agreement Relating to Noncompetition and Other Covenants (incorporated by reference to Exhibit 10.20 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). C. Form of Pledge Agreement (the "IPO Pledge Agreement") (incorporated by reference to Exhibit 10.21 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). D. Form of Amendment No. 1 to the IPO Pledge Agreement (filed as Exhibit E), dated July 10, 2000 (incorporated by reference to Exhibit F to Amendment No. 4 to the Initial Schedule 13D, filed July 11, 2000 (File No. 005-56295)). E. Registration Rights Instrument, dated as of December 10, 1999 (incorporated by reference to Exhibit G to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)). F. Supplemental Registration Rights Instrument, dated as of December 10, 1999 (incorporated by reference to Exhibit H to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)). G. Form of Counterpart to Shareholders' Agreement for former profit participating limited partners of The Goldman Sachs Group, L.P. (incorporated by reference to Exhibit I to Amendment No. 2 to the Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)). H. Form of Counterpart to Shareholders' Agreement for former retired limited partners of The Goldman Sachs Group, L.P. who are currently managing directors of The Goldman Sachs Group, Inc. (incorporated by reference to Exhibit J to Amendment No. 2 to the Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)). I. Form of Counterpart to Shareholders' Agreement for non-individual former owners of Hull and Associates, L.L.C. (incorporated by reference to Exhibit K to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). J. Form of Counterpart to Shareholders' Agreement for non-U.S. corporations (incorporated by reference to Exhibit L to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). K. Form of Counterpart to Shareholders' Agreement for non-U.S. trusts (incorporated by reference to Exhibit M to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). L. Form of Guarantee and Pledge Agreement for non-U.S. corporations (incorporated by reference to Exhibit N to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). M. Form of Pledge Agreement for shareholders of non-U.S. corporations (incorporated by reference to Exhibit O to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)).
54
Exhibit Description - ------- ----------- N. Form of Pledge Agreement for shareholders of non-U.S. corporations (Jersey version) (incorporated by reference to Exhibit P to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). O. Form of Counterpart to Shareholders' Agreement for Transferee Covered Persons (incorporated by reference to Exhibit Q to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). P. Supplemental Registration Rights Instrument, dated as of June 19, 2000 (incorporated by reference to Exhibit R to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). Q. Power of Attorney (incorporated by reference to Exhibit X to Amendment No. 14 to the Initial Schedule 13D, filed March 29, 2001 (File No. 005-56295)). R. Form of Amended and Restated Member Agreement, dated as of September 10, 2000, and amended and restated as of October 26, 2000, between GS Inc. and each SLK Covered Person (incorporated by reference to Exhibit Y to Amendment No. 10 to the Initial Schedule 13D, filed November 3, 2000 (File No. 005-56295)). S. Form of Pledge Agreement, dated as of October 31, 2000, between GS Inc. and each SLK Covered Person (incorporated by reference to Exhibit Z to Amendment No. 10 to the Initial Schedule 13D, filed November 3, 2000 (File No. 005-56295)). T. Supplemental Registration Rights Instrument, dated as of December 21, 2000 (incorporated by reference to Exhibit AA to Amendment No. 12 to the Initial Schedule 13D, filed January 23, 2001 (File No. 005-56295)). U. Form of Member Agreement, dated as of January 26, 2001, between GS Inc. and each Jacobson Covered Person (incorporated by reference to Exhibit BB to Amendment No. 14 to the Initial Schedule 13D, filed March 28, 2001 (File No. 005-56295)). V. Form of Pledge Agreement, dated as of March 19, 2001, between GS Inc. and each Jacobson Covered Person (incorporated by reference to Exhibit CC to Amendment No. 14 to the Initial Schedule 13D, filed March 28, 2001 (File No. 005-56295)). W. Form of Guarantee and Pledge Agreement for trusts (incorporated by reference to Exhibit DD to Amendment No. 19 to the Initial Schedule 13D, filed October 30, 2001 (File No. 005-56295)). X. Form of Pledge Agreement for beneficiaries of trusts (incorporated by reference to Exhibit EE to Amendment No. 19 to the Initial Schedule 13D, filed October 30, 2001 (File No. 005-56295)). Y. Form of Guarantee and Pledge Agreement for non-U.S. trusts holding Common Stock through non-U.S. corporations (incorporated by reference to Exhibit FF to Amendment No. 20 to the Initial Schedule 13D, filed December 21, 2001 (File No. 005-56295)). Z. Form of Pledge Agreement for beneficiaries of non-U.S. trusts holding Common Stock through non-U.S. corporations (incorporated by reference to Exhibit GG to Amendment No. 20 to the Initial Schedule 13D, filed December 21, 2001 (File No. 005-56295)).
55
Exhibit Description - ------- ----------- AA. Supplemental Registration Rights Instrument, dated as of December 21, 2001 (incorporated by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No. 333-74006) filed by The Goldman Sachs Group, Inc.). BB. Form of Power of Attorney executed by Covered Persons participating in the Channel A Sales Program (incorporated by reference to Exhibit BB to Amendment No. 27 to the Initial Schedule 13D, filed June 20, 2002 (File No. 005-56295)). CC. Form of Member Agreement, dated as of May 16, 2002, between GS Inc. and each Walter Frank Covered Person (incorporated by reference to Exhibit CC to Amendment No. 28 to the Initial Schedule 13D, filed July 5, 2002 (File No. 005-56295)). DD. Form of Pledge Agreement, dated as of June 26, 2002, between GS Inc. and each Walter Frank Covered Person (incorporated by reference to Exhibit DD to Amendment No. 28 to the Initial Schedule 13D, filed July 5, 2002 (File No. 005-56295)). EE. 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.). FF. 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)).
56 ANNEX A INFORMATION REQUIRED AS TO EXECUTIVE OFFICERS AND DIRECTORS OF CORPORATE COVERED PERSONS
- -------------------------------------------------------------------------------------------------------------------- CONVICTIONS OR BENEFICIAL VIOLATIONS OF OWNERSHIP OF THE FEDERAL OR STATE COMMON STOCK OF THE PRESENT LAWS WITHIN THE GOLDMAN SACHS NAME CITIZENSHIP BUSINESS ADDRESS EMPLOYMENT LAST FIVE YEARS GROUP, INC. - -------------------------------------------------------------------------------------------------------------------- Steven M. USA 85 Broad Street Managing Director, None Covered Person, so Bunson New York, NY The Goldman Sachs ownership is as set 10004 Group, Inc. forth in or incorporated into Item 5 above. - -------------------------------------------------------------------------------------------------------------------- Russell E. USA 85 Broad Street Managing Director, None Covered Person, so Makowsky New York, NY The Goldman Sachs ownership is as set 10004 Group, Inc. forth in or incorporated into Item 5 above. - -------------------------------------------------------------------------------------------------------------------- Michael H. UK 26 New Street, Partner, None None Richardson St. Helier, Bedell Cristin Jersey, JE4 3RA - -------------------------------------------------------------------------------------------------------------------- Anthony J. UK 26 New Street, Partner, None None Dessain St. Helier, Bedell Cristin Jersey, JE4 3RA - --------------------------------------------------------------------------------------------------------------------
57 ANNEX B ITEMS 2(D) AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS None. 58 ANNEX C ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS Pursuant to sales plans intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended, each of the Covered Persons listed below may sell up to the number of shares of Common Stock set forth opposite such Covered Person's name under the Channel A Sales Program described in Item 4.
