-----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, G/3cRwQKq4zKv3rtc0/HPsUCFdNAp+Z5DJ/RbdEbSkLAFQpZjc5GQMwwD1u2l9a/ 4W9KXIRLD2IL20ExKB1VyQ== 0000950123-02-000946.txt : 20020414 0000950123-02-000946.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950123-02-000946 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020205 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: 1934 Act SEC FILE NUMBER: 005-56295 FILM NUMBER: 02527769 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 y57228sc13da.txt AMENDMENT NO. 22 TO SCHEDULE 13D SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 File No. 005-56295 SCHEDULE 13D/A (Rule 13d-101) Amendment No. 22 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 29, 2002 (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) CUSIP NO. 38141G 10 4 13D - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS: Each of the persons identified on Appendix A. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP As to a group consisting solely of Covered Persons(1) (a) [x] As to a group consisting of persons other than Covered Persons (b) [x] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS: OO as to Covered Shares(1), OO and PF as to Uncovered Shares(2) (Applies to each person listed on Appendix A.) - -------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT [ ] TO ITEM 2(d) OR 2(e) (Applies to each person listed on Appendix A.) - -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States unless otherwise indicated on Appendix A. - -------------------------------------------------------------------------------- 7. SOLE VOTING POWER (See Item 6) NUMBER OF As to Covered Shares, 0 SHARES As to Uncovered Shares, as stated in Appendix A BENEFICIALLY ---------------------------------------------------------------- OWNED BY 8. SHARED VOTING POWER (See Item 6) (Applies to REPORTING each person listed on Appendix A.) PERSON 232,218,207 Covered Shares held by Covered Persons WITH 15,615 Uncovered Shares held by Covered Persons(3) 2,165,504 Other Uncovered Shares held by Covered Persons(4) ---------------------------------------------------------------- 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 234,399,326 - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN [x] SHARES (Applies to each person listed on Appendix A.) - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 49.30% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON: OO as to persons listed in Appendix A under the captions "Trusts" and "Limited Liability Companies"; 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 100 private charitable foundations established by 100 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 APPENDIX A
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES 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 Ben I. Adler 0 0 0 0 Gregory A. Agran 0 0 0 0 Raanan A. Agus 0 0 0 0 Syed H. Ahmad Pakistan 0 0 0 0 Jonathan R. Aisbitt 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 Ignacio Alvarez-Rendueles Spain 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 Douglas M. Angstrom 0 0 0 0 Arnaud M. Apffel France 0 0 0 0 Lori B. Appelbaum 0 0 0 0 Philip S. Armstrong UK 0 0 0 0 John A. Ashdown UK 0 0 0 0 David M. Atkinson UK 0 0 0 0 Neil Z. Auerbach 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 Katherine M. Bailon 0 0 0 0 Andrew G. Baird UK 0 0 0 0 Michiel J. Bakker The Netherlands 0 0 0 0 Mark E. Bamford 0 0 0 0 William J. Bannon 0 0 0 0 John S. Barakat 0 0 0 0 Leslie Barbi 0 0 0 0 Adam P. Barrett UK 0 0 0 0 Scott B. Barringer 0 0 0 0 Steven M. Barry 0 0 0 0 Christopher M. Barter 0 0 0 0 Barbara J. Basser-Bigio 0 0 0 0 Christopher A. Bates 0 0 0 0 Carl-Georg Bauer-Schlichtegroll Germany 0 0 0 0 David Baum 0 0 0 0 Gerhard Baumgard Germany 0 0 0 0 Patrick Y. Baune France 0 0 0 0
3
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ 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 Jordan M. Bender 0 0 0 0 Tarek M. Ben Halim Saudi Arabia 0 0 0 0 Kenneth Berents 0 0 0 0 Michael G. Berini 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 Paul D. Bernard 0 0 0 0 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 Andrew C. Bieler 0 0 0 0 James J. Birch UK 0 0 0 0 Gary D. Black 0 0 0 0 Lloyd C. Blankfein 0 0 0 0 Abraham Bleiberg Mexico 0 0 0 0 Dorothee Blessing Germany 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 George M. Brady 136 0 136 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 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 Holger Bross Germany 0 0 0 0 Edward A. Brout 0 0 0 0 James K. Brown 0 0 0 0 Julian J. Brown UK 0 0 0 0 Kathleen Brown 0 0 0 0 Melissa R. Brown 0 0 0 0 Peter D. Brundage 0 0 0 0
4
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ 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 David D. Burrows 0 0 0 0 Michael S. Burton UK 0 0 0 0 Joseph M. Busuttil 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 Jin Yong Cai China 0 0 0 0 Lawrence V. Calcano 0 0 0 0 Elizabeth V. Camp 0 0 0 0 John D. Campbell 0 0 0 0 Laurie G. Campbell Canada 0 0 0 0 Richard M. Campbell-Breeden UK 0 0 0 0 Mark M. Carhart 0 0 0 0 Mark J. Carlebach 0 0 0 0 Mariafrancesca Carli Italy 0 0 0 0 Valentino D. Carlotti 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 Andrea Casati Italy 0 0 0 0 Mary Ann Casati 0 0 0 0 Chris Casciato 0 0 0 0 Mark A. Castellano 0 0 0 0 Eduardo Centola Brazil 0 0 0 0 Varkki P. Chacko USA/India 0 0 0 0 David K. Chang Taiwan 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 495 0 495 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 James B. Clark 0 0 0 0 Kent A. Clark Canada 0 0 0 0 Maura J. Clark Canada 0 0 0 0 Alexander Classen Switzerland 0 0 0 0 Catherine M. Claydon Canada 0 0 0 0 Zachariah Cobrinik 0 0 0 0
5
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ 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 William 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 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 Marta Z. Cotton 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 Beverley M. Covell 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 Linda S. Daines 0 0 0 0 Stephen B. Dainton UK 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
6
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ Stephen Davies UK 0 0 0 0 Oral W. Dawe Canada 0 0 0 0 Diego De Giorgi Italy 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 Daniel L. Dees 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 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 Mario Draghi Italy 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
7
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ Seaborn S. Eastland 0 0 0 0 Kenneth M. Eberts, III 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 Howard B. Eisen 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 Christian Erickson 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 Norman Feit 0 0 0 0 Steven M. Feldman 0 0 0 0 Laurie R. Ferber 0 0 0 0 Luca D. Ferrari 0 0 0 0 John A. Ferro, Jr. 0 0 0 0 Robert P. Fisher, Jr. 0 0 0 0 David A. Fishman 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 Alexander W. Fletcher UK 0 0 0 0 David B. Ford 0 134(5) 0 134(5) Edward C. Forst 0 0 0 0 George B. Foussianes 0 0 0 0 Karl Fowler UK 0 0 0 0 Oliver L. Frankel 0 0 0 0
- ---------- (5) Shared with family members. 8
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ Randy W. Frankel 0 0 0 0 Orit P. Freedman Israel 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 Naosuke Fujita Japan 0 0 0 0 Shirley Fung UK 0 0 0 0 Enrico S. Gaglioti 0 0 0 0 James R. Garvey Ireland 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 0 300(6) 0 300(6) Joseph H. Gleberman 0 0 0 0 Nancy S. Gloor 0 0 0 0 Richard J. Gnodde Ireland/South Africa 0 0 0 0 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 Daniel C. Goldwater UK 0 0 0 0 James S. Golob 0 0 0 0 Gregg A. Gonsalves 0 0 0 0 Amy O. Goodfriend 0 0 0 0 Jay S. Goodgold 0 0 0 0 Larry J. Goodwin 0 0 0 0 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
- ---------- (6) Shared with family members. (7) Shared with family members. 9
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ 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 Stefan Green Australia 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 David J. Grounsell UK 0 0 0 0 Eric P. Grubman 0 0 0 0 Arun M. Gunewardena Sri Lanka 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 Ralf O. Haase Germany 0 0 0 0 Erol Hakanoglu Turkey 0 0 0 0 David R. Hansen Australia 0 0 0 0 Mary L. Harmon 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 Valerie J. Harrison UK 0 0 0 0 Shelley A. Hartman 0 0 0 0 Paul R. Harvey 0 0 0 0 Rumiko Hasegawa Japan 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 Isabelle Hayen Belgium 0 0 0 0 Keith L. Hayes UK 0 0 0 0 Edward A. Hazel 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 R. Heinz 0 0 0 0 David B. Heller 0 0 0 0 Steven M. Heller 0 0 0 0
10
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ William L. Hemphill 0 0 0 0 Ruud G. Hendriks The Netherlands 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 Mary C. Henry 0 0 0 0 Peter C. Herbert 0 0 0 0 Bruce A. Heyman 0 0 0 0 Stephen Hickey 0 0 0 0 Melina E. Higgins 0 0 0 0 Robert E. Higgins 0 0 0 0 Joanne M. Hill 0 0 0 0 Michael I. Hill UK 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 Margaret J. Holen 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 Sean C. Hoover 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. 617 0 617 0 Thomas J. Houle 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 Janet T. Hurley 0 0 0 0 Fern Hurst 0 0 0 0 Robert J. Hurst 100 0 100 0 Elizabeth A. Husted 0 0 0 0 Walter V. Hutcherson 0 0 0 0 John S. Iglehart 0 0 0 0 Robert F. Incorvaia 0 0 0 0 Toni Infante 0 0 0 0
11
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ 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 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 Mark M. Jacobs 0 0 0 0 Arthur L. Jacobson, Jr. 0 0 0 0 James A. Jacobson 0 0 0 0 Robert J. Jacobson, Jr. 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 William J. Jones 0 0 0 0 Roy R. Joseph Guyana 0 0 0 0 Kenneth L. Josselyn 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 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 Toshinobu Kasai Japan 0 0 0 0 Richard Katz 0 0 0 0 Robert J. Katz 0 0 0 0 James C. Katzman 0 0 0 0 John J. Kauffman 0 0 0 0 David K. Kaugher 0 0 0 0 Tetsuya Kawano Japan 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
12
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ Gioia M. Kennett 0 0 0 0 William J. Kenney 0 0 0 0 Thomas J. Kenny 0 0 0 0 Steven Kerr 0 0 0 0 Lawrence S. Keusch 0 0 0 0 Rustom N. Khandalavala 0 0 0 0 Philippe Khuong-Huu France 0 0 0 0 Peter A. Kiernan UK 0 0 0 0 Peter D. Kiernan III 0 0 0 0 Sun Bae Kim Canada 0 0 0 0 Douglas W. Kimmelman 436 0 436 0 Colin E. King Canada 0 0 0 0 Robert C. King, Jr. 0 0 0 0 Adrian P. Kingshott UK 0 0 0 0 Timothy M. Kingston 0 0 0 0 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 Remy Klammers France 0 0 0 0 Daniel H. Klebes II 0 0 0 0 Michael Klimek 0 0 0 0 Michael K. Klingher 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 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 15 0 15 0 Mary Lyn Valkenburg Kurish 0 0 0 0 Eiichiro Kuwana Japan 0 0 0 0 Peter Labbat 0 0 0 0 Peggy A. Lamb 0 0 0 0 David G. Lambert 0 0 0 0 Eric S. Lane 0 0 0 0 Thomas K. Lane 0 0 0 0 Gary R. Lapidus 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 Andrew E. Law UK 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
