-----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, E6g2r+e8r5CZ5yEnPdJa+M/1JLXpWd5yZ71tvhqKDe0cfSXJC/Q4H/MeJPFk17Jp 0KN3Y+OzPApyXi4rhjno9Q== 0000898822-06-000955.txt : 20060810 0000898822-06-000955.hdr.sgml : 20060810 20060809215339 ACCESSION NUMBER: 0000898822-06-000955 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060810 DATE AS OF CHANGE: 20060809 GROUP MEMBERS: GOLDMAN, SACHS & CO. GROUP MEMBERS: GOLDMAN, SACHS MANAGEMENT GP GMBH GROUP MEMBERS: GS ADVISORS V, L.L.C. GROUP MEMBERS: GS CAPITAL PARTNERS V FUND, L.P. GROUP MEMBERS: GS CAPITAL PARTNERS V GMBH & CO. KG GROUP MEMBERS: GS CAPITAL PARTNERS V INSTITUTIONAL, L.P. GROUP MEMBERS: GS CAPITAL PARTNERS V OFFSHORE FUND, L.P. GROUP MEMBERS: GSCP V ADVISORS, L.L.C. GROUP MEMBERS: GSCP V OFFSHORE ADVISORS, L.L.C. GROUP MEMBERS: THE GOLDMAN SACHS GROUP, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ARAMARK CORP/DE CENTRAL INDEX KEY: 0001144528 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 233086414 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-62375 FILM NUMBER: 061019208 BUSINESS ADDRESS: STREET 1: ARAMARK TOWER STREET 2: 1101 MARKET STREET CITY: PHILADELPHIA STATE: PA ZIP: 19107 BUSINESS PHONE: 2152383000 FORMER COMPANY: FORMER CONFORMED NAME: ARAMARK WORLDWIDE CORP DATE OF NAME CHANGE: 20010711 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: 1126 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 goldman13d.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1) ARAMARK CORPORATION (NAME OF ISSUER) COMMON STOCK, CLASS A, $.01 PAR VALUE PER SHARE COMMON STOCK, CLASS B, $.01 PAR VALUE PER SHARE (TITLE OF CLASS OF SECURITIES) CLASS B COMMON STOCK: 038521100 (CUSIP NUMBER) BEN I. ADLER, ESQ. GOLDMAN, SACHS & CO. ONE NEW YORK PLAZA NEW YORK, NEW YORK 10004 TELEPHONE: (212) 902-1000 (NAME, ADDRESS AND TELEPHONE NUMBER OF PERSONS AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS) AUGUST 8, 2006 (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) If the Reporting 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) - -------------------------------------------------------------------------------- Class B Common Stock CUSIP No. 038521100 Page 2 of 29 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons: THE GOLDMAN SACHS GROUP, INC. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE Only - -------------------------------------------------------------------------------- 4. Source of Funds: AF - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization: DELAWARE - -------------------------------------------------------------------------------- 7. Sole Voting Power: Number of 0 shares Shares Beneficially ----------------------------------------------------------------- Owned by 8. Shared Voting Power: Each Reporting 1,990,519 shares, Class B Common Stock Person With ----------------------------------------------------------------- 9. Sole Dispositive Power: 0 shares ----------------------------------------------------------------- 10. Shared Dispositive Power: 2,002,658 shares, Class B Common Stock - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 2,002,658 shares, Class B Common Stock - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 1.7% Class B Common Stock(1) - -------------------------------------------------------------------------------- 14. Type of Reporting Person: HC-CO - -------------------------------------------------------------------------------- - ----------------- (1) Based on 121,287,341 shares of Class B Common Stock outstanding at April 28, 2006 as reported in the Issuer's Form 10-Q for the fiscal quarter ended March 31, 2006, filed with the Securities and Exchange Commission (the "SEC") on May 10, 2006 (the "Reported Shares Outstanding"). - -------------------------------------------------------------------------------- Class B Common Stock CUSIP No. 038521100 Page 3 of 29 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons: GOLDMAN, SACHS & CO. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE Only - -------------------------------------------------------------------------------- 4. Source of Funds: WC/OO - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [X] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization: NEW YORK - -------------------------------------------------------------------------------- 7. Sole Voting Power: Number of 0 shares Shares Beneficially ----------------------------------------------------------------- Owned by 8. Shared Voting Power: Each Reporting 1,990,519 shares, Class B Common Stock Person With ----------------------------------------------------------------- 9. Sole Dispositive Power: 0 shares ----------------------------------------------------------------- 10. Shared Dispositive Power: 2,002,658 shares, Class B Common Stock - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 2,002,658 shares, Class B Common Stock - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 1.7% Class B Common Stock(1) - -------------------------------------------------------------------------------- 14. Type of Reporting Person: BD-PN-IA - -------------------------------------------------------------------------------- - ----------------- (1) Based on the Reported Shares Outstanding - -------------------------------------------------------------------------------- Class B Common Stock CUSIP No. 038521100 Page 4 of 29 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons: GSCP V ADVISORS, L.L.C. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE Only - -------------------------------------------------------------------------------- 4. Source of Funds: AF - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization: DELAWARE - -------------------------------------------------------------------------------- 7. Sole Voting Power: Number of 0 shares Shares Beneficially ----------------------------------------------------------------- Owned by 8. Shared Voting Power: Each Reporting 0 shares Person With ----------------------------------------------------------------- 9. Sole Dispositive Power: 0 shares ----------------------------------------------------------------- 10. Shared Dispositive Power: 0 shares - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 0 shares - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 0.0% - -------------------------------------------------------------------------------- 14. Type of Reporting Person: OO - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- Class B Common Stock CUSIP No. 038521100 Page 5 of 29 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons: GSCP V OFFSHORE ADVISORS, L.L.C. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE Only - -------------------------------------------------------------------------------- 4. Source of Funds: AF - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization: DELAWARE - -------------------------------------------------------------------------------- 7. Sole Voting Power: Number of 0 shares Shares Beneficially ----------------------------------------------------------------- Owned by 8. Shared Voting Power: Each Reporting 0 shares Person With ----------------------------------------------------------------- 9. Sole Dispositive Power: 0 shares ----------------------------------------------------------------- 10. Shared Dispositive Power: 0 shares - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 0 shares - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 0.0% - -------------------------------------------------------------------------------- 14. Type of Reporting Person: OO - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- Class B Common Stock CUSIP No. 038521100 Page 6 of 29 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons: GS ADVISORS V, L.L.C. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE Only - -------------------------------------------------------------------------------- 4. Source of Funds: AF - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization: DELAWARE - -------------------------------------------------------------------------------- 7. Sole Voting Power: Number of 0 shares Shares Beneficially ----------------------------------------------------------------- Owned by 8. Shared Voting Power: Each Reporting 0 shares Person With ----------------------------------------------------------------- 9. Sole Dispositive Power: 0 shares ----------------------------------------------------------------- 10. Shared Dispositive Power: 0 shares - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 0 shares - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 0.0% - -------------------------------------------------------------------------------- 14. Type of Reporting Person: OO - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- Class B Common Stock CUSIP No. 038521100 Page 7 of 29 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons: GOLDMAN, SACHS MANAGEMENT GP GMBH - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE Only - -------------------------------------------------------------------------------- 4. Source of Funds: AF - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization: GERMANY - -------------------------------------------------------------------------------- 7. Sole Voting Power: Number of 0 shares Shares Beneficially ----------------------------------------------------------------- Owned by 8. Shared Voting Power: Each Reporting 0 shares Person With ----------------------------------------------------------------- 9. Sole Dispositive Power: 0 shares ----------------------------------------------------------------- 10. Shared Dispositive Power: 0 shares - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 0 shares - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 0.0% - -------------------------------------------------------------------------------- 14. Type of Reporting Person: CO - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- Class B Common Stock CUSIP No. 038521100 Page 8 of 29 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons: GS CAPITAL PARTNERS V FUND, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE Only - -------------------------------------------------------------------------------- 4. Source of Funds: OO - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization: DELAWARE - -------------------------------------------------------------------------------- 7. Sole Voting Power: Number of 0 shares Shares Beneficially ----------------------------------------------------------------- Owned by 8. Shared Voting Power: Each Reporting 0 shares Person With ----------------------------------------------------------------- 9. Sole Dispositive Power: 0 shares ----------------------------------------------------------------- 10. Shared Dispositive Power: 0 shares - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 0 shares - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 0.0% - -------------------------------------------------------------------------------- 14. Type of Reporting Person: PN - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- Class B Common Stock CUSIP No. 038521100 Page 9 of 29 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons: GS CAPITAL PARTNERS V OFFSHORE FUND, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE Only - -------------------------------------------------------------------------------- 4. Source of Funds: OO - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization: CAYMAN ISLANDS - -------------------------------------------------------------------------------- 7. Sole Voting Power: Number of 0 shares Shares Beneficially ----------------------------------------------------------------- Owned by 8. Shared Voting Power: Each Reporting 0 shares Person With ----------------------------------------------------------------- 9. Sole Dispositive Power: 0 shares ----------------------------------------------------------------- 10. Shared Dispositive Power: 0 shares - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 0 shares - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 0.0% - -------------------------------------------------------------------------------- 14. Type of Reporting Person: PN - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- Class B Common Stock CUSIP No. 038521100 Page 10 of 29 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons: GS CAPITAL PARTNERS V GMBH & CO. KG - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE Only - -------------------------------------------------------------------------------- 4. Source of Funds: OO - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization: GERMANY - -------------------------------------------------------------------------------- 7. Sole Voting Power: Number of 0 shares Shares Beneficially ----------------------------------------------------------------- Owned by 8. Shared Voting Power: Each Reporting 0 shares Person With ----------------------------------------------------------------- 9. Sole Dispositive Power: 0 shares ----------------------------------------------------------------- 10. Shared Dispositive Power: 0 shares - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 0 shares - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 0.0% - -------------------------------------------------------------------------------- 14. Type of Reporting Person: PN - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- Class B Common Stock CUSIP No. 038521100 Page 11 of 29 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons: GS CAPITAL PARTNERS V INSTITUTIONAL, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE Only - -------------------------------------------------------------------------------- 4. Source of Funds: OO - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization: DELAWARE - -------------------------------------------------------------------------------- 7. Sole Voting Power: Number of 0 shares Shares Beneficially ----------------------------------------------------------------- Owned by 8. Shared Voting Power: Each Reporting 0 shares Person With ----------------------------------------------------------------- 9. Sole Dispositive Power: 0 shares ----------------------------------------------------------------- 10. Shared Dispositive Power: 0 shares - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 0 shares - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 0.0% - -------------------------------------------------------------------------------- 14. Type of Reporting Person: PN - -------------------------------------------------------------------------------- Class B Common Stock CUSIP No. 038521100 Page 12 of 29 ITEM 1. SECURITY AND ISSUER. This Amendment No. 1 amends the Schedule 13D originally filed on May 11, 2006 (the "Original 13D") on behalf of The Goldman Sachs Group, Inc. ("GS Group"), Goldman, Sachs & Co. ("Goldman Sachs"), GSCP V Advisors, L.L.C. ("GSCP Advisors"), GSCP V Offshore Advisors, L.L.C. ("GSCP Offshore Advisors"), GS Advisors V, L.L.C. ("GS Advisors"), Goldman, Sachs Management GP GmbH ("GS GmbH"), GS Capital Partners V Fund, L.P. ("GS Capital"), GS Capital Partners V Offshore Fund, L.P. ("GS Offshore"), GS Capital Partners V GmbH & CO. KG ("GS Germany"), and GS Capital Partners V Institutional, L.P. ("GS Institutional" and, together with GS Capital, GS Offshore and GS Germany, the "Funds") (GS Group, Goldman Sachs, GSCP Advisors, GSCP Offshore Advisors, GS Advisors, GS GmbH, and the Funds, collectively, the "Reporting Persons").(2) This Amendment No. 1 to the Original 13D relates to the Class A Common Stock, par value $0.01 per share (the "Class A Common Stock") and Class B Common Stock, par value $0.01 per share (the "Class B Common Stock") (together, the "Issuer Common Stock"), of ARAMARK Corporation, a Delaware corporation (the "Issuer"). The principal executive offices of the Issuer are located at ARAMARK Tower, 1101 Market Street, Philadelphia, Pennsylvania 19107. ------------- 2 Neither the present filing nor anything contained herein shall be construed as an admission that any Reporting Person constitutes a "person" for any purpose other than for compliance with Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). ITEM 2. IDENTITY AND BACKGROUND. Item 2 of the Original 13D is hereby amended by replacing in its entirety the Schedules I, II-A, II-B, II-C, II-D, II-E and III incorporated therein by reference with Schedule I, II-A, II-B, II-C, II-D, II-E and III hereto, respectively, which Schedules I, II-A, II-B, II-C, II-D, II-E and III are incorporated herein by reference. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. Item 3 of the Original 13D is hereby amended by adding the following paragraphs at the end of the discussion: The aggregate value of the transactions (the "Transactions") contemplated by the Agreement and Plan of Merger, dated as of August 8, 2006, among RMK Acquisition Corporation, a Delaware corporation ("MergerCo"), RMK Finance LLC, a Delaware limited liability company ("SibCo"), and the Issuer (the "Merger Agreement"), which are described in Item 4 below, is approximately $8.3 billion. In separate Sponsor Equity Commitment Letters, dated August 8, 2006 (the "Sponsor Equity Commitment Letters"), GS Capital, CCMP Capital Investors II, L.P., J.P. Morgan Partners (BHCA), L.P., Thomas H. Lee Equity Fund VI, L.P., Warburg Pincus Private Equity IX, L.P. or any of their affiliates (collectively, the "Sponsors") agreed, subject to certain conditions, to contribute an aggregate of $1.6 billion in cash to MergerCo in exchange for shares of common stock, par value $0.10 per share, of MergerCo (the "MergerCo Common Stock"), solely for the purpose of funding the merger consideration pursuant to the Merger Agreement and to pay related expenses. This summary of the Sponsor Equity Commitment Letters does not purport to be complete and is qualified in its entirety by reference to the Sponsor Equity Commitment Letters, which are referenced herein as Exhibits 7.01 through 7.05 and incorporated by reference in their entirety into this Item 3. In addition, Joseph Neubauer, the Chairman of the Board of Directors and Chief Executive Officer of the Issuer, entered into a Rollover Equity Commitment Letter, dated as of August 8, 2006 (the "Rollover Equity Commitment Letter"), pursuant to which Mr. Neubauer agreed, subject to certain conditions, to contribute up to approximately 8.5 million shares of Class A Common Stock to MergerCo (the "Rollover Shares") in exchange for shares of MergerCo Common Stock. This summary of the Rollover Equity Commitment Letter does not purport to be complete and is qualified in its entirety by reference to the Rollover Equity Commitment Letter, which is referenced herein as Exhibit 7.06 and incorporated by reference in its entirety into this Item 3. Class B Common Stock CUSIP No. 038521100 Page 13 of 29 In addition, SibCo entered into a Debt Commitment Letter with JP Morgan Chase Bank, N.A., J.P. Morgan Securities, Inc. and Goldman Sachs Credit Partners L.P. (collectively, the "Lenders"), dated as of August 8, 2006 (the "Debt Commitment Letter"), pursuant to which the Lenders committed to provide, subject to certain conditions, up to $7.075 billion in debt financing, through a combination of senior secured facilities, a senior increasing rate bridge facility, and a senior subordinated increasing rate bridge facility, to SibCo, which financing will be used to fund the merger consideration under the Merger Agreement, repay certain existing debt and pay certain expenses, and for general corporate purposes for the operation of the Issuer following the closing of the Transactions. This summary of the Debt Commitment Letter does not purport to be complete and is qualified in its entirety by reference to the Debt Commitment Letter, which is referenced herein as Exhibit 7.07 and incorporated by reference in its entirety into this Item 3. Finally, in separate Letter Agreements, each dated as of August 8, 2006 (the "Letter Agreements"), each of the Sponsors (except J.P. Morgan Partners (BHCA), L.P.), and J.P. Morgan Partners, LLC unconditionally and irrevocably guaranteed to the Issuer, subject to certain conditions, a portion of MergerCo's payment obligations under the Merger Agreement, in each case subject to a cap of $30 million (except in the case of CCMP Capital Investors II, L.P. and J.P. Morgan Partners, LLC, for which the aggregate cap is $30 million). This summary of the Letter Agreements does not purport to be complete and is qualified in its entirety by reference to the Letter Agreements, which are referenced herein as Exhibits 7.08 through 7.12 and incorporated by reference in their entirety into this Item 3. ITEM 4. PURPOSE OF TRANSACTION Item 4 of the Original 13D is hereby amended by adding the following paragraphs at the end of the discussion: On August 8, 2006, the Issuer announced in a Press Release (the "Press Release") that it had entered into the Merger Agreement, pursuant to which all of the outstanding shares of Common Stock (other than any Rollover Shares owned by MergerCo, Parent, SibCo, ARAMARK Intermediate HoldCo Corporation, a Delaware corporation ("HoldCo"), or the Issuer) would be converted into the right to receive $33.80 per share in cash. The foregoing summary of the Press Release and the Merger Agreement does not purport to be complete and is qualified in its entirety by reference to the Press Release and the Merger Agreement, each of which are referenced herein as Exhibit 7.13 and Exhibit 7.14, respectively, and incorporated by reference in their entirety into this Item 4. In connection with the Transactions, Mr. Neubauer entered into a Voting Agreement with MergerCo, dated as of August 8, 2006 (the "Voting Agreement"), pursuant to which Mr. Neubauer agreed, subject to certain conditions, to vote his Common Stock in favor of the adoption of the Merger Agreement and against any competing takeover proposal that may be submitted by the Issuer for a vote of its stockholders. This summary of the Voting Agreement does not purport to be complete and is qualified in its entirety by reference to the Voting Agreement, which is referenced herein as Exhibit 7.15 and incorporated by reference in its entirety into this Item 4. MergerCo, SibCo, the Sponsors, and Mr. Neubauer entered into an Interim Investors Agreement, dated as of August 8, 2006 (the "Interim Investors Agreement"), which will govern their conduct in respect of the Transactions between the time of the signing of the Merger Agreement and the effective time of the merger contemplated thereby or the termination of the Merger Agreement, whichever is earlier, including matters such as determining whether any closing condition contained in the Merger Agreement has been satisfied or shall be waived by MergerCo. This summary of the Interim Investors Agreement does not purport to be complete and is qualified in its entirety by reference to the Interim Investors Agreement, which is referenced herein as Exhibit 7.16 and incorporated by reference in its entirety into this Item 4. The purpose of the Transactions is to acquire all of the outstanding Common Stock (other than Rollover Shares). If the Transactions are consummated, the Class B Common Stock will be delisted from the New York Stock Exchange and will cease to be registered under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the Issuer will be privately held by the Sponsors, Mr. Neubauer, and certain members of the Issuer's management who elect to participate in the Transactions. The Reporting Persons may at any time, or from time to time, acquire additional shares of Common Stock or dispose of their shares of Common Stock. The Merger Agreement and the transactions Class B Common Stock CUSIP No. 038521100 Page 14 of 29 contemplated thereby could result in one or more of the actions specified in clauses (a)-(j) of Item 4 of Schedule 13D, including the acquisition or disposition of additional securities of the Issuer, a merger or other extraordinary transaction involving the Issuer, a change to the pre-sent board of directors of the Issuer, a change to the present capitalization or dividend policy of the Issuer, the delisting of the Issuer's securities from the New York Stock Exchange, and the causing of a class of equity securities of the Issuer to become eligible for termination of registration pursuant to Section 12(g)(4) of the Exchange Act. One or more of the Reporting Persons are expected to take actions in furtherance of the Merger Agreement (including any amendment thereof) and the transactions contemplated thereby. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. (a) As of the date hereof, both GS Group and Goldman Sachs, or another wholly-owned broker or dealer subsidiary of GS Group, may be deemed to beneficially own 1,990,519 shares of Class B Common Stock, which were acquired in ordinary course trading activities. In addition, both GS Group and Goldman Sachs, or another wholly-owned subsidiary of GS Group, may be deemed to beneficially own 12,139 shares of Class B Common Stock that are held in managed accounts on behalf of clients, for which both GS Group and Goldman Sachs, or such other subsidiary, or their respective employees, have investment discretion. Accordingly, as of the date hereof, both GS Group and Goldman Sachs may each be deemed to beneficially own an aggregate of 2,002,658 shares of Class B Common Stock, over all of which shares they share dispositive power and over 1,990,519 of such shares they share voting power. Such 2,002,658 shares of Class B Common Stock constitute 1.7% of the outstanding shares of Class B Common Stock, based on the Reported Shares Outstanding. GS Group and Goldman Sachs disclaim beneficial ownership of shares of Class B Common Stock held in managed accounts. As a result of the matters described in Item 4 above, the Reporting Persons may be deemed to constitute a "group", within the meaning of Section 13(d)(3) of the Exchange Act, with Mr. Neubauer, CCMP Capital Investors II, L.P., J.P. Morgan Partners (BHCA), L.P., Thomas H. Lee Equity Fund VI, L.P., Warburg Pincus Private Equity IX, L.P., and certain of their