- ---------------------------------------------------------------------------------------------------------------------- NUMBER OF SHARES SOLD FROM JUNE MAXIMUM NUMBER OF SHARES THAT 26, 2003 THROUGH JUNE 30, 2003 COVERED PERSON MAY BE SOLD UNDER THE PLAN UNDER THE PLAN - ---------------------------------------------------------------------------------------------------------------------- Christopher A. Cole 135,000 14,302 - ---------------------------------------------------------------------------------------------------------------------- Suzanne M. Nora Johnson 556,969 100,000 - ---------------------------------------------------------------------------------------------------------------------- Peter S. Kraus 50,000 0 - ---------------------------------------------------------------------------------------------------------------------- Eric M. Mindich 150,000 0 - ---------------------------------------------------------------------------------------------------------------------- Philip D. Murphy 350,000 50,000 - ---------------------------------------------------------------------------------------------------------------------- Gregory K. Palm 100,000 0 - ---------------------------------------------------------------------------------------------------------------------- Esta E. Stecher 50,000 0 - ---------------------------------------------------------------------------------------------------------------------- John S. Weinberg 100,000 0 - ---------------------------------------------------------------------------------------------------------------------- Peter A. Weinberg 165,000 45,000 - ----------------------------------------------------------------------------------------------------------------------
59 ANNEX D ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE EXERCISABLE WITHIN 60 DAYS. An aggregate of 15,461,696 shares of Common Stock are deliverable to Covered Persons upon the exercise of stock options, all of which have vested and are exercisable. Upon delivery, these shares of Common Stock will be Covered Shares. 60 ANNEX E ITEM 5(C). DESCRIPTION OF ALL TRANSACTIONS IN THE COMMON STOCK EFFECTED BY THE COVERED PERSONS IN THE PAST 60 DAYS AND NOT PREVIOUSLY REPORTED ON SCHEDULE 13D On June 26, 2003, 6,054,748 shares of Common Stock were delivered to Covered Persons pursuant to the terms of an equal number of restricted stock units. Upon delivery, these shares of Common Stock became Covered Shares. On June 26, 2003, 75 Individual Covered Persons received an aggregate of 2,889,164 Covered Shares as distributions from previously established Estate Planning Covered Persons, and 46 Individual Covered Persons transferred an aggregate of 1,990,645 Covered Shares to entities created for estate planning purposes. Upon these transfers, certain of the transferor Estate Planning Covered Persons ceased to be, and the transferee entities became, Covered Persons. The following sales of Covered Shares were made by the following Covered Persons through one or more subsidiaries of GS Inc. for cash on the New York Stock Exchange:
- ---------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - ---------------------------------------------------------------------------------- Channel A Sales - ---------------------------------------------------------------------------------- Christopher A. Cole June 26, 2003 4,302 $ 84.05 - ---------------------------------------------------------------------------------- Stephen H. Frank June 26, 2003 3,531 $ 84.05 - ---------------------------------------------------------------------------------- Suzanne Nora Johnson June 26, 2003 86,030 $ 84.05 - ---------------------------------------------------------------------------------- Philip D. Murphy June 26, 2003 43,015 $ 84.05 - ---------------------------------------------------------------------------------- Daniel M. Neidich June 26, 2003 30,000 $ 84.05 - ---------------------------------------------------------------------------------- Eric S. Schwartz June 26, 2003 90,441 $ 84.05 - ---------------------------------------------------------------------------------- Peter A. Weinberg June 26, 2003 38,714 $ 84.05 - ---------------------------------------------------------------------------------- Christopher A. Cole June 27, 2003 5,000 $ 83.22 - ---------------------------------------------------------------------------------- Stephen H. Frank June 27, 2003 20,000 $ 83.22 - ---------------------------------------------------------------------------------- Suzanne Nora Johnson June 27, 2003 13,970 $ 83.22 - ---------------------------------------------------------------------------------- John G. Ketterer III June 27, 2003 10,000 $ 83.22 - ---------------------------------------------------------------------------------- Philip D. Murphy June 27, 2003 6,985 $ 83.22 - ---------------------------------------------------------------------------------- Eric S. Schwartz June 27, 2003 28,000 $ 83.22 - ---------------------------------------------------------------------------------- Peter A. Weinberg June 27, 2003 6,286 $ 83.22 - ---------------------------------------------------------------------------------- Christopher A. Cole June 30, 2003 5,000 $ 83.18 - ---------------------------------------------------------------------------------- Stephen H. Frank June 30, 2003 20,000 $ 83.18 - ---------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------- Channel B Sales - ---------------------------------------------------------------------------------- Frank A. Bednarz June 26, 2003 263 $ 84.09 - ---------------------------------------------------------------------------------- David W. Blood June 26, 2003 59,106 $ 84.09 - ---------------------------------------------------------------------------------- Lawrence A. Cohen June 26, 2003 5,259 $ 84.09 - ---------------------------------------------------------------------------------- Paul C. Deighton June 26, 2003 29,953 $ 84.09 - ---------------------------------------------------------------------------------- Neil V. Desena June 26, 2003 3,945 $ 84.09 - ---------------------------------------------------------------------------------- Glenn P. Earle June 26, 2003 2,298 $ 84.09 - ---------------------------------------------------------------------------------- Pieter Maarten Feenstra June 26, 2003 1,492 $ 84.09 - ---------------------------------------------------------------------------------- Edward C. Forst June 26, 2003 2,630 $ 84.09 - ---------------------------------------------------------------------------------- Peter C. Gerhard June 26, 2003 13,278 $ 84.09 - ---------------------------------------------------------------------------------- Joseph D. Gutman June 26, 2003 5,259 $ 84.09 - ---------------------------------------------------------------------------------- Vyrona Holdings Limited June 26, 2003 9,020 $ 84.09 - ---------------------------------------------------------------------------------- David B. Heller June 26, 2003 789 $ 84.09 - ---------------------------------------------------------------------------------- David L. Henle June 26, 2003 6,574 $ 84.09 - ---------------------------------------------------------------------------------- Barry A. Kaplan June 26, 2003 2,630 $ 84.09 - ---------------------------------------------------------------------------------- Guapulo Holdings Ltd June 26, 2003 1,253 $ 84.09 - ----------------------------------------------------------------------------------
61
- ---------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - ---------------------------------------------------------------------------------- Robert J. Katz June 26, 2003 6,574 $ 84.09 - ---------------------------------------------------------------------------------- William J. Kenney June 26, 2003 6,574 $ 84.09 - ---------------------------------------------------------------------------------- Douglas W. Kimmelman June 26, 2003 9,203 $ 84.09 - ---------------------------------------------------------------------------------- Jonathan L. Kolatch June 26, 2003 2,630 $ 84.09 - ---------------------------------------------------------------------------------- Robert Litterman June 26, 2003 5,259 $ 84.09 - --------------------------------------------------------------------------------- Jonathan M. Lopatin June 26, 2003 1,184 $ 84.09 - ---------------------------------------------------------------------------------- Peter G.C. Mallinson June 26, 2003 5,259 $ 84.09 - ---------------------------------------------------------------------------------- Ronald G. Marks June 26, 2003 526 $ 84.09 - ---------------------------------------------------------------------------------- R. Scott Morris June 26, 2003 263 $ 84.09 - ---------------------------------------------------------------------------------- Kipp M. Nelson June 26, 2003 12,218 $ 84.09 - ---------------------------------------------------------------------------------- Michael E. Novogratz June 26, 2003 4,420 $ 84.09 - ---------------------------------------------------------------------------------- Timothy C. Plaut June 26, 2003 23,837 $ 84.09 - ---------------------------------------------------------------------------------- The Unicorn Trust June 26, 2003 3,080 $ 84.09 - ---------------------------------------------------------------------------------- James P. Riley Jr. June 26, 2003 33,351 $ 84.09 - ---------------------------------------------------------------------------------- Chambolle Limited June 26, 2003 232 $ 84.09 - ---------------------------------------------------------------------------------- Richard M. Ruzika June 26, 2003 4,469 $ 84.09 - ---------------------------------------------------------------------------------- Richard A. Sapp June 26, 2003 6,574 $ 84.09 - ---------------------------------------------------------------------------------- Joseph Sassoon June 26, 2003 1,578 $ 84.09 - ---------------------------------------------------------------------------------- Howard B. Schiller June 26, 2003 2,630 $ 84.09 - ---------------------------------------------------------------------------------- Antoine Schwartz June 26, 2003 5,101 $ 84.09 - ---------------------------------------------------------------------------------- Richard S. Sharp June 26, 2003 26,294 $ 84.09 - ---------------------------------------------------------------------------------- Richard G. Sherlund June 26, 2003 6,574 $ 84.09 - ---------------------------------------------------------------------------------- Howard A. Silverstein June 26, 2003 921 $ 84.09 - ---------------------------------------------------------------------------------- Steven R. Starker June 26, 2003 13,147 $ 84.09 - ---------------------------------------------------------------------------------- Melalula Limited June 26, 2003 1,218 $ 84.09 - ---------------------------------------------------------------------------------- Brian J. Toolan June 26, 2003 10,518 $ 84.09 - ---------------------------------------------------------------------------------- Malcolm B. Turnbull* June 26, 2003 1,315 $ 84.09 - ---------------------------------------------------------------------------------- George H. Walker June 26, 2003 6,196 $ 84.09 - ---------------------------------------------------------------------------------- George W. Wellde Jr. June 26, 2003 6,574 $ 84.09 - ---------------------------------------------------------------------------------- Yasuyo Yamazaki June 26, 2003 2,235 $ 84.09 - ---------------------------------------------------------------------------------- Mark A. Zurack June 26, 2003 1,315 $ 84.09 - ---------------------------------------------------------------------------------- David W. Blood June 27, 2003 148,292 $ 83.29 - ---------------------------------------------------------------------------------- Lawrence A. Cohen June 27, 2003 13,426 $ 83.29 - ---------------------------------------------------------------------------------- Paul C. Deighton June 27, 2003 75,150 $ 83.29 - ---------------------------------------------------------------------------------- Neil V. Desena June 27, 2003 15,913 $ 83.29 - ---------------------------------------------------------------------------------- Glenn P. Earle June 27, 2003 5,765 $ 83.29 - ---------------------------------------------------------------------------------- Pieter Maarten Feenstra June 27, 2003 4,476 $ 83.29 - ---------------------------------------------------------------------------------- Edward C. Forst June 27, 2003 8,951 $ 83.29 - ---------------------------------------------------------------------------------- Christopher G. French June 27, 2003 28,688 $ 83.29 - ---------------------------------------------------------------------------------- Peter C. Gerhard June 27, 2003 33,311 $ 83.29 - ---------------------------------------------------------------------------------- Andrew M. Gordon June 27, 2003 8,951 $ 83.29 - ---------------------------------------------------------------------------------- Joseph D. Gutman June 27, 2003 13,194 $ 83.29 - ---------------------------------------------------------------------------------- Vyrona Holdings Limited June 27, 2003 22,630 $ 83.29 - ---------------------------------------------------------------------------------- David B. Heller June 27, 2003 2,686 $ 83.29 - ---------------------------------------------------------------------------------- David L. Henle June 27, 2003 17,901 $ 83.29 - ---------------------------------------------------------------------------------- Francis J. Ingrassia June 27, 2003 8,951 $ 83.29 - ---------------------------------------------------------------------------------- Guapulo Holdings Ltd June 27, 2003 7,403 $ 83.29 - ---------------------------------------------------------------------------------- Robert J. Katz June 27, 2003 31,327 $ 83.29 - ---------------------------------------------------------------------------------- William J. Kenney June 27, 2003 16,493 $ 83.29 - ---------------------------------------------------------------------------------- Douglas W. Kimmelman June 27, 2003 31,327 $ 83.29 - ---------------------------------------------------------------------------------- Robert Litterman June 27, 2003 17,901 $ 83.29 - ---------------------------------------------------------------------------------- Jonathan M. Lopatin June 27, 2003 4,118 $ 83.29 - ---------------------------------------------------------------------------------- Ronald G. Marks June 27, 2003 8,951 $ 83.29 - ----------------------------------------------------------------------------------
62
- ---------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - ---------------------------------------------------------------------------------- R. Scott Morris June 27, 2003 896 $ 83.29 - ---------------------------------------------------------------------------------- Sharmin Mossavar-Rahmani June 27, 2003 8,951 $ 83.29 - ---------------------------------------------------------------------------------- Kipp M. Nelson June 27, 2003 30,654 $ 83.29 - ---------------------------------------------------------------------------------- Timothy C. Plaut June 27, 2003 59,804 $ 83.29 - ---------------------------------------------------------------------------------- The Unicorn Trust June 27, 2003 18,211 $ 83.29 - ---------------------------------------------------------------------------------- James P. Riley Jr. June 27, 2003 83,673 $ 83.29 - ---------------------------------------------------------------------------------- Chambolle Limited June 27, 2003 1,368 $ 83.29 - ---------------------------------------------------------------------------------- Richard M. Ruzika June 27, 2003 11,210 $ 83.29 - ---------------------------------------------------------------------------------- Richard A. Sapp June 27, 2003 22,377 $ 83.29 - ---------------------------------------------------------------------------------- Joseph Sassoon June 27, 2003 5,371 $ 83.29 - ---------------------------------------------------------------------------------- Howard B. Schiller June 27, 2003 8,951 $ 83.29 - ---------------------------------------------------------------------------------- Antoine Schwartz June 27, 2003 24,834 $ 83.29 - ---------------------------------------------------------------------------------- Charles B. Seelig Jr. June 27, 2003 22,377 $ 83.29 - ---------------------------------------------------------------------------------- Richard S. Sharp June 27, 2003 89,505 $ 83.29 - ---------------------------------------------------------------------------------- Richard G. Sherlund June 27, 2003 22,377 $ 83.29 - ---------------------------------------------------------------------------------- Howard A. Silverstein June 27, 2003 3,581 $ 83.29 - ---------------------------------------------------------------------------------- Daniel W. Stanton June 27, 2003 17,901 $ 83.29 - ---------------------------------------------------------------------------------- Steven R. Starker June 27, 2003 22,377 $ 83.29 - ---------------------------------------------------------------------------------- Melalula Limited June 27, 2003 7,197 $ 83.29 - ---------------------------------------------------------------------------------- John R. Tormondsen June 27, 2003 5,371 $ 83.29 - ---------------------------------------------------------------------------------- George H. Walker June 27, 2003 15,544 $ 83.29 - ---------------------------------------------------------------------------------- Yasuyo Yamazaki June 27, 2003 5,608 $ 83.29 - ---------------------------------------------------------------------------------- Mark A. Zurack June 27, 2003 4,476 $ 83.29 - ---------------------------------------------------------------------------------- David W. Blood June 30, 2003 17,389 $ 82.97 - ---------------------------------------------------------------------------------- Robinelli Limited June 30, 2003 51,411 $ 82.97 - ---------------------------------------------------------------------------------- Paul C. Deighton June 30, 2003 33,878 $ 82.97 - ---------------------------------------------------------------------------------- Glenn P. Earle June 30, 2003 15,000 $ 82.97 - ---------------------------------------------------------------------------------- Vyrona Holdings Limited June 30, 2003 57,386 $ 82.97 - ---------------------------------------------------------------------------------- David B. Heller June 30, 2003 3,000 $ 82.97 - ---------------------------------------------------------------------------------- M. Roch Hillenbrand June 30, 2003 5,000 $ 82.97 - ---------------------------------------------------------------------------------- Guapulo Holdings Ltd June 30, 2003 5,630 $ 82.97 - ---------------------------------------------------------------------------------- Robert J. Katz June 30, 2003 15,000 $ 82.97 - ---------------------------------------------------------------------------------- David G. Lambert June 30, 2003 1,000 $ 82.97 - ---------------------------------------------------------------------------------- Mijen Family Partnership June 30, 2003 2,425 $ 82.97 - ---------------------------------------------------------------------------------- Robert Litterman June 30, 2003 9,968 $ 82.97 - ---------------------------------------------------------------------------------- Jonathan M. Lopatin June 30, 2003 4,700 $ 82.97 - ---------------------------------------------------------------------------------- Ronald G. Marks June 30, 2003 5,000 $ 82.97 - ---------------------------------------------------------------------------------- Kipp M. Nelson June 30, 2003 33,303 $ 82.97 - ---------------------------------------------------------------------------------- Timothy J. O'Neill June 30, 2003 50,968 $ 82.97 - ---------------------------------------------------------------------------------- Timothy C. Plaut June 30, 2003 32,101 $ 82.97 - ---------------------------------------------------------------------------------- The Unicorn Trust June 30, 2003 13,848 $ 82.97 - ---------------------------------------------------------------------------------- James