-----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, QuthNPrUqhDgVNd+VwIQF72BZx2Z5x9jjp3wk95m0thl9pKeY3LWx/91ofiKuGhV uby+KVijGxCgMnb8l5IOwA== 0000950123-02-007190.txt : 20020724 0000950123-02-007190.hdr.sgml : 20020724 20020723192725 ACCESSION NUMBER: 0000950123-02-007190 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020724 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: 134019460 STATE OF INCORPORATION: DE FISCAL YEAR END: 1129 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-56295 FILM NUMBER: 02709270 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: 134019460 STATE OF INCORPORATION: DE FISCAL YEAR END: 1129 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 y6243829sc13dza.txt AMENDMENT #29 TO SCHEDULE 13D: GOLDMAN/GOLDMAN SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 File No. 005-56295 ----------------------------------------------------- SCHEDULE 13D/A (Rule 13d-101) Amendment No. 29 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) July 18, 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 each REPORTING person listed on Appendix A.)(3) PERSON 212,292,135 Covered Shares held by Covered Persons WITH 135,410 Uncovered Shares held by Covered Persons(4) 1,866,112 other Uncovered Shares held by Covered Persons(5) ----------------------------------------------------------- 9. SOLE DISPOSITIVE POWER (See Item 6) As to Covered Shares, less than 1% As to Uncovered Shares, as stated in Appendix A ----------------------------------------------------------- 10. SHARED DISPOSITIVE POWER (See Item 6): As to Covered Shares, 0 As to Uncovered Shares, as stated in Appendix A - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 214,293,657 PERSON(3) - -------------------------------------------------------------------------------- 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)(3) 43.85% - -------------------------------------------------------------------------------- 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) All Share amounts and percentages are as of July 19, 2002. (4) 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. (5) These are Uncovered Shares held by 89 private charitable foundations established by 89 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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED 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 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 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 William W. Archer 0 0 0 0 Philip S. Armstrong UK 0 0 0 0 John A. Ashdown UK 0 0 0 0 Akio Asuke Japan 0 0 0 0 David M. Atkinson UK 0 0 0 0 Neil Z. Auerbach 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 Christopher A. Bates 0 0 0 0 David Baum 0 0 0 0 Gerhard Baumgard Germany 0 0 0 0 Frank A. Bednarz 0 0 0 0 Jonathan A. Beinner 0 0 0 0 Janet L. Bell 0 0 0 0 Ron E. Beller 0 0 0 0 Jordan M. Bender 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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- 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 Holger Bross Germany 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 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
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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- 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 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 496 0 496 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 Michael D. Cochrane Canada 0 0 0 0 Abby Joseph Cohen 0 0 0 0 Lawrence A. Cohen 200 0 200 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
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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- 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 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. 14,207 0 14,207 0 John W. Curtis 0 0 0 0 Matthew H. Cyzer UK 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 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
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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- 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 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 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 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 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
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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- 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 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 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 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(6) 0 134(6) Edward C. Forst 0 0 0 0 George B. Foussianes 0 0 0 0 Stephen H. Frank 0 0 0 0 Oliver L. 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
- ---------- (6) 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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- Richard A. Genna 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(7) 0 300(7) Joseph H. Gleberman 0 0 0 0 Nancy S. Gloor 0 0 0 0 Richard J. Gnodde Ireland/South 0 0 0 0 Africa Jeffrey B. Goldenberg 0 2,860(8) 0 2,860(8) 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 Robert D. Gottlieb 0 0 0 0 Gregory M. Gould 0 0 0 0 Frank J. Governali 0 0 0 0 Lorenzo Grabau Italy 0 0 0 0 Geoffrey T. Grant 0 0 0 0 William M. Grathwohl 0 0 0 0 Pedro Gonzalez Grau Spain 0 0 0 0 Thomas J. Gravina 200 0 200 0 Michael J. Graziano 0 0 0 0 Carmen A. Greco 0 0 0 0 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
- ---------- (7) Shared with family members. (8) 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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- 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 0 300(9) 0 300(9) Thomas J. Healey 3,000 0 3,000 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 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