13
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ Andrew D. Learoyd UK 0 0 0 0 Chan-Keun Lee 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 Richard O. Leggett 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 Gregg R. Lemkau 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 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 Michael Liberman 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 Ryan D. Limaye 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 Laura A. Liswood 15 0 15 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 Jill E. Lohrfink 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
14
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ Michael C. Luethke 0 0 0 0 Kevin L. Lundeen 0 0 0 0 Michael R. Lynch 0 0 0 0 Richard E. Lyon, III 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 Christopher J. Magarro 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 Keith A. Malas 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 Elizabeth C. Marcellino 0 0 0 0 Arthur S. Margulis, Jr. 0 0 0 0 Carmen Marino 0 0 0 0 Ronald G. Marks 0 0 0 0 Robert J. Markwick UK 0 0 0 0 Nicholas I. Marovich 0 0 0 0 David J. Marshall 0 0 0 0 Allan S. Marson UK 0 0 0 0 Eff W. Martin 0 0 0 0 Jacques Martin Canada 0 0 0 0 Alison J. Mass 0 0 0 0 Robert A. Mass 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 40 0 40 0 George N. Mattson 0 0 0 0 Heinz Thomas Mayer Germany 0 0 0 0 Thomas J. McAdam 27 0 27 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 Ian R. McCormick UK 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 John C. McIntire 0 0 0 0 John W. McMahon 0 0 0 0
15
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ Geraldine F. McManus 0 0 0 0 Gerald C. McNamara, Jr. 4,182 0 4,182 0 James A. McNamara 0 215(8) 0 215(8) Richard P. McNeil Jamaica 0 0 0 0 Audrey A. McNiff 0 0 0 0 John P. McNulty 0 0 0 0 Stuart G. McPherson UK 0 0 0 0 Robert A. McTamaney 0 0 0 0 E. Scott Mead 0 0 0 0 Lance P. Meaney 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 Bernard A. Mensah UK 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 Julian R. Metherell UK 0 0 0 0 Michael R. Miele 0 0 0 0 Gunnar T. Miller 0 0 0 0 Kenneth A. Miller 0 0 0 0 Therese L. Miller 0 0 0 0 James E. Milligan 0 0 0 0 Eric M. Mindich 0 0 0 0 John J. Minio 0 0 0 0 Luciana D. Miranda Brazil 0 0 0 0 Edward S. Misrahi Italy 0 0 0 0 Masatoki J. Mitsumata Japan 0 0 0 0 Steven T. Mnuchin 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 J. Ronald Morgan, III 0 0 0 0 Yukihiro Moroe Japan 0 0 0 0 James P. Morris 0 0 0 0 R. Scott Morris 0 0 0 0 Robert B. Morris III 0 0 0 0 Richard S. Morse UK 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
- ---------- (8) Shared with family members. 16
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ Edward A. Mule 0 0 0 0 Donald R. Mullen 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 Robert G. Munro UK 0 0 0 0 Rie Murayama Japan 0 0 0 0 Richard A. Murley UK 0 0 0 0 Patrick E. Murphy 0 0 0 0 Philip D. Murphy 0 0 0 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 112 0 112 0 Mark J. Naylor UK 0 0 0 0 Jeffrey P. Nedelman 0 0 0 0 Warwick M. Negus Australia 0 0 0 0 Daniel M. Neidich 44 0 44 0 Kipp M. Nelson 0 0 0 0 Leslie S. Nelson 0 0 0 0 Robin Neustein 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 Eric M. Oberg 0 0 0 0 Alok Oberoi India 0 0 0 0 Gavin G. O'Connor 0 0 0 0 James K. O'Connor 0 0 0 0 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 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
17
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ 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 Todd G. Owens 0 0 0 0 Fumiko Ozawa Japan 0 0 0 0 Robert J. Pace 0 0 0 0 Helen Paleno 0 0 0 0 Gregory K. Palm 0 0 0 0 Bryant F. Pantano 0 0 0 0 Massimo Pappone Italy 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 Archie W. Parnell 100 100 100 100 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 286 0 286 0 David E. Perlin 0 0 0 0 Bradley J. Peterson 0 0 0 0 David B. Philip 0 0 0 0 Paul A. Phillips 0 0 0 0 Todd J. 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 Anthony J. Principato 0 0 0 0 Nomi M. Prins 0 0 0 0 Steven D. Pruett 0 0 0 0 Goran V. Puljic 0 0 0 0 Kevin A. Quinn 0 0 0 0
18
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ Stephen D. Quinn 0 0 0 0 B. Andrew Rabin 0 0 0 0 John J. Rafter Ireland 0 0 0 0 Hugh A. Ragsdale III 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 Alan M. Rapfogel 0 0 0 0 Joseph Ravitch 0 0 0 0 Sara E. Recktenwald 0 0 0 0 Girish V. Reddy 0 0 0 0 Arthur J. Reimers III 0 0 0 0 Filip A. Rensky 0 0 0 0 Anthony John Reizenstein UK 0 0 0 0 Jeffrey A. Resnick 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 Thomas S. Riggs, III 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 Richard T. Roberts 0 0 0 0 Simon M. Robertson UK 0 0 0 0 Normann G. Roesch Germany 0 0 0 0 James H. Rogan 0 0 0 0 J. David Rogers 0 100 0 100 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 Michael S. Rubinoff 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 David C. Ryan 0 0 0 0 David M. Ryan Australia 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
19
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ 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 210 0 210 0 Richard A. Sapp 0 0 0 0 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 James E. Sawtell UK 0 0 0 0 Paul S. Schapira Italy 0 0 0 0 P. Sheridan Schechner 1,000 0 1,000 0 Marcus Schenck Germany 0 0 0 0 Susan J. Scher 0 0 0 0 Gary B. Schermerhorn 0 0 0 0 Stephen M. Scherr 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 1,900(9) 0 1,900(9) 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 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 John S. Sheldon 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
- ---------- (9) Shared with family members. 20
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ Michael S. Sherwood UK 0 0 0 0 Masaru Shibata Japan 0 0 0 0 James Shim 0 0 0 0 Abraham Shua 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 Harry Silver 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 Ravi M. Singh 0 0 0 0 Ravi Sinha India/USA 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 Jeffrey S. Sloan 0 0 0 0 Linda J. Slotnick 0 0 0 0 Cody J Smith 0 1,000(10) 0 1,000(10) 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 John E. Smollen 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 Keith G. Starkey UK 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 Jean-Michel Steg France 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
- ---------- (10) Shared with family members. 21
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ Margaret E. Stone 0 0 0 0 Timothy T. Storey Canada 0 0 0 0 George C. Strachan 0 0 0 0 Fredrik J. Stromholm Sweden 0 0 0 0 Raymond B. Strong, III 0 0 0 0 Steven H. Strongin 0 0 0 0 Andrew J. Stuart Australia 0 0 0 0 Nobumichi Sugiyama Japan 0 0 0 0 Christopher P. Sullivan USA/Ireland 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 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 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 John L. Thornton 0 0 0 0 Timothy J. Throsby Australia 0 0 0 0 Nicolas F. Tiffou France 0 0 0 0 Jason A. Tilroe 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
22
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ John Tumilty UK 0 0 0 0 Barry S. Turkanis 0 0 0 0 Malcolm B. Turnbull Australia 0 0 0 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 Can Uran 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 David H. Voon 0 0 0 0 Robert T. Wagner 0 0 0 0 John E. Waldron 0 0 0 0 George H. Walker IV 0 0 0 0 Thomas B. Walker III 0 0 0 0 Robert P. Wall 0 0 0 0 Steven A. Wallace UK 0 0 0 0 Berent A. Wallendahl Norway 0 0 0 0 Alastair J. Walton UK/Australia 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 Michael W. Warren UK 0 0 0 0 Haruko Watanuki Japan 0 0 0 0 Jerry T. Wattenberg 0 0 0 0 David M. Weil 0 0 0 0 Theodor Weimer Germany 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 Christopher S. Wendel 0 0 0 0 Martin M. Werner Mexico 0 0 0 0 Richard T. Wertz 0 0 0 0 Lance N. West 0 0 0 0
23
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ Matthew Westerman UK 0 0 0 0 Barbara A. White 0 0 0 0 William Wicker 0 0 0 0 A. Carver Wickman 0 0 0 0 C. Howard Wietschner 0 0 0 0 David D. Wildermuth 386 0 386 0 Kevin L. Willens 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 L. Williams 0 0 0 0 Todd A. Williams 90 0 90 0 John S. Willian 0 0 0 0 Kenneth W. Willman 0 0 0 0 Keith R. Wills UK 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 Jon A. Woodruf 0 0 0 0 Zi Wang Xu Canada/China (PRC) 0 0 0 0 Richard A. Yacenda 0 0 0 0 Tetsufumi Yamakawa Japan 0 0 0 0 Yasuyo Yamazaki Japan 0 0 0 0 Anne Yang 0 0 0 0 Michael Y. Yao 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 William J. Young 0 0 0 0 Michael J. Zamkow 0 55(11) 0 55(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
- ---------- (11) Shared with family members. 24
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED OF UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - -------------------------- ---------- ------ ------ ------ ------ 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 100 private charitable foundations established by 100 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations(12) N/A 0 2,165,504 0 2,165,504
- ---------- (12) Each Covered Person disclaims beneficial ownership of all such shares of Common Stock. 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 - ------------------------------------- ----------------- ----------- --------- ----------- ----------- 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 2001 Carlos A. Cordeiro Grantor Retained Annuity Trust 0 0 0 0 2001 Danny O. Yee Grantor Retained Annuity Trust 0 0 0 0 2001 Douglas W. Kimmelman Grantor Retained Annuity Trust 0 0 0 0 2001 Girish V. Reddy Grantor Retained Annuity Trust 0 0 0 0 2001 James M. Sheridan Grantor Retained Annuity Trust 0 0 0 0 2001 John A. Thain Grantor Retained Annuity Trust 0 0 0 0 2001 Mary Ann Casati Grantor Retained Annuity Trust 0 0 0 0 2001 Michael E. Novogratz Grantor Retained Annuity Trust 0 0 0 0 2001 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
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 Abby Joseph Cohen 2001 Annuity Trust I 0 0 0 0 The Abby Joseph Cohen 2001 Annuity Trust II 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 The Andrew M. Alper 2001 Annuity Trust I 0 0 0 0 The Andrew M. Gordon 2000 Family Trust 0 0 0 0 Ann F. Kaplan Two Year Trust Dated June 2000 0 0 0 0 Ann F. Kaplan Two Year Trust Dated 6/26/2001 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 Anthony D. Lauto 2001 Annuity Trust I 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