affiliates. Accordingly, the Reporting Persons may be deemed to beneficially own any shares of Class A Common Stock and Class B Common Stock that may be beneficially owned by such other persons. The Reporting Persons do not have affirmative information about any such shares that may be beneficially owned by such other persons, other than the 23,945,409 shares of Class A Common Stock and 23,945,409 shares of Class B Common Stock reported as beneficially owned by Mr. Neubauer in Amendment No. 17 to his Schedule 13D, filed with the SEC on August 7, 2006. The Reporting Persons hereby disclaim beneficial ownership of any shares of Class A Common Stock or Class B Common Stock that may be or are beneficially owned by Mr. Neubauer, CCMP Capital Investors II, L.P., J.P. Morgan Partners (BHCA), L.P., Thomas H. Lee Equity Fund VI, L.P., Warburg Pincus Private Equity IX, L.P. or their respective affiliates. In accordance with Securities and Exchange Commission Release No. 34-395538 (January 12, 1998) (the "Release"), this filing reflects the securities beneficially owned by certain operating units (collectively, the "Goldman Sachs Reporting Units") of GS Group and its subsidiaries and affiliates (collectively, "GSG"). This filing does not reflect securities, if any, beneficially owned by any operating units of GSG whose ownership of securities is disaggregated from that of the Goldman Sachs Reporting Units in accordance with the Release. The Goldman Sachs Reporting Units disclaim beneficial ownership of the securities beneficially owned by (i) any client accounts with respect to which the Goldman Sachs Reporting Units or their employees have voting or investment discretion, or both, and (ii) certain investment entities of which the Goldman Sachs Reporting Units acts as the general partner, managing general partner or other manager, to the extent interests in such entities are held by persons other than the Goldman Sachs Reporting Units. (b) The information set forth in Item 5(a) above is incorporated by reference in its entirety into this Item 5(b). (c) Not applicable. (d) Except for clients of Goldman Sachs who may have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, any shares of Class B Common Stock held in managed accounts, no other person is known by any Reporting Person to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, any shares of Class B Common Stock. Class B Common Stock CUSIP No. 038521100 Page 15 of 29 (e) Not applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER The information set forth or incorporated by reference in Items 3, 4 and 5 above is incorporated by reference in its entirety into this Item 6. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS Exhibit 7.01. GS Capital Partners V Fund, L.P. Equity Commitment Letter, dated August 8, 2006 (incorporated by reference to Exhibit 7.01 of Amendment No. 17 to Schedule 13D filed by Mr. Neubauer with the SEC on August 8, 2006). Exhibit 7.02. CCMP Capital Investors II, L.P. Equity Commitment Letter, dated August 8, 2006 (incorporated by reference to Exhibit 7.02 of Amendment No. 17 to Schedule 13D filed by Mr. Neubauer with the SEC on August 8, 2006). Exhibit 7.03. J.P. Morgan Partners (BHCA), L.P. Equity Commitment Letter, dated August 8, 2006 (incorporated by reference to Exhibit 7.03 of Amendment No. 17 to Schedule 13D filed by Mr. Neubauer with the SEC on August 8, 2006). Exhibit 7.04. Thomas H. Lee Equity Fund VI, L.P. Equity Commitment Letter, dated August 8, 2006 (incorporated by reference to Exhibit 7.04 of Amendment No. 17 to Schedule 13D filed by Mr. Neubauer with the SEC on August 8, 2006). Exhibit 7.05. Warburg Pincus Private Equity IX, L.P. Equity Commitment Letter, dated August 8, 2006 (incorporated by reference to Exhibit 7.05 of Amendment No. 17 to Schedule 13D filed by Mr. Neubauer with the SEC on August 8, 2006). Exhibit 7.06. Rollover Equity Commitment Letter, dated August 8, 2006 (incorporated by reference to Exhibit 7.06 of Amendment No. 17 to Schedule 13D filed by Mr. Neubauer with the SEC on August 8, 2006). Exhibit 7.07. Debt Commitment Letter, dated August 8, 2006 (incorporated by reference to Exhibit 7.07 of Amendment No. 17 to Schedule 13D filed by Mr. Neubauer with the SEC on August 8, 2006). Exhibit 7.08. GS Capital Partners V Fund, L.P. Letter Agreement, dated August 8, 2006 (incorporated by reference to Exhibit 7.08 of Amendment No. 17 to Schedule 13D filed by Mr. Neubauer with the SEC on August 8, 2006). Exhibit 7.09. CCMP Capital Investors II, L.P. Letter Agreement, dated August 8, 2006 (incorporated by reference to Exhibit 7.09 of Amendment No. 17 to Schedule 13D filed by Mr. Neubauer with the SEC on August 8, 2006). Exhibit 7.10. J.P. Morgan Partners, LLC Letter Agreement, dated August 8, 2006 (incorporated by reference to Exhibit 7.10 of Amendment No. 17 to Schedule 13D filed by Mr. Neubauer with the SEC on August 8, 2006). Exhibit 7.11. Thomas H. Lee Equity Fund VI, L.P. Letter Agreement, dated August 8, 2006 (incorporated by reference to Exhibit 7.11 of Amendment No. 17 to Schedule 13D filed by Mr. Neubauer with the SEC on August 8, 2006). Exhibit 7.12. Warburg Pincus Private Equity IX, L.P. Letter Agreement, dated August 8, 2006 (incorporated by reference to Exhibit 7.12 of Amendment No. 17 to Schedule 13D filed by Mr. Neubauer with the SEC on August 8, 2006). Class B Common Stock CUSIP No. 038521100 Page 16 of 29 Exhibit 7.13. Press Release, dated August 8, 2006 (incorporated by reference to Exhibit 7.13 of Amendment No. 17 to Schedule 13D filed by Mr. Neubauer with the SEC on August 8, 2006). Exhibit 7.14. Agreement and Plan of Merger, dated as of August 8, 2006, by and among RMK Acquisition Corporation, RMK Finance LLC, and ARAMARK Corporation (incorporated by reference to Exhibit 7.14 of Amendment No. 17 to Schedule 13D filed by Mr. Neubauer with the SEC on August 8, 2006). Exhibit 7.15. Voting Agreement, dated as of August 8, 2006, by and between RMK Acquisition Corporation and Joseph Neubauer (incorporated by reference to Exhibit 7.15 of Amendment No. 17 to Schedule 13D filed by Mr. Neubauer with the SEC on August 8, 2006). Exhibit 7.16. Interim Investors Agreement, dated as of August 8, 2006, by and among RMK Acquisition Corporation, RMK Finance LLC, GS Capital Partners V Fund, L.P., J.P. Morgan Partners (BHCA), L.P., CCMP Capital Investors II, L.P., Thomas H. Lee Equity Fund VI, L.P., Warburg Pincus Private Equity IX, L.P. and Joseph Neubauer (incorporated by reference to Exhibit 7.16 of Amendment No. 17 to Schedule 13D filed by Mr. Neubauer with the SEC on August 8, 2006). Class B Common Stock CUSIP No. 038521100 Page 17 of 29 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: August 9, 2006 THE GOLDMAN SACHS GROUP, INC. By: /S/ ROGER S. BEGELMAN ---------------------- Name: Roger S. Begelman Title: Attorney-in-fact GOLDMAN, SACHS & CO. By: /S/ ROGER S. BEGELMAN ---------------------- Name: Roger S. Begelman Title: Attorney-in-fact GSCP V ADVISORS, L.L.C. By: /S/ ROGER S. BEGELMAN ---------------------- Name: Roger S. Begelman Title: Attorney-in-fact GSCP V OFFSHORE ADVISORS, L.L.C. By: /S/ ROGER S. BEGELMAN ---------------------- Name: Roger S. Begelman Title: Attorney-in-fact GS ADVISORS V, L.L.C. By: /S/ ROGER S. BEGELMAN ---------------------- Name: Roger S. Begelman Title: Attorney-in-fact GOLDMAN, SACHS MANAGEMENT GP GMBH By: /S/ ROGER S. BEGELMAN ---------------------- Name: Roger S. Begelman Title: Attorney-in-fact GS CAPITAL PARTNERS V FUND, L.P. By: /S/ ROGER S. BEGELMAN ---------------------- Name: Roger S. Begelman Title: Attorney-in-fact Class B Common Stock CUSIP No. 038521100 Page 18 of 29 GS CAPITAL PARTNERS V OFFSHORE FUND, L.P. By: /S/ ROGER S. BEGELMAN Name: Roger S. Begelman Title: Attorney-in-fact GS CAPITAL PARTNERS V GMBH & CO. KG By: /S/ ROGER S. BEGELMAN Name: Roger S. Begelman Title: Attorney-in-fact GS CAPITAL PARTNERS V INSTITUTIONAL, L.P. By: /S/ ROGER S. BEGELMAN Name: Roger S. Begelman Title: Attorney-in-fact Class B Common Stock CUSIP No. 038521100 Page 19 of 29 SCHEDULE I The name of each director of The Goldman Sachs Group, Inc. is set forth below. The business address of each person listed below is c/o Goldman, Sachs & Co., 85 Broad Street, New York, NY 10004. Each person is a citizen of the United States of America except for Lord Browne of Madingley, who is a citizen of the United Kingdom and Claes Dahlback, who is a citizen of Sweden. The present principal occupation or employment of each of the listed persons is set forth below. NAME PRESENT PRINCIPAL OCCUPATION - ------------------------------------------------------------- Lloyd C. Chairman of the Board and Chief Executive Blankfein Officer of The Goldman Sachs Group, Inc. Gary