P. Riley Jr. June 30, 2003 70,043 $ 82.97 - ---------------------------------------------------------------------------------- Chambolle Limited June 30, 2003 1,040 $ 82.97 - ---------------------------------------------------------------------------------- Michael S. Rubinoff June 30, 2003 12,093 $ 82.97 - ---------------------------------------------------------------------------------- Richard M. Ruzika June 30, 2003 1,314 $ 82.97 - ---------------------------------------------------------------------------------- Richard A. Sapp June 30, 2003 5,000 $ 82.97 - ---------------------------------------------------------------------------------- Joseph Sassoon June 30, 2003 4,000 $ 82.97 - ---------------------------------------------------------------------------------- Antoine Schwartz June 30, 2003 8,463 $ 82.97 - ---------------------------------------------------------------------------------- Richard G. Sherlund June 30, 2003 25,000 $ 82.97 - ---------------------------------------------------------------------------------- Howard A. Silverstein June 30, 2003 3,500 $ 82.97 - ---------------------------------------------------------------------------------- Christian J. Siva-Jothy June 30, 2003 16,000 $ 82.97 - ---------------------------------------------------------------------------------- Melalula Limited June 30, 2003 5,472 $ 82.97 - ---------------------------------------------------------------------------------- Brian J. Toolan June 30, 2003 29,482 $ 82.97 - ----------------------------------------------------------------------------------
63
- ---------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - ---------------------------------------------------------------------------------- John R. Tormondsen June 30, 2003 5,000 $ 82.97 - ---------------------------------------------------------------------------------- Barry S. Volpert June 30, 2003 20,000 $ 82.97 - ---------------------------------------------------------------------------------- George H. Walker June 30, 2003 1,822 $ 82.97 - ---------------------------------------------------------------------------------- Yasuyo Yamazaki June 30, 2003 1,500 $ 82.97 - ---------------------------------------------------------------------------------- Joseph R. Zimmel June 30, 2003 57,782 $ 82.97 - ---------------------------------------------------------------------------------- Mark A. Zurack June 30, 2003 3,000 $ 82.97 - ---------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------- Other Sales - ---------------------------------------------------------------------------------- Alok Oberoi June 13, 2003 5,000 $ 90.00 - ---------------------------------------------------------------------------------- Robert B. Morris III June 13, 2003 60,000 $ 90.44 - ---------------------------------------------------------------------------------- Amy O. Goodfriend June 13, 2003 2,500 $ 89.16 - ---------------------------------------------------------------------------------- Edward A. Mule June 13, 2003 10,000 $ 89.46 - ---------------------------------------------------------------------------------- Greg M. Ostroff June 13, 2003 1,000 $ 90.14 - ---------------------------------------------------------------------------------- Arthur J. Reimers III June 13, 2003 100,000 $ 89.50 - ---------------------------------------------------------------------------------- Danny O. Yee June 13, 2003 10,000 $ 90.50 - ---------------------------------------------------------------------------------- Andrew M. Alper June 16, 2003 5,000 $ 90.60 - ---------------------------------------------------------------------------------- Robert B. Morris III June 16, 2003 40,000 $ 90.45 - ---------------------------------------------------------------------------------- T. Willem Mesdag June 16, 2003 100,000 $ 91.00 - ---------------------------------------------------------------------------------- Greg M. Ostroff June 16, 2003 1,000 $ 90.91 - ---------------------------------------------------------------------------------- Arthur J. Reimers III June 16, 2003 50,000 $ 90.00 - ---------------------------------------------------------------------------------- Mark Schwartz June 16, 2003 15,000 $ 90.65 - ---------------------------------------------------------------------------------- Mark Schwartz June 16, 2003 10,000 $ 91.00 - ---------------------------------------------------------------------------------- James M. Sheridan June 16, 2003 10,000 $ 90.80 - ---------------------------------------------------------------------------------- Fredric E. Steck June 16, 2003 5,000 $ 91.05 - ---------------------------------------------------------------------------------- Richard E. Witten June 16, 2003 5,000 $ 90.75 - ---------------------------------------------------------------------------------- Richard E. Witten June 16, 2003 5,000 $ 91.50 - ---------------------------------------------------------------------------------- Steven J. Wisch June 16, 2003 5,000 $ 90.10 - ---------------------------------------------------------------------------------- Danny O. Yee June 16, 2003 20,000 $ 90.25 - ---------------------------------------------------------------------------------- Andrew M. Alper June 17, 2003 5,000 $ 91.50 - ---------------------------------------------------------------------------------- John O. Downing June 17, 2003 7,500 $ 91.00 - ---------------------------------------------------------------------------------- J. David Rogers June 17, 2003 20,000 $ 91.70 - ---------------------------------------------------------------------------------- Arthur J. Reimers III June 17, 2003 10,000 $ 91.50 - ---------------------------------------------------------------------------------- Steven J. Wisch June 17, 2003 5,000 $ 91.58 - ---------------------------------------------------------------------------------- Steven J. Wisch June 18, 2003 15,000 $ 89.07 - ---------------------------------------------------------------------------------- Greg M. Ostroff June 19, 2003 1,000 $ 86.78 - ---------------------------------------------------------------------------------- Alok Oberoi June 20, 2003 15,000 $ 85.00 - ---------------------------------------------------------------------------------- Amy O. Goodfriend June 20, 2003 2,500 $ 86.05 - ---------------------------------------------------------------------------------- Amy O. Goodfriend June 20, 2003 2,500 $ 86.82 - ---------------------------------------------------------------------------------- Robert H. Litzenberger June 20, 2003 40,000 $ 80.00 - ---------------------------------------------------------------------------------- T. Willem Mesdag June 20, 2003 50,000 $ 75.00 - ---------------------------------------------------------------------------------- T. Willem Mesdag June 20, 2003 50,000 $ 80.00 - ---------------------------------------------------------------------------------- Greg M. Ostroff June 20, 2003 1,000 $ 86.70 - ---------------------------------------------------------------------------------- Amy O. Goodfriend June 23, 2003 2,500 $ 85.00 - ---------------------------------------------------------------------------------- Amy O. Goodfriend June 23, 2003 2,500 $ 85.05 - ---------------------------------------------------------------------------------- Zachariah Cobrinik June 23, 2003 12,499 $ 85.14 - ---------------------------------------------------------------------------------- John O. Downing June 23, 2003 10,000 $ 85.24 - ---------------------------------------------------------------------------------- Michael G. Rantz June 23, 2003 25,000 $ 85.75 - ---------------------------------------------------------------------------------- Greg M. Ostroff June 24, 2003 1,000 $ 86.31 - ---------------------------------------------------------------------------------- Michael G. Rantz June 24, 2003 50,000 $ 86.32 - ---------------------------------------------------------------------------------- Peter C. Aberg June 26, 2003 2,000 $ 84.09 - ---------------------------------------------------------------------------------- Raanan A. Agus June 26, 2003 2,000 $ 84.09 - ---------------------------------------------------------------------------------- Francois Andriot June 26, 2003 4,453 $ 84.09 - ---------------------------------------------------------------------------------- John A. Ashdown June 26, 2003 862 $ 84.09 - ----------------------------------------------------------------------------------
64
- ---------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - ---------------------------------------------------------------------------------- John A. Ashdown June 26, 2003 1,700 $ 84.09 - ---------------------------------------------------------------------------------- Neil Z. Auerbach June 26, 2003 500 $ 84.09 - ---------------------------------------------------------------------------------- Christopher M. Barter June 26, 2003 2,771 $ 84.09 - ---------------------------------------------------------------------------------- Stacy Bash-Polley June 26, 2003 850 $ 84.09 - ---------------------------------------------------------------------------------- Jonathan A. Beinner June 26, 2003 3,000 $ 84.09 - ---------------------------------------------------------------------------------- Jordan M. Bender June 26, 2003 1,200 $ 84.09 - ---------------------------------------------------------------------------------- Charles W.A. Bott June 26, 2003 3,000 $ 84.09 - ---------------------------------------------------------------------------------- Thomas C. Brasco June 26, 2003 7,500 $ 84.09 - ---------------------------------------------------------------------------------- Timothy J. Bridges June 26, 2003 400 $ 84.09 - ---------------------------------------------------------------------------------- Steven M. Bunson June 26, 2003 2,000 $ 84.09 - ---------------------------------------------------------------------------------- George H. Butcher III June 26, 2003 3,806 $ 84.09 - ---------------------------------------------------------------------------------- Lawrence