-----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, RBHFwuAbtVyAgiGG7wN2h4I8dV5hGlBNiM9ZJzZ5/KR/12TR8+2bSsIHq+SOyMg+ HJ3nPXk+D4vVFgKKR6n28g== /in/edgar/work/0000950123-00-008812/0000950123-00-008812.txt : 20000927 0000950123-00-008812.hdr.sgml : 20000927 ACCESSION NUMBER: 0000950123-00-008812 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20000925 GROUP MEMBERS: GOLDMAN SACHS GROUP INC GROUP MEMBERS: GROUP MEMBERS LISTED IN FILING SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC CENTRAL INDEX KEY: 0000886982 STANDARD INDUSTRIAL CLASSIFICATION: [6211 ] IRS NUMBER: 133501777 STATE OF INCORPORATION: DE FISCAL YEAR END: 1126 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-56295 FILM NUMBER: 727681 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC CENTRAL INDEX KEY: 0000886982 STANDARD INDUSTRIAL CLASSIFICATION: [6211 ] IRS NUMBER: 133501777 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 y40693sc13da.txt AMENDMENT NO. 8 TO SCHEDULE 13D 1 SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 File No. 005-56295 ----------------------------------------------------- SCHEDULE 13D/A (Rule 13d-101) Amendment No. 8 INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) The Goldman Sachs Group, Inc. --------------------- (Name of Issuer) Common Stock, par value $.01 per share --------------------------- (Title of Class of Securities) 38141G 10 4 --------------------- (CUSIP Number) Gregory K. Palm James B. McHugh The Goldman Sachs Group, Inc. 85 Broad Street New York, New York 10004 Telephone: (212) 902-1000 -------------------- (Name, Address and Telephone Number of Persons Authorized to Receive Notices and Communications) September 22, 2000 -------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ]. (Continued on following pages) 2
- ------------------------ CUSIP NO. 38141G 10 4 13D - ------------------------ - --------------------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS: Each of the persons identified on Appendix A. - ----------------------------------------------------------------------------- ----- --------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP As to a group consisting solely of Covered Persons(1) (a) [x] As to a group consisting of persons other than Covered Persons (b) [x] - --------------------------------------------------------------------------------------------- 3. SEC USE ONLY - --------------------------------------------------------------------------------------------- 4. SOURCE OF FUNDS: OO as to Covered Shares(1), OO and PF as to Uncovered Shares(2) (Applies to each person listed on Appendix A.) - --------------------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ] ITEM 2(d) OR 2(e) (Applies to each person listed on Appendix A.) - --------------------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States unless otherwise indicated on Appendix A. - --------------------------------------------------------------------------------------------- 7. SOLE VOTING POWER (See Item 6) NUMBER OF As to Covered Shares, 0 SHARES As to Uncovered Shares, as stated in Appendix A BENEFICIALLY ------------------------------------------------------ OWNED BY 8. SHARED VOTING POWER (See Item 6) (Applies to REPORTING each person listed on Appendix A.) PERSON 251,377,692 Covered Shares held by Covered Persons WITH 4,991 Uncovered Shares held by Covered Persons(3) 1,458,217 Other Uncovered Shares held by Covered Persons(4) 10,987,710 shares held by KAA(5) 16,243,610 shares held by SBCM(5) ------------------------------------------------------ 9. SOLE DISPOSITIVE POWER (See Item 6) As to Covered Shares, less than 1% As to Uncovered Shares, as stated in Appendix A ------------------------------------------------------ 10. SHARED DISPOSITIVE POWER (See Item 6): As to Covered Shares, 0 As to Uncovered Shares, as stated in Appendix A - --------------------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 252,840,900(6) - --------------------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [x](6) (Applies to each person listed on Appendix A.) - --------------------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 55.7%(6) - --------------------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON: OO as to persons listed in Appendix A under the caption "Trusts"; PN as to persons listed in Appendix A under the caption "Partnerships"; CO as to persons listed in Appendix A under the caption "Corporations"; IN as to all other persons listed in Appendix A.
- --------------- (1) For a definition of this term, please see Item 2. (2) For a definition of this term, please see Item 3. (3) These are Uncovered Shares also described in Row 7 which each Covered Person is deemed to beneficially own by application of Rule 13d-5(b)(1), but do not include the Uncovered Shares described in note 4. Each Covered Person disclaims beneficial ownership of Uncovered Shares held by each other Covered Person. (4) These are Uncovered Shares held by 88 private charitable foundations established by 88 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations and may be deemed to beneficially own such Uncovered Shares. Each other Covered Person may be deemed to beneficially own such Uncovered Shares by application of Rule 13d-5(b)(1). Each such Covered Person disclaims beneficial ownership of such Uncovered Shares, and each other Covered Person also disclaims beneficial ownership of such Uncovered Shares. (5) For a definition of this term, please see Item 2. The Covered Persons may be deemed to be members of a "group" with KAA and SBCM. Each Covered Person disclaims beneficial ownership of shares of Common Stock held by KAA and SBCM. 2 3 (6) Excludes 10,987,710 and 16,243,610 shares of Common Stock held by KAA and SBCM, respectively, as to which each Covered Person disclaims beneficial ownership. 3 4
APPENDIX A ITEM 6 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 SHARED SOLE SHARED (UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------- ------------- ----------- --------- ------------ ----------- Bradley I. Abelow 0 0 0 0 Peter C. Aberg 0 0 0 0 Paul M. Achleitner Austria 0 0 0 0 Alberto F. Ades Argentina 0 0 0 0 Gregory A. Agran 0 0 0 0 Raanan A. Agus 0 0 0 0 Jonathan R. Aisbitt UK 0 0 0 0 Elliot M. Alchek 0 0 0 0 Andrew M. Alper 0 0 0 0 Philippe J. Altuzarra France 0 0 0 0 Lay Pheng Ang Singapore 0 0 0 0 Kazutaka P. Arai North Korea/ 0 0 0 0 South Korea David M. Atkinson UK 0 0 0 0 Mitchel J. August 0 0 0 0 Armen A. Avanessians 0 0 0 0 Dean C. Backer 0 0 0 0 Michiel J. Bakker The 0 0 0 0 Netherlands Mark E. Bamford 0 0 0 0 John S. Barakat 0 0 0 0 Barbara J. 0 0 0 0 Basser-Bigio Carl-Georg Germany 0 0 0 0 Bauer-Schlichtegroll David Baum 0 0 0 0 Patrick Y. Baune France 0 0 0 0 Robert A. Beckwitt 0 0 0 0 Jonathan A. Beinner 0 0 0 0 Ron E. Beller 0 0 0 0 Tarek M. Ben Halim Saudi Arabia 0 0 0 0 Kenneth Berents 0 0 0 0 Jaime I. Bergel Spain 0 0 0 0 Milton R. Berlinski The 0 0 0 0 Netherlands Andrew S. Berman 0 0 0 0 Frances R. Bermanzohn 0 0 0 0 Stuart N. Bernstein 0 0 0 0 Robert A. Berry UK 0 0 0 0 Jean-Luc Biamonti Monaco 0 0 0 0 James J. Birch UK 0 0 0 0 Lloyd C. Blankfein 0 0 0 0 David W. Blood 0 0 0 0 Randall A. Blumenthal 0 0 0 0
4 5
ITEM 6 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 SHARED SOLE SHARED (UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------- ------------- ----------- --------- ------------ ----------- David R. Boles 0 0 0 0 Antonio Borges Portugal 0 0 0 0 Alison L. Bott UK 0 0 0 0 Charles W.A. Bott UK 0 0 0 0 Charles C. Bradford III 0 0 0 0 Benjamin S. Bram 0 0 0 0 Thomas C. Brasco 0 0 0 0 Daniel G. Brennan 0 0 0 0 Peter L. Briger, Jr. 0 0 0 0 Craig W. Broderick 0 0 0 0 Richard J. Bronks UK 0 0 0 0 Charles K. Brown UK 0 0 0 0 James K. Brown 0 0 0 0 Peter D. Brundage 0 0 0 0 Sholom Bryski 0 0 0 0 John J. Bu 0 0 0 0 Lawrence R. Buchalter 0 0 0 0 Mark J. Buisseret UK 0 0 0 0 Steven M. Bunson 0 0 0 0 Timothy B. Bunting UK 0 0 0 0 Andrew J. Burke-Smith Canada 0 0 0 0 Calvert C. Burkhart 0 0 0 0 Michael S. Burton UK 0 0 0 0 George H. Butcher III 0 0 0 0 Mary D. Byron 0 0 0 0 Lawrence V. Calcano 0 0 0 0 Elizabeth V. Camp 0 0 0 0 John D. Campbell 0 0 0 0 Laurie G. Campbell Canada 0 0 0 0 Richard M. Campbell-Breeden UK 0 0 0 0 Carmine C. Capossela 0 0 0 0 Mark M. Carhart 0 0 0 0 Anthony H. Carpet 0 0 0 0 Michael J. Carr 0 0 0 0 Christopher J. Carrera 0 0 0 0 Virginia E. Carter 0 0 0 0 Calvin R. Carver, Jr. 0 0 0 0 Mary Ann Casati 0 0 0 0 Chris Casciato 0 0 0 0 Douglas W. Caterfino 0 0 0 0 Michael J. Certo 0 0 0 0 Varkki P. Chacko USA/India 0 0 0 0 David K. Chang Taiwan 0 0 0 0
5 6
ITEM 6 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 SHARED SOLE SHARED (UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------- ------------- ----------- --------- ------------ ----------- Thomas P. Chang 0 0 0 0 Sacha A. Chiaramonte Germany 0 0 0 0 Andrew A. Chisholm Canada 0 0 0 0 Robert J. Christie 0 0 0 0 Peter T. Cirenza 0 0 0 0 Kent A. Clark Canada 0 0 0 0 Zachariah Cobrinik 0 0 0 0 Abby Joseph Cohen 0 0 0 0 Lawrence H. Cohen 0 0 0 0 Marc I. Cohen 0 0 0 0 Gary D. Cohn 0 0 0 0 Christopher A. Cole 0 0 0 0 Timothy J. Cole 0 0 0 0 Laura C. Conigliaro 0 0 0 0 Liam Connell 0 0 0 0 Thomas G. Connolly Ireland/USA 0 0 0 0 Frank T. Connor 0 0 0 0 Donna L. Conti 0 0 0 0 Karen R. Cook UK 0 0 0 0 Edith W. Cooper 0 0 0 0 Philip A. Cooper 0 0 0 0 Carlos A. Cordeiro 0 0 0 0 Henry Cornell 0 0 0 0 E. Gerald Corrigan 0 0 0 0 Jon S. Corzine 0 0 0 0 Claudio Costamagna Italy 0 0 0 0 Frank L. Coulson, Jr. 0 0 0 0 Kenneth Courtis 0 0 0 0 Randolph L. Cowen 0 0 0 0 Neil D. Crowder 0 0 0 0 Eduardo A. Cruz 0 0 0 0 John P. Curtin, Jr. 0 0 0 0 John W. Curtis 0 0 0 0 Stephen C. Daffron 0 0 0 0 John S. Daly Ireland 0 0 0 0 Philip M. Darivoff 0 0 0 0 Matthew S. Darnall 0 0 0 0 Timothy D. Dattels Canada 0 0 0 0
6 7
ITEM 6 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 SHARED SOLE SHARED (UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------- ------------- ----------- --------- ------------ ----------- Gavyn Davies UK 0 0 0 0 Michael G. De Lathauwer Belgium 0 0 0 0 David A. Dechman 0 0 0 0 Mark Dehnert 0 0 0 0 Paul C. Deighton UK 0 0 0 0 James Del Favero Australia 0 0 0 0 Juan A. Del Rivero Spain 0 0 0 0 Robert V. Delaney, Jr. 0 0 0 0 Joseph Della Rosa 0 0 0 0 Emanuel Derman 0 0 0 0 Martin R. Devenish UK 0 0 0 0 Andrew C. Devenport UK 0 0 0 0 Stephen D. Dias UK 0 0 0 0 Armando A. Diaz 0 0 0 0 Alexander C. Dibelius Germany 0 0 0 0 Paul M. DiNardo 0 0 0 0 Simon P. Dingemans UK 0 0 0 0 Sandra D'Italia 0 0 0 0 Michele I. Docharty 0 0 0 0 Paula A. Dominick 0 0 0 0 Noel B. Donohoe Ireland 0 0 0 0 Jana Hale Doty 0 0 0 0 Robert G. Doumar, Jr. 0 0 0 0 Thomas M. Dowling 0 0 0 0 John O. Downing 0 0 0 0 Michael B. Dubno 0 0 0 0 Connie K. Duckworth 0 0 0 0 William C. Dudley 0 0 0 0 Brian J. Duffy 0 0 0 0 Matthieu B. Duncan 0 0 0 0 C. Steven Duncker 0 0 0 0 Karlo J. Duvnjak Canada 0 0 0 0 Jay S. Dweck 0 0 0 0 Gordon E. Dyal 0 0 0 0 Isabelle Ealet France 0 0 0 0 Glenn P. Earle UK 0 0 0 0 Paul S. Efron 0 0 0 0 Herbert E. Ehlers 0 0 0 0 Alexander S. Ehrlich 0 0 0 0 John E. Eisenberg 0 0 0 0 Edward K. Eisler Austria 0 0 0 0 Jason H. Ekaireb UK 0 0 0 0
7 8
ITEM 6 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 SHARED SOLE SHARED (UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------- ------------- ----------- --------- ------------ ----------- Glenn D. Engel 0 0 0 0 Davide G. Erro Italy 0 0 0 0 Michael P. Esposito 0 0 0 0 George C. Estey Canada 0 0 0 0 Mark D. Ettenger 0 0 0 0 Bruce J. Evans 0 0 0 0 J. Michael Evans Canada 0 0 0 0 W. Mark Evans Canada 0 0 0 0 Charles P. Eve UK 0 0 0 0 Brian F. Farr 0 0 0 0 Elizabeth C. Fascitelli 0 0 0 0 Jeffrey F. Fastov 0 0 0 0 Pieter Maarten Feenstra The 0 0 0 0 Netherlands Steven M. Feldman 0 0 0 0 Laurie R. Ferber 0 0 0 0 Robert P. Fisher, Jr. 0 0 0 0 Lawton W. Fitt 0 0 0 0 Stephen C. Fitzgerald Australia 0 0 0 0 Thomas M. Fitzgerald III 0 0 0 0 Daniel M. Fitzpatrick 0 0 0 0 James A. Fitzpatrick 0 0 0 0 David N. Fleischer 0 0 0 0 David B. Ford 0 0 0 0 Edward C. Forst 0 0 0 0 George B. Foussianes 0 0 0 0 Oliver L. Frankel 0 0 0 0 Matthew T. Fremont-Smith 0 0 0 0 Christopher G. French UK 0 0 0 0 Richard A. Friedman 0 0 0 0 Matthias K. Frisch Switzerland 0 0 0 0 C. Douglas Fuge 0 0 0 0 Shirley Fung UK 0 0 0 0 Joseph D. Gatto 0 0 0 0 Emmanuel Gavaudan France 0 0 0 0 Nicholas J. Gaynor UK 0 0 0 0 Eduardo B. Gentil 0 0 0 0 Peter C. Gerhard 0 0 0 0 Nomi P. Ghez Israel/USA 0 0 0 0 Scott A. Gieselman 0 0 0 0 H. John Gilbertson, Jr. 0 0 0 0
8 9
ITEM 6 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 SHARED SOLE SHARED (UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------- ------------- ----------- --------- ------------ ----------- Joseph H. Gleberman 0 0 0 0 Richard J. Gnodde Ireland/South 0 0 0 0 Africa Jeffrey B. Goldenberg 0 2,860(7) 0 2,860(7) Jacob D. Goldfield 0 0 0 0 James S. Golob 0 0 0 0 Amy O. Goodfriend 0 0 0 0 Jay S. Goodgold 0 0 0 0 Andrew M. Gordon 0 0 0 0 Anthony J. Gordon 0 0 0 0 Robert D. Gottlieb 0 0 0 0 Frank J. Governali 0 0 0 0 Lorenzo Grabau Italy 0 0 0 0 Geoffrey T. Grant 0 0 0 0 William M. Grathwohl 0 0 0 0 David J. Greenwald 0 0 0 0 Louis S. Greig UK 0 0 0 0 Peter W. Grieve 0 0 0 0 Christopher Grigg UK 0 0 0 0 Douglas C. Grip 0 0 0 0 Eric P. Grubman 0 0 0 0 Celeste A. Guth 0 0 0 0 Joseph D. Gutman 0 0 0 0 Erol Hakanoglu Turkey 0 0 0 0 Roger C. Harper 0 0 0 0 Charles T. Harris III 0 0 0 0 Robert S. Harrison 0 0 0 0 Shelley A. Hartman 0 0 0 0 Paul R. Harvey 0 0 0 0 Arthur J. Hass 0 0 0 0 Nobumichi Hattori Japan 0 0 0 0 Stephen J. Hay UK 0 0 0 0 Walter H. Haydock 0 0 0 0 Isabelle Hayen Belgium 0 0 0 0 Keith L. Hayes UK 0 0 0 0 Thomas J. Healey 0 0 0 0 John P. Heanue 0 0 0 0 Robert C. Heathcote UK 0 0 0 0
