-----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, DYjpCgOKw5MtA97Ca11iGFp2YB4n0Rvhd0owJmx3/V1K5v2t0S/hyYwDD7KbbkbO IU2lxaV69BumlazkE3FHgQ== 0000950123-01-000538.txt : 20010124 0000950123-01-000538.hdr.sgml : 20010124 ACCESSION NUMBER: 0000950123-01-000538 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20010123 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: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [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: 1513711 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: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [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 y44613sc13da.txt AMENDMENT NO. 12 TO SCHEDULE 13D 1 SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 File No. 005-56295 SCHEDULE 13D/A (Rule 13d-101) Amendment No. 12 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 Esta E. Stecher 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) January 18, 2001 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ]. (Continued on following pages) 2 - ----------------------------- CUSIP NO. 38141G 10 4 13D - ----------------------------- - ------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS: Each of the persons identified on Appendix A. - ------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP As to a group consisting solely of Covered Persons(1) (a) [x] As to a group consisting of persons other than Covered Persons (b) [x] - ------------------------------------------------------------------------------- 3. SEC USE ONLY - ------------------------------------------------------------------------------- 4. SOURCE OF FUNDS: OO as to Covered Shares(1), OO and PF as to Uncovered Shares(2) (Applies to each person listed on Appendix A.) - ------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] (Applies to each person listed on Appendix A.) - ------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States unless otherwise indicated on Appendix A. - ------------------------------------------------------------------------------- 7. SOLE VOTING POWER (See Item 6) NUMBER OF As to Covered Shares, 0 SHARES As to Uncovered Shares, as stated in Appendix A BENEFICIALLY OWNED BY ------------------------------------------------------- REPORTING 8. SHARED VOTING POWER (See Item 6) (Applies to each PERSON person listed on Appendix A.) WITH 265,301 Covered Shares held by Covered Persons 6,917 Uncovered Shares held by Covered Persons(3) 2,087,405 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 267,395,539(6) - ------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES [x](6) CERTAIN SHARES (Applies to each person listed on Appendix A.) - ------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 55.51%(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 102 private charitable foundations established by 102 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 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- Bradley I. Abelow 0 0 0 0 Peter C. Aberg 0 0 0 0 Daniel A. Abut Argentina 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 Anand Aithal UK 0 0 0 0 Elliot M. Alchek 0 0 0 0 Yusuf A. Aliredha Bahrain 0 0 0 0 Andrew M. Alper 0 0 0 0 Philippe J. Altuzarra France 0 0 0 0 Rebecca Amitai 0 0 0 0 Zarthustra Amrolia UK 0 0 0 0 John G. Andrews USA/UK 0 0 0 0 Francois Andriot France 0 0 0 0 Lay Pheng Ang Singapore 0 0 0 0 Kazutaka P. Arai North Korea/ 0 0 0 0 South Korea John A. Ashdown UK 0 0 0 0 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 William A. Badia 0 0 0 0 Michiel J. Bakker The Netherlands 0 0 0 0 Stephen D. Balsamo 100 0 100 0 Mark E. Bamford 0 0 0 0 John S. Barakat 0 0 0 0 Adam P. Barrett UK 0 0 0 0 Christopher M. Barter 0 0 0 0 Barbara J. Basser-Bigio 0 0 0 0 Carl-Georg Bauer-Schlichtegroll Germany 0 0 0 0 David Baum 0 0 0 0 Patrick Y. Baune France 0 0 0 0 Frank A. Bednarz 0 0 0 0 Jonathan A. Beinner 0 0 0 0 Janet L. Bell 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
4 5
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- Anthony D. Bernbaum UK 0 0 0 0 Stuart N. Bernstein 0 0 0 0 Thomas P. Berquist 0 0 0 0 Robert A. Berry UK 0 0 0 0 John D. Bertuzzi 0 0 0 0 Elizabeth E. Beshel 0 0 0 0 Andrew M. Bevan 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 Abraham Bleiberg Mexico 0 0 0 0 David W. Blood 0 0 0 0 Randall A. Blumenthal 0 0 0 0 David R. Boles 0 0 0 0 Antonio Borges Portugal 0 0 0 0 Alastair M. Borthwick UK 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 Graham Branton UK 0 0 0 0 Thomas C. Brasco 0 0 0 0 Alan J. Brazil 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 Peter M. Brooks 0 0 0 0 Edward A. Brout 0 0 0 0 Charles K. Brown UK 0 0 0 0 James K. Brown 0 0 0 0 Julian J. Brown UK 0 0 0 0 Melissa R. 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 David D. Burrows 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 Andrew Cader 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
5 6
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- 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 Mark J. Carlebach 0 0 0 0 Mariafrancesca Carli Italy 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 Mark Carroll 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 Mark A. Castellano 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 Thomas P. Chang 0 0 0 0 Amy L. Chasen 0 0 0 0 Sacha A. Chiaramonte Germany 0 0 0 0 Andrew A. Chisholm Canada 0 0 0 0 W. Reed Chisholm, II 0 0 0 0 Robert J. Christie 0 0 0 0 Todd J. Christie 0 0 0 0 Jane P. Chwick 0 0 0 0 Peter T. Cirenza 0 0 0 0 Geoffrey G. Clark Canada 0 0 0 0 Kent A. Clark Canada 0 0 0 0 Maura J. Clark Canada 0 0 0 0 Catherine M. Claydon Canada 0 0 0 0 Zachariah Cobrinik 0 0 0 0 Michael D. Cochrane Canada 0 0 0 0 Abby Joseph Cohen 0 0 0 0 Lawrence A. Cohen 200 0 200 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 Robert G. Collins 0 0 0 0 Marcus R. Colwell 0 0 0 0 Peter H. Comisar 0 0 0 0 Laura C. Conigliaro 0 0 0 0 Liam Connell 0 0 0 0 Llewellyn C. Connolly 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
6 7
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- 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 James A. Coufos 0 0 0 0 Frank L. Coulson, Jr. 0 0 0 0 Kenneth Courtis 0 0 0 0 Eric J. Coutts UK 0 0 0 0 Randolph L. Cowen 0 0 0 0 Meyrick Cox UK 0 0 0 0 Brahm S. Cramer Canada 0 0 0 0 Nicholas P. Crapp UK 0 0 0 0 Neil D. Crowder 0 0 0 0 Michael L. Crowl 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 Michael D. Daffey Australia 0 0 0 0 Stephen C. Daffron 0 0 0 0 Paul B. Daitz 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 Gavyn Davies UK 0 0 0 0 Michael H. Davis 0 0 0 0 Michael G. De Lathauwer Belgium 0 0 0 0 Jean A. De Pourtales France/UK 0 0 0 0 Luigi de Vecchi Italy 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 Neil V. DeSena 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 Stephen J. DiLascio 0 0 0 0 James D. Dilworth 0 0 0 0 Paul M. DiNardo 0 0 0 0 Simon P. Dingemans UK 0 0 0 0 Joseph P. DiSabato 0 0 0 0
7 8
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- 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 Suzanne O. Donohoe 0 0 0 0 James H. Donovan 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 Donald J. Duet 0 0 0 0 Brian J. Duffy 0 0 0 0 Brian Duggan 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 Michael L. 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 Gary L. Eisenreich 0 0 0 0 Edward K. Eisler Austria 0 0 0 0 Jason H. Ekaireb UK 0 0 0 0 Gregory H. Ekizian 0 0 0 0 Aubrey J. Ellis 0 0 0 0 Glenn D. Engel 0 0 0 0 Earl S. Enzer 0 0 0 0 Christopher H. Eoyang 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 Ian J. Evans UK 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
8 9