- ---------- (9) Shared with family members. 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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- 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 Jay D. Horine 0 0 0 0 Robert D. Hormats 0 0 0 0 Robert G. Hottensen, Jr. 618 0 618 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 Phillip S. Hylander UK 0 0 0 0 John S. Iglehart 0 0 0 0 Robert F. Incorvaia 0 0 0 0 Toni Infante 0 0 0 0 Francis J. Ingrassia 0 0 0 0 Timothy J. Ingrassia 0 0 0 0 Margaret H. Isdale 0 0 0 0 Hideki Ishibashi Japan 0 0 0 0 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 Richard I. Jaffee 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 Emerson P. Jones 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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- 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 Peter R. Kellogg 0 0 0 0 John L. Kelly 0 0 0 0 Carsten Kengeter Germany 0 0 0 0 Kevin W. Kennedy 0 0 0 0 Gioia M. Kennett 0 0 0 0 William J. Kenney 0 0 0 0 Thomas J. Kenny 0 0 0 0 Steven Kerr 0 0 0 0 John G. Ketterer III 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 443 0 443 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 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
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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- 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 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 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
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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- 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 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 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 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
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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- 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 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 48 0 48 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 Thomas F. McGowan 0 0 0 0 Joseph P. McGrath, Jr. 0 0 0 0 Stephen J. McGuinness 0 0 0 0 John C. McIntire 0 0 0 0 John W. McMahon 0 0 0 0 Geraldine F. McManus 0 0 0 0 Gerald C. McNamara, Jr. 4,192 0 4,192 0 James A. McNamara 0 215(10) 0 215(10) 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 160 0 160 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 Andrew J. Melnick 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
- ---------- (10) Shared with family members. 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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- Therese L. Miller 0 0 0 0 James E. Milligan 0 0 0 0 Eric M. Mindich 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 Timothy H. Moe 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 Edward A. Mule 0 0 0 0 Donald 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 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
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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- 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 15,000(11) 0 15,000(11) 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 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 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(12) 100 100(12) 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
- ---------- (11) Shared with family members. (12) Shared with family members. 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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- 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 Michael A. Price 0 0 0 0 Scott Prince 0 0 0 0 Anthony J. Principato 0 0 0 0 Steven D. Pruett 0 0 0 0 Kevin A. Quinn 0 0 0 0 Stephen D. Quinn 0 0 0 0 B. Andrew Rabin 0 0 0 0 John J. Rafter Ireland 0 0 0 0 Jonathan Raleigh 0 0 0 0 Dioscoro-Roy I. Ramos Phillippines 0 0 0 0 Gregory G. Randolph 0 0 0 0 Charlotte P. Ransom UK 0 0 0 0 Michael G. Rantz 0 0 0 0 Philip A. Raper UK 0 0 0 0 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
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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- J. David Rogers 0 200(13) 0 200(13) 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 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 211 0 211 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 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
- ---------- (13) Shared with family members. 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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- Harvey M. Schwartz 0 0 0 0 Mark Schwartz 0 0 0 0 Thomas M. Schwartz 0 1,900(14) 0 1,900(14) 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 Anik Sen UK 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 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 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 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(15) 0 1,000(15) 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
- ---------- (14) Shared with family members. (15) 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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- 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 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 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 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
