-----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, W0aKlEZIPTlOHZ88wlE34aElVZRqIceYgPhpO5qdUjd1K//rygxrbhEK1z0/gxJ+ TQxJPOEhS/zmJo5l3bGrrQ== /in/edgar/work/0000950123-00-009661/0000950123-00-009661.txt : 20001025 0000950123-00-009661.hdr.sgml : 20001025 ACCESSION NUMBER: 0000950123-00-009661 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20001024 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: 744923 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 y41614sc13da.txt AMENDMENT NO. 9 TO SCHEDULE 13D 1 SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 File No. 005-56295 ----------------------------------------------------- SCHEDULE 13D/A (Rule 13d-101) Amendment No. 9 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) October 20, 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 8. SHARED VOTING POWER (See Item 6) (Applies to each person listed on Appendix A.) OWNED BY 246,798,131 Covered Shares held by Covered REPORTING Persons PERSON 4,976 Uncovered Shares held by Covered Persons(3) WITH 1,419,105 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 248,222,212(6) 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (Applies to each person listed on Appendix A.) [x](6) 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 55.0%(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 87 private charitable foundations established by 87 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. 2 3 (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. (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 7 ITEM 8 ITEM 10 CITIZENSHIP SOLE VOTING SHARED VOTING ITEM 9 SHARED (UNITED STATES POWER OF POWER OF SOLE DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED POWER OF POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES UNCOVERED SHARES UNCOVERED 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 Netherlands 0 0 0 0 Mark E. Bamford 0 0 0 0 John S. Barakat 0 0 0 0 Barbara J. Basser-Bigio 0 0 0 0 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 Milton R. Berlinski The Netherlands 0 0 0 0 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 10 CITIZENSHIP ITEM 7 SHARED (UNITED STATES SOLE VOTING ITEM 8 ITEM 9 DISPOSITIVE UNLESS POWER OF SHARED VOTING SOLE DISPOSITIVE POWER OF ITEM 1 OTHERWISE UNCOVERED POWER OF POWER OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES UNCOVERED 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 7 ITEM 8 ITEM 10 CITIZENSHIP SOLE VOTING SHARED VOTING ITEM 9 SHARED (UNITED STATES POWER OF POWER OF SOLE DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED POWER OF POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES UNCOVERED SHARES UNCOVERED 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 Maura J. 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 10 ITEM 6 ITEM 9 SHARED CITIZENSHIP ITEM 7 ITEM 8 SOLE DISPOSITIVE (UNITED STATES SOLE VOTING SHARED VOTING DISPOSITIVE POWER OF ITEM 1 UNLESS OTHERWISE POWER OF POWER OF POWER OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) UNCOVERED SHARES UNCOVERED SHARES UNCOVERED 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 Seaborn S. Eastland 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 10 CITIZENSHIP SHARED VOTING ITEM 9 SHARED (UNITED STATES ITEM 7 POWER SOLE DISPOSITIVE UNLESS SOLE VOTING OF DISPOSITIVE POWER OF ITEM 1 OTHERWISE POWER OF UNCOVERED POWER OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) UNCOVERED SHARES SHARES UNCOVERED 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 Netherlands 0 0 0 0 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 10 ITEM 6 ITEM 8 SHARED CITIZENSHIP ITEM 7 SHARED VOTING ITEM 9 DISPOSITIVE (UNITED STATES SOLE VOTING POWER OF SOLE DISPOSITIVE POWER OF ITEM 1 UNLESS OTHERWISE POWER OF UNCOVERED POWER OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) UNCOVERED SHARES SHARES UNCOVERED 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 9 CITIZENSHIP ITEM 7 SOLE ITEM 10 (UNITED STATES SOLE VOTING ITEM 8 DISPOSITIVE SHARED UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED 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 Zealand/USA 0 0 0 0 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 8 ITEM 9 ITEM 6 ITEM 7 SHARED VOTING SOLE ITEM 10 CITIZENSHIP SOLE VOTING POWER OF DISPOSITIVE SHARED (UNITED STATES POWER OF UNCOVERED POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED SHARES UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES UNCOVERED 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