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- Norman Feit 0 0 0 0 Steven M. Feldman 0 0 0 0 Laurie R. Ferber 0 0 0 0 John A. Ferro, Jr. 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 Randy W. Frankel 0 0 0 0 Matthew T. Fremont-Smith 0 0 0 0 Christopher G. French UK 0 0 0 0 Timothy G. Freshwater UK 0 0 0 0 Jacob Y. Friedman 0 0 0 0 Richard A. Friedman 0 0 0 0 Matthias K. Frisch Switzerland 0 0 0 0 Robert K. Frumkes 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 Richard A. Genna 0 0 0 0 Eduardo B. Gentil 0 0 0 0 Peter C. Gerhard 0 0 0 0 Kenneth K. Gershenfeld 0 0 0 0 Rajiv A. Ghatalia India 0 0 0 0 Robert R. Gheewalla 0 0 0 0 Nomi P. Ghez Israel/USA 0 0 0 0 Scott A. Gieselman 0 0 0 0 Gary T. Giglio 0 0 0 0 H. John Gilbertson, Jr. 0 0 0 0 Nicholas G. Giordano 0 0 0 0 Joseph H. Gleberman 0 0 0 0 Richard J. Gnodde Ireland/South 0 0 0 0 Africa Charles G. Goetz 0 0 0 0 Jeffrey B. Goldenberg 0 2,860(7) 0 2,860(7) Jacob D. Goldfield 0 0 0 0 Gary F. Goldring 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
- ---------- (7) Shared with family members. 9 10
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- Andrew M. Gordon 0 0 0 0 Anthony J. Gordon 0 0 0 0 Roger H. Gordon 0 0 0 0 Robert D. Gottlieb 0 0 0 0 Gregory M. Gould 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 Pedro Gonzalez Grau Spain 0 0 0 0 Thomas J. Gravina 200 0 200 0 Michael J. Graziano 0 0 0 0 Carmen A. Greco 0 0 0 0 David J. Greenwald 0 0 0 0 Louis S. Greig UK 0 0 0 0 William W. Gridley 0 0 0 0 Peter W. Grieve 0 0 0 0 Christopher Grigg UK 0 0 0 0 Edward Sebastian Grigg UK/France 0 0 0 0 Douglas C. Grip 0 0 0 0 Peter Gross 0 0 0 0 Eric P. Grubman 0 0 0 0 Celeste A. Guth 0 0 0 0 Edward S. Gutman 0 0 0 0 Joseph D. Gutman 0 0 0 0 Douglas A. Guzman Canada 0 0 0 0 Erol Hakanoglu Turkey 0 0 0 0 David R. Hansen Australia 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 Arne K. Hassel Sweden 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 Sylvain M. Hefes France 0 0 0 0 Douglas C. Heidt 0 0 0 0 David B. Heller 0 0 0 0 Steven M. Heller 0 0 0 0 William L. Hemphill 0 0 0 0 David P. Hennessey 0 0 0 0 R. Douglas Henderson 0 0 0 0 David L. Henle 0 0 0 0
10 11
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- Mary C. Henry 0 0 0 0 Peter C. Herbert 0 0 0 0 Raimund W. Herden Germany 0 0 0 0 Carl H. Hewitt 0 1000(8) 0 1000(8) Bruce A. Heyman 0 0 0 0 Stephen Hickey 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 Donald W. Himpele 0 0 0 0 Kenneth W. Hitchner 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 Richard R. Hogan 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 Peter Hollmann Germany 0 0 0 0 Philip Holzer Germany 0 0 0 0 Gregory T. Hoogkamp 0 0 0 0 Thomas J. Hopkins 0 0 0 0 Jay D. Horine 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 Zu Liu Frederick Hu China 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 Elizabeth A. Husted 0 0 0 0 Walter V. Hutcherson 0 0 0 0 John S. Iglehart 0 0 0 0 Toni Infante 0 0 0 0 Francis J. Ingrassia 0 0 0 0 Timothy J. Ingrassia 0 0 0 0 Margaret H. Isdale 0 0 0 0 Hideki Ishibashi Japan 0 0 0 0 Masahiro Iwano Japan 0 0 0 0 Raymond J. Iwanowski 0 0 0 0 Walter A. Jackson 0 0 0 0 William L. Jacob III 0 0 0 0 Ronald H. Jacobe, Jr. 0 0 0 0
- ---------- (8) Shared with family members. 11 12
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- 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 Andrew R. Jessop UK 0 0 0 0 Dan H. Jester 0 0 0 0 Thomas Jevon 0 0 0 0 Daniel J. Jick 0 0 0 0 David M. Jimenez-Blanco Spain 0 0 0 0 Peter T. Johnston 0 0 0 0 Robert H. Jolliffe UK 0 0 0 0 Andrew J. Jonas 0 0 0 0 Robert C. Jones 0 0 0 0 Roy R. Joseph Guyana 0 0 0 0 Chansoo Joung 0 0 0 0 Marc H. Jourdren France 0 0 0 0 Andrew J. Kaiser 0 0 0 0 Fred J. Kambeitz 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 Atul Kapur India 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 James C. Katzman 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 Peter R. Kellogg 0 0 0 0 John L. Kelly 0 0 0 0 Carsten Kengeter Germany 0 0 0 0 Kevin W. Kennedy 0 0 0 0 Gioia M. Kennett 0 0 0 0 William J. Kenney 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
12 13
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- Timothy M. Kingston 0 0 0 0 Frank J. Kinney, III 0 0 0 0 Lincoln Kinnicutt 0 0 0 0 Shigeki Kiritani Japan 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 Bradford C. Koenig 0 0 0 0 Mark J. Kogan 0 0 0 0 Stanley Kogelman 0 0 0 0 John T. Koh Singapore 0 0 0 0 Jonathan L. Kolatch 0 0 0 0 Richard E. Kolman 0 0 0 0 Philip J. Kopp III 0 0 0 0 David J. Kostin 0 0 0 0 Koji Kotaka Japan 0 0 0 0 Peter S. Kraus 0 15(9) 0 15(9) Mary Lyn Valkenburg Kurish 0 0 0 0 Lawrence Kutscher 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 Peter T. Lawler 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 Gregory D. Lee Australia 0 0 0 0 Kenneth H. M. Leet 0 0 0 0 Anthony J. Leitner 0 0 0 0 Todd W. Leland 0 0 0 0 Paulo C. Leme 0 0 0 0 Remco O. Lenterman The Netherlands 0 0 0 0 Hughes B. Lepic France 0 0 0 0 Alan B. Levande 0 0 0 0 Johan H. Leven Sweden 0 0 0 0 Stephen M. Levick 0 0 0 0 Ronald S. Levin 0 0 0 0
- ---------- (9) Shared with family members. 13 14
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- Jack Levy 0 0 0 0 Richard J. Levy UK 0 0 0 0 Tobin V. Levy 0 0 0 0 P. Jeremy Lewis 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 George C. Liberopoulos Canada/USA 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 Richerd C. Lightburn 0 0 0 0 Susan S. Lin Hong Kong/USA 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 Anthony W. Ling UK 0 0 0 0 Bonnie S. Litt 0 0 0 0 Robert Litterman 0 0 0 0 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 Joseph Longo 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 Peter B. MacDonald UK 0 0 0 0 Mark G. Machin UK 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 John V. Mallory 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 Carmen Marino 0 0 0 0 Jorge O. Mariscal Mexico 0 0 0 0 Richard J. Markowitz 0 0 0 0
14 15
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- Ronald G. Marks 0 0 0 0 Robert J. Markwick UK 0 0 0 0 Nicolas I. Marovich 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 Blake W. Mather 0 0 0 0 Kathy M. Matsui 0 0 0 0 Tadanori Matsumura Japan 0 0 0 0 Karen A. Matte 0 0 0 0 Heinz Thomas Mayer Germany 0 0 0 0 Thomas J. McAdam 2 0 2 0 Richard F. McArdle 0 0 0 0 John J. McCabe 0 0 0 0 Theresa E. McCabe 0 0 0 0 Joseph M. McConnell 0 0 0 0 Lynn M. McCormick 0 0 0 0 Mark E. McGoldrick 0 0 0 0 Joseph P. McGrath, Jr. 0 0 0 0 Stephen J. McGuinness 0 0 0 0 Tracy K. McHale Stuart 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 James A. McNamara 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 Robert A. McTamaney 0 0 0 0 E. Scott Mead 0 0 0 0 Sharon I. Meers 0 0 0 0 David M. Meerschwam The Netherlands 0 0 0 0 Sanjeev K. Mehra India 0 0 0 0 Christian A. Meissner Austria 0 0 0 0 Michael C. Melignano 0 0 0 0 Michael A. Mendelson 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 Lowell J. Millar 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 John J. Minio 0 0 0 0
15 16
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- Luciana D. Miranda Brazil 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 Douglas D. Moffitt 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 R. Scott Morris 0 0 0 0 Robert B. Morris III 0 0 0 0 Jennifer Moses 0 0 0 0 Jeffrey M. Moslow 0 0 0 0 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 Timothy R. Mullen 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 Patrick E. Murphy 0 0 0 0 Philip D. Murphy 43 0 43 0 Raymond T. Murphy 0 0 0 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 Kevin D. Naughton 235 0 235 0 Warwick M. Negus Australia 0 0 0 0 Daniel M. Neidich 22 0 22 0 Kipp M. Nelson 0 0 0 0 Leslie S. Nelson 0 0 0 0 Robin Neustein 0 0 0 0 Geoffrey W. Nicholson UK 0 0 0 0 Duncan L. Niederauer 0 0 0 0 Theodore E. Niedermayer USA/France 0 0 0 0 Susan M. Noble UK 0 0 0 0 Markus J. Noe-Nordberg Austria 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