D. President and Co-Chief Operating Officer of Cohn The Goldman Sachs Group, Inc. Jon President and Co-Chief Operating Officer of Winkelried The Goldman Sachs Group, Inc. Lord Browne of Group Chief Executive of BP p.l.c. Madingley John H. Retired Chairman and Chief Executive Officer Bryan of Sara Lee Corporation Claus Senior Advisor to Investor AB and Executive Dahlback Vice Chairman of W Capital Management Stephen Senior Advisor to Stone Point Capital Friedman William W. Professor of Management Practice at the George Harvard Business School, Retired Chairman and Chief Executive Officer of Medtronic, Inc. James A. Vice Chairman of Perseus, L.L.C. Johnson Lois D. Retired Vice Chairman of Colgate-Palmolive Juliber Company Edward M. Chairman of the Board and Chief Executive Liddy Officer of The Allstate Corporation Ruth J. President of Brown University Simmons Class B Common Stock CUSIP No. 038521100 Page 20 of 29 SCHEDULE II-A The name, position and present principal occupation of each executive officer of GSCP V Advisors, L.L.C., the sole general partner of GS Capital Partners V Fund, L.P., are set forth below. The business address for all the executive officers listed below is c/o Goldman, Sachs & Co., 85 Broad Street, New York, New York 10004, except as follows: The business address of Richard S. Sharp, Hughes B. Lepic, Robert R. Gheewalla, Sanjay H. Patel, Steffen J. Kastner, Bjorn P. Killmer, Ulrika Werdelin, Sang Gyun Ahn and Martin Hintze is Peterborough Court, 133 Fleet Street, London EC4A 2BB, England. The business address of Mary Nee, Hsueh J. Sung, Sang Gyun Ahn and Andrew Wolff is Cheung Kong Center, 68th Floor, 2 Queens Road, Central, Hong Kong. The business address of Joseph P. DiSabato is 555 California Street, San Francisco, CA 94104. The business address of Muneer A. Satter is 71 South Wacker Drive, Chicago, IL 60606. The business address of Ankur A. Sahu is Roppongi Hills, Mori Tower, Level 43-48, 10-1, Roppongi 6-chome, Minato-ku, Tokyo, 106-6147, Japan. All executive officers listed below are United States citizens, except as follows: Richard S. Sharp and United Kingdom; Hughes B. Lepic is a citizen of France; Adrian M. Jones is a citizen of Ireland; Bjorn P. Killmer, Steffen J. Kastner and Martin Hintze are citizens of Germany; Hsueh Sung is a citizen of Taiwan, Ankur A. Sahu is a citizen of India, Sang Gyun Ahn is a citizen of South Korea and Ulrika Werdelin is a citizen of Sweden. - ------------------------------- ------------------------------------------- ------------------------------------------------ Name Position Present Principal Occupation - ------------------------------- ------------------------------------------- ------------------------------------------------ Richard A. Friedman President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Ben I. Adler Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Sang Gyun Ahn Managing Director and Vice President Managing Director of Goldman Sachs (Asia) L.L.C. - ------------------------------- ------------------------------------------- ------------------------------------------------ John E. Bowman Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Gerald J. Cardinale Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Henry Cornell Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Joseph P. DiSabato Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Katherine B. Enquist Managing Director and Vice President Managing Director of Goldman, Sachs & Co - ------------------------------- ------------------------------------------- ------------------------------------------------ Robert R. Gheewalla Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Joseph H. Gleberman Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Melina E. Higgins Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Martin Hintze Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Adrian M. Jones Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Steffen J. Kastner Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Bjorn P. Killmer Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Michael E. Koester Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Hughes B. Lepic Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Sanjeev K. Mehra Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Sanjay H. Patel Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Kenneth A. Pontarelli Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Ankur A. Sahu Managing Director and Vice President Managing Director of Goldman Sachs (Asia) L.L.C. - ------------------------------- ------------------------------------------- ------------------------------------------------ Muneer A. Satter Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Richard S. Sharp Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Hsueh J. Sung Managing Director and Vice President Managing Director of Goldman Sachs (Asia) L.L.C. - ------------------------------- ------------------------------------------- ------------------------------------------------ Class B Common Stock CUSIP No. 038521100 Page 21 of 29 - ------------------------------- ------------------------------------------- ------------------------------------------------ Name Position Present Principal Occupation - ------------------------------- ------------------------------------------- ------------------------------------------------ Stephen S. Trevor Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Ulrika Werdelin Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Andrew E. Wolff Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Mary Nee Vice President Executive Director of Goldman Sachs (Asia) L.L.C. - ------------------------------- ------------------------------------------- ------------------------------------------------ Christine Vollertsen Vice President Vice President of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Mitchell S. Weiss Vice President Vice President of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Elizabeth C. Fascitelli Treasurer Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Elizabeth E. Beshel Assistant Treasurer Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Steven M. Bunson Assistant Treasurer Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Julie Abraham Assistant Secretary Managing Director of Goldman Sachs (Asia) L.L.C. - ------------------------------- ------------------------------------------- ------------------------------------------------ Matt Furman Assistant Secretary Vice President and Associate General Counsel of Goldman, Sachs &Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ David J. Greenwald Assistant Secretary Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Ken Josselyn Assistant Secretary Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Beverly L. O'Toole Assistant Secretary Vice President and Associate General Counsel of Goldman, Sachs &Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Esta E. Stecher Assistant Secretary Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Matthew E. Tropp Assistant Secretary Vice President and Associate General Counsel of Goldman, Sachs &Co. - ------------------------------- ------------------------------------------- ------------------------------------------------
Class B Common Stock CUSIP No. 038521100 Page 22 of 29 SCHEDULE II-B The name, position and present principal occupation of each executive officer of GSCP V Offshore Advisors, L.L.C., the sole general partner of GS Capital Partners V Offshore Fund, L.P., are set forth below. The business address for all the executive officers listed below is c/o Goldman, Sachs & Co., 85 Broad Street, New York, New York 10004, except as follows: The business address of Richard S. Sharp, Hughes B. Lepic, Robert R. Gheewalla, Sanjay H. Patel, Steffen J. Kastner, Bjorn P. Killmer, Ulrika Werdelin, Sang Gyun Ahn and Martin Hintze is Peterborough Court, 133 Fleet Street, London EC4A 2BB, England. The business address of Mary Nee, Hsueh J. Sung, Sang Gyun Ahn and Andrew Wolff is Cheung Kong Center, 68th Floor, 2 Queens Road, Central, Hong Kong. The business address of Joseph P. DiSabato is 555 California Street, San Francisco, CA 94104. The business address of Muneer A. Satter is 71 South Wacker Drive, Chicago, IL 60606. The business address of Ankur A. Sahu is Roppongi Hills, Mori Tower, Level 43-48, 10-1, Roppongi 6-chome, Minato-ku, Tokyo, 106-6147, Japan. All executive officers listed below are United States citizens, except as follows: Richard S. Sharp and United Kingdom; Hughes B. Lepic is a citizen of France; Adrian M. Jones is a citizen of Ireland; Bjorn P. Killmer, Steffen J. Kastner and Martin Hintze are citizens of Germany; Hsueh Sung is a citizen of Taiwan, Ankur