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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- 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 Stephen S. Trevor 0 0 0 0 Byron D. Trott 0 0 0 0 Michael A. Troy 0 0 0 0 Daniel Truell UK 0 0 0 0 Donald J. Truesdale 0 0 0 0 Robert B. Tudor III 0 0 0 0 Thomas E. Tuft 0 0 0 0 John Tumilty UK 0 0 0 0 Barry S. Turkanis 0 0 0 0 Malcolm B. Turnbull Australia 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 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 10(16) 0 10(16) 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
- ---------- (16) Shared with family members. 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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- 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 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 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 402 0 402 0 Edward R. Wilkinson 3 0 3 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 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 0 0 0 0 (PRC) 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
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 OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ---------------------------------- ---------------- --------- --------- ----------- ----------- Jaime E. Yordan 101,179 0 101,179 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(17) 0 55(17) Paolo Zannoni Italy 0 0 0 0 Yoel Zaoui France 0 0 0 0 Gregory Zenna 0 0 0 0 Gregory H. Zehner 0 0 0 0 Jide J. Zeitlin 0 0 0 0 Alphonse Zenna 0 0 0 0 Joan H. Zief 0 0 0 0 Joseph R. Zimmel 0 0 0 0 James P. Ziperski 0 0 0 0 Barry L. Zubrow 0 0 0 0 Mark A. Zurack 0 0 0 0 Shares held by 89 private N/A 0 1,866,112 0 1,866,112 charitable foundations established by 89 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations(18)
- ---------- (17) Shared with family members. (18) Each Covered Person disclaims beneficial ownership of all such shares of Common Stock. 24
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- TRUSTS 120 Broadway Partners(19) New Jersey 0 0 0 0 2000 John A. Thain 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 2002 Avi M. Nash Grantor Retained Annuity Trust 0 0 0 0 2002 Danny O. Yee Grantor Retained Annuity Trust 0 0 0 0 2002 Douglas W. Kimmelman Grantor Retained Annuity Trust 0 0 0 0 2002 James M. Sheridan Grantor Retained Annuity Trust 0 0 0 0 2002 John A. Thain Grantor Retained Annuity Trust 0 0 0 0 2002 Mary Ann Casati Grantor Retained Annuity Trust 0 0 0 0 2002 Scott S. Prince Grantor Retained Annuity Trust 0 0 0 0 A.C. Trust(20) 0 0 0 0 The Abby Joseph Cohen 2000 Family Trust 0 0 0 0 The Abby Joseph Cohen 2001 Annuity Trust I 0 0 0 0
- ---------- (19) Created by Peter R. Kellogg. (20) Created by Andrew Cader. 25
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- The Abby Joseph Cohen 2001 Annuity Trust II 0 0 0 0 The Abby Joseph Cohen 2002 Annuity Trust I 0 0 0 0 The Abby Joseph Cohen 2002 Annuity Trust II 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 Remainder Trust 0 0 0 0 The Alexandra D. Steel 2000 Trust The Alexis Blood 2000 Trust The Alyssa Blood 2000 Trust 0 0 0 0 The Amanda Liann Mead 2000 Trust 0 0 0 0 Anahue Trust(21) Jersey 0 0 0 0 Andrew L. Fippinger-Millennium Trust 0 0 0 0 The Andrew M. Alper 2001 Annuity Trust I 0 0 0 0 The Andrew M. Alper 2002 Annuity Trust I 0 0 0 0 The Andrew M. Alper 2002 Annuity Trust II 0 0 0 0 The Andrew M. Gordon 2000 Family Trust 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 Family Trust 0 0 0 0 The Anthony D. Lauto 2001 Annuity Trust I 0 0 0 0 The Anthony D. Lauto 2002 Annuity Trust I 0 0 0 0 The Anthony D. Lauto 2002 Annuity Trust II 0 0 0 0 The Arthur J. Reimers, III Defective Trust 2000 Connecticut 0 0 0 0 The Avi M. Nash 2000 Family Trust 0 0 0 0 The Avi M. Nash 2001 Annuity Trust I 0 0 0 0
- ---------- (21) Created by Andrew A. Chisholm. 26
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- The Bari Marissa Schwartz 2000 Trust 0 0 0 0 Barry A. Kaplan 2000 Family Trust 0 0 0 0 Barry A. Kaplan 2001 GRAT 0 0 0 0 Barry A. Kaplan 2002 GRAT 0 0 0 0 The Barry L. Zubrow 2000 Family Trust 0 0 0 0 The Barry L. Zubrow 2001 Annuity Trust I 0 0 0 0 The Barry L. Zubrow 2002 Annuity Trust I 0 0 0 0 The Barry L. Zubrow 2002 Annuity Trust II 0 0 0 0 Beller 2002 GRAT 0 0 0 0 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 Bradford C. Koenig 2002 Annuity Trust I 0 0 0 0 The Bradley Abelow Family 2000 Trust 0 0 0 0 The Bradley Craig Spiegel 2000 Trust 0 0 0 0 The 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 Family Trust 0 0 0 0 The Christopher A. Cole 2001 Annuity Trust I 0 0 0 0 The Christopher A. Cole 2002 Annuity Trust I 0 0 0 0 The Christopher A. Cole 2002 Annuity Trust II 0 0 0 0 The Christopher K. Norton 2000 Family Trust 0 0 0 0 The Christopher Palmisano Remainder Trust 0 0 0 0 The Christopher Ryan Tortora 2000 Trust 0 0 0 0
27
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- The Cody J Smith 2000 Family Trust 0 0 0 0 The Cody J Smith 2001 Annuity Trust I 0 0 0 0 The Cody J Smith 2002 Annuity Trust I 0 0 0 0 The Cody J Smith 2002 Annuity Trust II 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 2001 Annuity Trust I 0 0 0 0 The Daniel M. Neidich 2002 Annuity Trust I 0 0 0 0 The Daniel M. Neidich 2002 Annuity Trust II 0 0 0 0 The Daniel W. Stanton 2001 Annuity Trust I 0 0 0 0 The Daniel W. Stanton 2002 Annuity Trust I 0 0 0 0 The Daniel W. Stanton 2002 Annuity Trust II 0 0 0 0 The Daniel W. Stanton II 2000 Trust 0 0 0 0 The Danny O. Yee Trust 0 0 0 0 The David B. Ford 2001 Annuity Trust DTD as of 3/26/2001 Pennsylvania 0 0 0 0 The David B. Ford 2002 Annuity Trust dtd as of 6/26/2002 0 0 0 0 The David B. Heller 2000 Family Trust 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 G. Lambert 2002 Annuity Trust I 0 0 0 0 The David G. Lambert 2002 Annuity Trust II 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 L. Henle 2002 Annuity Trust I 0 0 0 0 The David L. Henle 2002 Annuity Trust II 0 0 0 0
28