V. Calcano June 26, 2003 10,000 $ 84.09 - ---------------------------------------------------------------------------------- Laurie G. Campbell June 26, 2003 2,392 $ 84.09 - ---------------------------------------------------------------------------------- Gerald J. Cardinale June 26, 2003 1,000 $ 84.09 - ---------------------------------------------------------------------------------- Mark M. Carhart June 26, 2003 1,500 $ 84.09 - ---------------------------------------------------------------------------------- Mariafrancesca Carli June 26, 2003 5,219 $ 84.09 - ---------------------------------------------------------------------------------- Amy L. Chasen June 26, 2003 2,273 $ 84.09 - ---------------------------------------------------------------------------------- Sacha A. Chiaramonte June 26, 2003 3,800 $ 84.09 - ---------------------------------------------------------------------------------- Marta Z. Cotton June 26, 2003 1,400 $ 84.09 - ---------------------------------------------------------------------------------- Eric J. Coutts June 26, 2003 3,864 $ 84.09 - ---------------------------------------------------------------------------------- John S. Daly June 26, 2003 2,171 $ 84.09 - ---------------------------------------------------------------------------------- Luigi de Vecchi June 26, 2003 4,487 $ 84.09 - ---------------------------------------------------------------------------------- Michele I. Docharty June 26, 2003 1,500 $ 84.09 - ---------------------------------------------------------------------------------- James H. Donovan June 26, 2003 6,134 $ 84.09 - ---------------------------------------------------------------------------------- William C. Dudley June 26, 2003 5,983 $ 84.09 - ---------------------------------------------------------------------------------- Matthieu B. Duncan June 26, 2003 8,104 $ 84.09 - ---------------------------------------------------------------------------------- Jay S. Dweck June 26, 2003 15,657 $ 84.09 - ---------------------------------------------------------------------------------- Herbert E. Ehlers June 26, 2003 6,814 $ 84.09 - ---------------------------------------------------------------------------------- Robert K. Ehudin June 26, 2003 400 $ 84.09 - ---------------------------------------------------------------------------------- John E. Eisenberg June 26, 2003 400 $ 84.09 - ---------------------------------------------------------------------------------- Katherine B. Enquist June 26, 2003 100 $ 84.09 - ---------------------------------------------------------------------------------- Earl S. Enzer June 26, 2003 1,300 $ 84.09 - ---------------------------------------------------------------------------------- George C. Estey June 26, 2003 2,000 $ 84.09 - ---------------------------------------------------------------------------------- Bruce J. Evans June 26, 2003 1,000 $ 84.09 - ---------------------------------------------------------------------------------- Ian J. Evans June 26, 2003 2,000 $ 84.09 - ---------------------------------------------------------------------------------- Pierre-Henri Flamand June 26, 2003 352 $ 84.09 - ---------------------------------------------------------------------------------- Orit P. Freedman June 26, 2003 5,630 $ 84.09 - ---------------------------------------------------------------------------------- Matthias K. Frisch June 26, 2003 1,000 $ 84.09 - ---------------------------------------------------------------------------------- C. Douglas Fuge June 26, 2003 5,006 $ 84.09 - ---------------------------------------------------------------------------------- Robert R. Gheewalla June 26, 2003 1,500 $ 84.09 - ---------------------------------------------------------------------------------- Gary T. Giglio June 26, 2003 10,916 $ 84.09 - ---------------------------------------------------------------------------------- Daniel C. Goldwater June 26, 2003 2,217 $ 84.09 - ---------------------------------------------------------------------------------- David J. Greenwald June 26, 2003 1,000 $ 84.09 - ---------------------------------------------------------------------------------- David R. Hansen June 26, 2003 1,725 $ 84.09 - ---------------------------------------------------------------------------------- Mary L. Harmon June 26, 2003 869 $ 84.09 - ---------------------------------------------------------------------------------- Roger C. Harper June 26, 2003 5,138 $ 84.09 - ---------------------------------------------------------------------------------- Rumiko Hasegawa June 26, 2003 2,325 $ 84.09 - ---------------------------------------------------------------------------------- Michael I. Hill June 26, 2003 2,700 $ 84.09 - ---------------------------------------------------------------------------------- Timothy E. Hodgson June 26, 2003 7,901 $ 84.09 - ---------------------------------------------------------------------------------- Michael R. Housden June 26, 2003 1,074 $ 84.09 - ---------------------------------------------------------------------------------- Terry P. Hughes June 26, 2003 5,925 $ 84.09 - ---------------------------------------------------------------------------------- Richard I. Jaffee June 26, 2003 3,458 $ 84.09 - ---------------------------------------------------------------------------------- Andrew R. Jessop June 26, 2003 1,770 $ 84.09 - ----------------------------------------------------------------------------------
65
- ---------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - ---------------------------------------------------------------------------------- Daniel J. Jick June 26, 2003 6,595 $ 84.09 - ---------------------------------------------------------------------------------- David A. Kaplan June 26, 2003 4,996 $ 84.09 - ---------------------------------------------------------------------------------- Jason S. Kaplan June 26, 2003 3,750 $ 84.09 - ---------------------------------------------------------------------------------- Rustom N. Khandalavala June 26, 2003 2,000 $ 84.09 - ---------------------------------------------------------------------------------- Timothy M. Kingston June 26, 2003 2,000 $ 84.09 - ---------------------------------------------------------------------------------- Ewan M. Kirk June 26, 2003 9,250 $ 84.09 - ---------------------------------------------------------------------------------- Daniel H. Klebes II June 26, 2003 7,896 $ 84.09 - ---------------------------------------------------------------------------------- Eiichiro Kuwana June 26, 2003 4,000 $ 84.09 - ---------------------------------------------------------------------------------- John J. Lauto June 26, 2003 2,927 $ 84.09 - ---------------------------------------------------------------------------------- Andrew D. Learoyd June 26, 2003 6,853 $ 84.09 - ---------------------------------------------------------------------------------- Stephen C. Lichtenauer June 26, 2003 1,000 $ 84.09 - ---------------------------------------------------------------------------------- Ryan D. Limaye June 26, 2003 1,000 $ 84.09 - ---------------------------------------------------------------------------------- Kevin L. Lundeen June 26, 2003 3,474 $ 84.09 - ---------------------------------------------------------------------------------- Shogo Maeda June 26, 2003 5,888 $ 84.09 - ---------------------------------------------------------------------------------- Russell E. Makowsky June 26, 2003 1,026 $ 84.09 - ---------------------------------------------------------------------------------- Jacques Martin June 26, 2003 200 $ 84.09 - ---------------------------------------------------------------------------------- Thomas J. McAdam June 26, 2003 3,352 $ 84.09 - ---------------------------------------------------------------------------------- John C. McIntire June 26, 2003 10,541 $ 84.09 - ---------------------------------------------------------------------------------- Audrey A. McNiff June 26, 2003 9,502 $ 84.09 - ---------------------------------------------------------------------------------- Christian A. Meissner June 26, 2003 8,492 $ 84.09 - ---------------------------------------------------------------------------------- Andrew L. Metcalfe June 26, 2003 2,257 $ 84.09 - ---------------------------------------------------------------------------------- Michael R. Miele June 26, 2003 7,486 $ 84.09 - ---------------------------------------------------------------------------------- Therese L. Miller June 26, 2003 1,500 $ 84.09 - ---------------------------------------------------------------------------------- Christopher K. Norton June 26, 2003 7,080 $ 84.09 - ---------------------------------------------------------------------------------- Jay S. Nydick June 26, 2003 3,600 $ 84.09 - ---------------------------------------------------------------------------------- L. Peter O'Hagan June 26, 2003 2,231 $ 84.09 - ---------------------------------------------------------------------------------- Arthur J. Peponis June 26, 2003 12,369 $ 84.09 - ---------------------------------------------------------------------------------- David E. Perlin June 26, 2003 1,964 $ 84.09 - ---------------------------------------------------------------------------------- Kevin A. Quinn June 26, 2003 4,424 $ 84.09 - ---------------------------------------------------------------------------------- William M. Quinn June 26, 2003 500 $ 84.09 - ---------------------------------------------------------------------------------- Charlotte P. Ransom June 26, 2003 2,500 $ 84.09 - ---------------------------------------------------------------------------------- Michael J. Richman June 26, 2003 707 $ 84.09 - ---------------------------------------------------------------------------------- Jacob D. Rosengarten June 26, 2003 1,507 $ 84.09 - ---------------------------------------------------------------------------------- Ivan Ross June 26, 2003 2,600 $ 84.09 - ---------------------------------------------------------------------------------- Michael