A. Sahu is a citizen of India, Sang Gyun Ahn is a citizen of South Korea and Ulrika Werdelin is a citizen of Sweden. - ------------------------------- ------------------------------------------- ------------------------------------------------ Name Position Present Principal Occupation - ------------------------------- ------------------------------------------- ------------------------------------------------ Richard A. Friedman President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Ben I. Adler Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Sang Gyun Ahn Managing Director and Vice President Managing Director of Goldman Sachs (Asia) L.L.C. - ------------------------------- ------------------------------------------- ------------------------------------------------ John E. Bowman Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Gerald J. Cardinale Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Henry Cornell Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Joseph P. DiSabato Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Katherine B. Enquist Managing Director and Vice President Managing Director of Goldman, Sachs & Co - ------------------------------- ------------------------------------------- ------------------------------------------------ Robert R. Gheewalla Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Joseph H. Gleberman Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Melina E. Higgins Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Martin Hintze Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Adrian M. Jones Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Steffen J. Kastner Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Bjorn P. Killmer Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Michael E. Koester Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Hughes B. Lepic Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Sanjeev K. Mehra Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Sanjay H. Patel Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Kenneth A. Pontarelli Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Ankur A. Sahu Managing Director and Vice President Managing Director of Goldman Sachs (Asia) L.L.C. - ------------------------------- ------------------------------------------- ------------------------------------------------ Muneer A. Satter Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Richard S. Sharp Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Hsueh J. Sung Managing Director and Vice President Managing Director of Goldman Sachs (Asia) L.L.C. - ------------------------------- ------------------------------------------- ------------------------------------------------ Class B Common Stock CUSIP No. 038521100 Page 23 of 29 - ------------------------------- ------------------------------------------- ------------------------------------------------ Name Position Present Principal Occupation - ------------------------------- ------------------------------------------- ------------------------------------------------ Stephen S. Trevor Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Ulrika Werdelin Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Andrew E. Wolff Managing Director and Vice President Managing Director of Goldman Sachs International - ------------------------------- ------------------------------------------- ------------------------------------------------ Mary Nee Vice President Executive Director of Goldman Sachs (Asia) L.L.C. - ------------------------------- ------------------------------------------- ------------------------------------------------ Christine Vollertsen Vice President Vice President of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Mitchell S. Weiss Vice President Vice President of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Elizabeth C. Fascitelli Treasurer Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Elizabeth E. Beshel Assistant Treasurer Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Steven M. Bunson Assistant Treasurer Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Julie Abraham Assistant Secretary Managing Director of Goldman Sachs (Asia) L.L.C. - ------------------------------- ------------------------------------------- ------------------------------------------------ Matt Furman Assistant Secretary Vice President and Associate General Counsel of Goldman, Sachs &Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ David J. Greenwald Assistant Secretary Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Ken Josselyn Assistant Secretary Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Beverly L. O'Toole Assistant Secretary Vice President and Associate General Counsel of Goldman, Sachs &Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Esta E. Stecher Assistant Secretary Managing Director of Goldman, Sachs & Co. - ------------------------------- ------------------------------------------- ------------------------------------------------ Matthew E. Tropp Assistant Secretary Vice President and Associate General Counsel of Goldman, Sachs &Co. - ------------------------------- ------------------------------------------- ------------------------------------------------
Class B Common Stock CUSIP No. 038521100 Page 24 of 29 SCHEDULE II-C The name, position and present principal occupation of each executive officer of GS Advisors V, L.L.C., the sole managing limited partner of GS Capital Partners V GmbH & CO. KG and the sole general partner of GS Capital Partners V Institutional, L.P., are set forth below. The business address for all the executive officers listed below is c/o Goldman, Sachs & Co., 85 Broad Street, New York, New York 10004, except as follows: The business address of Richard S. Sharp, Hughes B. Lepic, Robert R. Gheewalla, Sanjay H. Patel, Steffen J. Kastner, Bjorn P. Killmer, Ulrika Werdelin, Sang Gyun Ahn and Martin Hintze is Peterborough Court, 133 Fleet Street, London EC4A 2BB, England. The business address of Mary Nee, Hsueh J. Sung, Sang Gyun Ahn and Andrew Wolff is Cheung Kong Center, 68th Floor, 2 Queens Road, Central, Hong Kong. The business address of Joseph P. DiSabato is 555 California Street, San Francisco, CA 94104. The business address of Muneer A. Satter is 71 South Wacker Drive, Chicago, IL 60606. The business address of Ankur A. Sahu is Roppongi Hills, Mori Tower, Level 43-48, 10-1, Roppongi 6-chome, Minato-ku, Tokyo, 106-6147, Japan. All executive officers listed below are United States citizens, except as follows: Richard S. Sharp and United Kingdom; Hughes B. Lepic is a citizen of France; Adrian M. Jones is a citizen of Ireland; Bjorn P. Killmer, Steffen J. Kastner and Martin Hintze are citizens of Germany; Hsueh Sung is a citizen of Taiwan, Ankur A. Sahu is a citizen of India, Sang Gyun Ahn is a citizen of South Korea and Ulrika Werdelin is a citizen of Sweden. - -------------------------------- ------------------------------------------- ----------------------------------------------- Name Position Present Principal Occupation - -------------------------------- ------------------------------------------- ----------------------------------------------- Richard A. Friedman President Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Ben I. Adler Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Sang Gyun Ahn Managing Director and Vice President Managing Director of Goldman Sachs (Asia) L.L.C. - -------------------------------- ------------------------------------------- ----------------------------------------------- John E. Bowman Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Gerald J. Cardinale Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Henry Cornell Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Joseph P. DiSabato Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Katherine B. Enquist Managing Director and Vice President Managing Director of Goldman, Sachs & Co - -------------------------------- ------------------------------------------- ----------------------------------------------- Robert R. Gheewalla Managing Director and Vice President Managing Director of Goldman Sachs International - -------------------------------- ------------------------------------------- ----------------------------------------------- Joseph H. Gleberman Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Melina E. Higgins Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Martin Hintze Managing Director and Vice President Managing Director of Goldman Sachs International - -------------------------------- ------------------------------------------- ----------------------------------------------- Adrian M. Jones Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Steffen