- --------------------------------- (7) Shared with family members. 9 10
ITEM 6 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 SHARED SOLE SHARED (UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------- ------------- ----------- --------- ------------ ----------- Sylvain M. Hefes France 0 0 0 0 David B. Heller 0 0 0 0 Steven M. Heller 0 0 0 0 R. Douglas Henderson 0 0 0 0 David L. Henle 0 0 0 0 Mary C. Henry 0 0 0 0 Raimund W. Herden Germany 0 0 0 0 Bruce A. Heyman 0 0 0 0 Robert E. Higgins 0 0 0 0 Joanne M. Hill 0 0 0 0 M. Roch Hillenbrand 0 0 0 0 Maykin Ho 0 0 0 0 Timothy E. Hodgson Canada 0 0 0 0 Jacquelyn M. Hoffman-Zehner Canada 0 0 0 0 Christopher G. Hogg New 0 0 0 0 Zealand/USA Daniel E. Holland III 0 0 0 0 Teresa E. Holliday 0 0 0 0 Gregory T. Hoogkamp 0 0 0 0 Thomas J. Hopkins 0 0 0 0 Robert D. Hormats 0 0 0 0 Robert G. Hottensen, Jr. 0 0 0 0 Michael R. Housden UK 0 0 0 0 Paul J. Huchro 0 0 0 0 James A. Hudis 0 0 0 0 Terry P. Hughes Ireland 0 0 0 0 Bimaljit S. Hundal UK 0 0 0 0 Edith A. Hunt 0 0 0 0 Susan J. Hunt UK 0 0 0 0 Fern Hurst 0 0 0 0 Robert J. Hurst 0 0 0 0 Toni Infante 0 0 0 0 Francis J. Ingrassia 0 0 0 0 Timothy J. Ingrassia 0 0 0 0 Masahiro Iwano Japan 0 0 0 0 Raymond J. Iwanowski 0 0 0 0 William L. Jacob III 0 0 0 0 Mark M. Jacobs 0 0 0 0 Richard I. Jaffee 0 0 0 0 Reuben Jeffery III 0 0 0 0 Stefan J. Jentzsch Germany 0 0 0 0 Dan H. Jester 0 0 0 0 Daniel J. Jick 0 0 0 0 Robert H. Jolliffe UK 0 0 0 0 Andrew J. Jonas 0 0 0 0
10 11
ITEM 6 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 SHARED SOLE SHARED (UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------- ------------- ----------- --------- ------------ ----------- Robert C. Jones 0 0 0 0 Chansoo Joung 0 0 0 0 Andrew J. Kaiser 0 0 0 0 Ann F. Kaplan 21 0 21 0 Barry A. Kaplan 0 0 0 0 David A. Kaplan 0 0 0 0 Jason S. Kaplan 0 0 0 0 Robert S. Kaplan 0 0 0 0 Scott B. Kapnick 0 0 0 0 Erland S. Karlsson Sweden 0 0 0 0 James M. Karp 0 0 0 0 Richard Katz 0 0 0 0 Robert J. Katz 0 0 0 0 Sofia Katzap 0 0 0 0 David K. Kaugher 0 0 0 0 Tetsuya Kawano Japan 0 0 0 0 R. Mark Keating 0 0 0 0 John L. Kelly 0 0 0 0 Kevin W. Kennedy 0 0 0 0 Thomas J. Kenny 0 0 0 0 Lawrence S. Keusch 0 0 0 0 Rustom N. Khandalavala 0 0 0 0 Peter A. Kiernan U.K. 0 0 0 0 Peter D. Kiernan III 0 0 0 0 James T. Kiernan, Jr. 0 0 0 0 Sun Bae Kim Canada 0 0 0 0 Douglas W. Kimmelman 0 0 0 0 Colin E. King Canada 0 0 0 0 Robert C. King, Jr. 0 0 0 0 Adrian P. Kingshott UK 0 0 0 0 Timothy M. Kingston 0 0 0 0 Lincoln Kinnicutt 0 0 0 0 Ewan M. Kirk UK 0 0 0 0 Daniel H. Klebes II 0 0 0 0 Michael K. Klingher 0 0 0 0 Craig A. Kloner 0 0 0 0 Jonathan R. Knight UK 0 0 0 0
11 12
ITEM 6 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 SHARED SOLE SHARED (UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------- ------------- ----------- --------- ------------ ----------- Bradford C. Koenig 0 0 0 0 Mark J. Kogan 0 0 0 0 Stanley Kogelman 0 0 0 0 Jonathan L. Kolatch 0 0 0 0 Richard E. Kolman 0 0 0 0 David J. Kostin 0 0 0 0 Koji Kotaka Japan 0 0 0 0 Peter S. Kraus 0 15(8) 0 15(8) Lawrence Kutscher 0 0 0 0 Christoph M. Ladanyi Austria 0 0 0 0 Peggy A. Lamb 0 0 0 0 David G. Lambert 0 0 0 0 Thomas K. Lane 0 0 0 0 Pierre F. Lapeyre, Jr. 0 0 0 0 Bruce M. Larson 0 0 0 0 Thomas D. Lasersohn 0 0 0 0 Anthony D. Lauto 0 0 0 0 John J. Lauto 0 0 0 0 Matthew Lavicka 0 0 0 0 David N. Lawrence 0 0 0 0 Peter Layton 0 0 0 0 Susan R. Leadem 0 0 0 0 Andrew D. Learoyd UK 0 0 0 0 Chang-Ho J. Lee USA/South 0 0 0 0 Korea Donald C. Lee 0 0 0 0 Kenneth H. M. Leet 0 0 0 0 Anthony J. Leitner 0 0 0 0 Paulo C. Leme 0 0 0 0 Hughes B. Lepic France 0 0 0 0 Alan B. Levande 0 0 0 0 Ronald S. Levin 0 0 0 0 Jack Levy 0 0 0 0 Thomas B. Lewis, Jr. 0 0 0 0 Mark E. Leydecker 0 0 0 0 Matthew G. L'Heureux 0 0 0 0 Gwen R. Libstag 0 0 0 0 Stephen C. Lichtenauer 0 0 0 0 Roger A. Liddell UK 0 0 0 0 Richard J. Lieb 0 0 0 0 Mitchell J. Lieberman 0 0 0 0 Syaru Shirley Lin 0 0 0 0 Josephine Linden UK 0 0 0 0 Lawrence H. Linden 0 0 0 0 Robert Litterman 0 0 0 0
- ----------------------------------- (8) Shared with family members. 12 13
ITEM 6 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 SHARED SOLE SHARED (UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------- ------------- ----------- --------- ------------ ----------- Robert H. Litzenberger 0 0 0 0 David McD A. Livingstone Australia 0 0 0 0 Douglas F. Londal 0 0 0 0 Jacques M. Longerstaey USA/Belgium 0 0 0 0 Jonathan M. Lopatin 0 0 0 0 Francisco Lopez-Balboa 0 0 0 0 Victor M. Lopez-Balboa 0 0 0 0 Antigone Loudiadis UK 0 0 0 0 C. Richard Lucy 0 0 0 0 Michael C. Luethke 0 0 0 0 Kevin L. Lundeen 0 0 0 0 Michael R. Lynch 0 0 0 0 Shogo Maeda Japan 0 0 0 0 John A. Mahoney 0 0 0 0 Sean O. Mahoney 0 0 0 0 Russell E. Makowsky 0 0 0 0 Peter G. C. Mallinson UK 0 0 0 0 Kathleen M. Maloney 0 0 0 0 Charles G. R. Manby UK 0 0 0 0 Robert S. Mancini 0 0 0 0 Barry A. Mannis 0 0 0 0 Arthur S. Margulis, Jr. 0 0 0 0 Jorge O. Mariscal Mexico 0 0 0 0 Richard J. Markowitz 0 0 0 0 Ronald G. Marks 0 0 0 0 Robert J. Markwick UK 0 0 0 0 Eff W. Martin 0 0 0 0 Jacques Martin Canada 0 0 0 0 John J. Masterson 0 0 0 0 David J. Mastrocola 0 0 0 0 Kathy M. Matsui 0 0 0 0 Tadanori Matsumura Japan 0 0 0 0 Heinz Thomas Mayer Germany 0 0 0 0 Thomas J. McAdam 0 0 0 0 Richard F. McArdle 0 0 0 0 Theresa E. McCabe 0 0 0 0 Joseph M. McConnell 0 0 0 0
13 14
ITEM 6 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 SHARED SOLE SHARED (UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------- ------------- ----------- --------- ------------ ----------- Mark E. McGoldrick 0 0 0 0 Joseph P. McGrath Jr. 0 0 0 0 Stephen J. McGuinness 0 0 0 0 John C. McIntire 0 0 0 0 John W. McMahon 0 0 0 0 Geraldine F. McManus 0 0 0 0 Richard P. McNeil Jamaica 0 0 0 0 Audrey A. McNiff 0 0 0 0 Anne Welsh McNulty 0 0 0 0 John P. McNulty 0 0 0 0 E. Scott Mead 0 0 0 0 David M. Meerschwam The 0 0 0 0 Netherlands Sanjeev K. Mehra India 0 0 0 0 Michael C. Melignano 0 0 0 0 Roberto Mendoza 0 0 0 0 Amos Meron USA/Israel 0 0 0 0 T. Willem Mesdag 0 0 0 0 Andrew L. Metcalfe UK 0 0 0 0 Michael R. Miele 0 0 0 0 Gunnar T. Miller 0 0 0 0 Kenneth A. Miller 0 0 0 0 Therese L. Miller 0 0 0 0 James E. Milligan 0 0 0 0 Eric M. Mindich 0 0 0 0 Peter A. Mindnich 0 0 0 0 Edward S. Misrahi Italy 0 0 0 0 Steven T. Mnuchin 0 0 0 0 Kurt C. Mobley 0 0 0 0 Masanori Mochida Japan 0 0 0 0 Karsten N. Moller Denmark 0 0 0 0 Thomas K. Montag 0 0 0 0 Wayne L. Moore 0 0 0 0 Yukihiro Moroe Japan 0 0 0 0 Robert B. Morris III 0 0 0 0 Michael P. Mortara 0 0 0 0 Jennifer Moses 0 0 0 0 Jeffrey M. Moslow 0 0 0 0
14 15
ITEM 6 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 SHARED SOLE SHARED (UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------- ------------- ----------- --------- ------------ ----------- Sharmin Mossavar-Rahmani UK 0 0 0 0 Gregory T. Mount 0 0 0 0 Ian Mukherjee UK 0 0 0 0 Edward A. Mule 0 0 0 0 Eric D. Mullins 0 0 0 0 Donald J. Mulvihill 0 0 0 0 Patrick E. Mulvihill Ireland 0 0 0 0 Richard A. Murley UK 0 0 0 0 Philip D. Murphy 43 0 43 0 Thomas S. Murphy, Jr. 0 0 0 0 Gaetano J. Muzio 0 0 0 0 Michiya Nagai Japan 0 0 0 0 Gabrielle U. Napolitano 0 0 0 0 Avi M. Nash 0 0 0 0 Trevor P. Nash UK 0 0 0 0 Warwick M. Negus Australia 0 0 0 0 Daniel M. Neidich 22 0 22 0 Kipp M. Nelson 0 0 0 0 Robin Neustein 0 0 0 0 Duncan L. Niederauer 0 0 0 0 Susan M. Noble UK 0 0 0 0 Suok J. Noh 0 0 0 0 Suzanne M. Nora Johnson 0 0 0 0 Christopher K. Norton 0 0 0 0 Michael E. Novogratz 0 0 0 0 Jay S. Nydick 0 0 0 0 Katherine K. Oakley 0 0 0 0 Alok Oberoi India 0 0 0 0 David Ogens 0 0 0 0 Jinsuk T. Oh South Korea 0 0 0 0 John C. O'Hara 0 0 0 0 Terence J. O'Neill UK 0 0 0 0 Timothy J. O'Neill 0 0 0 0 Richard T. Ong Malaysia 0 0 0 0 Ronald M. Ongaro 0 0 0 0 Donald C. Opatrny, Jr. 0 0 0 0 Daniel B. O'Rourke 0 0 0 0
15 16
ITEM 6 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 SHARED SOLE SHARED (UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------- ------------- ----------- --------- ------------ ----------- Robert J. O'Shea 0 0 0 0 Joel D. Ospa 0 0 0 0 Greg M. Ostroff 0 0 0 0 Terence M. O'Toole 0 0 0 0 Robert J. Pace 0 0 0 0 Robert N. Packer 0 0 0 0 Gregory K. Palm 0 0 0 0 Mukesh K. Parekh 0 0 0 0 Geoffrey M. Parker 0 0 0 0 Melissa B. Patrusky 0 0 0 0 Henry M. Paulson, Jr. 0 0 0 0 David B. Philip 0 0 0 0 Paul A. Phillips 0 0 0 0 Alberto M. Piedra, Jr. 0 0 0 0 Stephen R. Pierce 0 0 0 0 Philip J. Pifer 0 0 0 0 Scott M. Pinkus 0 0 0 0 Timothy C. Plaut Germany 0 0 0 0 Andrea Ponti Italy/USA 0 0 0 0 Ellen R. Porges 0 0 0 0 Wiet H. M. Pot The 0 0 0 0 Netherlands Michael J. Poulter UK 0 0 0 0 John J. Powers 0 0 0 0 Richard H. Powers 0 0 0 0 Michael A. Price 0 0 0 0 Scott Prince 0 0 0 0 Nomi M. Prins 0 0 0 0 Goran V. Puljic 0 0 0 0 Alok Puri UK 0 0 0 0 Kevin A. Quinn 0 0 0 0 Stephen D. Quinn 0 0 0 0 John J. Rafter Ireland 0 0 0 0 Jonathan Raleigh 0 0 0 0 Dioscoro-Roy I. Ramos Phillippines 0 0 0 0 Gregory G. Randolph 0 0 0 0 Charlotte P. Ransom UK 0 0 0 0 Michael G. Rantz 0 0 0 0 Joseph Ravitch 0 0 0 0 Girish V. Reddy 0 0 0 0 Arthur J. Reimers III 0 0 0 0 Anthony John Reizenstein UK 0 0 0 0 James P. Riley, Jr. 0 0 0 0 Kimberly E. Ritrievi 0 0 0 0 John Rizner 0 0 0 0 Simon M. Robertson UK 0 0 0 0
16 17
ITEM 6 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 SHARED SOLE SHARED (UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------- ------------- ----------- --------- ------------ ----------- J. David Rogers 0 0 0 0 John F. W. Rogers 0 0 0 0 Emmanuel Roman France 0 0 0 0 Eileen P. Rominger 0 0 0 0 Pamela P. Root 0 0 0 0 Ralph F. Rosenberg 0 0 0 0 Jacob D. Rosengarten 0 0 0 0 Richard J. Rosenstein 0 0 0 0 Ivan Ross 0 0 0 0 Stuart M. Rothenberg 0 0 0 0 Stuart R. Rubenstein 0 0 0 0 Michael S. Rubinoff 0 0 0 0 Ernest H. Ruehl, Jr. 0 0 0 0 Paul M. Russo 0 0 0 0 Richard M. Ruzika 0 0 0 0 Jeri Lynn Ryan 0 0 0 0 John C. Ryan 0 0 0 0 Michael D. Ryan 0 0 0 0 Katsunori Sago Japan 0 0 0 0 Pablo J. Salame Ecuador 0 0 0 0 J. Michael Sanders 0 0 0 0 Allen Sangines-Krause Mexico 0 0 0 0 Richard A. Sapp 0 0 0 0 Joseph Sassoon Israel 0 0 0 0 Tsutomu Sato Japan 240 0 240 0 Muneer A. Satter 0 0 0 0 Jonathan S. Savitz 0 0 0 0 Peter Savitz 0 0 0 0 Paul S. Schapira Italy 0 0 0 0 P. Sheridan Schechner 1,000 0 1,000 0 Gary B. Schermerhorn 0 0 0 0 Mitchell I. Scherzer Canada 0 0 0 0 Howard B. Schiller 0 0 0 0 Jeffrey W. Schroeder 0 0 0 0 Antoine Schwartz France 0 0 0 0 Eric S. Schwartz 0 0 0 0 Harvey M. Schwartz 0 0 0 0 Mark Schwartz 0 0 0 0 Steven M. Scopellite 0 0 0 0 David J. Scudellari 0 0 0 0 Charles B. Seelig, Jr. 0 0 0 0 Karen D. Seitz 0 0 0 0 Randolph Sesson, Jr. 0 0 0 0 Steven M. Shafran 0 0 0 0
17 18
ITEM 6 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 SHARED SOLE SHARED (UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------- ------------- ----------- --------- ------------ ----------- Richard S. Sharp UK 0 0 0 0 John P. Shaughnessy 0 0 0 0 Robert J. Shea, Jr. 0 0 0 0 James M. Sheridan 0 0 0 0 Richard G. Sherlund 0 0 0 0 Michael S. Sherwood UK 0 0 0 0 Michael H. Siegel 0 0 0 0 Howard A. Silverstein 0 0 0 0 Richard P. Simon 0 0 0 0 Victor R. Simone, Jr. 0 0 0 0 Dinakar Singh 0 0 0 0 Ravi M. Singh 0 0 0 0 Ravi Sinha India/USA 0 0 0 0 Allen W. Sinsheimer 0 0 0 0 Edward M. Siskind 0 0 0 0 Christian J. Siva-Jothy UK 0 0 0 0 Mark F. Slaughter 0 0 0 0 Linda J. Slotnick 0 0 0 0 Cody J Smith 0 0 0 0 Derek S. Smith 0 0 0 0 Michael M. Smith 0 0 0 0 Sarah E. Smith UK 0 0 0 0 Trevor A. Smith UK 0 0 0 0 Randolph C. Snook 0 0 0 0 Jonathan S. Sobel 0 0 0 0 David M. Solomon 0 0 0 0 Judah C. Sommer 0 0 0 0 Theodore T. Sotir 0 0 0 0 Daniel L. Sparks 0 0 0 0 Marc A. Spilker 0 0 0 0 Daniel W. Stanton 0 0 0 0 Esta E. Stecher 0 0 0 0 Cathrine S. Steck 0 0 0 0 Fredric E. Steck 0 0 0 0 Robert K. Steel 0 0 0 0 Joseph P. Stevens 0 0 0 0 Raymond S. Stolz 0 0 0 0 Steven H. Strongin 0 0 0 0 Andrew J. Stuart Australia 0 0 0 0
18 19
ITEM 6 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 SHARED SOLE SHARED (UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------- ------------- ----------- --------- ------------ ----------- Patrick Sullivan 0 0 0 0 Hsueh J. Sung Taiwan 0 0 0 0 George M. Suspanic Spain 0 0 0 0 Peter D. Sutherland Ireland 0 0 0 0 S.C. Andrew M. Swinburne UK 0 0 0 0 Gene T. Sykes 0 0 0 0 Shahriar Tadjbakhsh 0 0 0 0 Ronald K. Tanemura UK/USA 0 0 0 0 John H. Taylor 0 0 0 0 Robert E. Taylor 0 0 0 0 Greg W. Tebbe 0 0 0 0 Kiyotaka Teranishi Japan 0 0 0 0 Mark R. Tercek 0 0 0 0 Donald F. Textor 0 0 0 0 John A. Thain 0 0 0 0 Darren S. Thompson 0 0 0 0 John L. Thornton 0 0 0 0 Rory T. Tobin Ireland 0 0 0 0 Daisuke Toki Japan 0 0 0 0 Massimo Tononi Italy 0 0 0 0 John R. Tormondsen 0 0 0 0 Leslie C. Tortora 0 0 0 0 John L. Townsend III 0 0 0 0 Mark J. Tracey UK 0 0 0 0 Stephen S. Trevor 0 0 0 0 Byron D. Trott 0 0 0 0 Michael A. Troy 0 0 0 0 Donald J. Truesdale 0 0 0 0 Robert B. Tudor III 0 0 0 0 Thomas E. Tuft 0 0 0 0 John Tumilty UK 0 0 0 0 Barry S. Turkanis 0 0 0 0 Malcolm B. Turnbull Australia 554 0 554 0 Christopher H. Turner 0 0 0 0 Thomas B. Tyree, Jr. 0 0 0 0 Harkanwar Uberoi India 0 0 0 0 Kaysie P. Uniacke 0 0 0 0 John E. Urban 0 0 0 0 Hugo H. Van Vredenburch The 0 0 0 0 Netherlands Lee G. Vance 0 0 0 0 Corrado P. Varoli Canada 0 0 0 0 John J. Vaske 0 0 0 0