S. Rotter June 26, 2003 4,191 $ 84.09 - ---------------------------------------------------------------------------------- John P. Rustum June 26, 2003 1,668 $ 84.09 - ---------------------------------------------------------------------------------- Katsunori Sago June 26, 2003 12,582 $ 84.09 - ---------------------------------------------------------------------------------- Stephen M. Scherr June 26, 2003 1,673 $ 84.09 - ---------------------------------------------------------------------------------- Jeffrey W. Schroeder June 26, 2003 6,115 $ 84.09 - ---------------------------------------------------------------------------------- Thomas M. Schwartz June 26, 2003 8,295 $ 84.09 - ---------------------------------------------------------------------------------- Richard P. Simon June 26, 2003 5,000 $ 84.09 - ---------------------------------------------------------------------------------- Ravi M. Singh June 26, 2003 5,254 $ 84.09 - ---------------------------------------------------------------------------------- Jeffrey S. Sloan June 26, 2003 1,785 $ 84.09 - ---------------------------------------------------------------------------------- Derek S. Smith June 26, 2003 9,380 $ 84.09 - ---------------------------------------------------------------------------------- Randolph C. Snook June 26, 2003 4,000 $ 84.09 - ---------------------------------------------------------------------------------- Daniel L. Sparks June 26, 2003 2,000 $ 84.09 - ---------------------------------------------------------------------------------- Andrew J. Stuart June 26, 2003 3,500 $ 84.09 - ---------------------------------------------------------------------------------- Howard B. Surloff June 26, 2003 112 $ 84.09 - ---------------------------------------------------------------------------------- Daisuke Toki June 26, 2003 2,000 $ 84.09 - ---------------------------------------------------------------------------------- Peter K. Tomozawa June 26, 2003 900 $ 84.09 - ---------------------------------------------------------------------------------- Stephen S. Trevor June 26, 2003 7,189 $ 84.09 - ---------------------------------------------------------------------------------- Irene Y. Tse June 26, 2003 2,276 $ 84.09 - ---------------------------------------------------------------------------------- Barry S. Turkanis June 26, 2003 2,296 $ 84.09 - ----------------------------------------------------------------------------------
66
- ---------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - ---------------------------------------------------------------------------------- Ashok Varadhan June 26, 2003 10,648 $ 84.09 - ---------------------------------------------------------------------------------- David M. Weil June 26, 2003 8,000 $ 84.09 - ---------------------------------------------------------------------------------- Scott R. Weinstein June 26, 2003 700 $ 84.09 - ---------------------------------------------------------------------------------- Martin M. Werner June 26, 2003 2,700 $ 84.09 - ---------------------------------------------------------------------------------- Richard T. Wertz June 26, 2003 675 $ 84.09 - ---------------------------------------------------------------------------------- Melanie J. White June 26, 2003 1,420 $ 84.09 - ---------------------------------------------------------------------------------- A. Carver Wickman June 26, 2003 18,689 $ 84.09 - ---------------------------------------------------------------------------------- Elisha Wiesel June 26, 2003 2,120 $ 84.09 - ---------------------------------------------------------------------------------- C. Howard Wietschner June 26, 2003 265 $ 84.09 - ---------------------------------------------------------------------------------- David D. Wildermuth June 26, 2003 100 $ 84.09 - ---------------------------------------------------------------------------------- Meurig R. Williams June 26, 2003 464 $ 84.09 - ---------------------------------------------------------------------------------- Michael S. Wishart June 26, 2003 16,710 $ 84.09 - ---------------------------------------------------------------------------------- William H. Wolf Jr. June 26, 2003 500 $ 84.09 - ---------------------------------------------------------------------------------- Neil J. Wright June 26, 2003 297 $ 84.09 - ---------------------------------------------------------------------------------- Raanan A. Agus June 27, 2003 2,000 $ 83.29 - ---------------------------------------------------------------------------------- Mark E. Bamford June 27, 2003 5,080 $ 83.29 - ---------------------------------------------------------------------------------- Jonathan A. Beinner June 27, 2003 5,448 $ 83.29 - ---------------------------------------------------------------------------------- Jordan M. Bender June 27, 2003 500 $ 83.29 - ---------------------------------------------------------------------------------- Steven M. Bunson June 27, 2003 2,000 $ 83.29 - ---------------------------------------------------------------------------------- John D. Campbell June 27, 2003 600 $ 83.29 - ---------------------------------------------------------------------------------- Mark J. Carlebach June 27, 2003 586 $ 83.29 - ---------------------------------------------------------------------------------- Robert J. Christie June 27, 2003 6,000 $ 83.29 - ---------------------------------------------------------------------------------- Philip A. Cooper June 27, 2003 4,000 $ 83.29 - ---------------------------------------------------------------------------------- Stephen D. Daniel June 27, 2003 2,767 $ 83.29 - ---------------------------------------------------------------------------------- James Del Favero June 27, 2003 3,174 $ 83.29 - ---------------------------------------------------------------------------------- Stephen D. Dias June 27, 2003 1,300 $ 83.29 - ---------------------------------------------------------------------------------- Katherine B. Enquist June 27, 2003 100 $ 83.29 - ---------------------------------------------------------------------------------- Steven M. Feldman June 27, 2003 4,000 $ 83.29 - ---------------------------------------------------------------------------------- Robert R. Gheewalla June 27, 2003 1,000 $ 83.29 - ---------------------------------------------------------------------------------- Scott A. Gieselman June 27, 2003 3,960 $ 83.29 - ---------------------------------------------------------------------------------- Thomas J. Healey June 27, 2003 120,454 $ 83.26 - ---------------------------------------------------------------------------------- Thomas J. Kenny June 27, 2003 1,000 $ 83.29 - ---------------------------------------------------------------------------------- Rustom N. Khandalavala June 27, 2003 1,000 $ 83.29 - ---------------------------------------------------------------------------------- Kenneth H.M. Leet June 27, 2003 14,077 $ 83.29 - ---------------------------------------------------------------------------------- Ryan D. Limaye June 27, 2003 1,000 $ 83.29 - ---------------------------------------------------------------------------------- Russell E. Makowsky June 27, 2003 1,000 $ 83.29 - ---------------------------------------------------------------------------------- David J. Marshall June 27, 2003 502 $ 83.29 - ---------------------------------------------------------------------------------- Jacques Martin June 27, 2003 500 $ 83.29 - ---------------------------------------------------------------------------------- Lynn M. McCormick June 27, 2003 800 $ 83.29 - ---------------------------------------------------------------------------------- Gregory T. Mount June 27, 2003 6,145 $ 83.29 - ---------------------------------------------------------------------------------- Markus J. Noe-Nordberg June 27, 2003 354 $ 83.29 - ---------------------------------------------------------------------------------- L. Peter O'Hagan June 27, 2003 1,000 $ 83.29 - ---------------------------------------------------------------------------------- David B. Philip June 27, 2003 2,200 $ 83.29 - ---------------------------------------------------------------------------------- Andrea Ponti June 27, 2003 5,094 $ 83.29 - ---------------------------------------------------------------------------------- Kevin A. Quinn June 27, 2003 2,500 $ 83.29 - ---------------------------------------------------------------------------------- Jean Raby June 27, 2003 1,000 $ 83.29 - ---------------------------------------------------------------------------------- John J. Rafter June 27, 2003 1,200 $ 83.29 - ---------------------------------------------------------------------------------- Eileen P. Rominger June 27, 2003 6,000 $ 83.29 - ---------------------------------------------------------------------------------- Pamela P. Root June 27, 2003 600 $ 83.29 - ---------------------------------------------------------------------------------- Stephen M. Scherr June 27, 2003 1,673 $ 83.29 - ---------------------------------------------------------------------------------- John P. Shaughnessy June 27, 2003 12,825 $ 83.29 - ---------------------------------------------------------------------------------- Daniel M. Shefter June 27, 2003 700 $ 83.29 - ---------------------------------------------------------------------------------- Daniel L. Sparks June 27, 2003 1,751 $ 83.29 - ----------------------------------------------------------------------------------
67