J. Kastner Managing Director and Vice President Managing Director of Goldman Sachs International - -------------------------------- ------------------------------------------- ----------------------------------------------- Bjorn P. Killmer Managing Director and Vice President Managing Director of Goldman Sachs International - -------------------------------- ------------------------------------------- ----------------------------------------------- Michael E. Koester Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Hughes B. Lepic Managing Director and Vice President Managing Director of Goldman Sachs International - -------------------------------- ------------------------------------------- ----------------------------------------------- Sanjeev K. Mehra Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Sanjay H. Patel Managing Director and Vice President Managing Director of Goldman Sachs International - -------------------------------- ------------------------------------------- ----------------------------------------------- Kenneth A. Pontarelli Managing Director and Vice President Managing Director of Goldman Sachs International - -------------------------------- ------------------------------------------- ----------------------------------------------- Ankur A. Sahu Managing Director and Vice President Managing Director of Goldman Sachs (Asia) L.L.C. - -------------------------------- ------------------------------------------- ----------------------------------------------- Muneer A. Satter Managing Director and Vice President Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Richard S. Sharp Managing Director and Vice President Managing Director of Goldman Sachs International - -------------------------------- ------------------------------------------- ----------------------------------------------- Hsueh J. Sung Managing Director and Vice President Managing Director of Goldman Sachs (Asia) L.L.C. - -------------------------------- ------------------------------------------- ----------------------------------------------- Stephen S. Trevor Managing Director and Vice President Managing Director of Goldman Sachs International - -------------------------------- ------------------------------------------- ----------------------------------------------- Ulrika Werdelin Managing Director and Vice President Managing Director of Goldman Sachs International - -------------------------------- ------------------------------------------- ----------------------------------------------- Class B Common Stock CUSIP No. 038521100 Page 25 of 29 - -------------------------------- ------------------------------------------- ----------------------------------------------- Name Position Present Principal Occupation - -------------------------------- ------------------------------------------- ----------------------------------------------- Andrew E. Wolff Managing Director and Vice President Managing Director of Goldman Sachs International - -------------------------------- ------------------------------------------- ----------------------------------------------- Mary Nee Vice President Executive Director of Goldman Sachs (Asia) L.L.C. - -------------------------------- ------------------------------------------- ----------------------------------------------- Christine Vollertsen Vice President Vice President of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Mitchell S. Weiss Vice President Vice President of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Elizabeth C. Fascitelli Treasurer Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Elizabeth E. Beshel Assistant Treasurer Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Steven M. Bunson Assistant Treasurer Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Julie Abraham Assistant Secretary Managing Director of Goldman Sachs (Asia) L.L.C. - -------------------------------- ------------------------------------------- ----------------------------------------------- Matt Furman Assistant Secretary Vice President and Associate General Counsel of Goldman, Sachs &Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- David J. Greenwald Assistant Secretary Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Ken Josselyn Assistant Secretary Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Beverly L. O'Toole Assistant Secretary Vice President and Associate General Counsel of Goldman, Sachs &Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Esta E. Stecher Assistant Secretary Managing Director of Goldman, Sachs & Co. - -------------------------------- ------------------------------------------- ----------------------------------------------- Matthew E. Tropp Assistant Secretary Vice President and Associate General Counsel of Goldman, Sachs &Co. - -------------------------------- ------------------------------------------- -----------------------------------------------
Class B Common Stock CUSIP No. 038521100 Page 26 of 29 SCHEDULE II-D The name, position and present principal occupation of each executive officer of Goldman, Sachs Management GP GmbH, the general partner of GS Capital Partners V GmbH & CO. KG., are set forth below. The business address for all the executive officers listed below is c/o Goldman, Sachs & Co., 85 Broad Street, New York, New York 10004, except as follows: The business address of Richard S. Sharp and Simon Cresswell is Peterborough Court, 133 Fleet Street, London EC4A 2BB, England. All executive officers listed below are United States citizens, except as follows: Richard S. Sharp is a citizen of the United Kingdom and Simon Cresswell is a citizen of Australia. NAME POSITION PRESENT PRINCIPAL OCCUPATION Richard A. Friedman Managing Director Managing Director of Goldman, Sachs & Co. Joseph H. Gleberman Managing Director Managing Director of Goldman, Sachs & Co. Henry Cornell Managing Director Managing Director of Goldman, Sachs & Co. Richard S. Sharp Managing Director Managing Director of Goldman Sachs International Elizabeth C. Fascitelli Managing Director Managing Director of Goldman, Sachs & Co. Ben I. Adler Managing Director Managing Director of Goldman, Sachs & Co. John E. Bowman Managing Director Managing Director of Goldman, Sachs & Co. Katherine B. Enquist Managing Director Managing Director of Goldman, Sachs & Co. David Greenwald Managing Director Managing Director of Goldman, Sachs & Co. Simon Cresswell Managing Director Vice President and Associate General Counsel of Goldman, Sachs & Co.
Class B Common Stock CUSIP No. 038521100 Page 27 of 29 SCHEDULE II-E The name and principal occupation of each member of the Principal Investment Area Investment Committee of Goldman, Sachs & Co., which exercises the authority of Goldman, Sachs & Co. in managing GSCP V Advisors, L.L.C., GSCP V Offshore Advisors, L.L.C., GS Advisors V, L.L.C., GS Capital Partners V Fund, L.P., GS Capital Partners V Offshore Fund, L.P., GS Capital Partners V GmbH & CO. KG, and GS Capital Partners V Institutional, L.P., are set forth below. The business address for each member listed below is c/o Goldman, Sachs & Co., 85 Broad Street, New York, New York 10004, except as follows: The business address of Richard S. Sharp, Robert R. Gheewalla, Hughes B. Lepic and Sanjay H. Patel is Peterborough Court, 133 Fleet Street, London EC4A 2BB, England. The business address of Muneer A. Satter is 71 South Wacker Drive, Chicago, IL 60606. The business address of Hsueh J. Sung is 68/F Cheung Kong Centre, Hong Kong. All members listed below are United States citizens, except as follows: Richard S. Sharp and Sarah E. Smith are citizens of the United Kingdom; Hughes B. Lepic is a citizen of France; Adrian M. Jones is a citizen of Ireland and Hsueh Sung is a citizen of Taiwan. - ----------------------------------- ------------------------------------------------------------------------- Name Present Principal Occupation - ----------------------------------- ------------------------------------------------------------------------- Richard A. Friedman Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------------------------------------------------- Joseph H. Gleberman Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------------------------------------------------- Henry Cornell Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------------------------------------------------- Richard S. Sharp Managing Director of Goldman Sachs International - ----------------------------------- ------------------------------------------------------------------------- Sanjeev K. Mehra Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------------------------------------------------- Muneer A. Satter Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------------------------------------------------- Joe