16 17
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- Fergal J. O'Driscoll Ireland 0 0 0 0 David Ogens 0 0 0 0 Jinsuk T. Oh South Korea 0 0 0 0 L. Peter O'Hagan Canada 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 Taneki Ono Japan 0 0 0 0 Donald C. Opatrny, Jr. 0 0 0 0 Daniel P. Opperman 0 0 0 0 Daniel B. O'Rourke 0 0 0 0 Calum M. Osborne UK 0 0 0 0 Robert J. O'Shea 0 0 0 0 Joel D. Ospa 0 0 0 0 Greg M. Ostroff 0 0 0 0 Nigel M. O'Sullivan UK 0 0 0 0 Terence M. O'Toole 0 0 0 0 Brett R. Overacker 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 Bryant F. Pantano 0 0 0 0 James R. Paradise UK 0 0 0 0 Mukesh K. Parekh 0 0 0 0 Geoffrey M. Parker 0 0 0 0 Michael L. Pasternak UK 0 0 0 0 Ketan J. Patel UK 0 0 0 0 Melissa B. Patrusky 0 0 0 0 Henry M. Paulson, Jr. 0 0 0 0 Arthur J. Peponis 0 0 0 0 David E. Perlin 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 Michel G. Plantevin France 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 Roderic L. Prat Canada 0 0 0 0 Michael A. Price 0 0 0 0 Scott Prince 0 0 0 0 Nomi M. Prins 0 0 0 0
17 18
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- 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 B. Andrew Rabin 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 Philip A. Raper UK 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 Peter Richards UK 0 0 0 0 Michael J. Richman 0 0 0 0 Andrew J. Rickards 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 Paul M. Roberts UK 0 0 0 0 Simon M. Robertson UK 0 0 0 0 James H. Rogan 0 0 0 0 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 Michael S. Rotter 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 John P. Rustum Ireland/USA 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 Richard C. Salvadore 0 0 0 0 J. Michael Sanders 0 0 0 0 Allen Sangines-Krause Mexico 204 0 204 0 Richard A. Sapp 0 0 0 0
18 19
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- Neil I. Sarnak 0 0 0 0 Joseph Sassoon Israel 0 0 0 0 Atsuko Sato Japan 0 0 0 0 Masanori Sato Japan 0 0 0 0 Tsutomu Sato Japan 240 0 240 0 Muneer A. Satter 0 0 0 0 Marc P. Savini 0 0 0 0 Jonathan S. Savitz 0 0 0 0 Peter Savitz 0 0 0 0 Robert Schaefer 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 Erich P. Schlaikjer 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 Thomas M. Schwartz 0 0 0 0 Patrick P. Scire 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 Lisa M. Shalett 0 0 0 0 Ramakrishna Shanker India/USA 0 0 0 0 Richard S. Sharp UK 0 0 0 0 John P. Shaughnessy 0 0 0 0 Mary Beth Shea 0 0 0 0 Robert J. Shea, Jr. 0 0 0 0 David G. Shell 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 Evan W. Siddall Canada/UK 0 0 0 0 Michael H. Siegel 0 0 0 0 Ralph J. Silva 0 0 0 0 Harvey Silverman 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 David T. Simons 0 0 0 0 Christine A. Simpson 0 0 0 0 Dinakar Singh 0 0 0 0
19 20
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- 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 Sergio E. Sotolongo 0 0 0 0 Vickrie C. South 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 Steven R. Starker 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 Stuart L. Sternberg 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 Timothy T. Storey Canada 0 0 0 0 Andrew J. Stuart Australia 0 0 0 0 Nobumichi Sugiyama Japan 0 0 0 0 Patrick Sullivan 0 0 0 0 Johannes R. Sulzberger Austria 0 0 0 0 Hsueh J. Sung Taiwan 0 0 0 0 George M. Suspanic Spain 0 0 0 0 Richard J. Sussman 0 0 0 0 Peter D. Sutherland S.C. Ireland 0 0 0 0 Watanan Suthiwartnarueput Thailand 0 0 0 0 Gary J. Sveva 0 0 0 0 Eric S. Swanson 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 Caroline H. Taylor UK 0 0 0 0 John H. Taylor 0 0 0 0 Robert E. Taylor 0 0 0 0
20 21
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- Greg W. Tebbe 0 0 0 0 David H. Tenney 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 Timothy J. Throsby Australia 0 0 0 0 Rory T. Tobin Ireland 0 0 0 0 Daisuke Toki Japan 0 0 0 0 Gary S. Tolchin 0 0 0 0 Peter K. Tomozawa 0 0 0 0 Massimo Tononi Italy 0 0 0 0 Brian J. Toolan 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 Lawrence F. Trainor 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 Daniel Truell UK 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 Gareth N. Turner Canada 0 0 0 0 Thomas B. Tyree, Jr. 0 0 0 0 Harkanwar Uberoi India 0 0 0 0 Eiji Ueda Japan 0 0 0 0 Kaysie P. Uniacke 0 0 0 0 John E. Urban 0 0 0 0 Lucas van Praag UK 0 0 0 0 Hugo H. Van Vredenburch The Netherlands 0 0 0 0 Frederick G. Van Zijl 0 0 0 0 Lee G. Vance 0 0 0 0 Ashok Varadhan 0 0 0 0 Corrado P. Varoli Canada 0 0 0 0 George F. Varsam 0 0 0 0 John J. Vaske 0 0 0 0 David A. Viniar 0 0 0 0 Barry S. Volpert 0 0 0 0 Casper W. Von Koskull Finland 0 0 0 0 Robert T. Wagner 0 0 0 0 George H. Walker IV 0 0 0 0
21 22
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- 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 Jerry T. Wattenberg 0 0 0 0 Edward F. Watts, Jr. 0 190(10) 0 190(10) David M. Weil 0 0 0 0 Frank Weinberg III 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 Gregg S. Weinstein 0 0 0 0 Scott R. Weinstein 0 0 0 0 Mark S. Weiss 0 0 0 0 George W. Wellde, Jr. 0 0 0 0 Martin M. Werner Mexico 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 C. Howard Wietschner 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 Thomas F. 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 Keith R. Wills UK 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 Kurt D. Winkelmann 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 Melinda B. Wolfe 0 0 0 0 Tracy R. Wolstencroft 0 0 0 0 Zi Wang Xu Canada/China 0 0 0 0 (PRC) Richard A. Yacenda 0 0 0 0 Tetsufumi Yamakawa Japan 0 0 0 0 Yasuyo Yamazaki Japan 11 0 11 0
- ---------- (10) Shared with family members. 22 23
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ----------------- ----------- ---------- ----------- ---------------- Anne Yang 0 0 0 0 Xiang-Dong Yang China (PRC) 0 0 0 0 Danny O. Yee 0 0 0 0 Jaime E. Yordan 0 0 0 0 W. Thomas York, Jr. 0 0 0 0 Wassim G. Younan Lebanon 0 0 0 0 Paul M. Young 0 0 0 0 Richard M. Young 0 0 0 0 Bryant M. Yunker, Jr. 0 0 0 0 Jeffrey J. Zajkowski 0 0 0 0 Michael J. Zamkow 0 20(11) 0 20(11) Paolo Zannoni Italy 0 0 0 0 Yoel Zaoui France 0 0 0 0 Gregory Zenna 0 0 0 0 Gregory H. Zehner 0 0 0 0 Jide J. Zeitlin 0 0 0 0 Alphonse Zenna 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 102 private N/A 0 2,087,405 0 2,087,405 charitable foundations established by 102 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations (12)
- ---------- (11) Shared with family members. (12) Each Covered Person disclaims beneficial ownership of all such shares of Common Stock. 23 24
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ------------------ ------------ --------- ----------- ----------- TRUSTS 120 Broadway Partners New Jersey 0 0 0 0 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 A.C. 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 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
24 25
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ------------------ ------------ --------- ----------- ----------- 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 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
25 26
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ------------------ ------------ --------- ----------- ----------- 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 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
26 27
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ------------------ ------------ --------- ----------- ----------- 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 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 The Girish V. Reddy Trust 0 0 0 0