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 - ------------------------------------- ----------------- ----------- --------- ----------- ----------- The Avi M. Nash 2001 Annuity Trust I 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 Barry A. Kaplan 2001 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 Barry L. Zubrow 2001 Annuity Trust I The Beller/Moses 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 Bradford C. Koenig 2001 Annuity Trust I 0 0 0 0 The Bradford C. Koenig 2001 Family Trust 0 0 0 0 The Bradley Abelow Family 2000 Trust 0 0 0 0 Brian Patrick Minehan 2001 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 A. Cole 2001 Annuity Trust I 0 0 0 0 The Christopher K. Norton 2000 Family Trust 0 0 0 0 The Christopher Palmisano 2000 Grantor Retained Annuity Trust 0 0 0 0 The Christopher Palmisano Remainder Trust 0 0 0 0 The Christopher Ryan Tortora 2000 Trust 0 0 0 0 The Cody J Smith 2000 Annuity Trust I 0 0 0 0 The Cody J Smith 2000 Family Trust 0 0 0 0 The Cody J Smith 2001 Annuity Trust I
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 Connie K. Duckworth 2000 Annuity Trust I 0 0 0 0 The Connie K. Duckworth 2000 Family Trust 0 0 0 0 The Corzine Blind 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 M. Neidich 2001 Annuity Trust I The Daniel W. Stanton 2000 Annuity Trust I 0 0 0 0 The Daniel W. Stanton II 2000 Trust 0 0 0 0 The Daniel W. Stanton 2001 Annuity Trust I 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. Ford 2001 Annuity Trust DTD as of 3/26/2001 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 G. Lambert 2001 Annuity Trust I 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 L. Henle 2001 Annuity Trust I 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 Viniar 2001 Annuity Trust I 0 0 0 0 The David W. Blood 2000 Annuity Trust I 0 0 0 0 The David W. Blood 2001 Annuity Trust I 0 0 0 0 The Donald F. Textor 2000 Annuity Trust I 0 0 0 0
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 Donald F. Textor 2001 Annuity Trust I 0 0 0 0 The Douglas W. Kimmelman Trust 0 0 0 0 The E. Gerald Corrigan 2001 Annuity Trust I 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 C. Forst 2001 Annuity Trust I 0 0 0 0 The Edward Scott Mead 2000 Annuity Trust I 0 0 0 0 The Edward Scott Mead 2001 Annuity Trust I 0 0 0 0 The Edward Scott Mead 2001 Trust 0 0 0 0 Eff Warren Martin 2000 Children's Trust California 0 0 0 0 Eff Warren Martin 2000 Grantor Retained Annuity Trust California 0 0 0 0 Eff Warren Martin 2001 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 Esta Eiger Stecher 2001 Annuity Trust I 0 0 0 0 The Francis J. Ingrassia 2000 Annuity Trust I 0 0 0 0
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 Francis J. Ingrassia 2000 Family Trust 0 0 0 0 The Francis J. Ingrassia 2001 Annuity Trust I 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 The Fredric E. Steck 2001 Annuity Trust I 0 0 0 0 Gary D. Cohn 2000 Family Trust 0 0 0 0 Gary D. Cohn 2000 GRAT 0 0 0 0 The Gary Tolchin 2001 Grantor Retained Annuity Trust New Jersey 0 0 0 0 The Gary Tolchin 2001 Family Trust New Jersey 0 0 0 0 The Gary W. Williams 2001 Trust 0 0 0 0 The Gene Tiger Sykes 2001 Annuity Trust I 0 0 0 0 The Gene Tiger Sykes 2001 Family Trust 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 H. Walker 2001 Annuity Trust I 0 0 0 0 The George W. Wellde, Jr. 2000 Annuity Trust I 0 0 0 0 The George W. Wellde, Jr. 2001 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 2001 Trust 0 0 0 0 The Girish V. Reddy Trust 0 0 0 0 The Goldenberg 2000 Annuity Trust I 0 0 0 0 The Goldenberg 2000 Family Trust 0 0 0 0 The Greg M. Ostroff 2000 Annuity Trust I 0 0 0 0 The Greg M. Ostroff 2000 Family Trust 0 0 0 0 The Greg M. Ostroff 2001 Annuity Trust I 0 0 0 0
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 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 Gregory K. Palm 2001 Annuity Trust I 0 0 0 0 The Guapulo Trust Jersey 0 0 0 0 The Harvey Silverman 2001 Family Trust 0 0 0 0 The Harvey Silverman 2001 Grantor Retained Annuity Trust 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 A. Silverstein 2001 Annuity Trust I 0 0 0 0 The Howard B. Schiller 2000 Annuity Trust I 0 0 0 0 The Howard B. Schiller 2001 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 J. David Rogers 2001 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 James P. Riley, Jr. 2001 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
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 - ------------------------------------- ----------------- ----------- --------- ----------- ----------- JG 2001 GRAT 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 L. Townsend, III 2001 Annuity Trust I 0 0 0 0 The John Minio 2001 Grantor Retained Annuity Trust New Jersey 0 0 0 0 The John Minio 2001 Family Trust New Jersey 0 0 0 0 The John O. Downing 2000 Annuity Trust I 0 0 0 0 The John O. Downing 2000 Family Trust 0 0 0 0 The John O. Downing 2001 Annuity Trust I 0 0 0 0 The John P. Curtin, Jr. 2000 Annuity Trust I 0 0 0 0 The John P. Curtin, Jr. 2000 Family Trust 0 0 0 0 The John P. Curtin, Jr. 2001 Annuity Trust I 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 John S. Weinberg 2001 Annuity Trust I 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 Jonathan M. Lopatin 2001 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 Della Rosa 2001 Annuity Trust I 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
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 Joseph H. Gleberman 2001 Annuity Trust I 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 Kevin W. Kennedy 2001 Annuity Trust I 0 0 0 0 The Kevin W. Kennedy 2001 Siblings Trust 0 0 0 0 The Kimberly Lynn Macaione 2000 Trust 0 0 0 0 The Kimberly R. Textor 2000 Trust 0 0 0 0 The Kipp M. Nelson Trust 0 0 0 0 The Kuala Trust Jersey 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 Lawrence R. Buchalter 2001 Annuity Trust I 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 Lee G. Vance 2001 Annuity Trust I 0 0 0 0 The Leslie C. Tortora 2000 Annuity Trust I 0 0 0 0
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 Leslie C. Tortora 2001 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 Lloyd C. Blankfein 2001 Annuity Trust I 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 The Mark A. Zurack 2001 Annuity Trust I 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 Schwartz 2001 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 The Mark Tercek 2001 Annuity Trust I 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 Melissa Jane Minehan 2001 Trust 0 0 0 0 The Merritt Moore Townsend 2000 Trust 0 0 0 0 The Mesdag Family Trust Delaware 0 0 0 0 The Michael A. Price 2000 Annuity Trust I 0 0 0 0
35
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 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 D. Ryan 2001 Annuity Trust I 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 J. Zamkow 2001 Annuity Trust I 0 0 0 0 The Michael J. Zamkow 2001 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 Milton R. Berlinski 2001 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 Murphy 2001 GRAT 0 0 0 0 The Natalie Cailyn Rogers 2000 Trust 0 0 0 0 The Nicole Schiller 2000 Trust 0 0 0 0 The Patrick J. Ward 2001 Trust 0 0 0 0 The Patrick Scire 2001 Grantor Retained Annuity Trust New Jersey 0 0 0 0 The Patrick Scire 2001 Family Trust New Jersey 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 C. Gerhard 2001 Annuity Trust I 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 D. Kiernan, III 2001 Annuity Trust I 0 0 0 0 The Peter S. Kraus 2000 Annuity Trust I 0 0 0 0
36
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 Peter S. Kraus 2001 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 D. Murphy 2001 Annuity Trust I 0 0 0 0 The Philip Darivoff 2000 Annuity Trust I 0 0 0 0 The Philip Darivoff 2001 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 The Ralph F. Rosenberg 2001 Annuity Trust I 0 0 0 0 Randal M. Fippinger-Millennium Trust 0 0 0 0 The Randolph L. Cowen 2000 Family Trust 0 0 0 0 The Randy Frankel 2001 Family Trust 0 0 0 0 The Randy Frankel 2001 Grantor Retained Annuity Trust 0 0 0 0 Rayas Trust Jersey 0 0 0 0 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 A. Sapp 2001 Annuity Trust I 0 0 0 0 The Richard E. Witten 2000 Annuity Trust I 0 0 0 0 The Richard E. Witten 2001 Annuity Trust I 0 0 0 0 The Richard G. Sherlund 2000 Annuity Trust I 0 0 0 0 The Richard G. Sherlund 2001 Annuity Trust I 0 0 0 0 The Richard Hogan 2001 Grantor Retained Annuity Trust 0 0 0 0
37
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 Richard Hogan 2001 Family Trust 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. Litterman 2001 Annuity Trust I 0 0 0 0 The Robert B. Morris III 2000 Annuity Trust I 0 0 0 0 The Robert B. Morris III 2000 Family Trust 0 0 0 0 The Robert B. Morris III 2001 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. Hurst 2001 Annuity Trust I 0 0 0 0 The Robert J. Katz 2000 Annuity Trust I 0 0 0 0 The Robert J. Katz 2001 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. O'Shea 2001 Annuity Trust I 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 J. Pace 2001 Annuity Trust I 0 0 0 0 The Robert K. Steel 2000 Annuity Trust I 0 0 0 0 The Robert K. Steel 2001 Annuity Trust I 0 0 0 0 The Robin Neustein 2000 Annuity Trust I 0 0 0 0 The Robin Neustein 2001 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
38
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 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 The Scott B. Kapnick 2000 Family Trust 0 0 0 0 The Scott B. Kapnick 2001 Annuity Trust I 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 Sharmin Mossavar-Rahmani 2001 Annuity Trust I 0 0 0 0 The Stephen M. Neidich 2000 Trust 0 0 0 0 The Steven J. Wisch 2001 Annuity Trust I 0 0 0 0 The Steven J. Wisch 2001 Family 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 Steven T. Mnuchin 2001 Annuity Trust I 0 0 0 0 The Steven Starker 2001 Grantor Retained Annuity Trust 0 0 0 0 The Steven Starker 2001 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 Stuart Mark Rothenberg 2001 Annuity Trust I 0 0 0 0 The Stuart Sternberg 2001 Grantor Retained Annuity Trust 0 0 0 0 The Stuart Sternberg 2001 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 Terence M. O' Toole 2001 Annuity Trust I 0 0 0 0 The Tess Augusta Linden 2000 Trust 0 0 0 0
39
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 Thomas J. Healey 2001 Annuity Trust New Jersey 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 Thomas K. Montag 2001 Annuity Trust I 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 The Tracy Richard Wolstencroft 2001 Annuity Trust I 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 for the benefit of Megan H. Hagerty u/a DTD 3/26/01 New Jersey 0 0 0 0 Trust for the benefit of Thomas Jeremiah Healey u/a DTD 3/26/01 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 William C. Sherlund 2000 Trust 0 0 0 0 The William Keith Litzenberger 2000 Grantor Retained Annuity Trust 0 0 0 0 The William Keith Litzenberger Remainder Trust 0 0 0 0 The Zachariah Cobrinik 2000 Annuity Trust I 0 0 0 0 Zachariah Cobrinik 2001 Annuity Trust I 0 0 0 0 Zachariah Cobrinik 2001 Family Trust 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
40