19 20
ITEM 6 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 SHARED SOLE SHARED (UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------- ------------- ----------- --------- ------------ ----------- David A. Viniar 0 0 0 0 Barry S. Volpert 0 0 0 0 George H. Walker IV 0 0 0 0 Thomas B. Walker III 0 0 0 0 Berent A. Wallendahl Norway 0 0 0 0 David R. Walton UK 0 0 0 0 Hsueh-Ming Wang 0 0 0 0 Patrick J. Ward 0 0 0 0 Haruko Watanuki Japan 0 0 0 0 Edward F. Watts, Jr. 0 190(9) 0 190(9) David M. Weil 0 0 0 0 John S. Weinberg 0 0 0 0 Peter A. Weinberg 0 0 0 0 Helge Weiner-Trapness Sweden 0 0 0 0 Mark S. Weiss 0 0 0 0 George W. Wellde, Jr. 0 0 0 0 Bradley W. Wendt 0 0 0 0 Lance N. West 0 0 0 0 Matthew Westerman UK 0 0 0 0 Peter Wheeler UK 0 0 0 0 Barbara A. White 0 0 0 0 A. Carver Wickman 0 0 0 0 Susan A. Willetts 0 0 0 0 Anthony G. Williams UK 0 0 0 0 Christopher G. Williams UK 0 0 0 0 Gary W. Williams 0 0 0 0 Todd A. Williams 0 0 0 0 John S. Willian 0 0 0 0 Kenneth W. Willman 0 0 0 0 Kevin D. Willsey 0 0 0 0 Andrew F. Wilson New 0 0 0 0 Zealand Kendrick R. Wilson III 0 0 0 0 Jon Winkelried 0 0 0 0 Steven J. Wisch 0 0 0 0 Michael S. Wishart 0 0 0 0 Richard E. Witten 0 0 0 0 William H. Wolf, Jr. 0 0 0 0 Tracy R. Wolstencroft 0 0 0 0 Zi Wang Xu Canada/ China (PRC) 0 0 0 0 Richard A. Yacenda 0 0 0 0 Tetsufumi Yamakawa Japan 0 0 0 0 Yasuyo Yamazaki Japan 11 0 11 0 Anne Yang 0 0 0 0 Xiang-Dong Yang China (PRC) 0 0 0 0
- --------------------------------------- (9) Shared with family members. 20 21
ITEM 6 ITEM 9 ITEM 10 CITIZENSHIP ITEM 7 ITEM 8 SOLE SHARED (UNITED STATES SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------ ----------------- ------------- --------------- ------------- -------------- Danny O. Yee 0 0 0 Jaime E. Yordan 0 0 0 0 W. Thomas York, Jr. 0 0 0 0 Paul M. Young 0 0 0 0 Richard M. Young 0 0 0 0 Michael J. Zamkow 0 35(10) 0 35(10) Paolo Zannoni Italy 0 0 0 0 Yoel Zaoui France 0 0 0 0 Gregory H. Zehner 0 0 0 0 Jide J. Zeitlin 0 0 0 0 Joan H. Zief 0 0 0 0 Joseph R. Zimmel 0 0 0 0 James P. Ziperski 0 0 0 0 Barry L. Zubrow 0 0 0 0 Mark A. Zurack 0 0 0 0 Shares held by 88 private N/A 0 1,458,217 0 1,458,217 charitable foundations established by 88 Covered Persons each of whom is a co- trustee of one or more of such private charitable foundations(11)
- --------------------------------- (10) Shared with family members. (11) Each Covered Person disclaims beneficial ownership of all such shares of Common Stock. 21 22
ITEM 6 PLACE OF ITEM 9 ITEM 10 ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED (NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------ ----------------- ------------- --------------- ------------- -------------- TRUSTS ------ 2000 Carlos A. Cordeiro 0 0 0 0 Grantor Retained Annuity Trust 2000 Danny O. Yee Grantor 0 0 0 0 Retained Annuity Trust 2000 Douglas W. Kimmelman 0 0 0 0 Grantor Retained Annuity Trust 2000 Girish V. Reddy 0 0 0 0 Grantor Retained Annuity Trust 2000 James M. Sheridan 0 0 0 0 Grantor Retained Annuity Trust 2000 John A. Thain 0 0 0 0 Grantor Retained Annuity Trust 2000 Kipp M. Nelson 0 0 0 0 Grantor Retained Annuity Trust 2000 Mary Ann Casati 0 0 0 0 Grantor Retained Annuity Trust 2000 Michael E. Novogratz 0 0 0 0 Grantor Retained Annuity Trust 2000 Scott S. Prince 0 0 0 0 Grantor Retained Annuity Trust The Abby Joseph Cohen 0 0 0 0 2000 Annuity Trust I The Abby Joseph Cohen 0 0 0 0 2000 Family Trust The Adina R. Lopatin 2000 0 0 0 0 Trust The Alexander H. Witten 0 0 0 0 2000 Trust The Alexander I. 0 0 0 0 Berlinski 2000 Trust The Alexander 0 0 0 0 Litzenberger 2000 Grantor Retained Annuity Trust
22 23
ITEM 6 PLACE OF ITEM 9 ITEM 10 ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED (NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------ ----------------- ------------- --------------- ------------- -------------- The Alexander 0 0 0 0 Litzenberger Remainder Trust The Alexandra D. Steel 0 0 0 0 2000 Trust The Alexis Blood 2000 0 0 0 0 Trust The Alyssa Blood 2000 0 0 0 0 Trust The Amanda Liann Mead 0 0 0 0 2000 Trust Anahue Trust Jersey 0 0 0 0 Andrew L. Fippinger- 0 0 0 0 Millennium Trust The Andrew M Alper 2000 0 0 0 0 Annuity Trust I The Andrew M. Gordon 2000 0 0 0 0 Family Trust Ann F. Kaplan Two Year 0 0 0 0 Trust Dated June 2000 The Anne R. Witten 2000 0 0 0 0 Trust The Anne Sullivan Wellde 0 0 0 0 2000 Trust The Anthony D. Lauto 2000 0 0 0 0 Annuity Trust I The Anthony D. Lauto 2000 0 0 0 0 Family Trust The Arthur J. Reimers, Connecticut 0 0 0 0 III Defective Trust 2000 Arthur J. Reimers, III Connecticut 0 0 0 0 Grantor Retained Annuity Trust 2000 The Avi M. Nash 2000 0 0 0 0 Annuity Trust I The Avi M. Nash 2000 0 0 0 0 Family Trust The Bari Marissa Schwartz 0 0 0 0 2000 Trust Barry A. Kaplan 2000 0 0 0 0 Family Trust Barry A. Kaplan 2000 GRAT 0 0 0 0 The Barry L. Zubrow 2000 0 0 0 0 Annuity Trust I The Barry L. Zubrow 2000 0 0 0 0 Family Trust
23 24
ITEM 6 PLACE OF ITEM 9 ITEM 10 ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED (NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------ ----------------- ------------- --------------- ------------- -------------- The Benjamin H. Sherlund 0 0 0 0 2000 Trust The Benjamin Kraus 2000 0 0 0 0 Trust The Bradley Abelow Family 0 0 0 0 2000 Trust The Caceres Novogratz 0 0 0 0 Family Trust The Carlos A. Cordeiro 0 0 0 0 Trust The Charlotte Steel 2000 0 0 0 0 Trust The Charlotte Textor 2000 0 0 0 0 Trust The Christopher A. Cole 0 0 0 0 2000 Annuity Trust I The Christopher A. Cole 0 0 0 0 2000 Family Trust The Christopher K. Norton 0 0 0 0 2000 Family Trust The Christopher Palmisano 0 0 0 0 2000 Grantor Retained Annuity Trust The Christopher Palmisano 0 0 0 0 Remainder Trust The Christopher Ryan 0 0 0 0 Tortora 2000 Trust The Cody J Smith 2000 0 0 0 0 Annuity Trust I The Cody J Smith 2000 0 0 0 0 Family Trust The Connie K. Duckworth 0 0 0 0 2000 Annuity Trust I The Connie K. Duckworth 0 0 0 0 2000 Family Trust The Constance A. Haydock 0 0 0 0 2000 Trust The Daniel Alexander 0 0 0 0 Schwartz 2000 Trust The Daniel M. Neidich 0 0 0 0 2000 Annuity Trust I The Daniel W. Stanton 0 0 0 0 2000 Annuity Trust I The Daniel W. Stanton, II 0 0 0 0 2000 Trust
24 25
ITEM 6 PLACE OF ITEM 9 ITEM 10 ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED (NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------ ----------------- ------------- --------------- ------------- -------------- The Danny O. Yee Trust 0 0 0 0 The David B. Ford 2000 Pennsylvania 0 0 0 0 Annuity Trust DTD as of 6/16/2000 The David B. Heller 2000 0 0 0 0 Annuity Trust I The David B. Heller 2000 0 0 0 0 Family Trust The David G. Lambert 2000 0 0 0 0 Annuity Trust I The David G. Lambert 2000 0 0 0 0 Family Trust The David L. Henle 2000 0 0 0 0 Annuity Trust I The David L. Henle 2000 0 0 0 0 Family Trust The David M. Baum Family New Jersey 0 0 0 0 2000 Trust The David Viniar 2000 0 0 0 0 Annuity Trust I The David W. Blood 2000 0 0 0 0 Annuity Trust I The Donald F. Textor 2000 0 0 0 0 Annuity Trust I The Douglas W. Kimmelman 0 0 0 0 Trust The Eaddy Adele Kiernan 0 0 0 0 2000 Trust The Edward C. Forst 2000 0 0 0 0 Annuity Trust I The Edward C. Forst 2000 0 0 0 0 Family Trust The Edward Scott Mead 0 0 0 0 2000 Annuity Trust I Eff Warren Martin 2000 California 0 0 0 0 Childrens Trust Eff Warren Martin 2000 California 0 0 0 0 Grantor Retained Annuity Trust The Elizabeth Anne 0 0 0 0 Corrigan 2000 Trust The Elizabeth H. Coulson 0 0 0 0 2000 Trust The Elizabeth L. Heller 0 0 0 0 2000 Trust The Elizabeth Lin Mead 0 0 0 0 2000 Trust
25 26
ITEM 6 PLACE OF ITEM 9 ITEM 10 ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED (NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------ ----------------- ------------- --------------- ------------- -------------- The Elizabeth M. Stanton 0 0 0 0 2000 Trust The Elizabeth Steel 2000 0 0 0 0 Trust The Ellie Dorit Neustein 0 0 0 0 2000 Trust The Emily Austen Katz 0 0 0 0 2000 Trust The Emily Stecher 2000 0 0 0 0 Trust The Emma M.L. Mead 2000 0 0 0 0 Trust The Eric Fithian 2000 0 0 0 0 Trust The Erin Marie Tormondsen 0 0 0 0 2000 Trust The Esta Eiger Stecher 0 0 0 0 2000 Annuity Trust I The Francis J. Ingrassia 0 0 0 0 2000 Annuity Trust I The Francis J. Ingrassia 0 0 0 0 2000 Family Trust The Frank L. Coulson III 0 0 0 0 2000 Trust The Fredric E. Steck 2000 0 0 0 0 Annuity Trust I The Fredric E. Steck 2000 0 0 0 0 Family Trust Gary D. Cohn 2000 Family 0 0 0 0 Trust Gary D. Cohn 2000 GRAT 0 0 0 0 The Geoffrey T. Grant 0 0 0 0 2000 Family Trust The George H. Walker 2000 0 0 0 0 Annuity Trust I The George H. Walker 2000 0 0 0 0 Family Trust The George W. Wellde, Jr. 0 0 0 0 2000 Annuity Trust I The George William 0 0 0 0 Wellde, III 2000 Trust Ghez 2000 GRAT 0 0 0 0 Ghez 2000 Non-GST-Exempt 0 0 0 0 Trust
26 27
ITEM 6 PLACE OF ITEM 9 ITEM 10 ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED (NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------ ----------------- ------------- --------------- ------------- -------------- The Girish V. Reddy Trust 0 0 0 0 The Goldenberg 2000 0 0 0 0 Annuity Trust I The Goldenberg 2000 0 0 0 0 Family Trust The Greg M. Ostroff 2000 0 0 0 0 Annuity Trust I The Greg M. Ostroff 2000 0 0 0 0 Family Trust The Gregory H. Zehner 0 0 0 0 2000 Annuity Trust I The Gregory H. Zehner 0 0 0 0 2000 Family Trust The Gregory K. Palm 2000 0 0 0 0 Annuity Trust I The Gregory K. Palm 2000 0 0 0 0 Family Trust The Guapulo Trust Jersey 0 0 0 0 The Howard A. Silverstein 0 0 0 0 2000 Annuity Trust I The Howard A. Silverstein 0 0 0 0 2000 Family Trust The Howard B. Schiller 0 0 0 0 2000 Annuity Trust I The Isabelle M.L. Mead 0 0 0 0 2000 Trust The J. David Rogers 2000 0 0 0 0 Annuity Trust I The James Alexander Mead 0 0 0 0 2000 Trust The James M. Sheridan 0 0 0 0 Trust The James Nicholas Katz 0 0 0 0 2000 Trust James P. Riley, Jr. 2000 0 0 0 0 Family Trust James P. Riley, Jr. 2000 0 0 0 0 GRAT The Jason Kraus 2000 0 0 0 0 Trust The Jason William Tortora 0 0 0 0 2000 Trust The Jeffrey D. Witten 0 0 0 0 2000 Trust
27 28
ITEM 6 PLACE OF ITEM 9 ITEM 10 ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED (NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------ ----------------- ------------- --------------- ------------- -------------- The Jennifer Lauren Alper 0 0 0 0 2000 Trust JG 2000 Trust 0 0 0 0 JG 2000 Trust (continuing 0 0 0 0 trust) The John A. Thain Trust 0 0 0 0 The John J. Powers 2000 0 0 0 0 Family Trust The John L. Townsend, III 0 0 0 0 2000 Annuity Trust I The John O. Downing 2000 0 0 0 0 Annuity Trust I The John O. Downing 2000 0 0 0 0 Family Trust The John P. Curtin, Jr. 0 0 0 0 2000 Annuity Trust I The John P. Curtin, Jr. 0 0 0 0 2000 Family Trust The John R. Tormondsen 0 0 0 0 2000 Annuity Trust I The John R. Tormondsen, 0 0 0 0 Jr. 2000 Trust The John S. Weinberg 2000 0 0 0 0 Annuity Trust I The John S. Weinberg 2000 0 0 0 0 Family Trust The Jonathan G. Neidich 0 0 0 0 2000 Trust The Jonathan M. Lopatin 0 0 0 0 2000 Annuity Trust I The Jordan Viniar 2000 0 0 0 0 Trust The Joseph Della Rosa 0 0 0 0 2000 Annuity Trust I The Joseph Della Rosa 0 0 0 0 2000 Family Trust The Joseph H. Gleberman 0 0 0 0 2000 Annuity Trust I The Joseph H. Gleberman 0 0 0 0 2000 Family Trust The Jun Makihara 2000 0 0 0 0 Family Trust The Karen Barlow Corrigan 0 0 0 0 2000 Trust The Karen Rebecca Alper 0 0 0 0 2000 Trust
28 29
ITEM 6 PLACE OF ITEM 9 ITEM 10 ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED (NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------ ----------------- ------------- --------------- ------------- -------------- The Karsten Moller & Jersey 0 0 0 0 Barbara Kahn-Moller Trust The Katherine A.M. 0 0 0 0 Stanton 2000 Trust The Katheryn C. Coulson 0 0 0 0 2000 Trust The Kathryn Margaret 0 0 0 0 Wellde 2000 Trust The Kelsey Fithian 2000 0 0 0 0 Trust The Kenneth Litzenberger 0 0 0 0 2000 Grantor Retained Annuity Trust The Kenneth Litzenberger 0 0 0 0 Remainder Trust The Kevin W. Kennedy 2000 0 0 0 0 Annuity Trust I The Kevin W. Kennedy 2000 0 0 0 0 Family Trust The Kimberly Lynn 0 0 0 0 Macaione 2000 Trust The Kimberly R. Textor 0 0 0 0 2000 Trust The Kipp M. Nelson Trust 0 0 0 0 The Kyle F. Textor 2000 0 0 0 0 Trust The Lauren Schiller 2000 0 0 0 0 Trust The Lawrence R. Buchalter 0 0 0 0 2000 Annuity Trust I The Lawrence R. Buchalter 0 0 0 0 2000 Family Trust The Lee G. Vance 2000 0 0 0 0 Annuity Trust I The Lee G. Vance 2000 0 0 0 0 Family Trust The Leslie C. Tortora 0 0 0 0 2000 Annuity Trust I Lloyd C. Blankfein 2000 0 0 0 0 Family Trust Lloyd C. Blankfein 2000 0 0 0 0 GRAT The Louise Rice Townsend 0 0 0 0 2000 Trust
29 30
ITEM 6 PLACE OF ITEM 9 ITEM 10 ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED (NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------ ----------------- ------------- --------------- ------------- -------------- M. Roch Hillenbrand Trust New Jersey 0 0 0 0 f/b/o C. Justin Hillenbrand M. Roch Hillenbrand Trust New Jersey 0 0 0 0 f/b/o Molly D. Hillenbrand The Mallory G. Neidich 0 0 0 0 2000 Trust The Marc A. Spilker 2000 0 0 0 0 Family Trust The Mark A. Zurack 2000 0 0 0 0 Annuity Trust I The Mark A. Zurack 2000 0 0 0 0 Family Trust The Mark A. Zurack 2000 0 0 0 0 Issue Trust Mark Dehnert Living Trust Illinois 0 0 0 0 The Mark Schwartz 2000 0 0 0 0 Annuity Trust I The Mark Tercek 2000 0 0 0 0 Annuity Trust I The Mark Tercek 2000 0 0 0 0 Family Trust Marks 2000 0 0 0 0 Marks 2000 (continuing 0 0 0 0 trust) The Mary Agnes Reilly 0 0 0 0 Kiernan 2000 Trust The Mary Ann Casati Trust 0 0 0 0 The Matthew D. Rogers 0 0 0 0 2000 Trust The Matthew Peter Mortara 0 0 0 0 2000 Trust The Maya Bettina Linden 0 0 0 0 2000 Trust The Merritt Moore 0 0 0 0 Townsend 2000 Trust The Mesdag Family Trust Delaware 0 0 0 0 The Michael A. Price 2000 0 0 0 0 Annuity Trust I The Michael A. Price 2000 0 0 0 0 Family Trust The Michael D. Ryan 2000 0 0 0 0 Annuity Trust I The Michael D. Ryan 2000 0 0 0 0 Family Trust