27 28
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ------------------ ------------ --------- ----------- ----------- 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 UK 0 0 0 0 The Jason William Tortora 2000 Trust 0 0 0 0 The Jeffrey D. Witten 2000 Trust 0 0 0 0 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
28 29
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ------------------ ------------ --------- ----------- ----------- 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 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
29 30
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ------------------ ------------ --------- ----------- ----------- 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 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 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
30 31
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ------------------ ------------ --------- ----------- ----------- 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 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 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 Randal M. Fippinger-Millennium Trust 0 0 0 0 The Randolph L. Cowen 2000 Family Trust 0 0 0 0 Rayas Trust Jersey 0 0 0 0
31 32
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ------------------ ------------ --------- ----------- ----------- The Rebecca Viniar 2000 Trust 0 0 0 0 The Richard A. Friedman 2000 Annuity Trust I 0 0 0 0 The Richard A. Friedman 2000 Family Trust 0 0 0 0 The Richard A. Sapp 2000 Annuity Trust I 0 0 0 0 The Richard A. Sapp 2000 Family Trust 0 0 0 0 The Richard E. Witten 2000 Annuity Trust I 0 0 0 0 The Richard G. Sherlund 2000 Annuity Trust I 0 0 0 0 Robert A. Fippinger, Jr.-Millennium Trust 0 0 0 0 The Robert B. Litterman 2000 Annuity Trust I 0 0 0 0 The Robert B. Litterman 2000 Family Trust 0 0 0 0 The Robert B. Morris III 2000 Annuity Trust I 0 0 0 0 The Robert J. Hurst 2000 Annuity Trust I 0 0 0 0 The Robert J. Hurst 2000 Family Trust 0 0 0 0 The Robert J. Katz 2000 Annuity Trust I 0 0 0 0 The Robert J. O Shea 2000 Annuity Trust I 0 0 0 0 The Robert J. O Shea 2000 Family Trust 0 0 0 0 The Robert J. Pace 2000 Annuity Trust I 0 0 0 0 The Robert J. Pace 2000 Family Trust 0 0 0 0 The Robert K. Steel 2000 Annuity Trust I 0 0 0 0 The Robert B. Morris III 2000 Family Trust 0 0 0 0 The Robin Neustein 2000 Annuity Trust I 0 0 0 0 The Samantha Schiller 2000 Trust 0 0 0 0 The Sarah B. Lopatin 2000 Trust 0 0 0 0 The Sarah Delacy Kiernan 2000 Trust 0 0 0 0 The Sarah M. Darivoff 2000 Trust 0 0 0 0 The Sarah Rose Berlinski 2000 Trust 0 0 0 0 The Scott B. Kapnick 2000 Annuity Trust I 0 0 0 0
32 33
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ------------------ ------------ --------- ----------- ----------- The Scott B. Kapnick 2000 Family Trust 0 0 0 0 Scott M. Pinkus 2000 Family Trust New Jersey 0 0 0 0 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 Trust 0 0 0 0 The Steven M. Heller, Jr. 2000 Trust 0 0 0 0 The Steven T. Mnuchin 2000 Annuity Trust I 0 0 0 0 The Steven T. Mnuchin 2000 Family Trust 0 0 0 0 The Stuart Mark Rothenberg 2000 Annuity Trust I 0 0 0 0 The Stuart Mark Rothenberg 2000 Family Trust 0 0 0 0 The Terence M. O Toole 2000 Annuity Trust I 0 0 0 0 The Terence M. O Toole 2000 Family Trust 0 0 0 0 The Tess Augusta Linden 2000 Trust 0 0 0 0 The Thomas K. Montag 2000 Annuity Trust I 0 0 0 0 The Thomas K. Montag 2000 Family Trust 0 0 0 0 The Tracy Richard Wolstencroft 2000 Annuity Trust I 0 0 0 0 The Tracy Richard Wolstencroft 2000 Family Trust 0 0 0 0 Trust for the benefit of David Ford, Jr. under Indenture of Trust B of David B. Ford dated 6/16/00 Pennsylvania 0 0 0 0 Trust for the benefit of Jamie Ford under Indenture of Trust B of David B. Ford dated as of 6/16/00 Pennsylvania 0 0 0 0 Trust u/a dated 01/01/93 for the benefit of Stefanie Luckow New Jersey 0 0 0 0 Trust u/w James Kellogg III New Jersey 0 0 0 0 The Unicorn Trust UK 0 0 0 0 Vyrona Trust Jersey 0 0 0 0 The Walter H. Haydock 2000 Annuity Trust I 0 0 0 0 The Walter H. Haydock, Jr. 2000 Trust 0 0 0 0 The William C. Sherlund 2000 Trust 0 0 0 0 The William Keith Litzenberger 2000 Grantor Retained Annuity Trust 0 0 0 0
33 34
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ------------------ ------------ --------- ----------- ----------- The William Keith Litzenberger Remainder Trust 0 0 0 0 The Zachariah Cobrinik 2000 Annuity Trust I 0 0 0 0 The Zachariah Cobrinik Family 2000 Trust 0 0 0 0 PARTNERSHIPS ALS Investment Partners, L.P. Delaware 0 0 0 0 Beech Associates, L.P. Delaware 0 0 0 0 Bermuda Partners, L.P. Delaware 0 0 0 0 Crestley, L.P. Delaware 0 0 0 0 Daniel G. Brennan Family Limited Partnership Illinois 0 0 0 0 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 The Litzenberger Family Limited Partnership Delaware 0 0 0 0 Mesdag Family Limited Partnership Delaware 0 0 0 0 Mijen Family Partnership Illinois 0 0 0 0 Opatrny Investment Partners, L.P. Delaware 0 0 0 0 Rantz GS Investment Partners, L.P. Delaware 0 0 0 0 The Rizner Family Limited Partnership Illinois 0 0 0 0 Savitz Investment Partners, L.P. Delaware 0 0 0 0 Silverman Partners, L.P. Delaware 0 0 0 0 Trott GS Investment Partners, L.P. Delaware 0 0 0 0 Tuft GS Investment Partners, L.P. Delaware 0 0 0 0 Windy Hill Investment Company II, L.P. Delaware 0 0 0 0 Winkelried Investment Partners, L.P. Delaware 0 0 0 0 CORPORATIONS Anahue Limited Jersey 0 0 0 0 Guapulo Holdings Ltd Jersey 0 0 0 0 HJS2 Limited Cayman Islands 0 0 0 0 IAT Reinsurance Syndicate Ltd. Bermuda 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
34 35 This Amendment No. 12 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. 12 is being filed primarily 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 Covered Person who is not an individual is a trust, limited partnership or corporation created by or for an Individual Covered Person solely for estate planning purposes. Each Covered Person listed in Appendix A under the caption "Partnerships" is a limited partnership of which an Individual Covered Person is general partner. Each Covered Person listed in Appendix A under the caption "Corporations" (a "Corporate 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 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 or under the laws of the United Kingdom, 26 New Street, St. Helier, Jersey, JE2 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; (iii) in the case of entities organized in Bermuda, Victoria Hall, 11 Victoria Street, Hamilton HM11, Bermuda; and (iv) 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 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 35 36 exchange for their interests in Hull; (iii) the former members of SLK LLC (the "SLK Covered Persons") acquired certain Covered Shares in exchange for their interests in SLK LLC (together with its subsidiaries and affiliates, "SLK"); (iv) 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; (v) certain Individual Covered Persons (the "Transferee Covered Persons") acquired their Covered Shares from other Individual Covered Persons in accordance with pre-existing contractual arrangements or judicial decrees; and (vi) certain Covered Persons (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, the SLK 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 SLK Covered Persons acquired the Covered Shares in connection with the acquisition by GS Inc. of SLK. The Transferee Covered Persons acquired their Covered Shares from other Individual Covered Persons 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"). During GS Inc.'s fiscal quarter ending February 23, 2001, 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 6,922,950 shares for all Covered Persons). These sales commenced on January 2, 2001. 