- ---------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - ---------------------------------------------------------------------------------- Chase O. Stevenson June 27, 2003 2,054 $ 83.29 - ---------------------------------------------------------------------------------- Christopher H. Turner June 27, 2003 9,509 $ 83.29 - ---------------------------------------------------------------------------------- Kaysie P. Uniacke June 27, 2003 4,978 $ 83.29 - ---------------------------------------------------------------------------------- John J. Vaske June 27, 2003 1,649 $ 83.29 - ---------------------------------------------------------------------------------- Richard T. Wertz June 27, 2003 500 $ 83.29 - ---------------------------------------------------------------------------------- Kevin L. Willens June 27, 2003 2,045 $ 83.29 - ---------------------------------------------------------------------------------- Christopher G. Williams June 27, 2003 6,461 $ 83.29 - ---------------------------------------------------------------------------------- Todd A. Williams June 27, 2003 11,798 $ 83.29 - ---------------------------------------------------------------------------------- Alexander D. Wohl June 27, 2003 630 $ 83.29 - ---------------------------------------------------------------------------------- William H. Wolf Jr. June 27, 2003 500 $ 83.29 - ---------------------------------------------------------------------------------- Paul M. Young June 27, 2003 4,409 $ 83.29 - ---------------------------------------------------------------------------------- Raanan A. Agus June 30, 2003 2,000 $ 82.97 - ---------------------------------------------------------------------------------- Yusuf A. Aliredha June 30, 2003 4,460 $ 82.97 - ---------------------------------------------------------------------------------- Driss Ben Brahim June 30, 2003 1,112 $ 82.97 - ---------------------------------------------------------------------------------- Steven M. Bunson June 30, 2003 2,202 $ 82.97 - ---------------------------------------------------------------------------------- Mark J. Carney June 30, 2003 500 $ 82.97 - ---------------------------------------------------------------------------------- Diego De Giorgi June 30, 2003 3,017 $ 82.97 - ---------------------------------------------------------------------------------- Juan A. Del Rivero June 30, 2003 9,620 $ 82.97 - ---------------------------------------------------------------------------------- Michael P. Esposito June 30, 2003 8,582 $ 82.97 - ---------------------------------------------------------------------------------- Ian J. Evans June 30, 2003 3,000 $ 82.97 - ---------------------------------------------------------------------------------- David N. Fleischer June 30, 2003 4,000 $ 82.97 - ---------------------------------------------------------------------------------- Matthias K. Frisch June 30, 2003 500 $ 82.97 - ---------------------------------------------------------------------------------- Nobumichi Hattori June 30, 2003 7,500 $ 82.97 - ---------------------------------------------------------------------------------- Gregory T. Hoogkamp June 30, 2003 1,151 $ 82.97 - ---------------------------------------------------------------------------------- Raymond J. Iwanowski June 30, 2003 4,894 $ 82.97 - ---------------------------------------------------------------------------------- Todd W. Leland June 30, 2003 1,390 $ 82.97 - ---------------------------------------------------------------------------------- Roger A. Liddell June 30, 2003 2,126 $ 82.97 - ---------------------------------------------------------------------------------- Ryan D. Limaye June 30, 2003 1,000 $ 82.97 - ---------------------------------------------------------------------------------- Jacques Martin June 30, 2003 200 $ 82.97 - ---------------------------------------------------------------------------------- Joseph P. McGrath Jr. June 30, 2003 4,479 $ 82.97 - ---------------------------------------------------------------------------------- Edward S. Misrahi June 30, 2003 5,000 $ 82.97 - ---------------------------------------------------------------------------------- Duncan L. Niederauer June 30, 2003 2,000 $ 82.97 - ---------------------------------------------------------------------------------- Theodore E. Niedermayer June 30, 2003 1,500 $ 82.97 - ---------------------------------------------------------------------------------- Geoffrey M. Parker June 30, 2003 4,504 $ 82.97 - ---------------------------------------------------------------------------------- Joseph Ravitch June 30, 2003 901 $ 82.97 - ---------------------------------------------------------------------------------- Jeffrey A. Resnick June 30, 2003 1,000 $ 82.97 - ---------------------------------------------------------------------------------- Richard J. Rosenstein June 30, 2003 1,000 $ 82.97 - ---------------------------------------------------------------------------------- Marc A. Rothenberg June 30, 2003 1,734 $ 82.97 - ---------------------------------------------------------------------------------- Daniel J. Silber June 30, 2003 1,728 $ 82.97 - ---------------------------------------------------------------------------------- Patrick Sullivan June 30, 2003 6,422 $ 82.97 - ---------------------------------------------------------------------------------- Greg W. Tebbe June 30, 2003 3,198 $ 82.97 - ---------------------------------------------------------------------------------- Gregg S. Weinstein June 30, 2003 2,673 $ 82.97 - ---------------------------------------------------------------------------------- Richard T. Wertz June 30, 2003 500 $ 82.97 - ---------------------------------------------------------------------------------- Zi Wang Xu June 30, 2003 6,192 $ 82.97 - ----------------------------------------------------------------------------------
*Sold through a corporation wholly-owned by the Covered Person. On June 26, 2003, Christopher J. Carrera purchased 10 Uncovered Shares for cash on the New York Stock Exchange at a price of $85.00 per share. On June 26, 2003, an Individual Covered Person donated 1,800 Covered Shares to a public charitable institution. On June 17, 2003, Lee G. Vance transferred 115,000 Covered Shares to a charitable remainder trust of which he and his spouse are the trustees. The following sales of Covered Shares were made by Mr. Vance or, if marked with an sterisk, by the trust, in each case for cash on the New York Stock Exchange: 68
- ---------------------------------------------------------------------- TRADE DATE NUMBER OF SHARES PRICE PER SHARE - ---------------------------------------------------------------------- June 5, 2003 30,000 $86.00 - ---------------------------------------------------------------------- June 17, 2003 5,000 $90.87 - ---------------------------------------------------------------------- June 20, 2003* 20,000 $87.00 - ---------------------------------------------------------------------- June 23, 2003* 20,000 $85.00 - ---------------------------------------------------------------------- June 24, 2003* 20,000 $85.95 - ---------------------------------------------------------------------- June 25, 2003* 20,000 $85.70 - ----------------------------------------------------------------------
The Covered Persons listed below participate in the Common Stock fund of The Goldman Sachs Employees' Profit Sharing Retirement Income Plan. These Covered Persons acquired or disposed of interests in the Common Stock fund representing the number of shares of Common Stock set forth below. These shares are Uncovered Shares.
- ------------------------------------------------------------------------------------------------------------------- ACQUISITION OR NUMBER OF COVERED PERSON DISPOSITION TRANSACTION DATE SHARES PRICE PER SHARE - ------------------------------------------------------------------------------------------------------------------- Thomas J. McAdam Acquisition June 13, 2003 1 $89.17 - ------------------------------------------------------------------------------------------------------------------- Richard T. Roberts Acquisition June 13, 2003 1 $89.17 - ------------------------------------------------------------------------------------------------------------------- Edward R. Wilkinson Acquisition June 13, 2003 1 $89.17 - ------------------------------------------------------------------------------------------------------------------- Thomas J. McAdam Acquisition June 30, 2003 1 $83.75 - ------------------------------------------------------------------------------------------------------------------- Richard T. Roberts Acquisition June 30, 2003 1 $83.75 - ------------------------------------------------------------------------------------------------------------------- Edward R. Wilkinson Acquisition June 30, 2003 1 $83.75 - -------------------------------------------------------------------------------------------------------------------
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 NUMBER OF NUMBER OF STRIKE SALES OF SHARE SHARES COVERED PERSON DATE OF EXERCISE OPTIONS PRICE PRICE SOLD RETAINED - -------------------------------------------------------------------------------------------------------------------- Francois Andriot June 26, 2003 7,644 $53.00 $84.78 7,644 0 - -------------------------------------------------------------------------------------------------------------------- Stephen D. Daniel June 26, 2003 9,172 $53.00 $84.78 9,172 0 - -------------------------------------------------------------------------------------------------------------------- Joseph P. DiSabato June 26, 2003 9,177 $53.00 $84.78 9,177 0 - -------------------------------------------------------------------------------------------------------------------- Herbert E. Ehlers June 26, 2003 22,581 $53.00 $84.78 16,516 6,065 - -------------------------------------------------------------------------------------------------------------------- Matthias K. Frisch June 26, 2003 1,000 $53.00 $84.78 1,000 0 - -------------------------------------------------------------------------------------------------------------------- David R. Hansen June 26, 2003 6,133 $53.00 $84.78 6,133 0 - -------------------------------------------------------------------------------------------------------------------- Nobumichi Hattori June 26, 2003 38,252 $53.00 $84.78 29,505 8,747 - -------------------------------------------------------------------------------------------------------------------- Stephen J. Hay June 26, 2003 10,000 $53.00 $84.78 