30 31
ITEM 6 PLACE OF ITEM 9 ITEM 10 ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED (NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------ ----------------- ------------- --------------- ------------- -------------- The Michael J. Zamkow 0 0 0 0 2000 Annuity Trust I The Michael J. Zamkow 0 0 0 0 2000 Family Trust The Michael P. Mortara 0 0 0 0 2000 Annuity Trust I The Michael Paul Mortara 0 0 0 0 2000 Trust The Michael Stecher 2000 0 0 0 0 Trust The Milton R. Berlinski 0 0 0 0 2000 Annuity Trust I The Mossavar-Rahmani 2000 0 0 0 0 Annuity Trust I The Mossavar-Rahmani 2000 0 0 0 0 Family Trust Murphy 2000 0 0 0 0 Murphy 2000 (continuing 0 0 0 0 trust) The Natalie Cailyn Rogers 0 0 0 0 2000 Trust The Nicole Schiller 2000 0 0 0 0 Trust The Nina B. Haydock 2000 0 0 0 0 Trust The Peter C. Gerhard 2000 0 0 0 0 Annuity Trust I The Peter C. Gerhard 2000 0 0 0 0 Family Trust The Peter D. Kiernan, III 0 0 0 0 2000 Annuity Trust I The Peter Kiernan IV 2000 0 0 0 0 Trust The Peter S. Kraus 2000 0 0 0 0 Annuity Trust I The Philip D. Murphy 2000 0 0 0 0 Annuity Trust I The Philip D. Murphy 2000 0 0 0 0 Family Trust The Philip Darivoff 2000 0 0 0 0 Annuity Trust I The Rachel M. Darivoff 0 0 0 0 2000 Trust The Ralph F. Rosenberg 0 0 0 0 2000 Annuity Trust I The Ralph F. Rosenberg 0 0 0 0 2000 Family Trust
31 32
ITEM 6 PLACE OF ITEM 9 ITEM 10 ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED (NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------ ----------------- ------------- --------------- ------------- -------------- Randal M. Fippinger- 0 0 0 0 Millennium Trust The Randolph L. Cowen 0 0 0 0 2000 Family Trust Rayas Trust Jersey 0 0 0 0 The Rebecca Viniar 2000 0 0 0 0 Trust The Richard A. Friedman 0 0 0 0 2000 Annuity Trust I The Richard A. Friedman 0 0 0 0 2000 Family Trust The Richard A. Sapp 2000 0 0 0 0 Annuity Trust I The Richard A. Sapp 2000 0 0 0 0 Family Trust The Richard E. Witten 0 0 0 0 2000 Annuity Trust I The Richard G. Sherlund 0 0 0 0 2000 Annuity Trust I Robert A. Fippinger, Jr.- 0 0 0 0 Millennium Trust The Robert B. Litterman 0 0 0 0 2000 Annuity Trust I The Robert B. Litterman 0 0 0 0 2000 Family Trust The Robert B. Morris III 0 0 0 0 2000 Annuity Trust I The Robert J. Hurst 2000 0 0 0 0 Annuity Trust I The Robert J. Hurst 2000 0 0 0 0 Family Trust The Robert J. Katz 2000 0 0 0 0 Annuity Trust I The Robert J. O Shea 2000 0 0 0 0 Annuity Trust I The Robert J. O Shea 2000 0 0 0 0 Family Trust The Robert J. Pace 2000 0 0 0 0 Annuity Trust I The Robert J. Pace 2000 0 0 0 0 Family Trust The Robert K. Steel 2000 0 0 0 0 Annuity Trust I The Robert B. Morris III 0 0 0 0 2000 Family Trust The Robin Neustein 2000 0 0 0 0 Annuity Trust I
32 33
ITEM 6 PLACE OF ITEM 9 ITEM 10 ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED (NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------ ----------------- ------------- --------------- ------------- -------------- The Samantha Schiller 0 0 0 0 2000 Trust The Sarah B. Lopatin 2000 0 0 0 0 Trust The Sarah Delacy Kiernan 0 0 0 0 2000 Trust The Sarah M. Darivoff 0 0 0 0 2000 Trust The Sarah Rose Berlinski 0 0 0 0 2000 Trust The Scott B. Kapnick 2000 0 0 0 0 Annuity Trust I The Scott B. Kapnick 2000 0 0 0 0 Family Trust Scott M. Pinkus 2000 New Jersey 0 0 0 0 Family Trust Scott M. Pinkus 2000 GRAT New Jersey 0 0 0 0 The Scott S. Prince Trust 0 0 0 0 The Stephen M. Neidich 0 0 0 0 2000 Trust The Steven M. Heller, Jr. 0 0 0 0 2000 Trust The Steven T. Mnuchin 0 0 0 0 2000 Annuity Trust I The Steven T. Mnuchin 0 0 0 0 2000 Family Trust The Stuart Mark 0 0 0 0 Rothenberg 2000 Annuity Trust I The Stuart Mark 0 0 0 0 Rothenberg 2000 Family Trust The Terence M. O Toole 0 0 0 0 2000 Annuity Trust I The Terence M. O Toole 0 0 0 0 2000 Family Trust The Tess Augusta Linden 0 0 0 0 2000 Trust The Thomas K. Montag 2000 0 0 0 0 Annuity Trust I The Thomas K. Montag 2000 0 0 0 0 Family Trust The Tracy Richard 0 0 0 0 Wolstencroft 2000 Annuity Trust I
33 34
ITEM 6 PLACE OF ITEM 9 ITEM 10 ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED (NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------ ----------------- ------------- --------------- ------------- -------------- The Tracy Richard 0 0 0 0 Wolstencroft 2000 Family Trust Trust for the benefit of Pennsylvania 0 0 0 0 David Ford, Jr. under Indenture of Trust B of David B. Ford dated 6/16/00 Trust for the benefit of Pennsylvania 0 0 0 0 Jamie Ford under Indenture of Trust B of David B. Ford dated as of 6/16/00 Vyrona Trust Jersey 0 0 0 0 The Walter H. Haydock 0 0 0 0 2000 Annuity Trust I The Walter H. Haydock, Jr. 0 0 0 0 2000 Trust The William C. Sherlund 0 0 0 0 2000 Trust The William Keith 0 0 0 0 Litzenberger 2000 Grantor Retained Annuity Trust The William Keith 0 0 0 0 Litzenberger Remainder Trust The Zachariah Cobrinik 0 0 0 0 2000 Annuity Trust I The Zachariah Cobrinik 0 0 0 0 Family 2000 Trust PARTNERSHIPS ------------ ALS Investment Partners, Delaware 0 0 0 0 L.P. Beech Associates, L.P. Delaware 0 0 0 0 Crestley, L.P. Delaware 0 0 0 0 Daniel G. Brennan Family Illinois 0 0 0 0 Limited Partnership Greenley Partners, L.P. Delaware 0 0 0 0 HEMPA Limited Partnership Delaware 0 0 0 0 JSS Investment Partners, Delaware 0 0 0 0 L.P. Mesdag Family Limited Delaware 0 0 0 0 Partnership
34 35
ITEM 6 PLACE OF ITEM 9 ITEM 10 ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED (NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------ ----------------- ------------- --------------- ------------- -------------- Mijen Family Partnership Illinois 0 0 0 0 Opatrny Investment Delaware 0 0 0 0 Partners, L.P. Rantz GS Investment Delaware 0 0 0 0 Partners, L.P. Savitz Investment Delaware 0 0 0 0 Partners, L.P. The Litzenberger Family Delaware 0 0 0 0 Limited Partnership The Rizner Family Limited Illinois 0 0 0 0 Partnership Trott GS Investment Delaware 0 0 0 0 Partners, L.P. Tuft GS Investment Delaware 0 0 0 0 Partners, L.P. Windy Hill Investment Delaware 0 0 0 0 Company II, L.P. Winkelried Investment Delaware 0 0 0 0 Partners, L.P. CORPORATIONS ------------ Anahue Limited Jersey 0 0 0 0 Guapulo Holdings Ltd Jersey 0 0 0 0 HJS2 Limited Cayman Islands 0 0 0 0 Majix Limited Jersey 0 0 0 0 Melalula Limited Jersey 0 0 0 0 RJG Holding Company Cayman Islands 0 0 0 0 Robinelli Limited Jersey 0 0 0 0 Vyrona Holdings Limited Jersey 0 0 0 0 Zurrah Limited Jersey 0 0 0 0
35 36 This Amendment No. 8 to a Statement on Schedule 13D amends and restates in its entirety such Schedule 13D (as so amended and restated, this "Schedule"). This Amendment No. 8 is being filed because certain Covered Persons (as defined below) intend to sell up to an aggregate of 7,897,714 shares of Common Stock (as defined below) in accordance with the volume and manner of sale limitations of Rule 144 under the Securities Act of 1933, as amended ("Rule 144"). Item 1. Security and Issuer This Schedule relates to the Common Stock, par value $.01 per share (the "Common Stock"), of The Goldman Sachs Group, Inc., a Delaware corporation (together with its subsidiaries and affiliates, "GS Inc."). The address of the principal executive offices of GS Inc. is 85 Broad Street, New York, New York 10004. Item 2. Identity and Background (a), (b), (c), (f) The cover page to this Schedule and Appendix A hereto contain the names of the persons ("Covered Persons") who beneficially own Common Stock subject to a Shareholders' Agreement ("Covered Shares"), dated as of May 7, 1999, to which the Covered Persons are party (as amended from time to time, the "Shareholders' Agreement"). This filing is being made on behalf of all of the Covered Persons, and their agreement that this filing may be so made is contained in the Shareholders' Agreement. This Schedule contains certain information relating to Sumitomo Bank Capital Markets, Inc. ("SBCM") and Kamehameha Activities Association ("KAA"), who may be deemed to be members of a "group" with the Covered Persons. Each Covered Person hereby disclaims beneficial ownership of the shares of Common Stock and other equity securities of GS Inc. subject to the Voting Agreements between SBCM and KAA, respectively, on the one hand, and GS Inc., on the other hand (respectively, the "SBCM Shares" and the "KAA Shares"). All information contained in this Schedule relating to SBCM and KAA has been included based upon information provided by SBCM and KAA; the separate Schedules 13D filed by SBCM and KAA and any amendments thereto should be referred to for information relating to SBCM and KAA, respectively. Appendix A hereto also provides the citizenship or place of organization of each Covered Person. Each Covered Person who is an individual (an "Individual Covered Person") is a senior professional employed or formerly employed by GS Inc. or a spouse or former spouse thereof. GS Inc. is a global investment banking and securities firm. Each of The Daniel G. Brennan Family Limited Partnership, Mark Dehnert Living Trust, Mijen Family Partnership and The Rizner Family Limited Partnership, and each other Covered Person who is not an individual (the "Estate Planning Covered Persons") is a trust, limited partnership or corporation created by an Individual Covered Person solely for estate planning purposes. The Covered Persons listed in Appendix A under the caption "Partnerships" are limited partnerships of which an Individual Covered Person is general partner. Each Estate Planning Covered Person listed in Appendix A under the caption "Corporations" (a "Corporate Estate Planning Covered Person") is controlled by an Individual Covered Person (the "Controlling Covered Person"). The name, citizenship, business address and present principal occupation or employment of each of the directors and executive officers of each Corporate Estate Planning Covered Person (other than the Controlling Covered Person) is set forth in Annex A hereto. The business address of each Covered Person for purposes of this Schedule is: (i) in the case of entities organized in Jersey, 26 New Street, St. Helier, Jersey, JE4 3RA; (ii) in the case of entities organized in the Cayman Islands, P.O. Box 309, Ugland House, South Church Street, George Town, Grand Cayman, Cayman Islands; and (iii) in the case of all other Covered Persons, 85 Broad Street, New York, New York 10004. (d), (e) Except as described in Annex A or Annex B, during the last five years, no Covered Person or, to the best knowledge of the Covered Persons, any executive officer or director of a Covered Person, has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction resulting in such Covered Person being subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. Item 3. Source and Amount of Funds or Other Consideration The Covered Shares have been and will be acquired by the Covered Persons in the following manner: (i) the former profit participating limited partners active in the business of The Goldman Sachs Group, L.P. 36 37 ("Group L.P.") (each such former partner, a "PMD" and, collectively, the "PMDs") acquired certain Covered Shares in exchange for their interests in Group L.P. and certain of its affiliates and investee corporations; (ii) the former owners (the "Hull Covered Persons") of Hull and Associates, L.L.C. ("Hull") acquired certain Covered Shares in exchange for their interests in Hull; (iii) certain Individual Covered Persons have acquired and will acquire beneficial ownership of certain other Covered Shares in connection with GS Inc.'s initial public offering and/or pursuant to GS Inc.'s employee compensation, benefit or similar plans; (iv) certain Individual Covered Persons (the "Transferee Covered Persons") acquired their Covered Shares from PMDs in accordance with pre-existing contractual arrangements or judicial decrees; and (v) the Estate Planning Covered Persons have acquired and will acquire beneficial ownership of their Covered Shares as contributions or gifts made by Individual Covered Persons. Covered Persons may from time to time acquire Common Stock not subject to the Shareholders' Agreement ("Uncovered Shares") for investment purposes. Such Common Stock may be acquired with personal funds of or funds borrowed by such Covered Person. Item 4. Purpose of Transactions The Individual Covered Persons, other than the Hull Covered Persons and the Transferee Covered Persons, acquired the Covered Shares in connection with the succession of GS Inc. to the business of Group L.P. and GS Inc.'s initial public offering and through certain employee compensation, benefit or similar plans of GS Inc. The Hull Covered Persons acquired the Covered Shares in connection with the acquisition by GS Inc. of Hull and through certain employee compensation, benefit or similar plans of GS Inc. The Transferee Covered Persons acquired their Covered Shares from PMDs in accordance with pre-existing contractual arrangements or judicial decrees. As a condition to the transfer of the Covered Shares, the Shareholders' Committee required that each Transferee Covered Person agree to become a party to the Shareholders' Agreement