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. 36 37 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. In the case of each SLK Covered Person, certain of the provisions and restrictions discussed below are set forth in an Amended and Restated Member Agreement, dated as of September 10, 2000, and amended and restated as of October 26, 2000 (a "Member Agreement"), between such SLK Covered Person and GS Inc. The form of Member Agreement is filed as an Exhibit to this Schedule and the following summary 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 by the SLK Covered Persons in exchange for their interests in SLK; 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 37 38 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"). 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 and the Covered Shares acquired by the SLK Covered Persons in exchange for their interests in SLK. Under these restrictions, each such PMD, Hull Covered Person and SLK 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 6,922,950 Covered Shares by certain Covered Persons during GS Inc.'s fiscal quarter ending February 23, 2001 under the Rule 144 Program described in Item 4 above and in Annex C hereto (of which 2,966,699 Covered Shares had been sold as of January 18, 2001). 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. 38 39 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 Vote. "Voting Interests" 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 39 40 summary of these agreements is qualified in its entirety by reference thereto. Each Covered Person hereby disclaims beneficial ownership of the SBCM Shares and the KAA Shares. PLEDGE AGREEMENTS Each PMD has pledged (the "IPO Pledge") to GS Inc. Common Stock or other assets with an initial value equal to $15 million for each such person who initially serves on the board of directors, the Management Committee or the Partnership Committee of GS Inc. and $10 million for each other such person. This pledge secures the 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 Estate Planning Covered Persons who are corporations, 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. In connection with GS Inc.'s acquisition of SLK, each SLK Covered Person who is an individual has pledged to GS Inc. Common Stock or other assets to secure the SLK Covered Person's obligation under his or her Member Agreement to pay liquidated damages upon breach of certain provisions relating to noncompetition and nonsolicitation. The form of pledge agreement, as amended, is filed as an Exhibit to this Schedule and the foregoing summary of this agreement is qualified in its entirety by reference thereto. REGISTRATION RIGHTS INSTRUMENT FOR CHARITABLE DONATIONS In connection with the donation of shares of Common Stock by certain Covered Persons to certain charitable organizations on December 13, 1999 and December 22, 2000, GS Inc. entered into a Registration Rights Instrument and two substantially similar Supplemental Registration Rights Instruments (the "Charitable Supplements"). The following is a description of the Registration Rights Instrument, as supplemented by the Charitable Supplements. The Registration Rights Instrument and the Charitable Supplements 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 Supplements, 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 Supplements 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 Supplements 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. 40 41 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)). Y. Form of Amended and Restated Member Agreement, dated as of September 10, 2000, and amended and restated as of October 26, 2000, between GS Inc. and each SLK Covered Person (incorporated by reference to Exhibit Y to Amendment No. 10 to the Initial Schedule 13D, filed November 3, 2000 (File No. 005-56295)). Z. Form of Pledge Agreement, dated as of October 31, 2000, between GS Inc. and each SLK Covered Person (incorporated by reference to Exhibit Z to Amendment No. 10 to the Initial Schedule 13D, filed November 3, 2000 (File No. 005-56295)). AA. Supplemental Registration Rights Instrument, dated as of December 21, 2000. 43 44 ANNEX A INFORMATION REQUIRED AS TO EXECUTIVE OFFICERS AND DIRECTORS OF CORPORATE COVERED PERSONS
CONVICTIONS OR BENEFICIAL VIOLATIONS OF OWNERSHIP OF THE NAME CITIZENSHIP BUSINESS ADDRESS PRESENT EMPLOYMENT FEDERAL OR STATE COMMON STOCK OF THE LAWS WITHIN THE GOLDMAN SACHS LAST FIVE YEARS GROUP, INC. - ---------------- ----------- ----------------- ------------------- ---------------- -------------------- Steven M. USA 85 Broad Street Managing Director, None Covered Person, so Bunson New York, NY The Goldman Sachs ownership is as set 10004 Group, Inc. forth in or incorporated into Item 5 above. Russell E. USA 85 Broad Street Managing Director, None Covered Person, so Makowsky New York, NY The Goldman Sachs ownership is as set 10004 Group, Inc. forth in or incorporated into Item 5 above. Michael H. UK 26 New Street, Partner, None None Richardson St. Helier, Jersey, Bedell Cristin JE4 3RA John D. Amaral UK Victoria Hall Vice President/ None None 11 Victoria St. Account Manager, Hamilton HM11 J&H Marsh & McLennan Bermuda Marguerite R. USA 120 Broadway Vice President, None None Gorman New York, NY Spear, Leeds & 10271 Kellogg, L.P. Richard D. UK 41 Cedar Avenue Partner, Appleby, None None Spurling Hamilton HM12 Spurling & Kempe Bermuda
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 February 23, 2001, 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 January 18, 2001 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).
COVERED PERSON NUMBER OF SHARES - -------------------------------- ---------- Bradley I. Abelow 14,847 Paul M. Achleitner 34,667 Jonathan R. Aisbitt 76,856 Armen A. Avanessians 35,000 David Baum 15,338 Frank A. Bednarz 934 Ron E. Beller 32,377 Lloyd C. Blankfein 85,665 Peter L. Briger, Jr. 33,511 Richard J. Bronks 16,357 Lawrence R. Buchalter 25,952 Michael J. Carr 19,325 Christopher J. Carrera 16,196 Mary Ann Casati 11,515 Zachariah Cobrinik 26,526 Abby Joseph Cohen 10,000 Gary D. Cohn 42,553 Christopher A. Cole 25,000 Carlos A. Cordeiro 50,570 Henry Cornell 50,000 Jon S. Corzine 174,670 Claudio Costamagna 18,711 Frank L. Coulson, Jr. 64,271 Philip M. Darivoff 12,846 Timothy D. Dattels 30,721 Gavyn Davies 50,000 David A. Dechman 16,096 Joseph Della Rosa 47,543 Alexander C. Dibelius 4,045 John O. Downing 45,000 Connie K. Duckworth 41,905 C. Steven Duncker 25,000 Glenn P. Earle 29,930 Paul S. Efron 16,539 Aubrey Ellis, Jr. 2,000 J. Michael Evans 69,756 W. Mark Evans 90,000 Pieter Maarten Feenstra 17,063 Lawton W. Fitt 25,000 David B. Ford 64,807 Edward C. Forst 13,577 Christopher G. French 16,713
46 47
COVERED PERSON NUMBER OF SHARES - -------------------------------- ---------- Richard A. Friedman 92,373 Peter C. Gerhard 50,185 Joseph H. Gleberman 60,665 Jeffrey B. Goldenberg 14,046 Jacob D. Goldfield 53,606 Geoffrey T. Grant 28,381 Eric P. Grubman 34,166 Joseph D. Gutman 15,000 Robert S. Harrison 33,566 Thomas J. Healey 50,792 Sylvain M. Hefes* 67,650 David L. Henle 10,000 Mary C. Henry 25,000 M. Roch Hillenbrand 15,000 Jacquelyn M. Hoffman-Zehner 23,615 Robert J. Hurst 30,000 Francis J. Ingrassia 36,622 Timothy J. Ingrassia 10,000 Reuben Jeffery III 60,971 Stefan J. Jentzsch 15,778 Ann F. Kaplan 56,686 Barry A. Kaplan 23,062 Scott B. Kapnick 56,367 Robert J. Katz 60,000 Kevin W. Kennedy 83,474 Douglas W. Kimmelman 7,000 Bradford C. Koenig 33,536 Jonathan L. Kolatch 35,716 David G. Lambert 22,584 Thomas D. Lasersohn 16,363 Matthew G. L'Heureux 17,170 Lawrence H. Linden 55,336 Robert Litterman 33,504 Robert H. Litzenberger 10,137 Jonathan M. Lopatin 31,092 Michael R. Lynch 70,000 Peter G.C. Mallinson 55,907 Arthur S. Margulis, Jr. 9,900 Ronald G. Marks 27,462 Eff W. Martin 66,977 John P. McNulty 91,171 E. Scott Mead 45,000 Sanjeev K. Mehra 18,409 T. Willem Mesdag 43,724 Eric M. Mindich 57,020 Masanori Mochida 77,444 Karsten N. Moller 31,052 Thomas K. Montag 52,059 Robert B. Morris III 60,179 Sharmin Mossavar-Rahmani 64,249 Edward A. Mule 48,289 Thomas S. Murphy, Jr. 11,781 Philip D. Murphy 20,000