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- The David M. Baum Family 2000 Trust New Jersey 0 0 0 0 The David Viniar 2001 Annuity Trust I 0 0 0 0 The David Viniar 2002 Annuity Trust I 0 0 0 0 The David Viniar 2002 Annuity Trust II 0 0 0 0 The David W. Blood 2001 Annuity Trust I 0 0 0 0 The David W. Blood 2002 Annuity Trust I 0 0 0 0 The David W. Blood 2002 Annuity Trust II 0 0 0 0 The Donald F. Textor 2001 Annuity Trust I 0 0 0 0 The Donald F. Textor 2002 Annuity Trust I 0 0 0 0 The Donald F. Textor 2002 Annuity Trust II 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 E. Gerald Corrigan 2002 Annuity Trust I 0 0 0 0 The Eaddy Adele Kiernan 2000 Trust 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 C. Forst 2002 Annuity Trust I 0 0 0 0 The Edward C. Forst 2002 Annuity Trust II 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 The Edward Scott Mead 2002 Annuity Trust I 0 0 0 0 The Edward Scott Mead 2002 Annuity Trust II 0 0 0 0 The Edward Spiegel 2002 Annuity Trust I 0 0 0 0 Eff Warren Martin 2000 Children's Trust California 0 0 0 0 Eff Warren Martin 2001 Grantor Retained Annuity Trust California 0 0 0 0
29
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- The Elana Brooke Spiegel 2000 Trust 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(22) 0 0 0 0 The Erin Marie Tormondsen 2000 Trust 0 0 0 0 The Esta Eiger Stecher 2001 Annuity Trust I 0 0 0 0 The Esta Eiger Stecher 2002 Annuity Trust I 0 0 0 0 The Esta Eiger Stecher 2002 Annuity Trust II 0 0 0 0 The Evans Trust(23) 0 0 0 0 The Francis J. Ingrassia 2000 Family Trust 0 0 0 0 The Francis J. Ingrassia 2001 Annuity Trust I 0 0 0 0 The Francis J. Ingrassia 2002 Annuity Trust I 0 0 0 0 The Francis J. Ingrassia 2002 Annuity Trust II 0 0 0 0 The Frank L. Coulson III 2000 Trust 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 The Fredric E. Steck 2002 Annuity Trust I 0 0 0 0 The Fredric E. Steck 2002 Annuity Trust II 0 0 0 0 Gary D. Cohn 2000 Family Trust 0 0 0 0 The Gary Tolchin 2001 Family Trust New Jersey 0 0 0 0
- ---------- (22) Created by David A. Viniar. (23) Created by W. Mark Evans. 30
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- The Gary Tolchin 2001 Grantor Retained Annuity Trust New Jersey 0 0 0 0 The Gary Tolchin 2002 Grantor Retained Annuity Trust 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 Gene Tiger Sykes 2002 Annuity Trust I 0 0 0 0 The Gene Tiger Sykes 2002 Annuity Trust II 0 0 0 0 The Geoffrey T. Grant 2000 Family Trust 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 H. Walker 2002 Annuity Trust I 0 0 0 0 The George H. Walker 2002 Annuity Trust II 0 0 0 0 The George W. Wellde, Jr. 2001 Annuity Trust I 0 0 0 0 The George W. Wellde, Jr. 2002 Annuity Trust I 0 0 0 0 The George W. Wellde, Jr. 2002 Annuity Trust II 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 Family Trust 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 The Gregory D. Cohen 2000 Trust 0 0 0 0 The Gregory H. Zehner 2000 Family Trust 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 Gregory K. Palm 2002 Annuity Trust I 0 0 0 0
31
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- The Gregory K. Palm 2002 Annuity Trust II 0 0 0 0 The Guapulo Trust(24) 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 Harvey Silverman 2002 Grantor Retained Annuity Trust 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 A. Silverstein 2002 Annuity Trust I 0 0 0 0 The Howard A. Silverstein 2002 Annuity Trust II 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 2001 Annuity Trust I 0 0 0 0 The J. David Rogers 2002 Annuity Trust I 0 0 0 0 The J. David Rogers 2002 Annuity Trust II 0 0 0 0 The James Alexander Mead 2000 Trust 0 0 0 0 The James M. Sheridan Shares 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. 2001 GRAT 0 0 0 0 The James P. Riley, Jr. 2002 Family GST Trust 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
- ---------- (24) Created by Erland S. Karlsson. 32
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- JG 2000 Trust(25) 0 0 0 0 JG 2000 Trust (continuing trust)(25) 0 0 0 0 JG 2001 GRAT(25) 0 0 0 0 JG 2002 GRAT(25) 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 2001 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 O. Downing 2002 Annuity Trust I 0 0 0 0 The John O. Downing 2002 Annuity Trust II 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 2002 Annuity Trust I 0 0 0 0 The John R. Tormondsen 2002 Annuity Trust II 0 0 0 0 The John R. Tormondsen, Jr. 2000 Trust 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 John S. Weinberg 2002 Annuity Trust I 0 0 0 0 The John S. Weinberg 2002 Annuity Trust II 0 0 0 0 The Jonathan G. Neidich 2000 Trust 0 0 0 0 The Jonathan L. Cohen 2002 Annuity Trust I 0 0 0 0 The Jonathan M. Lopatin 2001 Annuity Trust I 0 0 0 0 The Jonathan M. Lopatin 2002 Annuity Trust I 0 0 0 0 The Jonathan M. Lopatin 2002 Annuity Trust II 0 0 0 0 The Jordan Viniar 2000 Trust 0 0 0 0 The Joseph Della Rosa 2000 Family Trust 0 0 0 0
- ---------- (25) Created by Jacob D. Goldfield. 33
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- The Joseph Della Rosa 2001 Annuity Trust I 0 0 0 0 The Joseph Della Rosa 2002 Annuity Trust I 0 0 0 0 The Joseph Della Rosa 2002 Annuity Trust II 0 0 0 0 The Joseph H. Gleberman 2000 Family Trust 0 0 0 0 The Joseph H. Gleberman 2001 Annuity Trust I 0 0 0 0 The Joseph H. Gleberman 2002 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(26) 0 0 0 0 The Kenneth Litzenberger Remainder Trust 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 Kevin W. Kennedy 2002 Annuity Trust I 0 0 0 0 The Kevin W. Kennedy 2002 Annuity Trust II 0 0 0 0 The Kevin W. Kennedy 2002 Annuity Trust III 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(27) Jersey 0 0 0 0 The Kyle F. Textor 2000 Trust The Lauren Schiller 2000 Trust 0 0 0 0
- ---------- (26) Created by David A. Viniar. (27) Created by Sylvain M. Hefes. 34