10,000 0 - -------------------------------------------------------------------------------------------------------------------- Michiya Nagai June 26, 2003 20,000 $53.00 $84.78 15,427 4,573 - -------------------------------------------------------------------------------------------------------------------- Lisa M. Shalett June 26, 2003 9,776 $53.00 $84.78 9,776 0 - -------------------------------------------------------------------------------------------------------------------- Randolph C. Snook June 26, 2003 17,298 $53.00 $84.78 17,298 0 - -------------------------------------------------------------------------------------------------------------------- Melanie J. White June 26, 2003 6,657 $53.00 $84.78 6,657 0 - -------------------------------------------------------------------------------------------------------------------- Meurig R. Williams June 26, 2003 3,409 $53.00 $84.78 3,409 0 - -------------------------------------------------------------------------------------------------------------------- Mark J. Carlebach June 27, 2003 2,082 $53.00 $84.15 2,082 0 - -------------------------------------------------------------------------------------------------------------------- Virginia E. Carter June 27, 2003 10,000 $53.00 $84.15 10,000 0 - -------------------------------------------------------------------------------------------------------------------- Stephen D. Dias June 27, 2003 10,018 $53.00 $84.15 10,018 0 - -------------------------------------------------------------------------------------------------------------------- Joseph P. DiSabato June 27, 2003 4,588 $53.00 $84.15 4,588 0 - -------------------------------------------------------------------------------------------------------------------- Scott A. Gieselman June 27, 2003 8,000 $53.00 $84.15 8,000 0 - -------------------------------------------------------------------------------------------------------------------- Paul R. Harvey June 27, 2003 16,000 $53.00 $84.15 16,000 0 - -------------------------------------------------------------------------------------------------------------------- Philip Holzer* June 27, 2003 2,051 $53.00 N/A 0 2,051 - -------------------------------------------------------------------------------------------------------------------- Paul J. Huchro June 27, 2003 8,000 $53.00 $84.15 8,000 0 - -------------------------------------------------------------------------------------------------------------------- Jonathan R. Knight June 27, 2003 16,960 $53.00 $84.15 16,960 0 - -------------------------------------------------------------------------------------------------------------------- Linda J. Slotnick June 27, 2003 7,577 $53.00 $84.15 7,577 0 - -------------------------------------------------------------------------------------------------------------------- Paul J. Huchro June 30, 2003 1,000 $53.00 $82.38 1,000 0 - -------------------------------------------------------------------------------------------------------------------- Douglas F. Londal June 30, 2003 20,000 $53.00 $82.38 20,000 0 - --------------------------------------------------------------------------------------------------------------------
* This was a cash-for stock exercise, not a cashless exercise. 69 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: July 8, 2003 By: /s/ James B. McHugh ----------------------------------- Name: James B. McHugh Title: Attorney-in-Fact 70 EXHIBIT INDEX
Exhibit Description - ------- ----------- A. Shareholders' Agreement, dated as of May 7, 1999 (incorporated by reference to Exhibit A to the Schedule 13D filed May 17, 1999 (File No. 005-56295) (the "Initial Schedule 13D")). B. Form of Agreement Relating to Noncompetition and Other Covenants (incorporated by reference to Exhibit 10.20 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). C. Form of Pledge Agreement (the "IPO Pledge Agreement") (incorporated by reference to Exhibit 10.21 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). D. Form of Amendment No. 1 to the IPO Pledge Agreement (filed as Exhibit E), dated July 10, 2000 (incorporated by reference to Exhibit F to Amendment No. 4 to the Initial Schedule 13D, filed July 11, 2000 (File No. 005-56295)). E. Registration Rights Instrument, dated as of December 10, 1999 (incorporated by reference to Exhibit G to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)). F. Supplemental Registration Rights Instrument, dated as of December 10, 1999 (incorporated by reference to Exhibit H to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)). G. Form of Counterpart to Shareholders' Agreement for former profit participating limited partners of The Goldman Sachs Group, L.P. (incorporated by reference to Exhibit I to Amendment No. 2 to the Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)). H. Form of Counterpart to Shareholders' Agreement for former retired limited partners of The Goldman Sachs Group, L.P. who are currently managing directors of The Goldman Sachs Group, Inc. (incorporated by reference to Exhibit J to Amendment No. 2 to the Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)). I. Form of Counterpart to Shareholders' Agreement for non-individual former owners of Hull and Associates, L.L.C. (incorporated by reference to Exhibit K to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). J. Form of Counterpart to Shareholders' Agreement for non-U.S. corporations (incorporated by reference to Exhibit L to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). K. Form of Counterpart to Shareholders' Agreement for non-U.S. trusts (incorporated by reference to Exhibit M to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). L. Form of Guarantee and Pledge Agreement for non-U.S. corporations (incorporated by reference to Exhibit N to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)).
71
Exhibit Description - ------- ----------- M. Form of Pledge Agreement for shareholders of non-U.S. corporations (incorporated by reference to Exhibit O to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). N. Form of Pledge Agreement for shareholders of non-U.S. corporations (Jersey version) (incorporated by reference to Exhibit P to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). O. Form of Counterpart to Shareholders' Agreement for Transferee Covered Persons (incorporated by reference to Exhibit Q to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). P. Supplemental Registration Rights Instrument, dated as of June 19, 2000 (incorporated by reference to Exhibit R to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). Q. Power of Attorney (incorporated by reference to Exhibit X to Amendment No. 14 to the Initial Schedule 13D, filed March 29, 2001 (File No. 005-56295)). R. Form of Amended and Restated Member Agreement, dated as of September 10, 2000, and amended and restated as of October 26, 2000, between GS Inc. and each SLK Covered Person (incorporated by reference to Exhibit Y to Amendment No. 10 to the Initial Schedule 13D, filed November 3, 2000 (File No. 005-56295)). S. Form of Pledge Agreement, dated as of October 31, 2000, between GS Inc. and each SLK Covered Person (incorporated by reference to Exhibit Z to Amendment No. 10 to the Initial Schedule 13D, filed November 3, 2000 (File No. 005-56295)). T. Supplemental Registration Rights Instrument, dated as of December 21, 2000 (incorporated by reference to Exhibit AA to Amendment No. 12 to the Initial Schedule 13D, filed January 23, 2001 (File No. 005-56295)). U. Form of Member Agreement, dated as of January 26, 2001, between GS Inc. and each Jacobson Covered Person (incorporated by reference to Exhibit BB to Amendment No. 14 to the Initial Schedule 13D, filed March 28, 2001 (File No. 005-56295)). V. Form of Pledge Agreement, dated as of March 19, 2001, between GS Inc. and each Jacobson Covered Person (incorporated by reference to Exhibit CC to Amendment No. 14 to the Initial Schedule 13D, filed March 28, 2001 (File No. 005-56295)). W. Form of Guarantee and Pledge Agreement for trusts (incorporated by reference to Exhibit DD to Amendment No. 19 to the Initial Schedule 13D, filed October 30, 2001 (File No. 005-56295)). X. Form of Pledge Agreement for beneficiaries of trusts (incorporated by reference to Exhibit EE to Amendment No. 19 to the Initial Schedule 13D, filed October 30, 2001 (File No. 005-56295)). Y. Form of Guarantee and Pledge Agreement for non-U.S. trusts holding Common Stock through non-U.S. corporations (incorporated by reference to Exhibit FF to Amendment No. 20 to the Initial Schedule 13D, filed December 21, 2001 (File No. 005-56295)).
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Exhibit Description - ------- ----------- Z. Form of Pledge Agreement for beneficiaries of non-U.S. trusts holding Common Stock through non-U.S. corporations (incorporated by reference to Exhibit GG to Amendment No. 20 to the Initial Schedule 13D, filed December 21, 2001 (File No. 005-56295)). AA. Supplemental Registration Rights Instrument, dated as of December 21, 2001 (incorporated by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No. 333-74006) filed by The Goldman Sachs Group, Inc.). BB. Form of Power of Attorney executed by Covered Persons participating in the Channel A Sales Program (incorporated by reference to Exhibit BB to Amendment No. 27 to the Initial Schedule 13D, filed June 20, 2002 (File No. 005-56295)). CC. Form of Member Agreement, dated as of May 16, 2002, between GS Inc. and each Walter Frank Covered Person (incorporated by reference to Exhibit CC to Amendment No. 28 to the Initial Schedule 13D, filed July 5, 2002 (File No. 005-56295)). DD. Form of Pledge Agreement, dated as of June 26, 2002, between GS Inc. and each Walter Frank Covered Person (incorporated by reference to Exhibit DD to Amendment No. 28 to the Initial Schedule 13D, filed July 5, 2002 (File No. 005-56295)). EE. 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.). FF. 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)).
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