DiSabato Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------------------------------------------------- Adrian M. Jones Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------------------------------------------------- Scott Kapnick Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------------------------------------------------- Melina E. Higgins Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------------------------------------------------- Hsueh J. Sung Managing Director of Goldman Sachs (Asia) L.L.C. - ----------------------------------- ------------------------------------------------------------------------- Ben I. Adler Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------------------------------------------------- Elizabeth C. Fascitelli Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------------------------------------------------- Sarah E. Smith Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------------------------------------------------- Stephen S. Trevor Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------------------------------------------------- Robert R. Gheewalla Managing Director of Goldman, Sachs International - ----------------------------------- ------------------------------------------------------------------------- Hughes B. Lepic Managing Director of Goldman, Sachs International - ----------------------------------- ------------------------------------------------------------------------- Gerald J. Cardinale Managing Director of Goldman, Sachs & Co. - ----------------------------------- ------------------------------------------------------------------------- Sanjay H. Patel Managing Director of Goldman, Sachs International - ----------------------------------- -------------------------------------------------------------------------
Class B Common Stock CUSIP No. 038521100 Page 28 of 29 SCHEDULE III In November 2002, the Securities and Exchange Commission ("SEC"), the National Association of Securities Dealers ("NASD") and the New York Stock Exchange, Inc. ("NYSE") alleged that five broker dealers, including Goldman Sachs, violated Section 17(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and Rule 17a-4 thereunder, NYSE Rules 440 and 342 and NASD Rules 3010 and 3110 by allegedly failing to preserve electronic mail communications for three years and/or to preserve electronic mail communications for the first two years in an accessible place, and by allegedly having inadequate supervisory systems and procedures in relation to the retention of electronic mail communications. Without admitting or denying the allegations, the five broker dealers, including Goldman, Sachs & Co. ("Goldman Sachs"), consented to censure by the SEC, NASD and NYSE and to the imposition of a cease-and-desist order by the SEC and Goldman Sachs paid a total fine of $1,650,000 ($550,000 each to the SEC, NASD and NYSE). Goldman Sachs also undertook to review its procedures regarding the preservation of electronic mail communications for compliance with the federal securities laws and regulations and the rules of the NASD and NYSE, and to confirm within a specified period of time that it has established systems and procedures reasonably designed to achieve compliance with those laws, regulations and rules. On April 28, 2003, without admitting or denying liability, ten investment banking firms including Goldman Sachs, entered into global settlements with the SEC, the NYSE, the NASD and certain states to resolve the investigations relating to equity research analyst conflicts of interest. Goldman Sachs was charged with violating NYSE Rules 342, 401, 472 and 475, and NASD Conduct Rules 2110, 2210 and 3010. Goldman Sachs also agreed to a censure by the NYSE and the NASD and to pay a total of $110,000,000 and to adopt a set of industry-wide reforms of its research and investment banking businesses and to adopt certain restrictions on the allocations of "hot" IPO shares. The terms of the global settlement were entered in an order by a federal court in the Southern District of New York on October 31, 2003 (Civil Action Number 03CV2944). On September 4, 2003, Goldman Sachs and the SEC settled administrative proceedings relating to certain trading in U.S. Treasury securities by Goldman Sachs on the morning of October 31, 2001. The Staff of the SEC alleged that Goldman Sachs violated (i) Section 15(c)(1) and Rule 15c1-2 of the Exchange Act as a result of certain trading in U.S. Treasury bonds over an eight minute period on October 31, 2001; and (ii) Section 15(f) of the Exchange Act by failing to maintain policies and procedures specifically addressed to the possible misuse of non-public information obtained from outside consultants. Under the Offer of Settlement submitted by Goldman Sachs and accepted by the SEC, without admitting or denying the SEC's allegations, Goldman Sachs consented to the entry of an Order that, among other things, (i) censured Goldman Sachs; (ii) directed Goldman Sachs to cease and desist from committing or causing any violations of Section 15(c)(1)(A) & (C) and 15(f) and Rule 15c1-2 of the Exchange Act; (iii) ordered Goldman Sachs to pay disgorgement and prejudgment interest in the amount of $1,742,642, and a civil monetary penalty of $5 million; and (iv) directed Goldman Sachs to conduct a review its policies and procedures and to adopt, implement and maintain policies and procedures consistent with the Order and that review. Goldman Sachs also undertook to pay $2,562,740 in disgorgement and interest relating to certain trading in U.S. Treasury bond futures during the same eight minute period. On July 1, 2004, Goldman Sachs and the SEC settled administrative proceedings relating to communications from Goldman Sachs sales traders on its Asian Shares Sales Desk to certain institutional customers and news media concerning four international public securities offerings during the period between October 1999 and March 2000. The SEC alleged (i) that certain of these communications by Goldman Sachs employees were made after the registration statements pertaining to those offerings were filed, but not yet declared effective by the SEC, in violation of Section 5(b) of the Securities Act and (ii) that certain comments to the news media by Goldman Sachs with respect to one of the offerings constituted an offer to sell securities in violation of Section 5(c) of the Securities Act. The SEC also alleged that Goldman Sachs failed to adequately supervise the Asian Shares Sales Desk traders, as required by Section 15(b)(4)(E) of the Exchange Act. Under the Offer of Settlement submitted by Goldman Sachs and accepted by the SEC, without admitting or denying the SEC's allegations, Goldman Sachs consented to the entry of an Order that, among other things, directed Class B Common Stock CUSIP No. 038521100 Page 29 of 29 Goldman Sachs to cease and desist from committing or causing any violations of Sections 5(b) and 5(c) of the Securities Act., and ordered Goldman Sachs to pay a civil monetary penalty of $2 million. On January 24, 2005, the SEC filed an action in the U.S. District Court for the Southern District of New York alleging that Goldman Sachs violated Rule 101 of Regulation M under the Exchange Act by attempting to induce, or inducing certain investors to make, aftermarket purchases of certain initial public offerings underwritten by Goldman Sachs during 2000. On February 4, 2005, without admitting or denying the allegations of the complaint, a final judgment was entered against Goldman Sachs, with the consent of Goldman Sachs, under which Goldman Sachs was permanently restrained and enjoined from violating Rule 101 of Regulation M and required to pay a $40 million civil penalty, which was paid on March 31, 2005. In May 2006, the SEC alleged that fourteen investment banking firms, including Goldman Sachs, violated Section 17(a)(2) of the Securities Act of 1933, by engaging in one or more practices relating to auctions of auction rate securities during the period from January 1, 2003 through June 30, 2004 as described in the cease-and-desist order entered by the SEC. Goldman Sachs has agreed to provide certain disclosures about its material auction practices and procedures to auction participants and to certify to the SEC that it has implemented certain procedures relating to the auction process. As part of a multi-firm settlement, Goldman Sachs submitted an Offer of Settlement which was accepted by the SEC on May 31, 2006. Without admitting or denying the allegations, Goldman Sachs consented to a censure and cease-and-desist order and payment of $1,500,000 civil money penalty. -----END PRIVACY-ENHANCED MESSAGE-----