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- The Lawrence R. Buchalter 2000 Family Trust 0 0 0 0 The Lawrence R. Buchalter 2001 Annuity Trust I 0 0 0 0 Lawrence R. Buchalter 2002 Annuity Trust I 0 0 0 0 The Lawrence R. Buchalter 2002 Annuity Trust II 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 Lee G. Vance 2002 Annuity Trust I 0 0 0 0 The Leslie C. Tortora 2001 Annuity Trust I 0 0 0 0 The Leslie C. Tortora 2002 Annuity Trust I 0 0 0 0 The Leslie C. Tortora 2002 Annuity Trust II 0 0 0 0 Lloyd C. Blankfein 2000 Family Trust 0 0 0 0 The Lloyd C. Blankfein 2001 Annuity Trust I 0 0 0 0 The Lloyd C. Blankfein 2002 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 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 The Mark A. Zurack 2002 Annuity Trust I 0 0 0 0 The Mark A. Zurack 2002 Annuity Trust II 0 0 0 0 Mark Dehnert Living Trust Illinois 0 0 0 0 The Mark Schwartz 2001 Annuity Trust I 0 0 0 0
35
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- The Mark Tercek 2000 Family Trust 0 0 0 0 The Mark Tercek 2001 Annuity Trust I 0 0 0 0 The Mark Tercek 2002 Annuity Trust I 0 0 0 0 The Mark Tercek 2002 Annuity Trust II 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(28) 0 0 0 0 The Melissa Jane Minehan 2001 Trust(28) 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 Family Trust 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 D. Ryan 2002 Annuity Trust II 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 J. Zamkow 2002 Annuity Trust I 0 0 0 0 The Michael J. Zamkow 2002 Annuity Trust II 0 0 0 0 The Michael Stecher 2000 Trust 0 0 0 0 The Milton R. Berlinski 2001 Annuity Trust I 0 0 0 0 The Milton R. Berlinski 2002 Annuity Trust I 0 0 0 0 The Milton R. Berlinski 2002 Annuity Trust II 0 0 0 0
- ---------- (28) Created by E. Gerald Corrigan. 36
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- The Mossavar-Rahmani 2000 Family Trust 0 0 0 0 Murphy 2000(29) 0 0 0 0 Murphy 2000 (continuing trust)(29) 0 0 0 0 Murphy 2001 GRAT(29) 0 0 0 0 Murphy 2002 GRAT(29) 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 Family Trust New Jersey 0 0 0 0 The Patrick Scire 2001 Grantor Retained Annuity Trust New Jersey 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 C. Gerhard 2002 Annuity Trust I 0 0 0 0 The Peter C. Gerhard 2002 Annuity Trust II 0 0 0 0 The Peter D. Kiernan, III 2001 Annuity Trust I 0 0 0 0 The Peter D. Kiernan, III 2002 Annuity Trust I 0 0 0 0 The Peter D. Kiernan, III 2002 Annuity Trust II 0 0 0 0 The Peter Kiernan IV 2000 Trust 0 0 0 0 The Peter S. Kraus 2001 Annuity Trust I 0 0 0 0 The Peter S. Kraus 2002 Annuity Trust I 0 0 0 0 The Peter S. Kraus 2002 Annuity Trust II 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 D. Murphy 2002 Annuity Trust I 0 0 0 0 The Philip Darivoff 2001 Annuity Trust I 0 0 0 0 The Philip Darivoff 2002 Annuity Trust I 0 0 0 0 The Philip Darivoff 2002 Annuity Trust II 0 0 0 0
- ---------- (29) Created by Thomas S. Murphy, Jr. 37
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- The Philip Darivoff 2002 Family Trust 0 0 0 0 The Rachel M. Darivoff 2000 Trust 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 The Ralph F. Rosenberg 2002 Annuity Trust I 0 0 0 0 The Ralph F. Rosenberg 2002 Annuity Trust II 0 0 0 0 Randal M. Fippinger-Millennium Trust 0 0 0 0 The Randolph L. Cowen 2000 Family Trust 0 0 0 0 Rayas Trust(30) Jersey 0 0 0 0 The Rebecca Viniar 2000 Trust 0 0 0 0 The Richard A. Friedman 2002 Annuity Trust I 0 0 0 0 The Richard A. Friedman 2000 Family Trust 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 A. Sapp 2002 Annuity Trust I 0 0 0 0 The Richard E. Witten 2001 Annuity Trust I 0 0 0 0 The Richard E. Witten 2002 Annuity Trust I 0 0 0 0 The Richard E. Witten 2002 Annuity Trust II 0 0 0 0 The Richard G. Sherlund 2001 Annuity Trust I 0 0 0 0 The Richard G. Sherlund 2002 Annuity Trust I 0 0 0 0 The Richard Hogan 2001 Family Trust 0 0 0 0 The Richard Hogan 2001 Family Trust 0 0 0 0 The Richard Hogan 2001 Grantor Retained Annuity Trust 0 0 0 0 The Richard Hogan 2002 Grantor Retained Annuity Trust 0 0 0 0 Robert A. Fippinger, Jr. Millennium Trust 0 0 0 0
- ---------- (30) Created by Emmanuel Roman. 38
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- 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. Litterman 2002 Annuity Trust I 0 0 0 0 The Robert B. Litterman 2002 Annuity Trust II 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 B. Morris III 2002 Annuity Trust I 0 0 0 0 The Robert B. Morris III 2002 Annuity Trust II 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. Hurst 2002 Annuity Trust I 0 0 0 0 The Robert J. Hurst 2002 Annuity Trust II 0 0 0 0 The Robert J. Katz 2001 Annuity Trust I 0 0 0 0 The Robert J. Katz 2002 Annuity Trust I 0 0 0 0 The Robert J. Katz 2002 Annuity Trust II 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. O'Shea 2002 Annuity Trust I 0 0 0 0 The Robert J. O'Shea 2002 Annuity Trust II 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 J. Pace 2002 Annuity Trust I 0 0 0 0 The Robert K. Steel 2001 Annuity Trust I 0 0 0 0 The Robert K. Steel 2002 Annuity Trust I 0 0 0 0 The Robert K. Steel 2002 Annuity Trust II 0 0 0 0
39
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- The Robert Luckow 2001 Family Trust 0 0 0 0 The Robert Luckow 2002 Grantor Retained Annuity Trust 0 0 0 0 The Robin Neustein 2001 Annuity Trust I 0 0 0 0 Robin Neustein 2002 Annuity Trust 0 0 0 0 The Samantha Schiller 2000 Trust 0 0 0 0 The Sarah B. Lopatin 2000 Trust 0 0 0 0 The Sarah Delacy Kiernan 2000 Trust 0 0 0 0 The Sarah M. Darivoff 2000 Trust 0 0 0 0 The Sarah Rose Berlinski 2000 Trust 0 0 0 0 The Scott B. Kapnick 2000 Family Trust 0 0 0 0 The Scott B. Kapnick 2001 Annuity Trust I 0 0 0 0 The Scott B. Kapnick 2002 Annuity Trust I 0 0 0 0 Scott M. Pinkus 2000 Family Trust 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 Sharmin Mossavar-Rahmani 2002 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 J. Wisch 2002 Annuity Trust I 0 0 0 0 The Steven M. Heller, Jr. 2000 Trust 0 0 0 0 The Steven Starker 2001 Family Trust 0 0 0 0 The Steven Starker 2001 Grantor Retained Annuity Trust 0 0 0 0 The Steven Starker 2002 Grantor Retained Annuity Trust 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 T. Mnuchin 2002 Annuity Trust I 0 0 0 0