- ------------- * Includes shares held by a corporation wholly owned by the Covered Person. 47 48
COVERED PERSON NUMBER OF SHARES - -------------------------------- ---------- Avi M. Nash 10,480 Daniel M. Neidich 68,418 Kipp M. Nelson 31,970 Robin Neustein 12,500 Michael E. Novogratz 14,538 Terence J. O'Neill 54,649 Timothy J. O'Neill 64,000 Donald C. Opatrny, Jr. 59,472 Robert J. O'Shea 51,759 Greg M. Ostroff 11,849 Terence M. O'Toole 70,000 Robert J. Pace 12,313 Scott M. Pinkus 52,625 Timothy C. Plaut 35,751 John J. Powers 50,000 Michael A. Price 16,011 Scott Prince 13,826 Stephen D. Quinn 57,848 Michael G. Rantz 31,893 Girish V. Reddy 15,505 Arthur J. Reimers III 39,166 James P. Riley, Jr. 58,411 Simon M. Robertson 46,317 J. David Rogers 63,310 Emmanuel Roman 16,599 Ralph Rosenberg 12,420 Stuart M. Rothenberg 30,151 Michael S. Rubinoff 16,330 Richard M. Ruzika 15,701 Jeri Lynn Ryan 9,189 John C. Ryan 18,000 Michael D. Ryan 10,000 Richard A. Sapp 80,000 Joseph Sassoon 51,446 Tsutomu Sato 20,455 Muneer A. Satter 29,078 Jonathan S. Savitz 9,908 Peter Savitz 26,563 Howard B. Schiller 31,377 Antoine Schwartz 17,165 Eric S. Schwartz 56,655 Charles B. Seelig, Jr. 50,000 Steven M. Shafran 23,974 Richard G. Sherlund 37,564 Michael S. Sherwood 53,594 Howard A. Silverstein 20,000 Dinakar Singh 16,087 Christian J. Siva-Jothy 16,500 Cody J Smith 36,371 Jonathan S. Sobel 16,052 Marc A. Spilker 29,322 Daniel W. Stanton 40,000 Esta E. Stecher 37,081
48 49
COVERED PERSON NUMBER OF SHARES - -------------------------------- ---------- Cathrine S. Steck 12,359 Fredric E. Steck 20,000 Robert K. Steel 100,000 Gene T. Sykes 40,000 Mark R. Tercek 26,628 Donald F. Textor 33,921 John R. Tormondsen 25,000 Leslie C. Tortora 62,455 John L. Townsend III 30,142 Byron D. Trott 20,000 Thomas E. Tuft 70,214 Malcolm B. Turnbull + 17,192 John E. Urban 16,314 Lee G. Vance 41,378 David A. Viniar 70,000 Thomas B. Walker III 76,145 George H. Walker IV 15,092 Patrick J. Ward 97,461 George W. Wellde, Jr. 40,000 Anthony G. Williams 56,010 Gary W. Williams 45,000 Jon Winkelried 56,072 Richard E. Witten 67,001 Yasuyo Yamazaki 19,027 Danny O. Yee 35,077 Michael J. Zamkow 39,134 Gregory H. Zehner 24,388 Joseph R. Zimmel 74,398 Barry L. Zubrow 61,000 Mark A. Zurack 29,327 TRUSTS The Guapulo Trust 35,625 The Unicorn Trust 69,996 PARTNERSHIPS Daniel G. Brennan Family Limited 5,097 Partnership The Rizner Family Limited 7,623 Partnership CORPORATIONS HJS2 Limited 10,697 Majix Limited 22,000 Melalula Limited 61,536
- ---------- + Includes shares held by a corporation wholly owned by the Covered Person. 49 50 ANNEX D ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE EXERCISABLE WITHIN 60 DAYS An aggregate of 26,316 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. 50 51 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 On December 31, 2000, 667,971 shares of Common Stock were allocated to certain Covered Persons' accounts in The Goldman Sachs Defined Contribution Plan, in which 228 Covered Persons participate. These awards were made by GS Inc. for employee compensation purposes. The contributed shares of Common Stock are Covered Shares and are subject to the provisions of the Shareholders' Agreement. On December 21, 2000, the transfer restrictions on an aggregate of 2,393,322 Covered Shares were waived. 2,013,843 of these Covered Shares were donated by 119 Covered Persons to 119 private charitable foundations and 379,479 of these Covered Shares were donated by 61 Covered Persons to 61 public charitable institutions. 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 ---------------------------- ---------------- ------------------- ---------------- Gaetano J. Muzio December 20, 2000 2,500 $91.94 Gaetano J. Muzio December 26, 2000 2,500 92.06 Gaetano J. Muzio December 26, 2000 750 91.94 Gaetano J. Muzio December 28, 2000 2,500 99.18 Gaetano J. Muzio December 28, 2000 2,500 99.18 John P. Curtin, Jr. December 28, 2000 5,000 100.00 Gaetano J. Muzio December 28, 2000 750 99.18 Charles T. Harris III January 4, 2001 5,000 107.75
The following sales of shares of Common Stock were made by the following Covered Persons through Mellon Investor Services LLC for cash on the New York Stock Exchange:
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE ---------------------------- ---------------- ------------------- ---------------- Scott R. Weinstein December 20, 2000 1,207 $90.64 Steven H. Strongin December 21, 2000 460 91.95 John S. Daly December 21, 2000 500 91.95 Randolph C. Snook December 21, 2000 400 91.95 Patrick Y. Baune December 21, 2000 500 91.95 Adrian P. Kingshott December 21, 2000 482 91.95 John E. Eisenberg December 22, 2000 200 96.62 Robert N. Packer December 22, 2000 1,250 96.62 Douglas W. Catefino December 26, 2000 1,675 98.68 Geoffrey M. Parker December 26, 2000 1,355 98.68 Stuart N. Bernstein December 28, 2000 673 104.88 Joseph Ravitch December 28, 2000 150 104.88 Richard C. Lightburn December 29, 2000 300 106.97 Gregory A. Agran January 4, 2001 1,733 113.61 Colin E. King January 4, 2001 500 113.61 Daniel H. Klebes II January 4, 2001 1,132 113.61 James J. Birch January 4, 2001 866 113.61 Marc H. Jourdren January 4, 2001 750 113.61 March H Jourdren January 4, 2001 715 113.61 Andrew C. Devenport January 4, 2001 449 113.61 John E. Eisenberg January 4, 2001 200 113.61 Jean-Luc Biamonti January 4, 2001 548 113.61 Jean-Luc Biamonti January 4, 2001 692 113.61 Michael G. DeLathauwer January 4, 2001 2,000 113.61 Joseph Ravitch January 4, 2001 180 113.61 C. Howard Wietschner January 4, 2001 200 113.61 Brian J. Duffy January 4, 2001 1,026 113.61 Kevin D. Willsey January 4, 2001 1,944 113.61 Daniel M. FitzPatrick January 4, 2001 991 113.61 David K. Kaugher January 4, 2001 550 113.61 John J. Maserson January 4, 2001 300 113.61 Robert H. Jolliffe January 4, 2001 1,141 113.61 Michael H. Siegel January 4, 2001 614 113.61 George B. Foussianes January 5, 2001 1,280 107.81 Michael D. Daffey January 5, 2001 1,320 107.81 Marcus R. Colwell January 5, 2001 929 107.81 Patrick Y. Baune January 5, 2001 487 107.81 Michiya Nagai January 5, 2001 1,659 107.81 Teresa E. Holliday January 5, 2001 400 107.81 Sandra D'Italia January 5, 2001 918 107.81 Harvey M. Schwatz January 5, 2001 500 107.81 Ronald S. Levin January 5, 2001 2,502 107.81 Susan R. Leadem January 8, 2001 871 104.44 Susan R. Leadem January 8, 2001 1,758 104.44 William Connell January 8, 2001 1,964 104.44 Thomas K. Lane January 9, 2001 1,502 105.38 Robert G. Doumar, Jr. January 9, 2001 166 105.38 Robert G. Doumar, Jr. January 9, 2001 1,055 105.38 John J. McCabe January 9, 2001 300 105.38 Keith R. Wills January 10, 2001 500 105.90 Tetsuya Kawano January 11, 2001 1,328 109.62 Robert P. Fisher, Jr. January 11, 2001 1,000 109.62 Paul S. Schapira January 12, 2001 200 109.32 Peter H. Comisar January 12, 2001 1,000 109.32 James Del Favero January 12, 2001 1,343 109.32 Andrew J. Jonas January 12, 2001 1,324 109.32 Ewan M. Kirk January 16, 2001 762 110.16 John S. Daly January 16, 2001 400 110.16 Elliot M. Alchek January 17, 2001 1,508 111.45 George C. Estey January 17, 2001 1,980 111.45 Thomas C. Brasco January 17, 2001 1,500 111.45 Mark E. Bamford January 17, 2001 1,405 111.45 Rory T. Tobin January 17, 2001 400 111.45 Neil D. Crowder January 18, 2001 1,000 108.77 Koji Kotaka January 18, 2001 1,507 108.77 Stephen C. Lichtenauer January 18, 2001 1,000 108.77