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ITEM 6 ITEM 8 ITEM 9 CITIZENSHIP ITEM 7 SHARED VOTING SOLE ITEM 10 (UNITED STATES SOLE VOTING POWER OF DISPOSITIVE SHARED UNLESS POWER OF UNCOVERED POWER OF DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED SHARES UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES UNCOVERED 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 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 Korea 0 0 0 0 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 10 CITIZENSHIP SHARED ITEM 9 SHARED (UNITED STATES ITEM 7 VOTING POWER SOLE DISPOSITIVE UNLESS SOLE VOTING OF DISPOSITIVE POWER OF ITEM 1 OTHERWISE POWER OF UNCOVERED POWER OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) UNCOVERED SHARES SHARES UNCOVERED 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 CITIZENSHIP ITEM 7 ITEM 9 ITEM 10 (UNITED STATES SOLE VOTING ITEM 8 SOLE SHARED UNLESS POWER OF SHARED VOTING DISPOSITIVE DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF POWER OF POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES UNCOVERED SHARES UNCOVERED 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 Netherlands 0 0 0 0 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 William C. Montgomery 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 10 CITIZENSHIP ITEM 7 ITEM 9 SHARED (UNITED SOLE VOTING ITEM 8 SOLE DISPOSITIVE STATES UNLESS POWER OF SHARED VOTING DISPOSITIVE POWER OF ITEM 1 OTHERWISE UNCOVERED POWER OF POWER OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES UNCOVERED 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 9 ITEM 10 CITIZENSHIP ITEM 8 SOLE SHARED (UNITED STATES ITEM 7 SHARED VOTING DISPOSITIVE DISPOSITIVE UNLESS SOLE VOTING POWER OF POWER OF POWER OF ITEM 1 OTHERWISE POWER OF UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) UNCOVERED 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 Netherlands 0 0 0 0 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 S. Rizner 0 0 0 0 Simon M. Robertson UK 0 0 0 0
16 17
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 CITIZENSHIP SOLE VOTING SHARED VOTING SOLE SHARED (UNITED STATES POWER OF POWER OF DISPOSITIVE DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED POWER OF POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES UNCOVERED SHARES UNCOVERED 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 Peter Schiefer Germany 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 10 ITEM 6 ITEM 7 ITEM 9 SHARED CITIZENSHIP SOLE VOTING ITEM 8 SOLE DISPOSITIVE (UNITED STATES POWER OF SHARED VOTING DISPOSITIVE POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED POWER OF POWER OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES UNCOVERED 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 CITIZENSHIP SHARED VOTING ITEM 9 ITEM 10 (UNITED STATES ITEM 7 POWER SOLE SHARED UNLESS SOLE VOTING OF DISPOSITIVE DISPOSITIVE ITEM 1 OTHERWISE POWER OF UNCOVERED POWER OF POWER OF NAMES OF REPORTING PERSONS INDICATED) UNCOVERED SHARES SHARES UNCOVERED SHARES UNCOVERED 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 S.C. Ireland 0 0 0 0 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 Netherlands 0 0 0 0 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 CITIZENSHIP ITEM 7 ITEM 9 ITEM 10 (UNITED SOLE VOTING ITEM 8 SOLE SHARED STATES UNLESS POWER OF SHARED VOTING DISPOSITIVE DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF POWER OF POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES UNCOVERED SHARES UNCOVERED 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 Zealand 0 0 0 0 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/ 0 0 0 0 China (PRC) 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 CITIZENSHIP ITEM 7 SOLE ITEM 10 (UNITED STATES SOLE VOTING ITEM 8 DISPOSITIVE SHARED UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED 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 20(10) 0 20(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 87 private N/A 0 1,419,105 0 1,419,105 charitable foundations established by 87 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 ORGANIZATION ITEM 7 SOLE ITEM 10 (NEW YORK SOLE VOTING ITEM 8 DISPOSITIVE SHARED UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES - ---------------------------- ------------ ----------- ---------------- ----------- ---------------- TRUSTS 2000 Carlos A. Cordeiro Grantor Retained Annuity Trust 0 0 0 0 2000 Danny O. Yee Grantor Retained Annuity Trust 0 0 0 0 2000 Douglas W. Kimmelman Grantor Retained Annuity Trust 0 0 0 0 2000 Girish V. Reddy Grantor Retained Annuity Trust 0 0 0 0 2000 James M. Sheridan Grantor Retained Annuity Trust 0 0 0 0 2000 John A. Thain Grantor Retained Annuity Trust 0 0 0 0 2000 Kipp M. Nelson Grantor Retained Annuity Trust 0 0 0 0 2000 Mary Ann Casati Grantor Retained Annuity Trust 0 0 0 0 2000 Michael E. Novogratz Grantor Retained Annuity Trust 0 0 0 0 2000 Scott S. Prince Grantor Retained Annuity Trust 0 0 0 0 The Abby Joseph Cohen 2000 Annuity Trust I 0 0 0 0 The Abby Joseph Cohen 2000 Family Trust 0 0 0 0 The Adina R. Lopatin 2000 Trust 0 0 0 0 The Alexander H. Witten 2000 Trust 0 0 0 0 The Alexander I. Berlinski 2000 Trust 0 0 0 0 The Alexander Litzenberger 2000 Grantor Retained Annuity Trust 0 0 0 0