and to be bound by the Partner Transfer Restrictions referred to in Item 6 below. The Estate Planning Covered Persons acquired the Covered Shares as contributions or gifts made for estate planning purposes by Individual Covered Persons, and the provisions of the organizational documents of certain Estate Planning Covered Persons provide for the distribution of Common Stock to certain other Covered Persons. As a condition to the contribution or gift of the Covered Shares, the Shareholders' Committee required that each Estate Planning Covered Person agree to become a party to the Shareholders' Agreement and to be bound by the Partner Transfer Restrictions referred to in Item 6 below. The board of directors of GS Inc. has approved a program (the "Rule 144 Program") to permit the PMDs and former direct and indirect owners of Hull to sell, in a coordinated manner, a portion of their shares of Common Stock in accordance with the volume and manner of sale limitations of Rule 144. It is currently expected that sales under the Rule 144 Program will commence during the week of September 25, 2000. During GS Inc.'s fiscal quarter ending November 24, 2000, each of the Covered Persons listed in Annex C intends to sell up to the number of shares of Common Stock set forth opposite such Covered Person's name in Annex C under the Rule 144 Program (an aggregate of up to 7,897,714 shares for all Covered Persons). Sales under the Rule 144 Program will be made on behalf of the participating Covered Persons pursuant to a Power of Attorney, a form of which is filed as an Exhibit to this Schedule. The Rule 144 Program may continue in subsequent fiscal quarters, but can be suspended or terminated at any time. GS Inc. has not solicited indications of interest from any of the Covered Persons as to whether they would like to sell shares of Common Stock in subsequent fiscal quarters. Covered Persons may from time to time acquire Uncovered Shares for investment purposes. Except as described in Item 6 and except for the acquisition by Covered Persons of Common Stock pursuant to employee compensation, benefit or similar plans of GS Inc. in the future or as described above, none of the Covered Persons has any plans or proposals which relate to or would result in their acquisition of additional Common Stock or any of the other events described in Item 4(a) through 4(j). Each Covered Person is expected to evaluate on an ongoing basis GS Inc.'s financial condition and prospects and his or her interests in and with respect to GS Inc. Accordingly, each Covered Person may change his or her plans and intentions at any time and from time to time. In particular, each Covered Person may at any time and from time to time acquire or dispose of shares of Common Stock. 37 38 Item 5. Interest in Securities of the Issuer (a) Rows (11) and (13) of the cover page to this Schedule, Appendix A and Annex A are hereby incorporated by reference. Each Covered Person hereby disclaims beneficial ownership of any shares of Common Stock held by any other Covered Person and disclaims beneficial ownership of the SBCM Shares and the KAA Shares. Except as described in Annex D, none of the shares of Common Stock reported in rows (11) and (13) of the cover page to this Schedule and Appendix A are shares as to which there is a right to acquire exercisable within 60 days. (b) Rows (7) through (10) of the cover page to this Schedule, Appendix A and Annex A set forth the percentage range of Covered Shares as to which there is sole power to vote or direct the vote or to dispose or direct the disposition; the number of Uncovered Shares as to which there is sole power to vote or direct the vote or to dispose or direct the disposition; and the number of shares of Common Stock as to which there is shared power to vote or direct the vote or to dispose or direct the disposition. The power to vote Covered Shares by Covered Persons is shared with each other Covered Person, as described below in response to Item 6. Each Covered Person hereby disclaims beneficial ownership of any shares of Common Stock held by any other Covered Person and disclaims beneficial ownership of the SBCM Shares and the KAA Shares. (c) Except as described in Annex E or previously reported on Schedule 13D, no Covered Person has effected any transactions in Common Stock in the past 60 days. (d), (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer Each Covered Person listed on the cover page to this Schedule and Appendix A hereto is a party to the Shareholders' Agreement. The Shareholders' Agreement, and forms of the Counterparts to the Shareholders' Agreement executed by or on behalf of the Estate Planning Covered Persons, certain Hull Covered Persons and the Transferee Covered Persons, are filed as Exhibits to this Schedule and the following summary of the terms of the Shareholders' Agreement is qualified in its entirety by reference thereto. References to the "board of directors" are to the board of directors of The Goldman Sachs Group, Inc. The Covered Shares include generally all Common Stock acquired or to be acquired from GS Inc. by the Covered Persons. Covered Shares include: shares of Common Stock acquired by the PMDs in exchange for their interests in Group L.P. and certain of its affiliates; shares of Common Stock acquired by the Hull Covered Persons in exchange for their interests in Hull; shares of Common Stock acquired or to be acquired through the grant of restricted stock units, stock options and interests in a defined contribution plan (except for certain Uncovered Shares as specified in Appendix A); shares of Common Stock acquired by the Transferee Covered Persons in accordance with pre-existing contractual arrangements or judicial decrees; shares of Common Stock acquired or to be acquired by Estate Planning Covered Persons from Individual Covered Persons for estate planning purposes and shares of Common Stock to be distributed by Estate Planning Covered Persons to Individual Covered Persons or to other Estate Planning Covered Persons; and, unless otherwise determined by the board of directors and the Shareholders' Committee, any shares of Common Stock acquired or to be acquired by the Covered Persons from GS Inc. through any other employee compensation, benefit or similar plan. Covered Shares do not include any shares of Common Stock purchased or to be purchased by a Covered Person in the open market or in a subsequent underwritten public offering. TRANSFER RESTRICTIONS Each Individual Covered Person (other than the Transferee Covered Persons and, with respect to the shares of Common Stock received in exchange for their interests in Hull, the Hull Covered Persons) has agreed in the Shareholders' Agreement, among other things, to retain beneficial ownership of Covered Shares at least equal to 25% of the cumulative number of Covered Shares beneficially owned by him or her at the time he or she became a Covered Person or acquired by him or her thereafter and with no credit for dispositions (the "General Transfer Restrictions") for so long as he or she is a Covered Person and an employee of GS Inc. (an "Employee Covered Person"). 38 39 The PMDs will also be subject to limitations on their ability to transfer Covered Shares received in connection with the succession of GS Inc. to the business of Group L.P. These restrictions will also apply to the Covered Shares acquired by the Hull Covered Persons in exchange for their interests in Hull. Under these restrictions, each such PMD and Hull Covered Person has agreed not to transfer such Covered Shares until May 7, 2002, the third anniversary of the date of GS Inc.'s initial public offering of its Common Stock (the "Partner Transfer Restrictions" and, together with the General Transfer Restrictions, the "Transfer Restrictions"). The Partner Transfer Restrictions will lapse as to such Covered Shares in equal installments on each of May 7, 2002, May 7, 2003 and May 7, 2004. The Covered Shares held by each Estate Planning Covered Person and Transferee Covered Person are subject to the same Partner Transfer Restrictions that applied to such Covered Shares prior to such Covered Person's acquisition thereof. The Transfer Restrictions applicable to an Individual Covered Person (and his or her Estate Planning Covered Persons) terminate upon the death of the Individual Covered Person. WAIVERS Except in the case of a third-party tender or exchange offer, the Partner Transfer Restrictions may be waived or terminated at any time by the Shareholders' Committee described below under "Information Regarding the Shareholders' Committee". The Shareholders' Committee also has the power to waive the Transfer Restrictions to permit Covered Persons to: participate as sellers in underwritten public offerings of Common Stock and tender and exchange offers and share repurchase programs by GS Inc.; transfer Covered Shares to charities, including charitable foundations; transfer Covered Shares held in employee benefit plans; and transfer Covered Shares in specific transactions (for example, to immediate family members and trusts) or other circumstances. The Shareholders' Committee permitted the transfers of Covered Shares to the Estate Planning Covered Persons and the Transferee Covered Persons, on the condition that each Estate Planning Covered Person and Transferee Covered Person agree to become a party to the Shareholders' Agreement and to be bound by the Partner Transfer Restrictions. On July 31, 2000, the Shareholders' Committee waived the Partner Transfer Restrictions solely to permit certain Covered Persons to pledge a portion of their Covered Shares to obtain approximately $400,000,000 in loan commitments to make investments from time to time in certain merchant banking funds sponsored by GS Inc. The loan commitments are for five years, may be drawn upon from time to time and generally require that any loans be collateralized by shares of Common Stock with a market value four times that of the amount borrowed. Pursuant to Rule 13d-3(d)(3) under the Securities Exchange Act of 1934, as amended, the pledgees did not acquire beneficial ownership of the pledged shares by virtue of the pledge. The Shareholders' Committee and, in the case of the Hull Covered Persons, the board of directors have waived the Partner Transfer Restrictions to permit the sale of up to an aggregate of 7,897,714 Covered Shares by certain Covered Persons during GS Inc.'s fiscal quarter ending November 24, 2000 under the Rule 144 Program described in Item 4 above and in Annex C hereto. In the case of a third-party tender or exchange offer, the Transfer Restrictions may be waived or terminated: if the board of directors is recommending acceptance or is not making any recommendation with respect to acceptance of the tender or exchange offer, by a majority of the Voting Interests (as defined below); or if the board of directors is recommending rejection of the tender or exchange offer, by 66 2/3% of the outstanding Voting Interests. In the case of a tender or exchange offer by GS Inc., a majority of the outstanding Voting Interests may also elect to waive or terminate the Transfer Restrictions. VOTING Prior to any vote of the shareholders of GS Inc., the Shareholders' Agreement requires a separate, preliminary vote of the Voting Interests on each matter upon which a vote of the shareholders is proposed to be taken (the "Preliminary Vote"). Each Covered Share held by an Employee Covered Person and each other Covered Share subject to the Partner Transfer Restrictions will be voted in accordance with the majority of the votes cast by the Voting Interests in the Preliminary Vote. In elections of directors, each Covered Share will be voted in favor of the election of those persons receiving the highest numbers of votes cast by the Voting Interests in the Preliminary 39 40 Vote. "Voting Interests" are Covered Shares beneficially owned by all Covered Persons through December 31, 2000 and thereafter are Covered Shares beneficially owned by all Employee Covered Persons. OTHER RESTRICTIONS The Shareholders' Agreement also prohibits the Covered Persons from engaging in certain activities relating to any securities of GS Inc. with any person who is not a Covered Person or a director, officer or employee of GS Inc. ("Restricted Persons"). Among other things, a Covered Person may not: participate in a proxy solicitation to or with a Restricted Person; deposit any Covered Shares in a voting trust or subject any Covered Shares to any voting agreement or arrangement that includes any Restricted Person; form, join or in any way participate in a "group" with any Restricted Person; or together with any Restricted Person, propose certain transactions with GS Inc. or seek the removal of any directors of GS Inc. or any change in the composition of the board of directors. TERM, AMENDMENT AND CONTINUATION The Shareholders' Agreement is to continue in effect until the earlier of January 1, 2050 and the time it is terminated by the vote of 66 2/3% of the outstanding Voting Interests. The Partner Transfer Restrictions will not terminate upon the expiration or termination of the Shareholders' Agreement unless previously waived or terminated or unless subsequently waived or terminated by the board of directors. The Shareholders' Agreement may generally be amended at any time by a majority of the outstanding Voting Interests. Unless otherwise terminated, in the event of any transaction