-----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, BROPjLZVuJrOSX3j89FkJBCRMam9NjbgB4fCDlzd2ToJj4wY/mQaan1nlbkaZFj3 qxabMVaWzYrGYITc9FhXgQ== 0000769993-03-000680.txt : 20031218 0000769993-03-000680.hdr.sgml : 20031218 20031218145838 ACCESSION NUMBER: 0000769993-03-000680 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031217 FILED AS OF DATE: 20031218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH SARAH G CENTRAL INDEX KEY: 0001090335 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14965 FILM NUMBER: 031062201 BUSINESS ADDRESS: STREET 1: C/O GOLDMAN SACHS GROUP INC STREET 2: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 MAIL ADDRESS: STREET 1: C/O GOLDMAN SACHS GROUP INC STREET 2: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC/ CENTRAL INDEX KEY: 0000886982 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 134019460 STATE OF INCORPORATION: DE FISCAL YEAR END: 1128 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 4 1 smitheep_ex.xml X0201 4 2003-12-17 0 0000886982 GOLDMAN SACHS GROUP INC/ GS 0001090335 SMITH SARAH G C/O GOLDMAN, SACHS & CO. 85 BROAD STREET NEW YORK, NY 10004 0 1 0 0 VP - Principal Acct. Officer Restricted Stock Units 2003-12-17 4 A 0 8816 A Common Stock 8816 8816 D The number of Restricted Stock Units ("RSUs") awarded to the Reporting Person was determined by dividing the dollar amount to be granted as an equity-based award by $94.44 (the average closing price-per-share of the Issuer's Common Stock on the New York Stock Exchange for the ten trading-day period up to and including the last day of the Issuer's 2003 fiscal year). Of these RSUs, 25% vested upon grant, with the remaining 75% vesting on November 24, 2006. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in or about January 2007. /s/ Roger S. Begelman, Attorney-in-fact 2003-12-18 -----END PRIVACY-ENHANCED MESSAGE-----