22 23
ITEM 6 PLACE OF ITEM 9 ORGANIZATION ITEM 7 SOLE ITEM 10 (NEW YORK SOLE VOTING ITEM 8 DISPOSITIVE SHARED UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES - ---------------------------- ------------ ----------- ---------------- ----------- ---------------- The Alexander Litzenberger Remainder Trust 0 0 0 0 The Alexandra D. Steel 2000 Trust 0 0 0 0 The Alexis Blood 2000 Trust 0 0 0 0 The Alyssa Blood 2000 Trust 0 0 0 0 The Amanda Liann Mead 2000 Trust 0 0 0 0 Anahue Trust Jersey 0 0 0 0 Andrew L. Fippinger-Millennium Trust 0 0 0 0 The Andrew M Alper 2000 Annuity Trust I 0 0 0 0 The Andrew M. Gordon 2000 Family Trust 0 0 0 0 Ann F. Kaplan Two Year Trust Dated June 2000 0 0 0 0 The Anne R. Witten 2000 Trust 0 0 0 0 The Anne Sullivan Wellde 2000 Trust 0 0 0 0 The Anthony D. Lauto 2000 Annuity Trust I 0 0 0 0 The Anthony D. Lauto 2000 Family Trust 0 0 0 0 The Arthur J. Reimers, III Defective Trust 2000 Connecticut 0 0 0 0 Arthur J. Reimers, III Grantor Retained Annuity Trust 2000 Connecticut 0 0 0 0 The Avi M. Nash 2000 Annuity Trust I 0 0 0 0 The Avi M. Nash 2000 Family Trust 0 0 0 0 The Bari Marissa Schwartz 2000 Trust 0 0 0 0 Barry A. Kaplan 2000 Family Trust 0 0 0 0 Barry A. Kaplan 2000 GRAT 0 0 0 0 The Barry L. Zubrow 2000 Annuity Trust I 0 0 0 0 The Barry L. Zubrow 2000 Family Trust 0 0 0 0
23 24
ITEM 6 PLACE OF ITEM 9 ORGANIZATION ITEM 7 SOLE ITEM 10 (NEW YORK SOLE VOTING ITEM 8 DISPOSITIVE SHARED UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES - ---------------------------- ------------ ----------- ---------------- ----------- ---------------- The Benjamin H. Sherlund 2000 Trust 0 0 0 0 The Benjamin Kraus 2000 Trust 0 0 0 0 The Bradley Abelow Family 2000 Trust 0 0 0 0 The Caceres Novogratz Family Trust 0 0 0 0 The Carlos A. Cordeiro Trust 0 0 0 0 The Charlotte Steel 2000 Trust 0 0 0 0 The Charlotte Textor 2000 Trust 0 0 0 0 The Christopher A. Cole 2000 Annuity Trust I 0 0 0 0 The Christopher A. Cole 2000 Family Trust 0 0 0 0 The Christopher K. Norton 2000 Family Trust 0 0 0 0 The Christopher Palmisano 2000 Grantor Retained Annuity Trust 0 0 0 0 The Christopher Palmisano Remainder Trust 0 0 0 0 The Christopher Ryan Tortora 2000 Trust 0 0 0 0 The Cody J Smith 2000 Annuity Trust I 0 0 0 0 The Cody J Smith 2000 Family Trust 0 0 0 0 The Connie K. Duckworth 2000 Annuity Trust I 0 0 0 0 The Connie K. Duckworth 2000 Family Trust 0 0 0 0 The Constance A. Haydock 2000 Trust 0 0 0 0 The Daniel Alexander Schwartz 2000 Trust 0 0 0 0 The Daniel M. Neidich 2000 Annuity Trust I 0 0 0 0 The Daniel W. Stanton 2000 Annuity Trust I 0 0 0 0 The Daniel W. Stanton, II 2000 Trust 0 0 0 0
24 25
ITEM 6 PLACE OF ITEM 9 ORGANIZATION ITEM 7 SOLE ITEM 10 (NEW YORK SOLE VOTING ITEM 8 DISPOSITIVE SHARED UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES - ---------------------------- ------------ ----------- ---------------- ----------- ---------------- The Danny O. Yee Trust 0 0 0 0 The David B. Ford 2000 Annuity Trust DTD as of 6/16/2000 Pennsylvania 0 0 0 0 The David B. Heller 2000 Annuity Trust I 0 0 0 0 The David B. Heller 2000 Family Trust 0 0 0 0 The David G. Lambert 2000 Annuity Trust I 0 0 0 0 The David G. Lambert 2000 Family Trust 0 0 0 0 The David L. Henle 2000 Annuity Trust I 0 0 0 0 The David L. Henle 2000 Family Trust 0 0 0 0 The David M. Baum Family 2000 Trust New Jersey 0 0 0 0 The David Viniar 2000 Annuity Trust I 0 0 0 0 The David W. Blood 2000 Annuity Trust I 0 0 0 0 The Donald F. Textor 2000 Annuity Trust I 0 0 0 0 The Douglas W. Kimmelman Trust 0 0 0 0 The Eaddy Adele Kiernan 2000 Trust 0 0 0 0 The Edward C. Forst 2000 Annuity Trust I 0 0 0 0 The Edward C. Forst 2000 Family Trust 0 0 0 0 The Edward Scott Mead 2000 Annuity Trust I 0 0 0 0 Eff Warren Martin 2000 Childrens Trust California 0 0 0 0 Eff Warren Martin 2000 Grantor Retained Annuity Trust California 0 0 0 0 The Elizabeth Anne Corrigan 2000 Trust 0 0 0 0 The Elizabeth H. Coulson 2000 Trust 0 0 0 0 The Elizabeth L. Heller 2000 Trust 0 0 0 0 The Elizabeth Lin Mead 2000 Trust 0 0 0 0
25 26
ITEM 6 PLACE OF ITEM 9 ORGANIZATION ITEM 7 SOLE ITEM 10 (NEW YORK SOLE VOTING ITEM 8 DISPOSITIVE SHARED UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES - ---------------------------- ------------ ----------- ---------------- ----------- ---------------- The Elizabeth M. Stanton 2000 Trust 0 0 0 0 The Elizabeth Steel 2000 Trust 0 0 0 0 The Ellie Dorit Neustein 2000 Trust 0 0 0 0 The Emily Austen Katz 2000 Trust 0 0 0 0 The Emily Stecher 2000 Trust 0 0 0 0 The Emma M.L. Mead 2000 Trust 0 0 0 0 The Eric Fithian 2000 Trust 0 0 0 0 The Erin Marie Tormondsen 2000 Trust 0 0 0 0 The Esta Eiger Stecher 2000 Annuity Trust I 0 0 0 0 The Francis J. Ingrassia 2000 Annuity Trust I 0 0 0 0 The Francis J. Ingrassia 2000 Family Trust 0 0 0 0 The Frank L. Coulson III 2000 Trust 0 0 0 0 The Fredric E. Steck 2000 Annuity Trust I 0 0 0 0 The Fredric E. Steck 2000 Family Trust 0 0 0 0 Gary D. Cohn 2000 Family Trust 0 0 0 0 Gary D. Cohn 2000 GRAT 0 0 0 0 The Geoffrey T. Grant 2000 Family Trust 0 0 0 0 The George H. Walker 2000 Annuity Trust I 0 0 0 0 The George H. Walker 2000 Family Trust 0 0 0 0 The George W. Wellde, Jr. 2000 Annuity Trust I 0 0 0 0 The George William Wellde, III 2000 Trust 0 0 0 0 Ghez 2000 GRAT 0 0 0 0 Ghez 2000 Non-GST-Exempt Trust 0 0 0 0