RULE 144 PROGRAM Commencing on January 2, 2001, the Covered Persons listed in Table I below sold an aggregate of 2,966,699 Covered Shares under the Rule 144 Program referred to in Item 4 above through January 18, 2001. 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 - ---------- * For rounding purposes, the number of shares sold by a Covered Person on some Trading Days may have been slightly higher or lower than the number listed to avoid the sale of fractional shares. 51 52
COVERED PERSON SHARES SOLD EACH TOTAL SHARES SOLD ON TRADING DAY ALL TRADING DAYS ------------------------------------------------- ------------------ -------------------- Bradley I. Abelow 530 6,360 Paul M. Achleitner 1,238 14,856 Jonathan R. Aisbitt 2,745 32,940 Armen A. Avanessians 1,250 15,000 David Baum 548 6,576 Frank A. Bednarz 33 396 Ron E. Beller 1,156 13,872 Lloyd C. Blankfein 3,059 36,709 Peter L. Briger, Jr. 1,197 14,364 Richard J. Bronks 584 7,008 Lawrence R. Buchalter 927 11,124 Michael J. Carr 690 8,280 Christopher J. Carrera 578 6,936 Mary Ann Casati 411 4,932 Zachariah Cobrinik 947 11,364 Abby Joseph Cohen 357 4,284 Gary D. Cohn 1,520 18,240 Christopher A. Cole 893 10,716 Carlos A. Cordeiro 1,806 21,672 Henry Cornell 1,786 21,432 Jon S. Corzine 6,238 74,856 Claudio Costamagna 668 8,016 Frank L. Coulson, Jr. 2,295 27,541 Philip M. Darivoff 459 5,508 Timothy D. Dattels 1,097 13,164 Gavyn Davies 1,786 21,432 David A. Dechman 575 6,900 Joseph Della Rosa 1,698 20,376 Alexander C. Dibelius 144 1,728 John O. Downing 1,607 19,284 Connie K. Duckworth 1,496 17,952 C. Steven Duncker 893 10,716 Glenn P. Earle 1,069 12,828 Paul S. Efron 591 7,092 Aubrey Ellis, Jr. 71 852 J. Michael Evans 2,491 29,893 W. Mark Evans 3,214 38,568 Pieter Maarten Feenstra 609 7,308 Lawton W. Fitt 893 10,716 David B. Ford 2,314 27,769 Edward C. Forst 485 5,820 Christopher G. French 597 7,164 Richard A. Friedman 3,299 39,588 Peter C. Gerhard 1,792 21,504 Joseph H. Gleberman 2,166 25,993 Jeffrey B. Goldenberg 502 6,024 Jacob D. Goldfield 1,914 22,968 Geoffrey T. Grant 1,014 12,168 Eric P. Grubman 1,220 14,640 Joseph D. Gutman 536 6,432 Robert S. Harrison 1,199 14,388
52 53
COVERED PERSON SHARES SOLD EACH TOTAL SHARES SOLD ON TRADING DAY ALL TRADING DAYS ------------------------------------------------- ------------------ -------------------- Thomas J. Healey 1,814 21,768 Sylvain M. Hefes* 1,208 28,992 David L. Henle 357 4,284 Mary C. Henry 893 10,716 M. Roch Hillenbrand 536 6,432 Jacquelyn M. Hoffman-Zehner 843 10,116 Robert J. Hurst 1,071 12,852 Francis J. Ingrassia 1,308 15,696 Timothy J. Ingrassia 357 4,284 Reuben Jeffery III 2,177 26,125 Stefan J. Jentzsch 563 6,756 Ann F. Kaplan 2,024 24,289 Barry A. Kaplan 824 9,888 Scott B. Kapnick 2,013 24,156 Robert J. Katz 2,143 25,716 Kevin W. Kennedy 2,981 35,772 Douglas W. Kimmelman 250 3,000 Bradford C. Koenig 1,198 14,376 Jonathan L. Kolatch 1,275 15,300 David G. Lambert 806 9,672 Thomas D. Lasersohn 584 7,008 Matthew G. L'Heureux 613 7,356 Lawrence H. Linden 1,976 23,712 Robert Litterman 1,196 14,352 Robert H. Litzenberger 362 4,344 Jonathan M. Lopatin 1,110 13,320 Michael R. Lynch 2,500 30,000 Peter G.C. Mallinson 1,996 23,952 Arthur S. Margulis, Jr. 354 4,248 Ronald G. Marks 981 11,772 Eff W. Martin 2,392 28,704 John P. McNulty 3,256 39,072 E. Scott Mead 1,607 19,284 Sanjeev K. Mehra 657 7,884 T. Willem Mesdag 1,561 18,732 Eric M. Mindich 2,036 24,433 Masanori Mochida 2,766 33,192 Karsten N. Moller 1,109 13,308 Thomas K. Montag 1,859 22,308 Robert B. Morris III 2,149 25,789 Sharmin Mossavar-Rahmani 2,294 27,529 Edward A. Mule 1,724 20,688 Thomas S. Murphy, Jr. 421 5,052 Philip D. Murphy 714 8,568 Avi M. Nash 374 4,488 Daniel M. Neidich 2,443 29,317 Kipp M. Nelson 1,142 13,704 Robin Neustein 446 5,352 Michael E. Novogratz 519 6,228 Terence J. O'Neill 1,952 23,424 Timothy J. O'Neill 2,286 27,432
- ---------------- *Includes shares held by a corporation wholly owned by the Covered Person. 53 54
COVERED PERSON SHARES SOLD EACH TOTAL SHARES SOLD ON TRADING DAY ALL TRADING DAYS ------------------------------------------------- ------------------ -------------------- Donald C. Opatrny, Jr. 2,124 25,488 Robert J. O'Shea 1,848 22,176 Greg M. Ostroff 423 5,076 Terence M. O'Toole 2,500 30,000 Robert J. Pace 440 5,280 Scott M. Pinkus 1,879 22,548 Timothy C. Plaut 1,277 15,324 John J. Powers 1,786 21,432 Michael A. Price 572 6,864 Scott Prince 494 5,928 Stephen D. Quinn 2,066 24,792 Michael G. Rantz 1,139 13,668 Girish V. Reddy 554 6,648 Arthur J. Reimers III 1,399 16,788 James P. Riley, Jr. 2,086 25,032 Simon M. Robertson 1,654 19,848 J. David Rogers 2,261 27,132 Emmanuel Roman 593 7,116 Ralph Rosenberg 444 5,328 Stuart M. Rothenberg 1,077 12,924 Michael S. Rubinoff 583 6,996 Richard M. Ruzika 561 6,732 John C. Ryan 486 11,652 Michael D. Ryan 357 4,284 Richard A. Sapp 2,857 34,284 Joseph Sassoon 1,837 22,044 Tsutomu Sato 730 8,760 Muneer A. Satter 1,038 12,456 Jonathan S. Savitz 354 4,248 Peter Savitz 949 11,388 Howard B. Schiller 1,121 13,452 Antoine Schwartz 613 7,356 Eric S. Schwartz 2,023 24,276 Charles B. Seelig, Jr. 1,786 21,432 Steven M. Shafran 856 10,272 Richard G. Sherlund 1,341 16,092 Michael S. Sherwood 1,914 22,968 Howard A. Silverstein 714 8,568 Dinakar Singh 574 6,888 Christian J. Siva-Jothy 589 7,068 Cody J Smith 1,299 15,588 Jonathan S. Sobel 573 6,876 Marc A. Spilker 1,047 12,564 Daniel W. Stanton 1,428 17,136 Esta E. Stecher 1,324 15,888 Cathrine S. Steck Fredric E. Steck 578 13,860 Robert K. Steel 3,571 42,852 Gene T. Sykes 1,428 17,136 Mark R. Tercek 951 11,412
54 55
COVERED PERSON SHARES SOLD EACH TOTAL SHARES SOLD ON TRADING DAY ALL TRADING DAYS ------------------------------------------------- ------------------ -------------------- Donald F. Textor 1,211 14,532 John R. Tormondsen 893 10,716 Leslie C. Tortora 2,230 26,760 John L. Townsend III 1,076 12,912 Byron D. Trott 714 8,568 Thomas E. Tuft 2,507 30,084 Malcolm B. Turnbull + 526 7,368 John E. Urban 583 6,996 Lee G. Vance 1,478 17,736 David A. Viniar 2,500 30,000 Thomas B. Walker III 2,719 32,628 George H. Walker IV 539 6,468 Patrick J. Ward 3,480 41,760 George W. Wellde, Jr. 1,428 17,136 Anthony G. Williams 2,000 24,000 Gary W. Williams 1,607 19,284 Jon Winkelried 2,002 24,024 Richard E. Witten 2,393 28,716 Yasuyo Yamazaki 679 8,148 Danny O. Yee 1,253 15,036 Michael J. Zamkow 1,398 16,776 Gregory H. Zehner 871 10,452 Joseph R. Zimmel 2,657 31,884 Barry L. Zubrow 2,178 26,136 Mark A. Zurack 1,047 12,564 TRUSTS The Guapulo Trust 1,272 15,264 The Unicorn Trust 2,500 30,000 PARTNERSHIPS The Daniel G. Brennan Family Limited Partnership 182 2,184 The Rizner Family Limited Partnership 272 3,264 CORPORATIONS HJS2 Limited 382 4,584 Majix Limited 786 9,432 Melalula Limited 2,198 26,376
+ Includes shares held by a corporation wholly owned by the Covered Person. 55 56 Table II
TRADING DAY PRICE PER SHARE ---------------------------------------------- -------------------- January 2, 2001 $101.53 January 3, 2001 104.71 January 4, 2001 113.59 January 5, 2001 107.88 January 8, 2001 105.01 January 9, 2001 104.83 January 10, 2001 106.35 January 11, 2001 109.96 January 12, 2001 109.51 January 16, 2001 110.53 January 17, 2001 111.84 January 18, 2001 108.20