40
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- 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 Mark Rothenberg 2002 Annuity Trust I 0 0 0 0 The Stuart Mark Rothenberg 2002 Annuity Trust II 0 0 0 0 The Stuart Sternberg 2001 Family Trust 0 0 0 0 The Stuart Sternberg 2001 Grantor Retained Annuity Trust 0 0 0 0 The Stuart Sternberg 2002 Grantor Retained Annuity Trust 0 0 0 0 The Suzanne E. Cohen 2000 Trust 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 Terence M. O' Toole 2002 Annuity Trust I 0 0 0 0 The Tess Augusta Linden 2000 Trust 0 0 0 0 The Thomas J. Healey 2001 Annuity Trust New Jersey 0 0 0 0 The Thomas J. Healey 2002 Annuity Trust 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 Family Trust 0 0 0 0 The Tracy Richard Wolstencroft 2001 Annuity Trust I 0 0 0 0 The Tracy Richard Wolstencroft 2002 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(31) New Jersey 0 0 0 0 Trust f/b/o Megan H. Hagerty u/a/d June 5, 2002(31) 0 0 0 0
- ---------- (31) Created by Thomas J. Healey. 41
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- Trust for the benefit of Thomas Jeremiah Healey u/a DTD 3/26/01 New Jersey 0 0 0 0 Trust f/b/o Thomas Jeremiah Healey u/a/d June 5, 2002 0 0 0 0 Trust u/w James Kellogg III New Jersey 0 0 0 0 The Unicorn Trust(32) UK 0 0 0 0 Vyrona Trust(33) Jersey 0 0 0 0 The William C. Sherlund 2000 Trust 0 0 0 0 The William Keith Litzenberger Remainder Trust 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 Zachariah Cobrinik 2002 Annuity Trust 0 0 0 0 PARTNERSHIPS ALS Investment Partners, L.P.(34) Delaware 0 0 0 0 Beech Associates, L.P.(35) Delaware 0 0 0 0 Bermuda Partners, L.P.(36) Delaware 0 0 0 0 Crestley, L.P.(37) Delaware 0 0 0 0 EPG Associates, L.P.(38) 0 0 0 0 Greenley Partners, L.P.(39) Delaware 0 0 0 0 Harris Capital Partners, Limited Partnership Delaware 0 0 0 0 HEMPA Limited Partnership(40) Delaware 0 0 0 0 JSS Investment Partners, L.P.(41) 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(42) Illinois 0 0 0 0 Opatrny Investment Partners, L.P. Delaware 0 0 0 0
- ---------- (32) Created by Wiet H.M. Pot. (33) Created by Sylvain M. Hefes. (34) Created by Charles B. Seelig, Jr. (35) Created by David B. Ford. (36) Created by Peter R. Kellogg. (37) Created by Thomas J. Healey. (38) Created by Edward S. Gutman. (39) Created by Jaime E. Yordan. (40) Created by Henry M. Paulson, Jr. (41) Created by Jonathan S. Savitz. (42) Created by Peter Layton. 42
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- 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.(43) 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.(44) 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 James Coufos Family LLC Delaware 0 0 0 0 The Lawrence Cohen Family LLC Delaware 0 0 0 0 The Patrick Scire 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 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 Todd Christie Family LLC Delaware 0 0 0 0 CORPORATIONS Anahue Limited(45) Jersey 0 0 0 0 Chambolle Limited(46) Jersey 0 0 0 0 Guapulo Holdings Limited(47) Jersey 0 0 0 0 HJS2 Limited(48) Cayman Islands 0 0 0 0 IAT Reinsurance Syndicate Ltd.(49) Bermuda 0 0 0 0 Majix Limited(50) Jersey 0 0 0 0 Melalula Limited(51) Jersey 0 0 0 0 RJG Holding Company(52) Cayman Islands 0 0 0 0 Robinelli Limited(53) Jersey 0 0 0 0
- ---------- (43) Created by Connie K. Duckworth. (44) Created by Joseph D. Gutman. (45) Created by Andrew A. Chisholm. (46) Created by Emmanuel Roman. (47) Created by Erland S. Karlsson. (48) Created by Hsueh J. Sung. (49) Created by Peter R. Kellogg. (50) Created by Alok Oberoi. (51) Created by Peter D. Sutherland. (52) Created by Richard J. Gnodde. (53) Created by Claudio Costamagna. 43
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------------- ---------------- --------- --------- ----------- ----------- Vyrona Holdings Limited(54) Jersey 0 0 0 0 Zurrah Limited(55) Jersey 0 0 0 0
- ---------- (54) Created by Sylvain M. Hefes. (55) Created by Yoel Zaoui. 44 This Amendment No. 29 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. 29 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 GS Inc., a Delaware corporation. 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. 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) are 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"), the former members (the "SLK Covered Persons") of SLK LLC, the former members (the "Jacobson Covered Persons") of Benjamin Jacobson & Sons, LLC ("Jacobson") and the former members (the "Walter Frank Covered Persons" and, together with the Hull Covered Persons, the SLK Covered Persons and the Jacobson Covered Persons, the "Acquisition Covered Persons") of Walter N. Frank & Co., LLC ("Walter Frank") acquired certain Covered Shares in exchange for their interests in Hull, SLK LLC, Jacobson or Walter Frank, as applicable; (iii) certain Individual Covered Persons have acquired and will acquire beneficial ownership of certain other Covered Shares in connection with GS Inc.'s initial public offering and/or pursuant to GS Inc.'s employee compensation, benefit or similar plans; (iv) certain Individual Covered Persons (the "Transferee Covered Persons") acquired their Covered Shares from other Individual Covered Persons 45 in accordance with pre-existing contractual arrangements or judicial decrees; and (v) 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 Acquisition 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 Acquisition Covered Persons acquired certain Covered Shares in connection with the acquisition by GS Inc. of Hull, Jacobson or Walter Frank or the combination of GS Inc. with SLK LLC, as applicable, 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. and, in the case of the PMDs, the Shareholders' Committee have approved sales by the PMDs and certain Acquisition Covered Persons of a portion of their shares of Common Stock through two programs (the "Channel A Sales Program" and the "Channel B Sales Program"). Sales under the Channel A and Channel B Sales Programs commenced on June 21, 2002 and ended on July 19, 2002, with an aggregate of 10,618,408 Covered Shares having been sold by July 19, 2002. See Annex E for sales since the last amendment to this Schedule 13D. The Channel A and Channel B Sales Programs may continue in subsequent fiscal quarters, but can be suspended, modified or terminated at any time. 