26 27
ITEM 6 PLACE OF ITEM 9 ORGANIZATION ITEM 7 SOLE ITEM 10 (NEW YORK SOLE VOTING ITEM 8 DISPOSITIVE SHARED UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES - ---------------------------- ------------ ----------- ---------------- ----------- ---------------- The Girish V. Reddy Trust 0 0 0 0 The Goldenberg 2000 Annuity Trust I 0 0 0 0 The Goldenberg 2000 Family Trust 0 0 0 0 The Greg M. Ostroff 2000 Annuity Trust I 0 0 0 0 The Greg M. Ostroff 2000 Family Trust 0 0 0 0 The Gregory H. Zehner 2000 Annuity Trust I 0 0 0 0 The Gregory H. Zehner 2000 Family Trust 0 0 0 0 The Gregory K. Palm 2000 Annuity Trust I 0 0 0 0 The Gregory K. Palm 2000 Family Trust 0 0 0 0 The Guapulo Trust Jersey 0 0 0 0 The Howard A. Silverstein 2000 Annuity Trust I 0 0 0 0 The Howard A. Silverstein 2000 Family Trust 0 0 0 0 The Howard B. Schiller 2000 Annuity Trust I 0 0 0 0 The Isabelle M.L. Mead 2000 Trust 0 0 0 0 The J. David Rogers 2000 Annuity Trust I 0 0 0 0 The James Alexander Mead 2000 Trust 0 0 0 0 The James M. Sheridan Trust 0 0 0 0 The James Nicholas Katz 2000 Trust 0 0 0 0 James P. Riley, Jr. 2000 Family Trust 0 0 0 0 James P. Riley, Jr. 2000 GRAT 0 0 0 0 The Jason Kraus 2000 Trust 0 0 0 0 The Jason William Tortora 2000 Trust 0 0 0 0 The Jeffrey D. Witten 2000 Trust 0 0 0 0
27 28
ITEM 6 PLACE OF ITEM 9 ORGANIZATION ITEM 7 SOLE ITEM 10 (NEW YORK SOLE VOTING ITEM 8 DISPOSITIVE SHARED UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES - ---------------------------- ------------ ----------- ---------------- ----------- ---------------- The Jennifer Lauren Alper 2000 Trust 0 0 0 0 JG 2000 Trust 0 0 0 0 JG 2000 Trust (continuing trust) 0 0 0 0 The John A. Thain Trust 0 0 0 0 The John J. Powers 2000 Family Trust 0 0 0 0 The John L. Townsend, III 2000 Annuity Trust I 0 0 0 0 The John O. Downing 2000 Annuity Trust I 0 0 0 0 The John O. Downing 2000 Family Trust 0 0 0 0 The John P. Curtin, Jr. 2000 Annuity Trust I 0 0 0 0 The John P. Curtin, Jr. 2000 Family Trust 0 0 0 0 The John R. Tormondsen 2000 Annuity Trust I 0 0 0 0 The John R. Tormondsen, Jr. 2000 Trust 0 0 0 0 The John S. Weinberg 2000 Annuity Trust I 0 0 0 0 The John S. Weinberg 2000 Family Trust 0 0 0 0 The Jonathan G. Neidich 2000 Trust 0 0 0 0 The Jonathan M. Lopatin 2000 Annuity Trust I 0 0 0 0 The Jordan Viniar 2000 Trust 0 0 0 0 The Joseph Della Rosa 2000 Annuity Trust I 0 0 0 0 The Joseph Della Rosa 2000 Family Trust 0 0 0 0 The Joseph H. Gleberman 2000 Annuity Trust I 0 0 0 0 The Joseph H. Gleberman 2000 Family Trust 0 0 0 0 The Karen Barlow Corrigan 2000 Trust 0 0 0 0 The Karen Rebecca Alper 2000 Trust 0 0 0 0
28 29
ITEM 6 PLACE OF ITEM 9 ORGANIZATION ITEM 7 SOLE ITEM 10 (NEW YORK SOLE VOTING ITEM 8 DISPOSITIVE SHARED UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES - ---------------------------- ------------ ----------- ---------------- ----------- ---------------- The Karsten Moller & Barbara Kahn-Moller Trust Jersey 0 0 0 0 The Katherine A.M. Stanton 2000 Trust 0 0 0 0 The Katheryn C. Coulson 2000 Trust 0 0 0 0 The Kathryn Margaret Wellde 2000 Trust 0 0 0 0 The Kelsey Fithian 2000 Trust 0 0 0 0 The Kenneth Litzenberger 2000 Grantor Retained Annuity Trust 0 0 0 0 The Kenneth Litzenberger Remainder Trust 0 0 0 0 The Kevin W. Kennedy 2000 Annuity Trust I 0 0 0 0 The Kevin W. Kennedy 2000 Family Trust 0 0 0 0 The Kimberly Lynn Macaione 2000 Trust 0 0 0 0 The Kimberly R. Textor 2000 Trust 0 0 0 0 The Kipp M. Nelson Trust 0 0 0 0 The Kyle F. Textor 2000 Trust 0 0 0 0 The Lauren Schiller 2000 Trust 0 0 0 0 The Lawrence R. Buchalter 2000 Annuity Trust I 0 0 0 0 The Lawrence R. Buchalter 2000 Family Trust 0 0 0 0 The Lee G. Vance 2000 Annuity Trust I 0 0 0 0 The Lee G. Vance 2000 Family Trust 0 0 0 0 The Leslie C. Tortora 2000 Annuity Trust I 0 0 0 0 Lloyd C. Blankfein 2000 Family Trust 0 0 0 0 Lloyd C. Blankfein 2000 GRAT 0 0 0 0 The Louise Rice Townsend 2000 Trust 0 0 0 0
29 30