in which a third party succeeds to the business of GS Inc. and in which Covered Persons hold securities of the third party, the Shareholders' Agreement will remain in full force and effect as to the securities of the third party, and the third party shall succeed to the rights and obligations of GS Inc. under the Shareholders' Agreement. INFORMATION REGARDING THE SHAREHOLDERS' COMMITTEE The Shareholders' Committee shall at any time consist of each of those individuals who are both Employee Covered Persons and members of the board of directors and who agree to serve as members of the Shareholders' Committee. If there are less than three individuals who are both Employee Covered Persons and members of the board of directors and who agree to serve as members of the Shareholders' Committee, the Shareholders' Committee shall consist of each such individual plus such additional individuals who are Employee Covered Persons and who are selected pursuant to procedures established by the Shareholders' Committee as shall assure a Shareholders' Committee of not less than three members who are Employee Covered Persons. Currently, Henry M. Paulson, Jr., Robert J. Hurst, John A. Thain and John L. Thornton are the members of the Shareholders' Committee. VOTING AGREEMENTS Both SBCM and KAA have, in separate voting agreements, each dated April 30, 1999 (each, a "Voting Agreement"), agreed to vote their shares of Common Stock and all other voting securities of GS Inc. in the same manner as a majority of the shares of Common Stock held by the managing directors of GS Inc. are voted for so long as they hold voting securities of GS Inc. It is expected that for so long as the Shareholders' Agreement remains in effect, the Voting Agreements will result in the shares of Common Stock owned by SBCM and KAA being voted in the same manner as the Covered Shares. The Covered Persons are not parties to the Voting Agreements, and the Voting Agreements are not enforceable by the Covered Persons, will continue to exist independent of the existence of the Shareholders' Agreement and may be amended, waived or canceled by GS Inc. without any consent or approval of the Covered Persons. The Voting Agreements are filed as exhibits to this Schedule and the foregoing summary of these agreements is qualified in its entirety by reference thereto. Each Covered Person hereby disclaims beneficial ownership of the SBCM Shares and the KAA Shares. PLEDGE AGREEMENTS Each PMD has pledged (the "IPO Pledge") to GS Inc. Common Stock or other assets with an initial value equal to $15 million for each such person who initially serves on the board of directors, the Management Committee or the Partnership Committee of GS Inc. and $10 million for each other such person. This pledge secures the 40 41 liquidated damages provision of a noncompetition agreement which each such person has entered into with GS Inc. The form of agreement relating to noncompetition and other covenants and the form of pledge agreement, as amended, are filed as exhibits to this Schedule and the foregoing summary of these agreements is qualified in its entirety by reference thereto. In connection with the transfers to the Corporate Estate Planning Covered Persons, the IPO Pledge was replaced with a guarantee and pledge agreement that was entered into by each Corporate Estate Planning Covered Person. In addition, each Controlling Covered Person was required to pledge the capital stock of the Corporate Estate Planning Covered Person to GS Inc. in order to further secure the Controlling Covered Person's obligations under the noncompetition agreement. The forms of the pledge agreements, as amended, are filed as exhibits to this Schedule and the foregoing summary of these agreements is qualified in its entirety by reference thereto. REGISTRATION RIGHTS INSTRUMENT FOR CHARITABLE DONATIONS In connection with the donation of shares of Common Stock to charitable organizations discussed in footnote 4 on the cover page to this Schedule, GS Inc. entered into a Registration Rights Instrument and Supplemental Registration Rights Instrument (the "Charitable Supplement"). The following is a description of the Registration Rights Instrument, as supplemented by the Charitable Supplement. The Registration Rights Instrument and the Charitable Supplement are filed as Exhibits to this Schedule, and the following summary of these agreements is qualified in its entirety by reference thereto. Pursuant to the Registration Rights Instrument and the Charitable Supplement, GS Inc. has agreed to register the donated shares of Common Stock for resale by charitable foundations and public charities. GS Inc. has agreed in the Registration Rights Instrument and the Charitable Supplement to pay all of the fees and expenses relating to the offering by the charitable organizations, other than any agency fees and commissions or underwriting commissions or discounts or any transfer taxes incurred by the charitable organizations in connection with their resales. GS Inc. also has agreed to indemnify the charitable organizations against certain liabilities, including those arising under the Securities Act. GS Inc. may amend the Registration Rights Instrument and the Charitable Supplement in any manner that it deems appropriate, without the consent of any charitable organization. However, GS Inc. may not make any amendment that would cause the shares of Common Stock to fail to be "qualified appreciated stock" within the meaning of Section 170 of the Internal Revenue Code. In addition, GS Inc. may not make any amendment that would materially and adversely affect the rights of any charitable organization without the consent of a majority of the materially and adversely affected charitable organizations. REGISTRATION RIGHTS INSTRUMENT FOR EMPLOYEE MANAGING DIRECTORS In connection with the sale by certain Covered Persons (the "Employee Managing Directors") of shares of Common Stock acquired from GS Inc. pursuant to the terms of restricted stock units, GS Inc. entered into a Supplemental Registration Rights Instrument (the "EMD Supplement"), which supplements the Registration Rights Instrument referred to above. The following is a description of the Registration Rights Instrument, as supplemented by the EMD Supplement. The Registration Rights Instrument and the EMD Supplement are filed as Exhibits to this Schedule, and the following summary of these agreements is qualified in its entirety by reference thereto. Pursuant to the Registration Rights Instrument and the EMD Supplement, GS Inc. has agreed to pay all of the fees and expenses relating to the registered offering of shares of Common Stock held by the Employee Managing Directors, other than any agency fees and commissions or underwriting commissions or discounts or any transfer taxes incurred by the Employee Managing Directors in connection with the sales. GS Inc. also has agreed to indemnify the Employee Managing Directors against certain liabilities, including those arising under the Securities Act. 41 42 Item 7. Material to be Filed as Exhibits
Exhibit Description ------- -------------------------------------------------------------- A. Shareholders' Agreement, dated as of May 7, 1999 (incorporated by reference to Exhibit A to the Schedule 13D filed May 17, 1999 (File No. 005-56295) (the "Initial Schedule 13D")). B. Voting Agreement, dated as of April 30, 1999, by and among The Goldman Sachs Group, Inc., The Trustees of the Estate of Bernice Pauahi Bishop and Kamehameha Activities Association (incorporated by reference to Exhibit B to the Initial Schedule 13D). C. Voting Agreement, dated as of April 30, 1999, by and among The Goldman Sachs Group, Inc., The Sumitomo Bank, Limited and Sumitomo Bank Capital Markets, Inc. (incorporated by reference to Exhibit C to the Initial Schedule 13D). D. Form of Agreement Relating to Noncompetition and Other Covenants (incorporated by reference to Exhibit 10.20 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). E. Form of Pledge Agreement (the "IPO Pledge Agreement") (incorporated by reference to Exhibit 10.21 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). F. Form of Amendment No. 1 to the IPO Pledge Agreement (filed as Exhibit E), dated July 10, 2000 (incorporated by reference to Exhibit F to Amendment No. 4 to the Initial Schedule 13D, filed July 11, 2000 (File No. 005-56295)). G. Registration Rights Instrument, dated as of December 10, 1999 (incorporated by reference to Exhibit G to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)). H. Supplemental Registration Rights Instrument, dated as of December 10, 1999 (incorporated by reference to Exhibit H to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)). I. Form of Counterpart to Shareholders' Agreement for former profit participating limited partners of The Goldman Sachs Group, L.P. (incorporated by reference to Exhibit I to Amendment No. 2 to the Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)). J. Form of Counterpart to Shareholders' Agreement for former retired limited partners of The Goldman Sachs Group, L.P. who are currently managing directors of The Goldman Sachs Group, Inc. (incorporated by reference to Exhibit J to Amendment No. 2 to the Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)). K. Form of Counterpart to Shareholders' Agreement for non-individual former owners of Hull and Associates, L.L.C. (incorporated by reference to Exhibit K to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). L. Form of Counterpart to Shareholders' Agreement for non-U.S. corporations (incorporated by reference to Exhibit L to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). M. Form of Counterpart to Shareholders' Agreement for non-U.S. trusts (incorporated by reference to Exhibit M to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)).
42 43 N. Form of Guarantee and Pledge Agreement for non-U.S. corporations (incorporated by reference to Exhibit N to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). O. Form of Pledge Agreement for shareholders of non-U.S. corporations (incorporated by reference to Exhibit O to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). P. Form of Pledge Agreement for shareholders of non-U.S. corporations (Jersey version) (incorporated by reference to Exhibit P to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). Q. Form of Counterpart to Shareholders' Agreement for Transferee Covered Persons (incorporated by reference to Exhibit Q to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). R. Supplemental Registration Rights Instrument, dated as of June 19, 2000 (incorporated by reference to Exhibit R to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). S. Supplemental Registration Rights Instrument, dated as of July 31, 2000 (incorporated by reference to Exhibit S to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). T. Underwriting Agreement (U.S. Version), dated as of August 1, 2000 (incorporated by reference to Exhibit T to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). U. Underwriting Agreement (International Version), dated as of August 1, 2000 (incorporated by reference to Exhibit U to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). V. Underwriting Agreement (Asia/Pacific Version), dated as of August 1, 2000 (incorporated by reference to Exhibit V to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). W. Form of Power of Attorney to be executed by Covered Persons participating in the Rule 144 Program. X. Power of Attorney (incorporated by reference to Exhibit I to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)).
43 44 ANNEX A INFORMATION REQUIRED AS TO EXECUTIVE OFFICERS AND DIRECTORS OF CORPORATE COVERED PERSONS
- ---------------------------------------------------------------------------------------------------------------------------- CONVICTIONS OR VIOLATIONS OF BENEFICIAL OWNERSHIP FEDERAL OR STATE OF THE COMMON STOCK LAWS WITHIN THE OF THE GOLDMAN SACHS NAME CITIZENSHIP BUSINESS ADDRESS PRESENT EMPLOYMENT LAST FIVE YEARS GROUP, INC. - ---------------------------------------------------------------------------------------------------------------------------- Steven M. USA 85 Broad Street Managing Director, None Covered Person, so Bunson New York, NY The Goldman ownership is as set 10004 Sachs Group, Inc. forth in or incorporated into Item 5 above. - ---------------------------------------------------------------------------------------------------------------------------- Russell E. USA 85 Broad Street Managing Director, None Covered Person, so Makowsky New York, NY The Goldman ownership is as set 10004 Sachs Group, Inc. forth in or incorporated into Item 5 above. - ---------------------------------------------------------------------------------------------------------------------------- Michael H. UK 26 New Street, Partner, None None Richardson St. Helier, Jersey, Bedell Cristin JE4 3RA - ----------------------------------------------------------------------------------------------------------------------------
44 45 ANNEX B ITEMS 2(D) AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS None. 45 46 ANNEX C ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS During GS Inc.'s fiscal quarter ending November 24, 2000, each of the Covered Persons listed below intends to sell up to the number of shares of Common Stock set forth opposite such Covered Person's name under the Rule 144 Program referred to in Item 4 above.