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 - ------------------------------------- ----------------- ----------- --------- ----------- ----------- EPG Associates, L.P. 0 0 0 0 Greenley Partners, L.P. Delaware 0 0 0 0 Harris Capital Partners, Limited Partnership 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 Stone Gate GS 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 Ward 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 LIMITED LIABILITY COMPANIES The Gary Tolchin Family LLC Delaware 0 0 0 0 The George Varsam Family LLC Delaware 0 0 0 0 The James Coufos Family LLC Delaware 0 0 0 0 The John Minio Family LLC Delaware 0 0 0 0 The Lawrence Cohen Family LLC Delaware 0 0 0 0 The Lawrence Trainor Family LLC Delaware 0 0 0 0 The Patrick Scire Family LLC Delaware 0 0 0 0 The Raymond Murphy Family LLC Delaware 0 0 0 0 The Rebecca Amitai Family LLC Delaware 0 0 0 0 The Richard Hogan Family LLC Delaware 0 0 0 0 The Stephen Levick Family LLC Delaware 0 0 0 0 The Steven Starker Family LLC Delaware 0 0 0 0 The Stuart Sternberg Family LLC Delaware 0 0 0 0 The Thomas Gravina Family LLC Delaware 0 0 0 0 The Thomas Williams Family LLC Delaware 0 0 0 0 The Todd Christie Family LLC Delaware 0 0 0 0 CORPORATIONS Anahue Limited Jersey 0 0 0 0 Guapulo Holdings Limited Jersey 0 0 0 0 HJS2 Limited Cayman Islands 0 0 0 0
41
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 - ------------------------------------- ----------------- ----------- --------- ----------- ----------- 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
42 This Amendment No. 22 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. 22 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. According to the separate Schedules 13D and amendments thereto filed by SMBC Capital Markets, Inc. (formerly Sumitomo Bank Capital Markets, Inc.) ("SMBC") and Kamehameha Activities Association ("KAA"), each of SMBC and KAA disposed of all of its shares of Common Stock on January 7, 2002. All information contained in this Schedule relating to SMBC and KAA has been included based upon information provided by SMBC and KAA; the separate Schedules 13D filed by SMBC and KAA and any amendments thereto should be referred to for information relating to SMBC 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, limited liability company or corporation created by or for an Individual Covered Person 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"). Each Covered Person listed in Appendix A under the caption "Limited Liability Companies" (a "Limited Liability Covered Person") is a limited liability company of which an Individual Covered Person is a managing member. 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 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, 43 "SLK"); (iv) the former members of Benjamin Jacobson & Sons, LLC (the "Jacobson Covered Persons") acquired certain Covered Shares in exchange for their interests in Benjamin Jacobson & Sons, LLC ("Jacobson"); (v) 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; (vi) 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 (vii) 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, the Jacobson Covered Persons and the Transferee Covered Persons, acquired certain 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 certain 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 certain Covered Shares in connection with the combination of GS Inc. with SLK and through certain employee compensation, benefit or similar plans of GS Inc. The Jacobson Covered Persons acquired certain Covered Shares in connection with the acquisition by GS Inc. of Jacobson and through certain employee compensation, benefit or similar plans of GS Inc. 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 certain former direct and indirect owners of Hull and SLK 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 22, 2002, 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 11,783,719 shares for all Covered Persons). These sales commenced on January 2, 2002 and an aggregate of 7,224,732 Covered Shares had been sold as of January 29, 2002, as described in Annex E. Sales under the Rule 144 Program are made on behalf of the participating Covered Persons pursuant to a Power of Attorney, a form of which is filed as an Exhibit to this Schedule. The Rule 144 Program may continue in subsequent fiscal quarters, but can be suspended or terminated at any time. GS Inc. has not solicited indications of interest from any of the Covered Persons as to whether they would like to sell shares of Common Stock in subsequent fiscal quarters. Covered Persons may from time to time acquire Uncovered Shares for investment purposes. Except as described in Item 6 and except for the acquisition by Covered Persons of Common Stock pursuant to employee compensation, benefit or similar plans of GS Inc. in the future or as described above, none of the Covered Persons has any plans or proposals which relate to or would result in their acquisition of additional Common Stock or any of the other events described in Item 4(a) through 4(j). Each Covered Person is expected to evaluate on an ongoing basis GS Inc.'s financial condition and prospects and his or her interests in and with respect to GS Inc. Accordingly, each Covered Person may change his or her plans and intentions at any time and from time to time. In particular, each Covered Person may at any time and from time to time acquire or dispose of shares of Common Stock. 44 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. 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. (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 (an "SLK Member Agreement"), between such SLK Covered Person and GS Inc. In the case of each Jacobson Covered Person, certain of the provisions and restrictions discussed below are set forth in a Member Agreement, dated as of January 26, 2001 (the "Jacobson Member Agreement" and, together with the SLK Member Agreement, the "Member Agreements"), between such Jacobson Covered Person and GS Inc. The forms of the Member Agreements are filed as Exhibits 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 by the Jacobson Covered Persons in exchange for their interests in Jacobson; shares of Common Stock acquired or to be acquired through the grant of restricted stock units, stock options and interests in a defined contribution plan (except for certain Uncovered Shares as specified in Appendix A); shares of Common Stock acquired by the Transferee Covered Persons in accordance with pre-existing contractual arrangements or judicial decrees; shares of Common Stock acquired or to be acquired by Estate Planning Covered Persons from Individual Covered Persons for estate planning purposes and shares of Common Stock to be distributed by Estate Planning Covered Persons to Individual Covered Persons or to other Estate Planning Covered Persons; and, unless otherwise determined by the board of directors and the Shareholders' Committee, any shares of Common Stock acquired or to be acquired by the Covered Persons from GS Inc. through any other employee compensation, benefit or similar plan. Covered Shares do not include any shares of Common Stock purchased or to be purchased by a Covered Person in the open market or in a subsequent underwritten public offering. TRANSFER RESTRICTIONS Each Individual Covered Person (other than the Transferee Covered Persons and, with respect to the shares of Common Stock received in exchange for their interests in Hull, the Hull Covered Persons) has agreed in the Shareholders' Agreement, among other things, to retain beneficial ownership of Covered Shares at least equal to 25% of the cumulative number of Covered Shares beneficially owned by him or her at the time he or she became a Covered Person or acquired by him or her thereafter and with no credit for dispositions (the "General Transfer 45 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, the Covered Shares acquired by the SLK Covered Persons in exchange for their interests in SLK and the Covered Shares acquired by the Jacobson Covered Persons in exchange for their interests in Jacobson. Under these restrictions, each such PMD, Hull Covered Person, SLK Covered Person and Jacobson 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 and the SLK Covered Persons, the board of directors waived the Partner Transfer Restrictions to permit the Charitable Donations described in Annex E, and to permit the sale of up to an aggregate of 11,783,719 Covered Shares by certain Covered Persons during GS Inc.'s fiscal quarter ending February 22, 2002 under the Rule 144 Program described in Item 4 and in Annex C hereto (of which 7,224,732 Covered Shares had been sold as of January 29, 2002). In the case of a third-party tender or exchange offer, the Transfer Restrictions may be waived or terminated: if the board of directors is recommending acceptance or is not making any recommendation with respect to acceptance of the tender or exchange offer, by a majority of the Voting Interests (as defined below); or if the board of directors is recommending rejection of the tender or exchange offer, by 66 2/3% of the outstanding Voting Interests. In the case of a tender or exchange offer by GS Inc., a majority of the outstanding Voting Interests may also elect to waive or terminate the Transfer Restrictions. VOTING Prior to any vote of the shareholders of GS Inc., the Shareholders' Agreement requires a separate, preliminary vote of the Voting Interests on each matter upon which a vote of the shareholders is proposed to be taken (the "Preliminary Vote"). Each Covered Share held by an Employee Covered Person and each other Covered Share subject to the Partner Transfer Restrictions will be voted in accordance with the majority of the votes cast by 46 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 Employee 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, an Employee 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. 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 and certain transfers to Estate Planning Covered Persons who are trusts, the IPO Pledge was replaced with a guarantee and pledge agreement that was entered into by the relevant Estate Planning Covered Person. In addition, each transferring Covered Person in these transfers was required to pledge the capital stock or trust interests, as applicable, of the relevant Estate Planning Covered Person to GS Inc. in order to further secure the transferring 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 combination with SLK and acquisition of Jacobson, each SLK Covered Person or Jacobson Covered Person who is an individual has pledged to GS Inc. Common Stock or other assets to secure the SLK Covered Person's or Jacobson 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 47 of each 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 donations of shares of Common Stock by certain Covered Persons to certain charitable organizations on December 13, 1999, December 22, 2000, December 26, 2001 and January 9, 2002, GS Inc. entered into a Registration Rights Instrument and three 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. 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. 48 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. 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.). C. 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.). D. 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)). E. 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)). F. 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)). G. 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)). H. 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)). I. 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)). J. 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)). K. 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)). L. 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)). M. 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)).