ITEM 6 PLACE OF ITEM 9 ORGANIZATION ITEM 7 SOLE ITEM 10 (NEW YORK SOLE VOTING ITEM 8 DISPOSITIVE SHARED UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES - ---------------------------- ------------ ----------- ---------------- ----------- ---------------- M. Roch Hillenbrand Trust f/b/o C. Justin Hillenbrand New Jersey 0 0 0 0 M. Roch Hillenbrand Trust f/b/o Molly D. Hillenbrand New Jersey 0 0 0 0 The Mallory G. Neidich 2000 Trust 0 0 0 0 The Marc A. Spilker 2000 Family Trust 0 0 0 0 The Mark A. Zurack 2000 Annuity Trust I 0 0 0 0 The Mark A. Zurack 2000 Family Trust 0 0 0 0 The Mark A. Zurack 2000 Issue Trust 0 0 0 0 Mark Dehnert Living Trust Illinois 0 0 0 0 The Mark Schwartz 2000 Annuity Trust I 0 0 0 0 The Mark Tercek 2000 Annuity Trust I 0 0 0 0 The Mark Tercek 2000 Family Trust 0 0 0 0 Marks 2000 0 0 0 0 Marks 2000 (continuing trust) 0 0 0 0 The Mary Agnes Reilly Kiernan 2000 Trust 0 0 0 0 The Mary Ann Casati Trust 0 0 0 0 The Matthew D. Rogers 2000 Trust 0 0 0 0 The Matthew Peter Mortara 2000 Trust 0 0 0 0 The Maya Bettina Linden 2000 Trust 0 0 0 0 The Merritt Moore Townsend 2000 Trust 0 0 0 0 The Mesdag Family Trust Delaware 0 0 0 0 The Michael A. Price 2000 Annuity Trust I 0 0 0 0 The Michael A. Price 2000 Family Trust 0 0 0 0 The Michael D. Ryan 2000 Annuity Trust I 0 0 0 0 The Michael D. Ryan 2000 Family Trust 0 0 0 0
30 31
ITEM 6 PLACE OF ITEM 9 ORGANIZATION ITEM 7 SOLE ITEM 10 (NEW YORK SOLE VOTING ITEM 8 DISPOSITIVE SHARED UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES - ---------------------------- ------------ ----------- ---------------- ----------- ---------------- The Michael J. Zamkow 2000 Annuity Trust I 0 0 0 0 The Michael J. Zamkow 2000 Family Trust 0 0 0 0 The Michael P. Mortara 2000 Annuity Trust I 0 0 0 0 The Michael Paul Mortara 2000 Trust 0 0 0 0 The Michael Stecher 2000 Trust 0 0 0 0 The Milton R. Berlinski 2000 Annuity Trust I 0 0 0 0 The Mossavar-Rahmani 2000 Annuity Trust I 0 0 0 0 The Mossavar-Rahmani 2000 Family Trust 0 0 0 0 Murphy 2000 0 0 0 0 Murphy 2000 (continuing trust) 0 0 0 0 The Natalie Cailyn Rogers 2000 Trust 0 0 0 0 The Nicole Schiller 2000 Trust 0 0 0 0 The Nina B. Haydock 2000 Trust 0 0 0 0 The Peter C. Gerhard 2000 Annuity Trust I 0 0 0 0 The Peter C. Gerhard 2000 Family Trust 0 0 0 0 The Peter D. Kiernan, III 2000 Annuity Trust I 0 0 0 0 The Peter Kiernan IV 2000 Trust 0 0 0 0 The Peter S. Kraus 2000 Annuity Trust I 0 0 0 0 The Philip D. Murphy 2000 Annuity Trust I 0 0 0 0 The Philip D. Murphy 2000 Family Trust 0 0 0 0 The Philip Darivoff 2000 Annuity Trust I 0 0 0 0 The Rachel M. Darivoff 2000 Trust 0 0 0 0 The Ralph F. Rosenberg 2000 Annuity Trust I 0 0 0 0 The Ralph F. Rosenberg 2000 Family Trust 0 0 0 0
31 32
ITEM 6 PLACE OF ITEM 9 ORGANIZATION ITEM 7 SOLE ITEM 10 (NEW YORK SOLE VOTING ITEM 8 DISPOSITIVE SHARED UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ---------------- ------ ---------------- Randal M. Fippinger-Millennium 0 0 0 0 Trust The Randolph L. Cowen 2000 0 0 0 0 Family Trust Rayas Trust Jersey 0 0 0 0 The Rebecca Viniar 2000 Trust 0 0 0 0 The Richard A. Friedman 2000 0 0 0 0 Annuity Trust I The Richard A. Friedman 2000 0 0 0 0 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 2000 0 0 0 0 Annuity Trust I The Richard G. Sherlund 2000 0 0 0 0 Annuity Trust I Robert A. Fippinger, 0 0 0 0 Jr.-Millennium Trust The Robert B. Litterman 2000 0 0 0 0 Annuity Trust I The Robert B. Litterman 2000 0 0 0 0 Family Trust The Robert B. Morris III 2000 0 0 0 0 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 Family 0 0 0 0 Trust The Robert K. Steel 2000 0 0 0 0 Annuity Trust I The Robert B. Morris III 2000 0 0 0 0 Family Trust The Robin Neustein 2000 0 0 0 0 Annuity Trust I
32 33
ITEM 6 PLACE OF ITEM 9 ORGANIZATION ITEM 7 SOLE ITEM 10 (NEW YORK SOLE VOTING ITEM 8 DISPOSITIVE SHARED UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ---------------- ------ ---------------- The Samantha Schiller 2000 0 0 0 0 Trust The Sarah B. Lopatin 2000 0 0 0 0 Trust The Sarah Delacy Kiernan 2000 0 0 0 0 Trust The Sarah M. Darivoff 2000 0 0 0 0 Trust The Sarah Rose Berlinski 2000 0 0 0 0 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 Family New Jersey 0 0 0 0 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 2000 0 0 0 0 Trust The Steven M. Heller, Jr. 0 0 0 0 2000 Trust The Steven T. Mnuchin 2000 0 0 0 0 Annuity Trust I The Steven T. Mnuchin 2000 0 0 0 0 Family Trust The Stuart Mark Rothenberg 0 0 0 0 2000 Annuity Trust I The Stuart Mark Rothenberg 0 0 0 0 2000 Family Trust The Terence M. O Toole 2000 0 0 0 0 Annuity Trust I The Terence M. O Toole 2000 0 0 0 0 Family Trust The Tess Augusta Linden 2000 0 0 0 0 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 ORGANIZATION ITEM 7 SOLE ITEM 10 (NEW YORK SOLE VOTING ITEM 8 DISPOSITIVE SHARED UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED 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 2000 0 0 0 0 Annuity Trust I The Walter H. Haydock, Jr. 0 0 0 0 2000 Trust The William C. Sherlund 2000 0 0 0 0 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 2000 0 0 0 0 Annuity Trust I The Zachariah Cobrinik Family 0 0 0 0 2000 Trust