---------------------------------------------------------------------------------- NUMBER OF COVERED PERSON SHARES ---------------------------------------------------------------------------------- Bradley I. Abelow 15,628 ---------------------------------------------------------------------------------- Paul M. Achleitner 70,000 ---------------------------------------------------------------------------------- Jonathan R. Aisbitt 80,901 ---------------------------------------------------------------------------------- Andrew M. Alper 50,000 ---------------------------------------------------------------------------------- Armen A. Avanessians 25,000 ---------------------------------------------------------------------------------- David Baum 16,145 ---------------------------------------------------------------------------------- Ron E. Beller 34,081 ---------------------------------------------------------------------------------- Lloyd C. Blankfein 90,173 ---------------------------------------------------------------------------------- Peter L. Briger, Jr. 35,274 ---------------------------------------------------------------------------------- Richard J. Bronks 17,218 ---------------------------------------------------------------------------------- Lawrence R. Buchalter 27,318 ---------------------------------------------------------------------------------- Michael J. Carr 20,342 ---------------------------------------------------------------------------------- Christopher J. Carrera 17,048 ---------------------------------------------------------------------------------- Mary Ann Casati 12,000 ---------------------------------------------------------------------------------- Zachariah Cobrinik 27,922 ---------------------------------------------------------------------------------- Abby Joseph Cohen 10,000 ---------------------------------------------------------------------------------- Gary D. Cohn 44,792 ---------------------------------------------------------------------------------- Christopher A. Cole 47,713 ---------------------------------------------------------------------------------- Carlos A. Cordeiro 53,232 ---------------------------------------------------------------------------------- Henry Cornell 53,595 ---------------------------------------------------------------------------------- E. Gerald Corrigan 60,000 ---------------------------------------------------------------------------------- Jon S. Corzine 183,863 ---------------------------------------------------------------------------------- Claudio Costamagna 20,721 ---------------------------------------------------------------------------------- Frank L. Coulson, Jr. 67,653 ---------------------------------------------------------------------------------- Randolph L. Cowen 30,234 ---------------------------------------------------------------------------------- Philip M. Darivoff 13,522 ---------------------------------------------------------------------------------- Timothy D. Dattels 32,338 ---------------------------------------------------------------------------------- Gavyn Davies 96,392 ---------------------------------------------------------------------------------- David A. Dechman 16,943 ---------------------------------------------------------------------------------- Joseph Della Rosa 50,046 ---------------------------------------------------------------------------------- Alexander C. Dibelius 10,331 ---------------------------------------------------------------------------------- John O. Downing 35,000 ---------------------------------------------------------------------------------- Connie K. Duckworth 44,111 ---------------------------------------------------------------------------------- Glenn P. Earle 31,505 ---------------------------------------------------------------------------------- Paul S. Efron 17,410 ---------------------------------------------------------------------------------- J. Michael Evans 43,148 ---------------------------------------------------------------------------------- W. Mark Evans 70,000 ---------------------------------------------------------------------------------- Pieter Maarten Feenstra 17,961 ---------------------------------------------------------------------------------- David B. Ford 68,217 ----------------------------------------------------------------------------------
46 47
---------------------------------------------------------------------------------- NUMBER OF COVERED PERSON SHARES ---------------------------------------------------------------------------------- Edward C. Forst 14,292 ---------------------------------------------------------------------------------- Christopher G. French 17,593 ---------------------------------------------------------------------------------- Richard A. Friedman 97,235 ---------------------------------------------------------------------------------- Joseph D. Gatto 30,000 ---------------------------------------------------------------------------------- Peter C. Gerhard 52,826 ---------------------------------------------------------------------------------- Nomi P. Ghez 40,947 ---------------------------------------------------------------------------------- Joseph H. Gleberman 63,858 ---------------------------------------------------------------------------------- Jacob D. Goldfield 56,427 ---------------------------------------------------------------------------------- Amy O. Goodfriend 18,410 ---------------------------------------------------------------------------------- Andrew M. Gordon 5,000 ---------------------------------------------------------------------------------- Geoffrey T. Grant 29,874 ---------------------------------------------------------------------------------- Eric P. Grubman 35,964 ---------------------------------------------------------------------------------- Joseph D. Gutman 27,214 ---------------------------------------------------------------------------------- Robert S. Harrison 35,332 ---------------------------------------------------------------------------------- Thomas J. Healey 53,466 ---------------------------------------------------------------------------------- Sylvain M. Hefes 71,210 ---------------------------------------------------------------------------------- David B. Heller 20,000 ---------------------------------------------------------------------------------- David L. Henle 15,000 ---------------------------------------------------------------------------------- Mary C. Henry 31,752 ---------------------------------------------------------------------------------- M. Roch Hillenbrand 15,000 ---------------------------------------------------------------------------------- Jacquelyn M. Hoffman-Zehner 24,858 ---------------------------------------------------------------------------------- Fern Hurst 10,000 ---------------------------------------------------------------------------------- Robert J. Hurst 40,000 ---------------------------------------------------------------------------------- Francis J. Ingrassia 38,549 ---------------------------------------------------------------------------------- Reuben Jeffery III 64,180 ---------------------------------------------------------------------------------- Stefan J. Jentzsch 9,759 ---------------------------------------------------------------------------------- Chansoo Joung 20,069 ---------------------------------------------------------------------------------- Ann F. Kaplan 59,669 ---------------------------------------------------------------------------------- Scott B. Kapnick 59,333 ---------------------------------------------------------------------------------- Robert J. Katz 45,000 ---------------------------------------------------------------------------------- Douglas W. Kimmelman 22,890 ---------------------------------------------------------------------------------- Bradford C. Koenig 35,301 ---------------------------------------------------------------------------------- Jonathan L. Kolatch 37,596 ---------------------------------------------------------------------------------- Peter S. Kraus 14,599 ---------------------------------------------------------------------------------- David G. Lambert 23,773 ---------------------------------------------------------------------------------- Thomas D. Lasersohn 17,224 ---------------------------------------------------------------------------------- Lawrence H. Linden 58,248 ---------------------------------------------------------------------------------- Robert Litterman 35,267 ---------------------------------------------------------------------------------- Robert H. Litzenberger 10,671 ---------------------------------------------------------------------------------- Jonathan M. Lopatin 32,729 ---------------------------------------------------------------------------------- Michael R. Lynch 76,454 ---------------------------------------------------------------------------------- Peter G. C. Mallinson 58,849 ---------------------------------------------------------------------------------- Arthur S. Margulis, Jr. 10,436 ---------------------------------------------------------------------------------- Ronald G. Marks 28,907 ---------------------------------------------------------------------------------- Eff W. Martin 70,502 ---------------------------------------------------------------------------------- John P. McNulty 95,969 ----------------------------------------------------------------------------------
47 48
---------------------------------------------------------------------------------- NUMBER OF COVERED PERSON SHARES ---------------------------------------------------------------------------------- E. Scott Mead 47,532 ---------------------------------------------------------------------------------- Sanjeev K. Mehra 19,378 ---------------------------------------------------------------------------------- T. Willem Mesdag 46,026 ---------------------------------------------------------------------------------- Eric M. Mindich 60,021 ---------------------------------------------------------------------------------- Masanori Mochida 81,520 ---------------------------------------------------------------------------------- Karsten N. Moller 32,686 ---------------------------------------------------------------------------------- Thomas K. Montag 40,000 ---------------------------------------------------------------------------------- Robert B. Morris III 63,346 ---------------------------------------------------------------------------------- Michael P. Mortara 103,831 ---------------------------------------------------------------------------------- Sharmin Mossavar-Rahmani 67,631 ---------------------------------------------------------------------------------- Edward A. Mule 50,830 ---------------------------------------------------------------------------------- Thomas S. Murphy, Jr. 12,401 ---------------------------------------------------------------------------------- Philip D. Murphy 20,000 ---------------------------------------------------------------------------------- Avi M. Nash 11,000 ---------------------------------------------------------------------------------- Daniel M. Neidich 72,019 ---------------------------------------------------------------------------------- Kipp M. Nelson 33,652 ---------------------------------------------------------------------------------- Robin Neustein 43,644 ---------------------------------------------------------------------------------- Suzanne M. Nora Johnson 62,319 ---------------------------------------------------------------------------------- Michael E. Novogratz 15,304 ---------------------------------------------------------------------------------- Terence J. O'Neill 57,525 ---------------------------------------------------------------------------------- Timothy J. O'Neill 68,302 ---------------------------------------------------------------------------------- Donald C. Opatrny, Jr. 62,602 ---------------------------------------------------------------------------------- Robert J. O'Shea 54,483 ---------------------------------------------------------------------------------- Greg M. Ostroff 12,473 ---------------------------------------------------------------------------------- Terence M. O'Toole 77,486 ---------------------------------------------------------------------------------- Robert J. Pace 12,961 ---------------------------------------------------------------------------------- Gregory K. Palm 38,117 ---------------------------------------------------------------------------------- Scott M. Pinkus 55,395 ---------------------------------------------------------------------------------- Timothy C. Plaut 37,633 ---------------------------------------------------------------------------------- Wiet H. M. Pot 73,680 ---------------------------------------------------------------------------------- John J. Powers 73,679 ---------------------------------------------------------------------------------- Scott Prince 14,554 ---------------------------------------------------------------------------------- Stephen D. Quinn 60,892 ---------------------------------------------------------------------------------- Michael G. Rantz 33,571 ---------------------------------------------------------------------------------- Girish V. Reddy 16,321 ---------------------------------------------------------------------------------- Arthur J. Reimers III 41,228 ---------------------------------------------------------------------------------- James P. Riley, Jr. 61,485 ---------------------------------------------------------------------------------- Simon M. Robertson 48,000 ---------------------------------------------------------------------------------- J. David Rogers 66,642 ---------------------------------------------------------------------------------- Emmanuel Roman 17,473 ---------------------------------------------------------------------------------- Ralph Rosenberg 13,073 ---------------------------------------------------------------------------------- Stuart M. Rothenberg 31,738 ---------------------------------------------------------------------------------- Michael S. Rubinoff 17,189 ---------------------------------------------------------------------------------- Richard M. Ruzika 16,528 ---------------------------------------------------------------------------------- Jeri Lynn Ryan 9,673 ---------------------------------------------------------------------------------- John C. Ryan 18,000 ----------------------------------------------------------------------------------
48 49
---------------------------------------------------------------------------------- NUMBER OF COVERED PERSON SHARES ---------------------------------------------------------------------------------- Michael D. Ryan 14,107 ---------------------------------------------------------------------------------- Richard A. Sapp 87,526 ---------------------------------------------------------------------------------- Joseph Sassoon 54,154 ---------------------------------------------------------------------------------- Muneer A. Satter 30,608 ---------------------------------------------------------------------------------- Jonathan S. Savitz 10,430 ---------------------------------------------------------------------------------- Peter Savitz 27,961 ---------------------------------------------------------------------------------- Howard B. Schiller 33,028 ---------------------------------------------------------------------------------- Antoine Schwartz 18,069 ---------------------------------------------------------------------------------- Eric S. Schwartz 59,637 ---------------------------------------------------------------------------------- Charles B. Seelig, Jr. 57,959 ---------------------------------------------------------------------------------- Steven M. Shafran 25,236 ---------------------------------------------------------------------------------- Richard S. Sharp 67,714 ---------------------------------------------------------------------------------- James M. Sheridan 28,344 ---------------------------------------------------------------------------------- Richard G. Sherlund 39,541 ---------------------------------------------------------------------------------- Michael S. Sherwood 56,415 ---------------------------------------------------------------------------------- Howard A. Silverstein 46,000 ---------------------------------------------------------------------------------- Dinakar Singh 16,934 ---------------------------------------------------------------------------------- Christian J. Siva-Jothy 17,390 ---------------------------------------------------------------------------------- Cody J Smith 38,756 ---------------------------------------------------------------------------------- Jonathan S. Sobel 16,896 ---------------------------------------------------------------------------------- Marc A. Spilker 30,865 ---------------------------------------------------------------------------------- Daniel W. Stanton 44,000 ---------------------------------------------------------------------------------- Esta E. Stecher 39,033 ---------------------------------------------------------------------------------- Cathrine S. Steck 13,010 ---------------------------------------------------------------------------------- Fredric E. Steck 10,000 ---------------------------------------------------------------------------------- Gene T. Sykes 25,000 ---------------------------------------------------------------------------------- Mark R. Tercek 28,029 ---------------------------------------------------------------------------------- Donald F. Textor 35,706 ---------------------------------------------------------------------------------- John R. Tormondsen 26,319 ---------------------------------------------------------------------------------- Leslie C. Tortora 65,742 ---------------------------------------------------------------------------------- John L. Townsend III 55,384 ---------------------------------------------------------------------------------- Byron D. Trott 37,898 ---------------------------------------------------------------------------------- Robert B. Tudor III 17,303 ---------------------------------------------------------------------------------- Thomas E. Tuft 73,909 ---------------------------------------------------------------------------------- Malcolm B. Turnbull* 18,096 ---------------------------------------------------------------------------------- John E. Urban 17,172 ---------------------------------------------------------------------------------- Lee G. Vance 43,555 ---------------------------------------------------------------------------------- David A. Viniar 74,341 ---------------------------------------------------------------------------------- Barry S. Volpert 70,000 ---------------------------------------------------------------------------------- Thomas B. Walker III 80,153 ---------------------------------------------------------------------------------- George H. Walker IV 15,886 ---------------------------------------------------------------------------------- Patrick J. Ward 102,590 ---------------------------------------------------------------------------------- George W. Wellde, Jr. 49,880 ---------------------------------------------------------------------------------- Anthony G. Williams 58,958 ----------------------------------------------------------------------------------
- ----------------- * Includes shares held by a corporation wholly owned by the Covered Person. 49 50