49
Exhibit Description ------- ----------- N. 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)). O. 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)). P. 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)). Q. 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)). R. 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)). S. 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)). T. 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)). U. 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)). V. Power of Attorney (incorporated by reference to Exhibit X to Amendment No. 14 to the Initial Schedule 13D, filed March 29, 2001 (File No. 005-56295)). W. 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)). X. 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)). Y. Supplemental Registration Rights Instrument, dated as of December 21, 2000 (incorporated by reference to Exhibit AA to Amendment No. 12 to the Initial Schedule 13D, filed January 23, 2001 (File No. 005-56295)). Z. Form of Member Agreement, dated as of January 26, 2001, between GS Inc. and each Jacobson Covered Person (incorporated by reference to Exhibit BB to Amendment No. 14 to the Initial Schedule 13D, filed March 28, 2001 (File No. 005-56295)).
50
Exhibit Description ------- ----------- AA. Form of Pledge Agreement, dated as of March 19, 2001, between GS Inc. and each Jacobson Covered Person (incorporated by reference to Exhibit CC to Amendment No. 14 to the Initial Schedule 13D, filed March 28, 2001 (File No. 005-56295)). BB. Form of Guarantee and Pledge Agreement for trusts (incorporated by reference to Exhibit DD to Amendment No. 19 to the Initial Schedule 13D, filed October 30, 2001 (File No. 005-56295)). CC. Form of Pledge Agreement for beneficiaries of trusts (incorporated by reference to Exhibit EE to Amendment No. 19 to the Initial Schedule 13D, filed October 30, 2001 (File No. 005-56295)). DD. Form of Guarantee and Pledge Agreement for non-U.S. trusts holding Common Stock through non-U.S. corporations (incorporated by reference to Exhibit FF to Amendment No. 20 to the Initial Schedule 13D, filed December 21, 2001 (File No. 005-56295)). EE. Form of Pledge Agreement for beneficiaries of non-U.S. trusts holding Common Stock through non-U.S. corporations (incorporated by reference to Exhibit GG to Amendment No. 20 to the Initial Schedule 13D, filed December 21, 2001 (File No. 005-56295)). FF. Supplemental Registration Rights Instrument, dated as of December 21, 2001 (incorporated by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No. 333-74006) filed by The Goldman Sachs Group, Inc.)
51 ANNEX A INFORMATION REQUIRED AS TO EXECUTIVE OFFICERS AND DIRECTORS OF CORPORATE COVERED PERSONS
CONVICTIONS OR BENEFICIAL VIOLATIONS OF OWNERSHIP OF THE FEDERAL OR STATE COMMON STOCK OF THE NAME CITIZENSHIP BUSINESS ADDRESS PRESENT EMPLOYMENT 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
52 ANNEX B ITEMS 2(D) AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS None. 53 ANNEX C ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS During GS Inc.'s fiscal quarter ended February 22, 2002, 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 29, 2002 (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 19,983 Paul M. Achleitner 97,864 Andrew M. Alper 15,000 Armen A. Avanessians 68,290 David Baum 20,286 Frank A. Bednarz 1,267 Ron E. Beller 42,915 Milton R. Berlinski 52,000 Lloyd C. Blankfein 80,000 David W. Blood 69,984 Peter L. Briger, Jr. 46,988 Richard J. Bronks 22,173 Edward A. Brout 17,841 Lawrence R. Buchalter 30,000 Andrew Cader 212,380 Michael J. Carr 26,139 Christopher J. Carrera 20,000 Mark Carroll 2,389 Mary Ann Casati 16,000 Mark A. Castellano 80,667 Todd J. Christie 44,645 Zachariah Cobrinik 34,365 Abby Joseph Cohen 10,000 Lawrence A. Cohen 42,417 Gary D. Cohn 65,000 Christopher A. Cole 10,000 William Connell 2,659 Carlos A. Cordeiro 49,876 E. Gerald Corrigan 30,000 James A. Coufos 35,349 Frank L. Coulson, Jr. 85,189 Randolph L. Cowen 20,000 Philip M. Darivoff 20,287 Timothy D. Dattels 41,643 Gavyn Davies 50,000 David A. Dechman 21,289 Robert V. Delaney, Jr. 40,000 Joseph Della Rosa 64,500 Neil V. DeSena 17,741 Alexander C. Dibelius 16,973 Stephen J. DiLascio 11,500 John O. Downing 62,472
54
COVERED PERSON NUMBER OF SHARES - -------------- ---------------- Connie K. Duckworth 55,545 C. Steven Duncker 50,747 Gordon E. Dyal 35,415 Glenn P. Earle 40,484 Paul S. Efron 21,923 Gary L. Eisenreich 5,784 Aubrey J. Ellis 2,000 J. Michael Evans 101,913 Pieter Maarten Feenstra 20,000 Lawton W. Fitt 50,000 David B. Ford 85,900 Edward C. Forst 20,250 Randy W. Frankel 95,366 Christopher G. French 10,624 Richard A. Friedman 50,000 Joseph D. Gatto 81,000 Peter C. Gerhard 66,066 Nomi P. Ghez 35,729 Joseph H. Gleberman 79,206 Charles G. Goetz 5,668 Jeffrey B. Goldenberg 10,000 Jacob D. Goldfield 70,901 Gary F. Goldring 90,000 Amy O. Goodfriend 27,273 Andrew M. Gordon 20,000 Geoffrey T. Grant 37,618 Thomas J. Gravina 20,828 Eric P. Grubman 20,000 Edward S. Gutman 11,549 Joseph D. Gutman 20,000 Robert S. Harrison 40,000 Thomas J. Healey 47,491 David B. Heller 50,000 David L. Henle 10,000 Mary C. Henry 40,813 M. Roch Hillenbrand 20,000 Jacquelyn M. Hoffman-Zehner 32,011 Richard R. Hogan 50,132 Fern Hurst 25,000 Robert J. Hurst 50,000 Francis J. Ingrassia 48,438 Timothy J. Ingrassia 24,045 Reuben Jeffery III 82,470 Stefan J. Jentzsch 23,781 Chansoo Joung 25,000 Ann F. Kaplan 75,034 Barry A. Kaplan 30,242 Scott B. Kapnick 81,036 Robert J. Katz 106,548 Kevin W. Kennedy 50,000 William J. Kenney 31,597 Douglas W. Kimmelman 32,890 Bradford C. Koenig 36,674
55
COVERED PERSON NUMBER OF SHARES - -------------- ---------------- Jonathan L. Kolatch 48,414 Peter S. Kraus 50,000 David G. Lambert 30,548 Thomas D. Lasersohn 15,000 Anthony D. Lauto 21,861 Stephen M. Levick 16,899 Matthew G. L'Heureux 23,911 Lawrence H. Linden 71,359 Robert Litterman 43,797 Robert H. Litzenberger 15,797 Jonathan M. Lopatin 37,429 Michael R. Lynch 99,000 Peter G.C. Mallinson 81,215 Arthur S. Margulis, Jr. 12,500 Ronald G. Marks 38,569 Nicholas I. Marovich 5,806 Eff W. Martin 65,544 John P. McNulty 117,908 Sanjeev K. Mehra 16,500 T. Willem Mesdag 69,073 Eric M. Mindich 85,796 John J. Minio 37,430 Steven T. Mnuchin 85,145 Masanori Mochida 104,977 Karsten N. Moller 42,091 Thomas K. Montag 40,000 Wayne L. Moore 25,000 R. Scott Morris 2,000 Robert B. Morris III 79,120 Sharmin Mossavar-Rahmani 85,000 Edward A. Mule 50,000 Timothy R. Mullen 147,973 Philip D. Murphy 20,000 Raymond T. Murphy 11,897 Thomas S. Murphy, Jr. 16,000 Avi M. Nash 13,600 Daniel M. Neidich 90,763 Kipp M. Nelson 45,288 Robin Neustein 118,226 Suzanne M. Nora Johnson 98,526 Michael E. Novogratz 19,838 Terence J. O'Neill 25,000 Timothy J. O'Neill 86,070 Donald C. Opatrny, Jr. 81,193 Robert J. O'Shea 68,358 Greg M. Ostroff 15,516 Terence M. O'Toole 75,000 Robert J. Pace 16,320 Bryant F. Pantano 5,615 Scott M. Pinkus 82,292 Timothy C. Plaut 48,358 John J. Powers 50,000 Michael A. Price 24,227
56
COVERED PERSON NUMBER OF SHARES - -------------- ---------------- Scott Prince 18,000 Stephen D. Quinn 50,000 Michael G. Rantz 42,273 Arthur J. Reimers III 74,199 James P. Riley, Jr. 77,257 Simon M. Robertson 60,000 J. David Rogers 83,916 Emmanuel Roman 23,316 Ralph F. Rosenberg 16,835 Stuart M. Rothenberg 35,000 Michael S. Rubinoff 21,599 Richard M. Ruzika 21,284 Jeri Lynn Ryan 12,456 John C. Ryan 24,000 Michael D. Ryan 15,000 Richard C. Salvadore 44,916 Richard A. Sapp 108,399 Joseph Sassoon 69,511 Tsutomu Sato 27,728 Muneer A. Satter 38,542 Jonathan S. Savitz 12,718 Peter Savitz 35,209 Howard B. Schiller 20,000 Antoine Schwartz 25,366 Eric S. Schwartz 75,209 Mark Schwartz 100,000 Patrick P. Scire 61,234 Charles B. Seelig, Jr. 78,000 Steven M. Shafran 31,872 Richard S. Sharp 109,358 Mary Beth Shea 5,703 James M. Sheridan 39,781 Richard G. Sherlund 49,683 Harvey Silverman 41,747 Howard A. Silverstein 20,000 Dinakar Singh 21,760 Christian J. Siva-Jothy 22,000 Cody J Smith 51,000 Jonathan S. Sobel 21,616 Marc A. Spilker 39,234 Daniel W. Stanton 50,000 Steven R. Starker 65,960 Esta E. Stecher 50,265 Fredric E. Steck 37,000 Cathrine S. Steck 12,000 Robert K. Steel 125,000 Gene T. Sykes 75,000 Mark R. Tercek 35,768 Donald F. Textor 45,426 Gary S. Tolchin 55,453 Brian J. Toolan 24,609 John R. Tormondsen 35,000 Leslie C. Tortora 82,605