PARTNERSHIPS ALS Investment Partners, L.P. Delaware 0 0 0 0 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, L.P. Delaware 0 0 0 0 Mesdag Family Limited Delaware 0 0 0 0 Partnership
34 35
ITEM 6 PLACE OF ITEM 9 ORGANIZATION ITEM 7 SOLE ITEM 10 (NEW YORK SOLE VOTING ITEM 8 DISPOSITIVE SHARED UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ---------------- ------ ---------------- Mijen Family Partnership Illinois 0 0 0 0 Opatrny Investment Partners, Delaware 0 0 0 0 L.P. Rantz GS Investment Partners, Delaware 0 0 0 0 L.P. Savitz Investment Partners, Delaware 0 0 0 0 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 Partners, Delaware 0 0 0 0 L.P. Tuft GS Investment Partners, Delaware 0 0 0 0 L.P. Windy Hill Investment Company Delaware 0 0 0 0 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. 9 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. 9 is being filed because certain Covered Persons (as defined below) have in the aggregate disposed of shares of Common Stock (as defined below) in an amount in excess of one percent of the total number of shares of Common Stock outstanding. 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. ("Group L.P.") (each such former partner, a "PMD" and, collectively, the "PMDs") acquired certain Covered Shares 36 37 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 under the Securities Act of 1933, as amended ("Rule 144"). Sales under the Rule 144 Program commenced on 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, of which 4,512,320 shares had been sold as of October 20, 2000 as described in Annex E). Sales under the Rule 144 Program are 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 (of which 4,512,320 Covered Shares had been sold as of October 20, 2000). 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 40 41 or the Partnership Committee of GS Inc. and $10 million for each other such person. This pledge secures the 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 (incorporated by reference to Exhibit W to Amendment No. 8 to the Initial Schedule 13D, filed September 25, 2000 (File No. 005-56295)). 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 BENEFICIAL VIOLATIONS OF OWNERSHIP OF THE FEDERAL OR STATE COMMON STOCK OF LAWS WITHIN THE THE GOLDMAN NAME CITIZENSHIP BUSINESS ADDRESS PRESENT EMPLOYMENT LAST FIVE YEARS SACHS GROUP, INC. - -------------- ----------- ---------------- ------------------ --------------- ----------------- Steven M. USA 85 Broad Street Managing Director, None Covered Person, Bunson New York, NY The Goldman Sachs so ownership is 10004 Group, Inc. as set forth in or incorporated into Item 5 above. Russell E. USA 85 Broad Street Managing Director, None Covered Person, Makowsky New York, NY The Goldman Sachs so ownership is 10004 Group, Inc. as set 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. See Annex E for information on the number of shares of Common Stock sold through October 20, 2000 under the Rule 144 Program (the difference between the number set forth in the following table and the number set forth in Annex E being the number of shares each listed Covered Person intends to sell under the Rule 144 Program during the remainder of the fiscal quarter).
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
46 47
NUMBER OF COVERED PERSON SHARES -------------- --------- David B. Ford 68,217 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
47 48
NUMBER OF COVERED PERSON SHARES -------------- --------- Eff W. Martin 70,502 John P. McNulty 95,969 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
48 49
NUMBER OF COVERED PERSON SHARES -------------- --------- Richard M. Ruzika 16,528 Jeri Lynn Ryan 9,673 John C. Ryan 18,000 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
- ------------------------ * Includes shares held by a corporation wholly owned by the Covered Person. 49 50
NUMBER OF COVERED PERSON SHARES -------------- --------- Patrick J. Ward 102,590 George W. Wellde, Jr. 49,880 Anthony G. Williams 58,958 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 An aggregate of 32,046 shares of Common Stock are deliverable to Covered Persons upon the exercise of stock options that vested and became exercisable on September 25, 2000. 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 -------------- ---------- ---------------- --------------- Peter Wheeler 9/25/00 10,000 $118.50 Peter Wheeler 10/19/00 20,000 102.00
