-----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, OgP2MZPDVS9TH94DGzW4trzbeZ7V5qF3a+rhsSqjic5a8amvOXwJs66s6GUOFKmn 666cFfkCm0XgC82ow8/vlg== 0000769993-04-000014.txt : 20040107 0000769993-04-000014.hdr.sgml : 20040107 20040107171601 ACCESSION NUMBER: 0000769993-04-000014 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040105 FILED AS OF DATE: 20040107 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: 04513759 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 FORM 4 X0201 4 2004-01-05 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 Common Stock, par value $0.01 per share 2004-01-05 5 A 0 2152 A 16676 D Common Stock, par value $0.01 per share 2004-01-05 4 F 0 896 97.045 D 15780 D Common Stock, par value $0.01 per share 2004-01-05 5 J 0 827 A 16607 D Common Stock, par value $0.01 per share 2004-01-05 4 F 0 328 97.045 D 16279 D Common Stock, par value $0.01 per share 17089 I See Footnote Restricted Stock Units 2004-01-05 5 M 0 2152 D Common Stock, par value $0.01 per share 2152 0 D On January 5, 2004, 2,152 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person. On January 5, 2004, 827 shares of the Issuer's common stock previously held indirectly by the Reporting Person through The Goldman Sachs Defined Contribution Plan vested and were delivered to the Reporting Person. This transaction was exempt from Section 16 pursuant to Rule 16a-3 under the Securities Exchange Act of 1934, as amended. Through The Goldman Sachs Defined Contribution Plan /s/ Edward T. Joel, Attorney-in-fact 2004-01-07 -----END PRIVACY-ENHANCED MESSAGE-----