57
COVERED PERSON NUMBER OF SHARES - -------------- ---------------- John L. Townsend III 74,800 Lawrence F. Trainor 11,911 Byron D. Trott 35,000 Robert B. Tudor III 20,000 Thomas E. Tuft 100,000 Malcolm B. Turnbull* 23,254 John E. Urban 21,624 Lee G. Vance 51,341 George F. Varsam 25,068 David A. Viniar 75,000 Barry S. Volpert 82,072 Thomas B. Walker III 122,975 George H. Walker IV 20,018 Peter A. Weinberg 169,290 George W. Wellde, Jr. 60,000 Anthony G. Williams 75,923 Thomas L. Williams 15,218 Kendrick R. Wilson III 20,000 Jon Winkelried 50,000 Steven J. Wisch 39,274 Richard E. Witten 90,108 Tracy R. Wolstencroft 68,856 Yasuyo Yamazaki 20,000 Danny O. Yee 46,691 Gregory H. Zehner 35,309 Alphonse Zenna 23,229 Joseph R. Zimmel 98,402 Barry L. Zubrow 85,000 Mark A. Zurack 39,288 TRUSTS - ------ 120 Broadway Partners 30,000 Anahue Trust 14,562 The Corzine Blind Trust 252,394 The Edward Scott Mead 2001 Trust 25,000 The Gary W. Williams 2001 Trust 65,000 The Girish V. Reddy 2001 Trust 20,553 The Guapulo Trust 7 Mark Dehnert Living Trust 5,000 The Michael J. Zamkow 2001 Trust 53,623 The Patrick J. Ward 2001 Trust 89,326 Trust u/w James Kellogg III 35,000 The Unicorn Trust 94,677 PARTNERSHIPS - ------------ Bermuda Partners, L.P. 17,000 Mijen Family Partnership 14,000 The Rizner Family Limited Partnership 10,334 Silverman Partners, L.P. 37,067 CORPORATIONS - ------------
- ---------------------------- * Includes shares held by a corporation wholly owned by the Covered Person. 58
COVERED PERSON NUMBER OF SHARES - -------------- ---------------- Guapulo Holdings Limited 50,107 HJS2 Limited 10,000 Majix Limited 45,534 Melalula Limited 83,234 Robinelli Limited 20,000 RJG Holding Company 31,747 Vyrona Holdings Limited 91,503
59 ANNEX D ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE EXERCISABLE WITHIN 60 DAYS An aggregate of 85,956 shares of Common Stock are deliverable to Covered Persons upon the exercise of stock options, all of which have vested and are exercisable. Upon delivery, these shares of Common Stock will be Covered Shares. On January 31, 2002, 275,472 shares of Common Stock were delivered to Covered Persons pursuant to the terms of an equal number of restricted stock units. Upon delivery, these shares of Common Stock will be Covered Shares. 60 ANNEX E ITEM 5(C). DESCRIPTION OF ALL TRANSACTIONS IN THE COMMON STOCK EFFECTED BY THE COVERED PERSONS IN THE PAST 60 DAYS AND NOT PREVIOUSLY REPORTED ON SCHEDULE 13D The following sales of Covered Shares 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 -------------- ---------- ---------------- --------------- Steven Kerr January 9, 2002 22,742 $93.09 Keith A. Malas January 9, 2002 2,000 93.09 Howard B. Eisen January 9, 2002 1,621 93.09 Paul S. Schapira January 9, 2002 294 93.09 Ellen R. Porges January 9, 2002 250 93.09 Tetsuya Kawano January 10, 2002 1,328 93.09 Eric S. Lane January 10, 2002 138 93.09 Peter Labbat January 11, 2002 1,633 91.46 Peter Labbat January 11, 2002 814 91.46 Marcus R. Colwell January 11, 2002 310 91.46 Marcus R. Colwell January 11, 2002 450 91.46 Gregory D. Lee January 11, 2002 1,111 91.46 John V. Mallory January 11, 2002 342 91.46 John V. Mallory January 11, 2002 1,020 91.46 Peter Lawler January 11, 2002 581 91.46 Peter Lawler January 11, 2002 419 91.46 Warwick M. Negus January 11, 2002 1,051 91.46 Peter Lawler January 11, 2002 775 89.55 Charles G. Goetz January 14, 2002 9,969 89.93 Elizabeth V. Camp January 14, 2002 791 89.93 James P. Morris January 14, 2002 215 89.93 Patrick Sullivan January 16, 2002 1,547 88.48 Rajiv A. Ghatalia January 16, 2002 2,537 88.48 Rajiv A. Ghatalia January 16, 2002 1,269 88.48 John S. Daly January 17, 2002 400 89.63 Varkki P. Chacko January 17, 2002 869 89.63 Varkki P. Chacko January 17, 2002 88 89.63 Andrew R. Jessop January 17, 2002 590 89.63 Melissa R. Brown January 17, 2002 1,200 89.63 Hughes B. Lepic January 17, 2002 1,078 89.63 Hughes B. Lepic January 17, 2002 2,157 89.63 Daniel M. FitzPatrick January 17, 2002 625 89.63 Nicholas L. Marovich January 17, 2002 5,648 89.63 Donald W. Himpele January 17, 2002 775 89.63 Donald W. Himpele January 17, 2002 1,970 89.63 Lance P. Meaney January 17, 2002 1,916 89.63 David K. Kaugher January 17, 2002 100 89.63 David K. Kaugher January 17, 2002 125 89.63 Mark Carroll January 17, 2002 1,985 89.63
61
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------- ---------- ---------------- --------------- Varkki P. Chacko January 17, 2002 1,142 89.63 Varkki P. Chacko January 17, 2002 319 89.63 Carl-Georg Bauer-Schlichtegroll January 17, 2002 802 89.63 Carl-Georg Bauer-Schlichtegroll January 17, 2002 133 89.63 Hughes B. Lepic January 17, 2002 224 89.63 Hughes B. Lepic January 17, 2002 1,357 89.63 Matthias K. Frisch January 18, 2002 100 89.21 Todd A. Williams January 18, 2002 1,239 89.21 Bonnie S. Litt January 18, 2002 204 89.21 Brett R. Overacker January 18, 2002 1,091 89.21 Stuart N. Bernstein January 18, 2002 554 89.21 David B. Philip January 18, 2002 400 89.21 Marybeth Shea January 18, 2002 5,000 89.21 P. Sheridan Schechner January 18, 2002 560 89.21 Catherine M. Claydon January 18, 2002 848 89.21 Catherine M. Claydon January 18, 2002 283 89.21 Gaetano J. Muzio January 21, 2002 6,223 89.21
RULE 144 PROGRAM Commencing on January 2, 2002, the Covered Persons listed in Table I below sold an aggregate of 7,224,732 Covered Shares under the Rule 144 Program referred to in Item 4 above through January 29, 2002. Sales were made on or through the New York Stock Exchange for cash by each listed Covered Person on the days listed in Table II below (the "Trading Days") at the sales prices set forth in Table II. By reason of the operation of the Rule 144 Program, all listed Covered Persons were deemed to have received the same price for the shares sold on a particular Trading Day. The following table sets forth the name of each Covered Person who participated in the Rule 144 Program, the number of shares sold by such Covered Person on each Trading Day* and the number of shares sold by such Covered Person in the aggregate for all Trading Days: Table I
SHARES SOLD SHARES SOLD ON SHARES SOLD TOTAL SHARES SOLD DAILY, 1/7/02 DAILY, ON ALL TRADING COVERED PERSON 1/2/02-1/4/02 1/9/02-1/29/02 DAYS -------------- ------------- -------------- -------------- ---- Bradley I. Abelow 740 661 777 13,759 Paul M. Achleitner** 3,625 3,235 3,807 29,338 Andrew M. Alper** 556 496 583 4,496 Armen A. Avanessians 2,529 2,258 2,657 47,043 David Baum 751 671 789 13,970 Frank A. Bednarz** 47 42 49 379 Ron E. Beller 1,589 1,419 1,670 29,566 Milton R. Berlinski** 1,926 1,719 2,023 15,589 Lloyd C. Blankfein** 2,963 2,645 3,112 23,982
* 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. ** In this Table I, Covered Persons with two asterisks appearing after their names did not sell any shares under the Rule 144 Program for this fiscal quarter after January 14, 2002. 62