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 -------------- ---------- ---------------- --------------- Ellen R. Porges 9/25/00 365 $117.44 Ellen R. Porges 9/25/00 135 117.44 Jeffrey W. Schroeder 9/25/00 1,199 117.44 Haruko Watanuki 9/25/00 889 117.44 Daniel G. Brennan 9/26/00 1,903 112.39 Douglas W. Caterfino 9/26/00 175 112.39 Adrian P. Kingshott 9/26/00 2,128 112.39 Therese L. Miller 9/26/00 129 112.39 John S. Rizner 9/26/00 1,719 112.39 Patrick Sullivan 9/26/00 1,543 112.39 Darren S. Thompson 9/26/00 1,988 112.39 Thomas B. Lewis, Jr. 9/27/00 750 107.28 Arthur S. Margulis, Jr. 9/27/00 4,779 107.28 Joseph P. McGrath, Jr. 9/29/00 2,354 114.97 Lay Pheng Ang 10/3/00 1,305 115.40 Barbara J. Basser-Bigio 10/3/00 1,062 115.40 Tarek M. Ben Halim 10/3/00 1,550 115.40 Jean-Luc Biamonti 10/3/00 1,000 115.40 James T. Kiernan, Jr. 10/3/00 1,178 115.40 Peter C. Aberg 10/4/00 71 109.69 Calvin R. Carver, Jr. 10/6/00 165 112.06 John E. Eisenberg 10/6/00 131 112.06 Louis S. Greig 10/13/00 1,195 97.13 John J. Masterson 10/17/00 200 97.52 Douglas W. Caterfino 10/19/00 150 101.75 Kenneth W. William 10/19/00 300 101.75 Oliver L. Frankel 10/20/00 700 103.44 Sofia Katzup 10/20/00 397 103.44 John J. Masterson 10/20/00 200 103.44
52 53 RULE 144 PROGRAM Commencing on September 25, 2000, the Covered Persons listed in Table I below sold an aggregate of 4,512,320 Covered Shares under the Rule 144 Program referred to in Item 4 above through October 20, 2000. Sales were made on or through the New York Stock Exchange for cash by each listed Covered Person on the days listed in Table II below (the "Trading Days") at the sales prices set forth in Table II. By reason of the operation of the Rule 144 Program, all listed Covered Persons were deemed to have received the same price for the shares sold on a particular Trading Day. The following table sets forth the name of each Covered Person who participated in the Rule 144 Program, the number of shares sold by such Covered Person on each Trading Day* and the number of shares sold by such Covered Person in the aggregate for all Trading Days: Table I
SHARES SOLD EACH TOTAL SHARES SOLD ON COVERED PERSON TRADING DAY ALL TRADING DAYS -------------- ----------- ---------------- Bradley I. Abelow 446 8,920 Paul M. Achleitner 2,000 39,999 Jonathan R. Aisbitt 2,311 46,220 Andrew M. Alper 1,428 28,560 Armen A. Avanessians 714 14,280 David Baum 461 9,220 Ron E. Beller 974 19,480 Lloyd C. Blankfein 2,576 51,519 Peter L. Briger, Jr. 1,008 20,160 Richard J. Bronks 492 9,840 Lawrence R. Buchalter 780 15,600 Michael J. Carr 581 11,620 Christopher J. Carrera 487 9,740 Mary Ann Casati 343 6,860 Zachariah Cobrinik 798 15,960 Abby Joseph Cohen 286 5,720 Gary D. Cohn 1,280 25,600 Christopher A. Cole 1,363 27,260 Carlos A. Cordeiro 1,521 30,419 Henry Cornell 1,531 30,620 E. Gerald Corrigan 1,714 34,280 Jon S. Corzine 5,252 105,040 Claudio Costamagna 592 11,840 Frank L. Coulson, Jr. 1,933 38,659 Randolph L. Cowen 864 17,280 Philip M. Darivoff 386 7,720 Timothy D. Dattels 924 18,480 Gavyn Davies 2,754 55,079 David A. Dechman 484 9,680 Joseph Della Rosa 1,430 28,600 Alexander C. Dibelius 295 5,900
- ------------------ * The number of shares sold by a Covered Person on some Trading Days may have been one share lower than the number listed. 53 54
SHARES SOLD EACH TOTAL SHARES SOLD ON COVERED PERSON TRADING DAY ALL TRADING DAYS -------------- ----------- ---------------- John O. Downing 1,000 20,000 Connie K. Duckworth 1,260 25,200 Glenn P. Earle 900 18,000 Paul S. Efron 497 9,940 J. Michael Evans 1,233 24,660 W. Mark Evans 2,000 39,999 Pieter Maarten Feenstra 513 10,260 David B. Ford 1,949 38,979 Edward C. Forst 408 8,160 Christopher G. French 503 10,060 Richard A. Friedman 2,778 55,559 Joseph D. Gatto 857 17,140 Peter C. Gerhard 1,509 30,180 Nomi P. Ghez 1,170 23,400 Joseph H. Gleberman 1,824 36,480 Jacob D. Goldfield 1,612 32,239 Amy O. Goodfriend 526 10,520 Andrew M. Gordon 143 2,860 Geoffrey T. Grant 853 17,060 Eric P. Grubman 1,027 20,540 Joseph D. Gutman 777 15,540 Robert S. Harrison 1,009 20,180 Thomas J. Healey 1,527 30,540 Sylvain M. Hefes 2,034 40,680 David B. Heller 571 11,420 David L. Henle 429 8,580 Mary C. Henry 907 18,140 M. Roch Hillenbrand 429 8,580 Jacquelyn M. Hoffman-Zehner 710 14,200 Fern Hurst 286 5,720 Robert J. Hurst 1,143 22,860 Francis J. Ingrassia 1,101 22,020 Reuben Jeffery III 1,833 36,660 Stefan J. Jentzsch 279 5,580 Chansoo Joung 573 11,460 Ann F. Kaplan 1,705 34,099 Scott B. Kapnick 1,695 33,899 Robert J. Katz 1,286 25,720 Douglas W. Kimmelman 654 13,080 Bradford C. Koenig 1,008 20,160 Jonathan L. Kolatch 1,074 21,480 Peter S. Kraus 417 8,340 David G. Lambert 679 13,580 Thomas D. Lasersohn 492 9,840 Lawrence H. Linden 1,664 33,279
54 55