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. 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. With respect to the Covered Shares subject to the Partner Transfer Restrictions, 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. 46 (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"), between such Jacobson Covered Person and GS Inc. In the case of each Walter Frank Covered Person, certain of the provisions and restrictions discussed below are set forth in a Member Agreement, dated as of May 16, 2002 (the "Walter Frank Member Agreement" and, together with the SLK Member Agreement and the Jacobson Member Agreement, the "Member Agreements"), between such Walter Frank 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 Acquisition Covered Persons in exchange for their interests in Hull, SLK LLC, Jacobson or Walter Frank, as applicable; shares of Common Stock acquired or to be acquired through the grant of restricted stock units, stock options and interests in a defined contribution plan (except for certain Uncovered Shares as specified in Appendix A); shares of Common Stock acquired by the Transferee Covered Persons in accordance with pre-existing contractual arrangements or judicial decrees; shares of Common Stock acquired or to be acquired by Estate Planning Covered Persons from Individual Covered Persons for estate planning purposes and shares of Common Stock to be distributed by Estate Planning Covered Persons to Individual Covered Persons or to other Estate Planning Covered Persons; and, unless otherwise determined by the board of directors and the Shareholders' Committee, any shares of Common Stock acquired or to be acquired by the Covered Persons from GS Inc. through any other employee compensation, benefit or similar plan. Covered Shares do not include any shares of Common Stock purchased or to be purchased by a Covered Person in the open market or in a subsequent underwritten public offering. TRANSFER RESTRICTIONS Each Individual Covered Person (other than the Transferee Covered Persons and, with respect to the shares of Common Stock received in exchange for their interests in Hull, the Hull Covered Persons) has agreed in the Shareholders' Agreement, among other things, to retain beneficial ownership of Covered Shares at least equal to 25% of the cumulative number of Covered Shares beneficially owned by him or her at the time he or she became a Covered Person or acquired by him or her thereafter and with no credit for dispositions (the "General Transfer Restrictions") for so long as he or she is a Covered Person and an employee of GS Inc. (an "Employee Covered Person"). The PMDs are also subject to limitations on their ability to transfer some of the Covered Shares received in connection with the succession of GS Inc. to the business of Group L.P. Such restrictions also apply to some of the Covered Shares acquired by the Acquisition Covered Persons in exchange for their interests in Hull, SLK LLC, Jacobson or Walter Frank, as applicable. Under these restrictions (the "Partner Transfer Restrictions" and, together with the General Transfer Restrictions, the "Transfer Restrictions"), each PMD, Hull Covered Person, SLK Covered Person and Jacobson Covered Person agreed not to transfer such Covered Shares until after May 7, 2002, the third anniversary of the date of GS Inc.'s initial public offering of its Common Stock, and each Walter Frank Covered Person agreed not to transfer such Covered Shares until after June 26, 2003, the first anniversary of the closing of the acquisition by GS Inc. of Walter Frank. The Partner Transfer Restrictions lapsed as to 25,325,624 Covered Shares on May 8, 2002, and will lapse as to the remaining Covered Shares beneficially owned by the PMDs, Hull Covered Persons, SLK Covered Persons and Jacobson Covered Persons in equal installments on each of May 8, 47 2003 and May 8, 2004, and as to the Covered Shares beneficially owned by the Walter Frank Covered Persons in equal installments on each of June 27, 2003, June 27, 2004 and June 27, 2005. 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 Acquisition Covered Persons, the board of directors waived the Partner Transfer Restrictions to permit the sale of an aggregate of 871,484 Covered Shares by certain Covered Persons under the Channel A Sales Program described in Item 4 and an aggregate of 3,824,607 Covered Shares by certain Covered Persons under the Channel B Sales Program described in Item 4. In the case of a third-party tender or exchange offer, the Transfer Restrictions may be waived or terminated: if the board of directors is recommending acceptance or is not making any recommendation with respect to acceptance of the tender or exchange offer, by a majority of the Voting Interests (as defined below); or if the board of directors is recommending rejection of the tender or exchange offer, by 66 2/3% of the outstanding Voting Interests. In the case of a tender or exchange offer by GS Inc., a majority of the outstanding Voting