---------------------------------------------------------------------------------- NUMBER OF COVERED PERSON SHARES ---------------------------------------------------------------------------------- Gary W. Williams 50,000 ---------------------------------------------------------------------------------- Kendrick R. Wilson III 44,825 ---------------------------------------------------------------------------------- Jon Winkelried 59,023 ---------------------------------------------------------------------------------- Steven J. Wisch 10,000 ---------------------------------------------------------------------------------- Richard E. Witten 70,528 ---------------------------------------------------------------------------------- Tracy R. Wolstencroft 30,000 ---------------------------------------------------------------------------------- Yasuyo Yamazaki 20,000 ---------------------------------------------------------------------------------- Danny O. Yee 36,923 ---------------------------------------------------------------------------------- Michael J. Zamkow 41,194 ---------------------------------------------------------------------------------- Yoel Zaoui 20,749 ---------------------------------------------------------------------------------- Gregory H. Zehner 25,672 ---------------------------------------------------------------------------------- Joseph R. Zimmel 78,314 ---------------------------------------------------------------------------------- Barry L. Zubrow 64,255 ---------------------------------------------------------------------------------- Mark A. Zurack 30,871 ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- TRUSTS ------ ---------------------------------------------------------------------------------- Anahue Trust 10,500 ---------------------------------------------------------------------------------- The Guapulo Trust 37,501 ---------------------------------------------------------------------------------- Mark Dehnert Living Trust 3,499 ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- PARTNERSHIPS ------------ ---------------------------------------------------------------------------------- The Daniel G. Brennan Family Limited Partnership 5,365 ---------------------------------------------------------------------------------- Mijen Family Partnership 9,570 ---------------------------------------------------------------------------------- The Rizner Family Limited Partnership 8,025 ---------------------------------------------------------------------------------- ---------------------------------------------------------------------------------- CORPORATIONS ------------ ---------------------------------------------------------------------------------- Majix Limited 32,739 ---------------------------------------------------------------------------------- Melalula Limited 64,775 ----------------------------------------------------------------------------------
50 51 ANNEX D ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE EXERCISABLE WITHIN 60 DAYS On September 25, 2000, 20,709 shares of Common Stock will be delivered pursuant to the terms of an equal number of restricted stock units, and stock options covering 32,046 shares of Common Stock will vest and become exercisable, with the underlying shares to be delivered upon the exercise of the relevant stock options. Upon delivery, these shares of Common Stock will be Covered Shares. 51 52 ANNEX E ITEM 5(C). DESCRIPTION OF ALL TRANSACTIONS IN THE COMMON STOCK EFFECTED BY THE COVERED PERSONS IN THE PAST 60 DAYS AND NOT PREVIOUSLY REPORTED ON SCHEDULE 13D The following sales of shares of Common Stock were made by the following Covered Persons through Goldman, Sachs & Co. for cash on the New York Stock Exchange:
- -------------------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - -------------------------------------------------------------------------------------------- Christopher K. Norton 8/22/00 50,000 $120.00 Gaetano J. Muzio 8/31/00 10,000 127.50 Gaetano J. Muzio 8/31/00 10,000 127.50 Gaetano J. Muzio 8/31/00 2,500 127.50 - --------------------------------------------------------------------------------------------
The following sales of shares of Common Stock were made by the following Covered Persons through ChaseMellon Shareholder Services, L.L.C. for cash on the New York Stock Exchange:
- -------------------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - -------------------------------------------------------------------------------------------- David M. Atkinson 9/20/00 1,969 $117.89 Isabelle Ealet 9/20/00 501 117.89 Isabelle Ealet 9/20/00 1,667 117.89 Michael C. Luethke 9/20/00 2,000 117.89 Jean-Luc Biamonti 9/21/00 2,000 112.69 Stephen C. Lichtenauer 9/21/00 1,000 112.69 Anthony John Reizenstein 9/21/00 1,600 112.69 Michael P. Esposito 9/22/00 1,200 110.95 - --------------------------------------------------------------------------------------------
52 53 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: September 25, 2000 By: /s/ Gregory K. Palm -------------------------------- Name: Gregory K. Palm Title: Attorney-in-Fact 53 54 EXHIBIT INDEX
Exhibit Description ------- -------------------------------------------------------------- A. Shareholders' Agreement, dated as of May 7, 1999 (incorporated by reference to Exhibit A to the Schedule 13D filed May 17, 1999 (File No. 005-56295) (the "Initial Schedule 13D")). B. Voting Agreement, dated as of April 30, 1999, by and among The Goldman Sachs Group, Inc., The Trustees of the Estate of Bernice Pauahi Bishop and Kamehameha Activities Association (incorporated by reference to Exhibit B to the Initial Schedule 13D). C. Voting Agreement, dated as of April 30, 1999, by and among The Goldman Sachs Group, Inc., The Sumitomo Bank, Limited and Sumitomo Bank Capital Markets, Inc. (incorporated by reference to Exhibit C to the Initial Schedule 13D). D. Form of Agreement Relating to Noncompetition and Other Covenants (incorporated by reference to Exhibit 10.20 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). E. Form of Pledge Agreement (the "IPO Pledge Agreement") (incorporated by reference to Exhibit 10.21 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). F. Form of Amendment No. 1 to the IPO Pledge Agreement (filed as Exhibit E), dated July 10, 2000 (incorporated by reference to Exhibit F to Amendment No. 4 to the Initial Schedule 13D, filed July 11, 2000 (File No. 005-56295)). G. Registration Rights Instrument, dated as of December 10, 1999 (incorporated by reference to Exhibit G to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)). H. Supplemental Registration Rights Instrument, dated as of December 10, 1999 (incorporated by reference to Exhibit H to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)). I. Form of Counterpart to Shareholders' Agreement for former profit participating limited partners of The Goldman Sachs Group, L.P. (incorporated by reference to Exhibit I to Amendment No. 2 to the Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)). J. Form of Counterpart to Shareholders' Agreement for former retired limited partners of The Goldman Sachs Group, L.P. who are currently managing directors of The Goldman Sachs Group, Inc. (incorporated by reference to Exhibit J to Amendment No. 2 to the Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)). K. Form of Counterpart to Shareholders' Agreement for non-individual former owners of Hull and Associates, L.L.C. (incorporated by reference to Exhibit K to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). L. Form of Counterpart to Shareholders' Agreement for non-U.S. corporations (incorporated by reference to Exhibit L to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). M. Form of Counterpart to Shareholders' Agreement for non-U.S. trusts (incorporated by reference to Exhibit M to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). N. Form of Guarantee and Pledge Agreement for non-U.S. corporations (incorporated by reference to Exhibit N to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-
54 55 56295)). O. Form of Pledge Agreement for shareholders of non-U.S. corporations (incorporated by reference to Exhibit O to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). P. Form of Pledge Agreement for shareholders of non-U.S. corporations (Jersey version) (incorporated by reference to Exhibit P to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). Q. Form of Counterpart to Shareholders' Agreement for Transferee Covered Persons (incorporated by reference to Exhibit Q to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). R. Supplemental Registration Rights Instrument, dated as of June 19, 2000 (incorporated by reference to Exhibit R to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). S. Supplemental Registration Rights Instrument, dated as of July 31, 2000 (incorporated by reference to Exhibit S to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). T. Underwriting Agreement (U.S. Version), dated as of August 1, 2000 (incorporated by reference to Exhibit T to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). U. Underwriting Agreement (International Version), dated as of August 1, 2000 (incorporated by reference to Exhibit U to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). V. Underwriting Agreement (Asia/Pacific Version), dated as of August 1, 2000 (incorporated by reference to Exhibit V to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). W. Form of Power of Attorney to be executed by Covered Persons participating in the Rule 144 Program. X. Power of Attorney (incorporated by reference to Exhibit I to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)).
55 EX-99.W 2 y40693ex99-w.txt FORM OF POWER OF ATTORNEY 1 Exhibit W THE GOLDMAN SACHS GROUP, INC. COMMON STOCK, PAR VALUE $.01 PER SHARE POWER OF ATTORNEY OF SELLING STOCKHOLDER The undersigned stockholder of The Goldman Sachs Group, Inc., a Delaware corporation (the "Company"), understands that the undersigned and other stockholders of the Company (the undersigned and such other stockholders being hereinafter referred to as the "Selling Stockholders") may sell shares of Common Stock, par value $.01 per share (the "Common Stock"), of the Company to the public from time to time in accordance with Rule 144 under the Securities Act of 1933, as amended (the "1933 Act"), in a coordinated manner (such program of coordinated sales in accordance with Rule 144 being hereinafter referred to as the "Rule 144 Program"). The undersigned also understands that with respect to each fiscal quarter of the Company (each, a "Quarter"), the undersigned will be permitted to indicate the maximum number of shares of Common Stock that the undersigned wishes to sell in the Rule 144 Program during such quarter in a written instrument delivered or transmitted to the Company (an "Indication of Interest Form"), but that prior to any sales during such quarter the Company may reduce the number of shares to be sold on behalf of the undersigned and on behalf of each other Selling Stockholder during such quarter. It is understood that there is no commitment on the part of the Company to permit any sales of shares of Common Stock and that the Company may terminate the Rule 144 Program at any time. 1. In connection with the Rule 144 Program, the undersigned hereby irrevocably appoints Henry M. Paulson, Jr., Robert J. Hurst, John A. Thain, John L. Thornton, Robert J. Katz, Gregory K. Palm, David A. Viniar and Esta E. Stecher, and any of them acting alone, the attorneys-in-fact, with full power of substitution and resubstitution (collectively the "Attorneys-in-Fact" and individually an "Attorney-in-Fact"), of the undersigned, and agrees that the Attorneys-in-Fact, or any of them acting alone, may also act as attorneys-in-fact for any other Selling Stockholder, with full power and authority in the name of, and for and on behalf of, the undersigned: (a) to do all things necessary to sell in the Rule 144 Program during each quarter up to the number of shares of Common Stock specified by the undersigned in the Indication of Interest Form relating to such quarter (such shares of Common Stock, together with all other shares of Common Stock specified in all other Indication of Interest Forms, the "Shares"); provided, however, that the Attorneys-in-Fact shall have no power to effect any sale of Shares that is not made in accordance with the requirements of Rule 144. (b) to give such orders and instructions to any person as the Attorneys-in-Fact, or any of them acting alone, may determine, including, without limitation, orders or instructions for the following: (i) the transfer on the books of the Company of the Shares in order to effect their sale (including the names in which new certificates for the Shares are to be issued and the denominations thereof), (ii) the purchase of any transfer tax stamps necessary in connection with the transfer of the Shares, (iii) the delivery to or for the account of any purchaser of the Shares of the certificates for the purchased Shares against receipt of the purchase price therefor, (iv) the payment out of the proceeds of any sale of the Shares of a usual and customary broker's commission to any broker or dealer through which the sale was effected, (v) the remittance of the net balance of the 2 proceeds from any sale of the Shares to be sold in accordance with such payment instructions as the Attorneys-in-Fact, or any of them acting alone, may have provided, and (vi) the use of a portion of the net proceeds to repay any indebtedness that the undersigned is required to repay with the proceeds from the sale of the Shares; (c) to retain legal counsel in connection with any and all matters referred to herein (which counsel may, but need not be, counsel for the Company); (d) to give such notices and to take such actions as are necessary, desirable or appropriate to transfer the Shares on the books and records of The Chase Manhattan Bank and ChaseMellon Shareholder Services, L.L.C.; (e) to prepare, execute and file, or cause to be prepared, executed and filed, with the Securities and Exchange Commission (the "Commission"), one or more Forms 144, or amendments to Form 144, relating to sales by the undersigned in the Rule 144 Program; and (f) to make, execute, acknowledge and deliver all other contracts, orders, receipts, notices, requests, instructions, certificates, letters and other writings, including communications to the Commission and state securities law authorities, and specifically to execute on behalf of the undersigned stock powers and transfer instructions relating to the Shares to be sold by the undersigned, and in general to do all things and to take all action which the Attorneys-in-Fact, or any of them acting alone, may consider necessary, desirable or appropriate in connection with, or to carry out and comply with the aforesaid sale of Shares in the Rule 144 Program. 2. The undersigned hereby: (a) represents and warrants to, and agrees with, the Company that this Power of Attorney has been duly executed and delivered by or on behalf of the undersigned and constitutes a valid and binding agreement of the undersigned in accordance with its terms; and (b) confirms to the Company the accuracy of the information concerning the undersigned contained or to be contained in any written document furnished by the undersigned to the Company for purposes of the Rule 144 Program, including without limitation the information in any Indication of Interest Form relating to sales of securities of the Company, and agrees with the Company immediately to notify the Company and promptly (but in any event within two business days thereafter) to confirm the same in writing if, during the duration of the Rule 144 Program, there should be any change or anticipated change affecting the accuracy or completeness of this information. 3. This Power of Attorney and all authority conferred hereby are granted and conferred subject to the interests of the other Selling Stockholders; and, in consideration of those interests and for the purpose of completing the transactions contemplated by this Power of Attorney, this Power of Attorney and all authority conferred hereby, to the extent enforceable by law, shall be deemed an agency coupled with an interest and be irrevocable and not subject to withdrawal or termination by the undersigned or by operation of law, whether by the death, disability, incompetency or incapacity of the undersigned or any executor, guardian, administrator or trustee or the -2- 3 termination of any estate or trust or by the merger, consolidation, dissolution or liquidation of any corporation or partnership or by the occurrence of any other event. If any such individual or any such executor or trustee should die or become disabled, incompetent or incapacitated or if any such estate or trust should be terminated or if any such corporation or partnership should be dissolved or liquidated or if any other such event should occur during the course of the Rule 144 Program, actions taken by the Attorneys-in-Fact, or any of them acting alone, pursuant to this Power of Attorney prior to the end of the quarter during which each Attorney-in-Fact actually received notice of such death, disability, incompetency, incapacity, termination, dissolution, liquidation or other event shall be as valid as if such death, disability, incompetency, incapacity, termination, dissolution, liquidation or other event had not occurred. Notwithstanding the foregoing, the undersigned shall have the power to revoke all authority conferred by this Power of Attorney by giving written notice to each of the Attorneys-in-Fact that this Power of Attorney has been terminated, with such revocation effective as to each Attorney-in-Fact at the end of the quarter in which such notice is actually received by such Attorney-in-Fact; subject, however, to all lawful action done or performed by the Attorneys-in-Fact, or any of them acting alone, pursuant to this Power of Attorney prior to the end of such quarter, including the sale of the Shares specified by the undersigned in the Indication of Interest Form relating to such quarter. 4. The undersigned ratifies all that the Attorneys-in-Fact shall do by virtue of this Power of Attorney. All actions may be taken by any of the Attorneys-in-Fact alone. In the event that any statement, request, notice or instruction given by one Attorney-in-Fact shall be inconsistent with that given by another, any such statement, request, notice or instruction from Henry M. Paulson, Jr. shall prevail. 5. The undersigned agrees that, in the absence of bad faith, none of the Attorneys-in-Fact shall have any liability whatsoever to the undersigned for any action taken or omitted to be taken pursuant to this Power of Attorney or any Indication of Interest Form. The undersigned further agrees to hold the Attorneys-in-Fact, jointly and severally, free and harmless from any and all loss, damage, liability or expense incurred in connection herewith or with any Indication of Interest Form, including reasonable attorneys' fees and costs, which they, or any of them acting alone, may sustain as a result of any action taken or omitted to be taken in good faith hereunder or under any Indication of Interest Form, and to reimburse the Attorneys-in-Fact for their expenses, as they are incurred, in connection with any suit, action or proceeding relating to or arising out of an action taken or omitted to be taken hereunder or under any Indication of Interest Form. 6. Each Indication of Interest Form shall be deemed to be a part of, and incorporated by reference into, this Power of Attorney. -3- 4 7. This Power of Attorney shall be governed by, and construed in accordance with, the laws of the State of New York. Dated: September __, 2000 Signature of Selling Stockholder, If Selling Stockholder is an individual, sign here: ----------------------------- If Selling Stockholder is not an individual, sign here and indicate name and title of signer: By: ----------------------------- Name: Title: IMPORTANT: THE SELLING STOCKHOLDER'S SIGNATURE MUST BE (i) NOTARIZED IF THE SIGNATORY IS A RESIDENT OF THE U.S. OR (ii) WITNESSED BY A GOLDMAN SACHS EMPLOYEE IF THE SIGNATORY IS NOT A RESIDENT OF THE U.S. SEE NEXT PAGE. -4- 5 If the signatory is a resident of the United States, this document must be notarized below: STATE OF ) ss.: COUNTY OF ) On the _____ day of September, 2000 before me personally came to me known and known to me to be the individual described in, and who executed the foregoing instrument, and (s)he acknowledged to me that (s)he executed the same. ----------------------- Notary Public My term expires: -------------------- ---------------------------------------------------------------------- If the signatory is not a resident of the U.S., the Selling Stockholder's signature must be witnessed by a Goldman Sachs employee, who must sign below: Witness: Signature: ------------------------------ Name: ------------------------------ Employee ID#: ------------------------------ -5- -----END PRIVACY-ENHANCED MESSAGE-----