SHARES SOLD EACH TOTAL SHARES SOLD ON COVERED PERSON TRADING DAY ALL TRADING DAYS -------------- ----------- ---------------- Robert Litterman 1,007 20,140 Robert H. Litzenberger 305 6,100 Jonathan M. Lopatin 935 18,700 Michael R. Lynch 2,184 43,680 Peter G. C. Mallinson 1,681 33,620 Arthur S. Margulis, Jr. 298 5,960 Ronald G. Marks 826 16,520 Eff W. Martin 2,014 40,280 John P. McNulty 2,742 54,839 E. Scott Mead 1,358 27,160 Sanjeev K. Mehra 554 11,080 T. Willem Mesdag 1,315 26,300 Eric M. Mindich 1,715 34,300 Masanori Mochida 2,329 46,579 Karsten N. Moller 934 18,680 Thomas K. Montag 1,143 22,860 Robert B. Morris III 1,810 36,200 Michael P. Mortara 2,966 59,320 Sharmin Mossavar-Rahmani 1,932 38,640 Edward A. Mule 1,452 29,040 Thomas S. Murphy, Jr. 354 7,080 Philip D. Murphy 571 11,420 Avi M. Nash 314 6,280 Daniel M. Neidich 2,057 41,140 Kipp M. Nelson 961 19,220 Robin Neustein 1,247 24,940 Suzanne M. Nora Johnson 1,780 35,600 Michael E. Novogratz 437 8,740 Terence J. O'Neill 1,643 32,860 Timothy J. O'Neill 1,951 39,020 Donald C. Opatrny, Jr. 1,788 35,760 Robert J. O'Shea 1,556 31,120 Greg M. Ostroff 356 7,120 Terence M. O'Toole 2,214 44,279 Robert J. Pace 370 7,400 Gregory K. Palm 1,089 21,780 Scott M. Pinkus 1,582 31,640 Timothy C. Plaut 1,075 21,500 Wiet H. M. Pot 2,105 42,099 John J. Powers 2,105 42,099 Scott Prince 416 8,320 Stephen D. Quinn 1,740 34,800 Michael G. Rantz 959 19,180 Girish V. Reddy 466 9,320 Arthur J. Reimers III 1,178 23,560
55 56
SHARES SOLD EACH TOTAL SHARES SOLD ON COVERED PERSON TRADING DAY ALL TRADING DAYS -------------- ----------- ---------------- James P. Riley, Jr. 1,756 35,120 Simon M. Robertson 1,371 27,420 J. David Rogers 1,904 38,080 Emmanuel Roman 499 9,980 Ralph Rosenberg 373 7,460 Stuart M. Rothenberg 907 18,140 Michael S. Rubinoff 491 9,820 Richard M. Ruzika 472 9,440 Jeri Lynn Ryan 276 5,520 John C. Ryan 514 10,280 Michael D. Ryan 403 8,060 Richard A. Sapp 2,500 50,000 Joseph Sassoon 1,547 30,940 Muneer A. Satter 874 17,480 Jonathan S. Savitz 298 5,960 Peter Savitz 799 15,980 Howard B. Schiller 944 18,880 Antoine Schwartz 516 10,320 Eric S. Schwartz 1,704 34,080 Charles B. Seelig, Jr. 1,656 33,120 Steven M. Shafran 721 14,420 Richard S. Sharp 1,934 38,680 James M. Sheridan 810 16,200 Richard G. Sherlund 1,130 22,600 Michael S. Sherwood 1,612 32,240 Howard A. Silverstein 1,314 26,280 Dinakar Singh 484 9,680 Christian J. Siva-Jothy 497 9,940 Cody J Smith 1,107 22,140 Jonathan S. Sobel 483 9,660 Marc A. Spilker 882 17,640 Daniel W. Stanton 1,257 25,140 Esta E. Stecher 1,115 22,300 Cathrine S. Steck 372 7,440 Fredric E. Steck 286 5,720 Gene T. Sykes 714 14,280 Mark R. Tercek 801 16,020 Donald F. Textor 1,020 20,400 John R. Tormondsen 752 15,040 Leslie C. Tortora 1,878 37,560 John L. Townsend III 1,582 31,640 Byron D. Trott 1,083 21,660 Robert B. Tudor III 494 9,880
56 57
SHARES SOLD EACH TOTAL SHARES SOLD ON COVERED PERSON TRADING DAY ALL TRADING DAYS -------------- ----------- ---------------- Thomas E. Tuft 2,111 42,220 Malcolm B. Turnbull* 517 10,340 John E. Urban 491 9,820 Lee G. Vance 1,244 24,880 David A. Viniar 2,124 42,479 Barry S. Volpert 2,000 40,000 Thomas B. Walker III 2,290 45,799 George H. Walker IV 454 9,080 Patrick J. Ward 2,931 58,620 George W. Wellde, Jr. 1,425 28,500 Anthony G. Williams 1,684 33,680 Gary W. Williams 1,428 28,560 Kendrick R. Wilson III 1,281 25,620 Jon Winkelried 1,686 33,720 Steven J. Wisch 286 5,720 Richard E. Witten 2,015 40,299 Tracy R. Wolstencroft 857 17,140 Yasuyo Yamazaki 571 11,420 Danny O. Yee 1,055 21,100 Michael J. Zamkow 1,177 23,540 Yoel Zaoui 593 11,860 Gregory H. Zehner 733 14,660 Joseph R. Zimmel 2,237 44,740 Barry L. Zubrow 1,836 36,720 Mark A. Zurack 882 17,640 TRUSTS Anahue Trust 300 6,000 The Guapulo Trust 1,071 21,420 Mark Dehnert Living Trust 100 2,000 PARTNERSHIPS The Daniel G. Brennan Family Limited Partnership 153 3,060 Mijen Family Partnership 273 5,460 The Rizner Family Limited Partnership 229 4,580 CORPORATIONS Majix Limited 935 18,700 Melalula Limited 1,850 37,000
* Includes shares held by a corporation wholly owned by the Covered Person. 57 58 Table II
TRADING DAY PRICE PER SHARE ----------- --------------- September 25, 2000 $117.5957 September 26, 2000 112.4850 September 27, 2000 108.8514 September 28, 2000 111.5335 September 29, 2000 114.8677 October 2, 2000 114.8219 October 3, 2000 115.2372 October 4, 2000 109.8555 October 5, 2000 113.5343 October 6, 2000 108.3895 October 9, 2000 105.4208 October 10, 2000 101.7795 October 11, 2000 99.5013 October 12, 2000 96.8920 October 13, 2000 98.8632 October 16, 2000 102.4214 October 17, 2000 98.0026 October 18, 2000 96.5671 October 19, 2000 102.1251 October 20, 2000 104.1141
58 59 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: October 23, 2000 By: /s/ Gregory K. Palm ------------------------- Name: Gregory K. Palm Title: Attorney-in-Fact 59 60 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)).
60 61 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 (incorporated by reference to Exhibit W to Amendment No. 8 to the Initial Schedule 13D, filed September 25, 2000 (File No. 005-56295)). 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)). 61 -----END PRIVACY-ENHANCED MESSAGE-----