4 1 george420030107c.txt FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person* George, William W. -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Goldman, Sachs & Co. 85 Broad Street -------------------------------------------------------------------------------- (Street) New York, New York 10004 -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol The Goldman Sachs Group, Inc. (GS) ================================================================================ 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) ================================================================================ 4. Statement for Month/Day/Year January 7, 2003 ================================================================================ 5. If Amendment, Date of Original (Month/Day/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ X ] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) --------------------------------------------------- ================================================================================ 7. Individual or Joint/Group Filing (Check Applicable Line) [ X ] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person ================================================================================
==================================================================================================================================== Table I -- Non-Derivative Securities Acquired, Disposed of, | or Beneficially Owned | ==================================================================================================================================== | | | | |5. |6. | | | | | | 4. |Amount of |Owner- | | | | | | Securities Acquired (A) or |Securities |ship | | | |2A. |3. | Disposed of (D) |Beneficially |Form: |7. | |2. |Deemed |Transaction| (Instr. 3, 4 and 5) |Owned |Direct |Nature of | |Transaction |Execution |Code | -------------------------------|Following |(D) or |Indirect | 1. |Date |Date, if |(Instr. 8) | | (A) | |Reported |Indirect |Beneficial| Title of Security |(Month/Day/ |any(Month/|-----------| Amount | or | Price |Transactions |(I) |Ownership | (Instr. 3) |Year) |Day/Year) | Code | V | | (D) | |(Instr. 3 & 4)|(Instr.4)|(Instr. 4)| -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, | | | | | | | | | | | par value $0.01 per share | 1/7/03 | | P | | 10,000 | A | $72.60 | 10,000 | D | | ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). FORM 4 (continued)
==================================================================================================================================== Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned | (e.g., puts, calls, warrants, options, convertible securities) | ==================================================================================================================================== | | | | | | | | |9. |10. | | |2. | | | | | | | |Number |Owner-| | |Con- | | | | | | | |of |ship | | |ver- | |3A. | | | | | |Deriv- |of | | |sion | |De- | |5. | |7. | |ative |Deriv-|11. | |or | |emed| |Number of | |Title and Amount | |Secur- |ative |Nature| |Exer- | |Exe-| |Derivative |6. |of Underlying |8. |ities |Secur-|of | |cise | |cu- |4. |Securities |Date |Securities |Price |Bene- |ity: |In- | |Price |3. |tion|Trans-|Acquired (A)|Exercisable and |(Instr. 3 and 4) |of |ficially |Direct|direct| |of |Trans- |Date|action|or Disposed |Expiration Date |-----------------------|Deriv- |Owned |(D) or|Bene- | 1. |Der- |action |if |Code |of (D) |(Month/Day/Year) | |Amount |ative |Following|In- |ficial| Title of |iva- |Date |any,|(Instr|(Instr. 3, |-----------------| |or |Secur- |Reported |direct|Owner-| Derivative |tive |(Month/ |(MM/|8) |4 and 5) |Date |Expira- | |Number |ity |Trans- |(I) |ship | Security |Secu- |Day/ |DD/ |------|------------|Exer- |tion | |of |(Instr. |action(s)|(Instr|(Instr| (Instr. 3) |rity |Year) |YY) |Code|V| (A) | (D) |cisable |Date |Title |Shares |5) |(Instr.4)|4) |4) | -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ====================================================================================================================================
By: /s/ Roger S. Begelman January 9, 2003 --------------------------------------------- ----------------------- **Signature of Reporting Person Date Attorney-in-fact ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedures. Alternatively, this Form is permitted to be submitted to the Commission in electronic format at the option of the reporting person pursuant to Rule 101(b)(4) of Regulation S-T.