SHARES SOLD SHARES SOLD ON SHARES SOLD TOTAL SHARES SOLD DAILY, 1/7/02 DAILY, ON ALL TRADING COVERED PERSON 1/2/02-1/4/02 1/9/02-1/29/02 DAYS -------------- ------------- -------------- -------------- ---- David W. Blood** 2,592 2,314 2,722 20,978 Peter L. Briger, Jr. 1,740 1,553 1,828 32,365 Richard J. Bronks 821 733 863 15,278 Edward A. Brout 661 590 694 12,289 Lawrence R. Buchalter 1,111 992 1,167 20,663 Andrew Cader** 7,866 7,021 8,262 63,667 Michael J. Carr 968 864 1,017 18,006 Christopher J. Carrera 741 661 778 13,776 Mark Carroll 88 79 93 1,645 Mary Ann Casati 593 529 622 11,016 Mark A. Castellano** 2,988 2,667 3,138 24,183 Todd J. Christie 1,654 1,476 1,737 30,756 Zachariah Cobrinik 1,273 1,136 1,337 23,673 Abby Joseph Cohen** 370 331 389 2,997 Lawrence A. Cohen 1,571 1,402 1,650 29,215 Gary D. Cohn 2,407 2,149 2,529 44,776 Christopher A. Cole 370 331 389 6,887 William Connell** 98 88 103 794 Carlos A. Cordeiro 1,847 1,649 1,940 34,350 E. Gerald Corrigan 1,111 992 1,167 20,663 James A. Coufos 1,309 1,169 1,375 24,346 Frank L. Coulson, Jr. 3,155 2,816 3,314 58,677 Randolph L. Cowen** 741 661 778 5,996 Philip M. Darivoff** 751 671 789 6,080 Timothy D. Dattels 1,542 1,377 1,620 28,683 Gavyn Davies 1,852 1,653 1,945 34,439 David A. Dechman 788 704 828 14,660 Robert V. Delaney, Jr.** 1,481 1,322 1,556 11,989 Joseph Della Rosa 2,389 2,132 2,509 44,425 Neil V. DeSena 657 587 690 12,218 Alexander C. Dibelius 629 561 660 11,688 Stephen J. DiLascio** 426 380 447 3,446 John O. Downing 2,314 2,065 2,430 43,027 Connie K. Duckworth 2,057 1,836 2,161 38,261 C. Steven Duncker 1,880 1,678 1,974 34,954 Gordon E. Dyal 1,312 1,171 1,378 24,399 Glenn P. Earle 1,499 1,338 1,575 27,885 Paul S. Efron 812 725 853 15,103 Gary L. Eisenreich 214 191 225 3,983 Aubrey J. Ellis** 74 66 78 600 J. Michael Evans** 3,775 3,369 3,964 30,550 Pieter Maarten Feenstra** 741 661 778 5,996 Lawton W. Fitt 1,852 1,653 1,945 34,439 David B. Ford 3,181 2,840 3,342 59,171 Edward C. Forst 750 669 788 13,951 Randy W. Frankel** 3,532 3,153 3,710 28,589 Christopher G. French** 393 351 413 3,182 Richard A. Friedman 1,852 1,653 1,945 34,439 Joseph D. Gatto** 3,000 2,678 3,151 24,282 Peter C. Gerhard 2,447 2,184 2,570 45,505
63
SHARES SOLD SHARES SOLD ON SHARES SOLD TOTAL SHARES SOLD DAILY, 1/7/02 DAILY, ON ALL TRADING COVERED PERSON 1/2/02-1/4/02 1/9/02-1/29/02 DAYS -------------- ------------- -------------- -------------- ---- Nomi P. Ghez** 1,323 1,181 1,390 10,710 Joseph H. Gleberman 2,934 2,619 3,081 54,555 Charles G. Goetz 210 187 221 3,907 Jeffrey B. Goldenberg** 370 331 389 2,997 Jacob D. Goldfield 2,626 2,344 2,758 48,834 Gary F. Goldring 3,333 2,975 3,501 61,988 Amy O. Goodfriend 1,010 902 1,061 18,786 Andrew M. Gordon** 741 661 778 5,996 Geoffrey T. Grant 1,393 1,244 1,463 25,905 Thomas J. Gravina 771 689 810 14,342 Eric P. Grubman 741 661 778 13,776 Edward S. Gutman 428 382 449 7,952 Joseph D. Gutman 741 661 778 13,776 Robert S. Harrison 1,481 1,322 1,556 27,549 Thomas J. Healey 1,759 1,570 1,847 32,705 David B. Heller 1,852 1,653 1,945 34,439 David L. Henle** 370 331 389 2,997 Mary C. Henry 1,512 1,349 1,588 28,117 M. Roch Hillenbrand 741 661 778 13,776 Jacquelyn M. Hoffman-Zehner 1,186 1,058 1,245 22,046 Richard R. Hogan 1,857 1,657 1,950 34,528 Fern Hurst 926 827 972 17,213 Robert J. Hurst 1,852 1,653 1,945 34,439 Francis J. Ingrassia 1,794 1,601 1,884 33,359 Timothy J. Ingrassia 891 795 935 16,558 Reuben Jeffery III 3,054 2,726 3,208 56,800 Stefan J. Jentzsch** 881 786 925 7,129 Chansoo Joung** 926 827 972 7,493 Ann F. Kaplan 2,779 2,481 2,919 51,684 Barry A. Kaplan 1,120 1,000 1,176 20,824 Scott B. Kapnick 3,001 2,679 3,152 55,810 Robert J. Katz 3,946 3,522 4,145 73,390 Kevin W. Kennedy** 1,852 1,653 1,945 14,989 William J. Kenney 1,170 1,045 1,229 21,761 Douglas W. Kimmelman 1,218 1,087 1,280 22,661 Bradford C. Koenig 1,358 1,212 1,427 25,264 Jonathan L. Kolatch 1,793 1,601 1,883 33,342 Peter S. Kraus** 1,852 1,653 1,945 14,989 David G. Lambert 1,131 1,010 1,188 21,035 Thomas D. Lasersohn 556 496 583 10,326 Anthony D. Lauto 810 723 850 15,053 Stephen M. Levick 626 559 657 11,635 Matthew G. L'Heureux 886 791 930 16,469 Lawrence H. Linden 2,643 2,359 2,776 49,152 Robert Litterman 1,622 1,448 1,704 30,170 Robert H. Litzenberger 585 522 615 10,887 Jonathan M. Lopatin 1,386 1,237 1,456 25,779 Michael R. Lynch 3,667 3,272 3,851 68,187 Peter G.C. Mallinson 3,008 2,685 3,159 55,935 Arthur S. Margulis, Jr. 463 413 486 8,606
64
SHARES SOLD SHARES SOLD ON SHARES SOLD TOTAL SHARES SOLD DAILY, 1/7/02 DAILY, ON ALL TRADING COVERED PERSON 1/2/02-1/4/02 1/9/02-1/29/02 DAYS -------------- ------------- -------------- -------------- ---- Ronald G. Marks 1,428 1,275 1,500 26,559 Nicholas I. Marovich 215 192 226 4,001 Eff W. Martin 2,428 2,167 2,550 45,151 John P. McNulty 4,367 3,898 4,587 81,217 Sanjeev K. Mehra** 611 545 642 4,946 T. Willem Mesdag 2,558 2,284 2,687 47,576 Eric M. Mindich 3,178 2,836 3,338 59,102 John J. Minio 1,386 1,237 1,456 25,779 Steven T. Mnuchin 3,154 2,815 3,312 58,645 Masanori Mochida 3,888 3,470 4,084 72,310 Karsten N. Moller 1,559 1,392 1,637 28,987 Thomas K. Montag 1,481 1,322 1,556 27,549 Wayne L. Moore** 926 827 972 7,493 R. Scott Morris 74 66 78 1,380 Robert B. Morris III 2,930 2,616 3,078 54,498 Sharmin Mossavar-Rahmani 3,148 2,810 3,307 58,552 Edward A. Mule 1,852 1,653 1,945 34,439 Timothy R. Mullen 5,480 4,892 5,756 101,916 Philip D. Murphy 741 661 778 13,776 Raymond T. Murphy 441 393 463 8,198 Thomas S. Murphy, Jr. 593 529 622 11,016 Avi M. Nash 504 450 529 9,368 Daniel M. Neidich 3,362 3,001 3,531 62,521 Kipp M. Nelson 1,677 1,497 1,762 31,196 Robin Neustein** 4,379 3,908 4,599 35,441 Suzanne M. Nora Johnson 3,649 3,257 3,833 67,866 Michael E. Novogratz 735 656 772 13,669 Terence J. O'Neill 926 827 972 17,213 Timothy J. O'Neill 3,188 2,845 3,348 59,281 Donald C. Opatrny, Jr. 3,007 2,684 3,159 55,931 Robert J. O'Shea 2,532 2,260 2,659 47,082 Greg M. Ostroff 575 513 604 10,694 Terence M. O'Toole 2,778 2,480 2,918 51,666 Robert J. Pace 604 540 635 11,242 Bryant F. Pantano 208 186 218 3,862 Scott M. Pinkus 3,048 2,721 3,201 56,679 Timothy C. Plaut 1,791 1,599 1,881 33,306 John J. Powers 1,852 1,653 1,945 34,439 Michael A. Price** 897 801 942 7,260 Scott Prince 667 595 700 12,396 Stephen D. Quinn 1,852 1,653 1,945 34,439 Michael G. Rantz 1,566 1,398 1,644 29,112 Arthur J. Reimers III 2,748 2,453 2,886 51,101 James P. Riley, Jr. 2,861 2,554 3,005 53,207 Simon M. Robertson 2,222 1,984 2,334 41,326 J. David Rogers** 3,108 2,774 3,264 25,154 Emmanuel Roman 864 771 907 16,061 Ralph F. Rosenberg 624 557 655 11,599 Stuart M. Rothenberg 1,296 1,157 1,362 24,113 Michael S. Rubinoff 800 714 840 14,874
65
SHARES SOLD SHARES SOLD ON SHARES SOLD TOTAL SHARES SOLD DAILY, 1/7/02 DAILY, ON ALL TRADING COVERED PERSON 1/2/02-1/4/02 1/9/02-1/29/02 DAYS -------------- ------------- -------------- -------------- ---- Richard M. Ruzika 788 704 828 14,660 Jeri Lynn Ryan 461 412 485 8,585 John C. Ryan 889 793 934 16,536 Michael D. Ryan 556 496 583 10,326 Richard C. Salvadore 1,664 1,485 1,747 30,935 Richard A. Sapp 4,015 3,583 4,217 74,666 Joseph Sassoon 2,574 2,298 2,704 47,876 Tsutomu Sato 1,027 917 1,079 19,104 Muneer A. Satter 1,427 1,274 1,499 26,541 Jonathan S. Savitz 471 420 495 8,763 Peter Savitz 1,304 1,164 1,370 24,256 Howard B. Schiller** 741 661 778 5,996 Antoine Schwartz** 939 839 987 7,604 Eric S. Schwartz 2,786 2,486 2,926 51,808 Mark Schwartz** 3,704 3,306 3,890 29,978 Patrick P. Scire 2,268 2,024 2,382 42,176 Charles B. Seelig, Jr. 2,889 2,579 3,034 53,722 Steven M. Shafran 1,180 1,054 1,240 21,954 Richard S. Sharp** 4,050 3,615 4,254 32,781 Mary Beth Shea 211 189 222 3,930 James M. Sheridan 1,473 1,315 1,548 27,406 Richard G. Sherlund 1,840 1,643 1,933 34,225 Harvey Silverman** 1,546 1,380 1,624 12,514 Howard A. Silverstein** 741 661 778 5,996 Dinakar Singh 806 719 846 14,981 Christian J. Siva-Jothy 815 727 856 15,156 Cody J Smith 1,889 1,686 1,984 35,129 Jonathan S. Sobel 801 715 841 14,892 Marc A. Spilker 1,453 1,297 1,526 27,020 Daniel W. Stanton 1,852 1,653 1,945 34,439 Steven R. Starker 2,443 2,181 2,566 45,434 Esta E. Stecher 1,862 1,662 1,955 34,618 Fredric E. Steck 1,370 1,223 1,439 25,479 Cathrine S. Steck 444 397 467 8,267 Robert K. Steel 4,630 4,132 4,863 86,104 Gene T. Sykes 2,778 2,480 2,918 51,666 Mark R. Tercek 1,325 1,182 1,391 24,631 Donald F. Textor 1,682 1,502 1,767 31,286 Gary S. Tolchin 2,054 1,833 2,157 38,193 Brian J. Toolan 911 814 957 16,945 John R. Tormondsen 1,296 1,157 1,362 24,113 Leslie C. Tortora 3,059 2,731 3,214 56,904 John L. Townsend III 2,770 2,473 2,910 51,523 Lawrence F. Trainor 441 394 463 8,199 Byron D. Trott 1,296 1,157 1,362 24,113 Robert B. Tudor III** 741 661 778 5,996 Thomas E. Tuft 3,704 3,306 3,890 68,878 Malcolm B. Turnbull* 861 769 905 16,022