56 57 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: January 23, 2001 By: /s/ Gregory K. Palm ------------------------- Name: Gregory K. Palm Title: Attorney-in-Fact 57 58 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)). 58 59 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)). Y. Form of Amended and Restated Member Agreement, dated as of September 10, 2000, and amended and restated as of October 26, 2000, between GS Inc. and each SLK Covered Person (incorporated by reference to Exhibit Y to Amendment No. 10 to the Initial Schedule 13D, filed November 3, 2000 (File No. 005-56295)). Z. Form of Pledge Agreement, dated as of October 31, 2000, between GS Inc. and each SLK Covered Person (incorporated by reference to Exhibit Z to Amendment No. 10 to the Initial Schedule 13D, filed November 3, 2000 (File No. 005-56295)). AA. Supplemental Registration Rights Instrument, dated as of December 21, 2000. 59 EX-99.AA 2 y44613ex99-aa.txt SUPPLEMENTAL REGISTRATION RIGHTS INSTRUMENT 1 Exhibit AA SUPPLEMENTAL REGISTRATION RIGHTS INSTRUMENT SUPPLEMENTAL REGISTRATION RIGHTS INSTRUMENT, dated as of December 21, 2000 (the "Supplemental Instrument"). WHEREAS, The Goldman Sachs Group, Inc., a Delaware corporation (the "Company"), has entered into a Registration Rights Instrument, dated as of December 10, 1999 (the "Registration Rights Instrument") (attached as Annex A hereto); WHEREAS, pursuant to Section 1 of the Registration Rights Instrument, the Company has determined to register under the Securities Act of 1933 (the "Securities Act") the Designated Stock (as defined below) for resale by the Charities (as defined below); and WHEREAS, pursuant to Section 1 of the Registration Rights Instrument, the Company has notified each person or entity listed in Schedule I hereto (each, a "Donor") of such determination, and each Donor has requested that the Company include such Donor's Designated Stock in the Registration Statement (as defined below); NOW THEREFORE, the Company undertakes as follows: 1. Definitions. (a) Unless otherwise defined herein, all capitalized and undefined terms shall have the meanings assigned to them in the Registration Rights Instrument. (b) The following terms shall have the following meanings for the purposes of both this Supplemental Instrument and the Registration Rights Instrument: "Charities" means collectively the public charities and private foundations listed in Schedule II hereto. For the purposes of the Registration Rights Instrument, the Charities shall be deemed to be the Participating Holders. "Designated Stock" means the shares of Common Stock listed next to each Charity in Schedule II hereto. For the purposes of the Registration Rights Instrument, the Designated Stock shall be deemed to be the Participating Stock, subject to such stock ceasing to be Participating Stock pursuant to the last sentence of Section 1(a) of the Registration Rights Instrument. "Registration Statement" means, for the purposes of both this Supplemental Instrument and the Registration Rights Instrument, the Company's 2 Registration Statement on Form S-3 (File No. 333-49958) registering the Designated Stock for resale by the Charities. "Request Registration" means, for the purposes of both this Supplemental Instrument and the Registration Rights Instrument, the registration of Common Stock for resale by the Charities and the distribution of the Designated Stock by the Charities pursuant to the Registration Statement. 2. Charities. The Charities will be entitled to receive the benefits of and will be conclusively deemed to have agreed to be bound by and to perform all of the terms and provisions of the Registration Rights Instrument as supplemented, modified and superseded by this Supplemental Instrument. 3. Supplements and Modifications. With respect to the Request Registration contemplated by this Supplemental Instrument, the Registration Rights Instrument is hereby supplemented, modified and superseded as follows: (a) Notwithstanding Sections 1(b)(ii) and 1(e)(i) of the Registration Rights Instrument, the Company shall not withdraw the Registration Statement after the Registration Statement has been declared effective by the SEC; provided, however, that the Company may withdraw the Registration Statement at any time on or after the earliest date on which each share of Designated Stock has either (i) ceased to be Participating Stock or (ii) become eligible for resale pursuant to Rule 144(k) under the Securities Act. (b) Pursuant to Section 1(c) of the Registration Rights Instrument, the Company hereby determines that the Charities may distribute the Designated Stock in any manner contemplated by the Registration Statement; provided, however, that any firm commitment underwriting will need to be approved by the Company in the manner contemplated by Sections 1(c) and 1(f) of the Registration Rights Instrument, although no Charity, unless and until it agrees otherwise, will be obligated to participate in any such underwriting. (c) Notwithstanding Section 1(e)(ii) of the Registration Rights Instrument, and subject to the issuance of any notice by the Company in accordance with Section 1(e)(v) of the Registration Rights Instrument, the Company shall use all reasonable efforts to keep the Registration Statement effective until the earliest date on which each share of Designated Stock has either (i) ceased to be Participating Stock or (ii) become eligible for resale pursuant to Rule 144(k) under the Securities Act. -2- 3 (d) The expense reimbursement provisions of Section 2 of the Registration Rights Instrument shall apply to the distribution of the Designated Stock in the manner contemplated by the Registration Statement; provided, however, that the Company will not pay the fees and expenses of counsel to the Charities. (e) The indemnification and contribution provisions of Section 3 of the Registration Rights Instrument shall apply to the distribution of the Designated Stock in the manner contemplated by the Registration Statement; provided, however, that the Company shall not require that any Charity provide the undertaking referred to in Section 3(b) of the Registration Rights Instrument and no Charity shall be deemed to be an "indemnifying party" for any purpose under the Registration Rights Instrument; provided further, however, that, in the case of a firm commitment underwriting, the Company may modify the indemnification and contribution provisions of Section 3 of the Registration Rights Instrument in any manner it deems appropriate. (f) Notwithstanding the provisions of Section 8 of the Registration Rights Instrument, the Company shall not amend the Registration Rights Instrument or this Supplemental Instrument in any manner that would cause the Designated Stock not to qualify as "qualified appreciated stock" within the meaning of Section 170(e)(5)(B) of the Internal Revenue Code of 1986, as amended. Moreover, the Registration Rights Instrument and this Supplemental Instrument shall be interpreted in a manner consistent with the treatment of the Designated Stock as "qualified appreciated stock". (g) Section 3(a) of the Registration Rights Instrument is hereby amended and supplemented by adding the words "preliminary prospectus or" immediately after the word "or" and immediately prior to the word "Prospectus" in the first proviso thereto. (h) Section 3(b) of the Registration Rights Instrument is hereby amended and supplemented by adding the words "preliminary prospectus or" immediately after the word "any" and immediately prior to the word "Prospectus" in clause (i) thereof. 4. Application of Registration Rights Instrument. Except as supplemented, modified and superseded by this Supplemental Instrument, the Registration Rights Instrument shall apply to the registration and distribution of the Designated Stock in the manner contemplated by the Registration Statement, and each Charity, by agreeing in advance that any Designated Stock donated to it will be covered by the Registration Statement, -3- 4 shall be deemed to have agreed to undertake the obligations of a Participating Holder under the Registration Rights Instrument, as so supplemented, modified and superseded. -4- 5 IN WITNESS WHEREOF, the Company has executed and delivered this Supplemental Instrument as of the date above written. THE GOLDMAN SACHS GROUP, INC. By: /s/ Gregory K. Palm ------------------------------- Name: Gregory K. Palm Title: Authorized Person -5- -----END PRIVACY-ENHANCED MESSAGE-----