* Consists of shares held by a corporation wholly owned by the Covered Person. 66
SHARES SOLD SHARES SOLD ON SHARES SOLD TOTAL SHARES SOLD DAILY, 1/7/02 DAILY, ON ALL TRADING COVERED PERSON 1/2/02-1/4/02 1/9/02-1/29/02 DAYS -------------- ------------- -------------- -------------- ---- John E. Urban 801 715 841 14,892 Lee G. Vance 1,902 1,697 1,997 35,361 George F. Varsam 928 829 975 17,263 David A. Viniar** 2,778 2,480 2,918 22,486 Barry S. Volpert** 3,040 2,713 3,193 24,605 Thomas B. Walker III** 4,555 4,065 4,784 36,866 George H. Walker IV 741 662 779 13,791 Peter A. Weinberg 6,270 5,596 6,586 116,610 George W. Wellde, Jr. 2,222 1,984 2,334 41,326 Anthony G. Williams 2,812 2,510 2,954 52,292 Thomas L. Williams 564 503 592 10,483 Kendrick R. Wilson III** 741 661 778 5,996 Jon Winkelried 1,852 1,653 1,945 34,439 Steven J. Wisch 1,455 1,298 1,528 27,055 Richard E. Witten 3,337 2,979 3,505 62,060 Tracy R. Wolstencroft 2,550 2,276 2,679 47,432 Yasuyo Yamazaki 741 661 778 13,776 Danny O. Yee 1,729 1,544 1,816 32,155 Gregory H. Zehner 1,308 1,167 1,374 24,327 Alphonse Zenna 860 768 904 16,004 Joseph R. Zimmel 3,645 3,253 3,828 67,780 Barry L. Zubrow 3,148 2,810 3,307 58,552 Mark A. Zurack 1,455 1,299 1,528 27,056 TRUSTS - ------ 120 Broadway Partners 1,111 992 1,167 20,663 Anahue Trust** 539 481 567 4,366 The Corzine Blind Trust 9,348 8,344 9,818 173,840 The Edward Scott Mead 2001 Trust 926 827 972 17,213 The Gary W. Williams 2001 Trust 2,407 2,149 2,529 44,776 The Girish V. Reddy 2001 Trust 761 679 800 14,162 The Guapulo Trust*** 0 0 0 7 Mark Dehnert Living Trust 185 165 195 3,450 The Michael J. Zamkow 2001 Trust 1,986 1,773 2,086 36,935 The Patrick J. Ward 2001 Trust 3,308 2,953 3,475 61,527 Trust u/w James Kellogg III 1,296 1,157 1,362 24,113 The Unicorn Trust 3,507 3,130 3,683 65,213 PARTNERSHIPS - ------------ Bermuda Partners, L.P. 630 562 661 11,706 Mijen Family Partnership** 519 463 545 4,200 The Rizner Family Limited Partnership 383 342 402 7,119 Silverman Partners, L.P.** 1,373 1,225 1,442 11,112 CORPORATIONS - ------------ Guapulo Holdings Limited 1,856 1,657 1,950 34,514 HJS2 Limited** 370 331 389 2,997 Majix Limited 1,686 1,505 1,771 31,357
*** This Covered Person sold 7 shares on January 2, 2002 and no other shares through January 29, 2002. 67
SHARES SOLD SHARES SOLD ON SHARES SOLD TOTAL SHARES SOLD DAILY, 1/7/02 DAILY, ON ALL TRADING COVERED PERSON 1/2/02-1/4/02 1/9/02-1/29/02 DAYS -------------- ------------- -------------- -------------- ---- Melalula Limited 3,083 2,752 3,238 57,333 Robinelli Limited 741 661 778 13,776 RJG Holding Company 1,176 1,050 1,235 9,518 Vyrona Holdings Limited 3,389 3,025 3,560 63,032
Table II
TRADING DAY PRICE PER SHARE ----------- --------------- January 2, 2002 $90.4846 January 3, 2002 92.0633 January 4, 2002 95.8486 January 7, 2002 95.8745 January 9, 2002 94.1273 January 10, 2002 92.9982 January 11, 2002 91.5722 January 14, 2002 89.8592 January 15, 2002 89.8625 January 16, 2002 88.5988 January 17, 2002 89.6309 January 18, 2002 89.0271 January 22, 2002 87.9141 January 23, 2002 86.9071 January 24, 2002 87.4544 January 25, 2002 87.1713 January 28, 2002 87.4882 January 29, 2002 86.0885
68 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: February 5, 2002 By: s/ Esta E. Stecher -------------------------------------- Name: Esta E. Stecher Title: Attorney-in-Fact 69 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. 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.). C. 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.). D. 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)). E. 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)). F. 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)). G. 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)). H. 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)). I. 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)). J. 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)). K. 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)). L. 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)). M. 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)).
70
Exhibit Description ------- ----------- N. 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)). O. 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)). P. 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)). Q. 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)). R. 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)). S. 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)). T. 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)). U. 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)). V. Power of Attorney (incorporated by reference to Exhibit X to Amendment No. 14 to the Initial Schedule 13D, filed March 29, 2001 (File No. 005-56295)). W. 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)). X. 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)). Y. Supplemental Registration Rights Instrument, dated as of December 21, 2000 (incorporated by reference to Exhibit AA to Amendment No. 12 to the Initial Schedule 13D, filed January 23, 2001 (File No. 005-56295)). Z. Form of Member Agreement, dated as of January 26, 2001, between GS Inc. and each Jacobson Covered Person (incorporated by reference to Exhibit BB to Amendment No. 14 to the Initial Schedule 13D, filed March 28, 2001 (File No. 005-56295)).
71
Exhibit Description ------- ----------- AA. Form of Pledge Agreement, dated as of March 19, 2001, between GS Inc. and each Jacobson Covered Person (incorporated by reference to Exhibit CC to Amendment No. 14 to the Initial Schedule 13D, filed March 28, 2001 (File No. 005-56295)). BB. Form of Guarantee and Pledge Agreement for trusts (incorporated by reference to Exhibit DD to Amendment No. 19 to the Initial Schedule 13D, filed October 30, 2001 (File No. 005-56295)). CC. Form of Pledge Agreement for beneficiaries of trusts (incorporated by reference to Exhibit EE to Amendment No. 19 to the Initial Schedule 13D, filed October 30, 2001 (File No. 005-56295)). DD. Form of Guarantee and Pledge Agreement for non-U.S. trusts holding Common Stock through non-U.S. corporations (incorporated by reference to Exhibit FF to Amendment No. 20 to the Initial Schedule 13D, filed December 21, 2001 (File No. 005-562295)). EE. Form of Pledge Agreement for beneficiaries of non-U.S. trusts holding Common Stock through non-U.S. corporations (incorporated by reference to Exhibit GG to Amendment No. 20 to the Initial Schedule 13D, filed December 21, 2001 (File No. 005-562295)).. FF. Supplemental Registration Rights Instrument, dated as of December 21, 2001 (incorporated by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No. 333-74006) filed by The Goldman Sachs Group, Inc.)
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