Interests may also elect to waive or terminate the Transfer Restrictions. VOTING Prior to any vote of the shareholders of GS Inc., the Shareholders' Agreement requires a separate, preliminary vote of the Voting Interests on each matter upon which a vote of the shareholders is proposed to be taken (the "Preliminary Vote"). Each Covered Share held by an Employee Covered Person and each other Covered Share subject to the Partner Transfer Restrictions will be voted in accordance with the majority of the votes cast by the Voting Interests in the Preliminary Vote. In elections of directors, each Covered Share will be voted in favor of the election of those persons receiving the highest numbers of votes cast by the Voting Interests in the Preliminary 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 48 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 constituted pursuant to the Shareholders' Agreement (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 served on the board of directors on May 7, 1999, 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 by persons subject to a noncompetition agreement 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 acquisitions of Jacobson and Walter Frank, each SLK Covered Person, Jacobson Covered Person and Walter Frank Covered Person who is an individual has pledged to GS Inc. Common Stock or other assets to secure the Covered Person's obligation under his or her Member Agreement to pay liquidated damages upon breach of certain provisions relating to noncompetition and nonsolicitation. The form of 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. In addition to pledges pursuant to the arrangements described in the second paragraph under "Waivers" above, one or more Covered Persons have pledged in the aggregate 961,029 Covered Shares to third-party lending institutions as collateral for loans. A portion of these pledged shares may be sold from time to time with the consent of the third-party lending institution. 49 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. 50 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)). 51 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. 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)). R. 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)). S. 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)). T. 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)). U. 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)). V. 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)). W. 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)). X. 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)). Y. 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)). Z. 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)). AA. 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.). 52 Exhibit Description - ---------------- -------------------------------------------------------------- BB. Form of Power of Attorney executed by Covered Persons participating in the Channel A Sales Program (incorporated by reference to Exhibit BB to Amendment No. 27 to the Initial Schedule 13D, filed June 20, 2002 (File No. 005-56295)). CC. Form of Member Agreement, dated as of May 16, 2002, between GS Inc. and each Walter Frank Covered Person (incorporated by reference to Exhibit CC to Amendment No. 28 to the Initial Schedule 13D, filed July 5, 2002 (File No. 005-56295)). DD. Form of Pledge Agreement, dated as of June 26, 2002, between GS Inc. and each Walter Frank Covered Person (incorporated by reference to Exhibit DD to Amendment No. 28 to the Initial Schedule 13D, filed July 5, 2002 (File No. 005-56295)). 53 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 LAWS WITHIN THE GOLDMAN SACHS NAME CITIZENSHIP BUSINESS ADDRESS PRESENT EMPLOYMENT LAST FIVE YEARS GROUP, INC. ---- ----------- ---------------- ------------------ --------------- ------------------ Steven M. USA 85 Broad Street Managing Director, None Covered Person, so Bunson New York, NY The Goldman 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
54 ANNEX B ITEMS 2(D) AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS None. 55 ANNEX C ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS None. 56 ANNEX D ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE EXERCISABLE WITHIN 60 DAYS. An aggregate of 7,946,434 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. 57 ANNEX E ITEM 5(C). DESCRIPTION OF ALL TRANSACTIONS IN THE COMMON STOCK EFFECTED BY THE COVERED PERSONS IN THE PAST 60 DAYS AND NOT PREVIOUSLY REPORTED ON SCHEDULE 13D The following sales of shares of Common Stock were made by the following Covered Person through one or more subsidiaries of GS Inc. for cash on the New York Stock Exchange:
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------- ------------- ---------------- --------------- Channel A Sales Andrew Cader July 1, 2002 30,000 $72.45 Todd J. Christie July 1, 2002 10,000 $72.45 Thomas J. Gravina July 1, 2002 1,500 $72.45 Edward S. Gutman July 1, 2002 2,000 $72.45 James A. Jacobson July 1, 2002 5,000 $72.45 120 Broadway Partners July 1, 2002 3,000 $72.45 Bermuda Partners, L.P. July 1, 2002 2,000 $72.45 IAT Reinsurance Syndicate Ltd July 1, 2002 4,000 $72.45 Trust u/w James Kellogg III July 1, 2002 4,000 $72.45 Peter R. Kellogg July 1, 2002 3,000 $72.45 Patrick P. Scire July 1, 2002 12,500 $72.45 The Patrick J. Ward 2001 Trust July 1, 2002 10,000 $72.45 Andrew Cader July 2, 2002 30,000 $70.50 Todd J. Christie July 2, 2002 10,000 $70.50 Lawrence A. Cohen July 2, 2002 15,000 $70.50 Gary F. Goldring July 2, 2002 100,000 $70.50 Thomas J. Gravina July 2, 2002 1,500 $70.50 Edward S. Gutman July 2, 2002 2,000 $70.50 Bermuda Partners, L.P. July 2, 2002 2,000 $70.50 120 Broadway Partners July 2, 2002 3,000 $70.50 Peter R. Kellogg July 2, 2002 3,000 $70.50 IAT Reinsurance Syndicate Ltd July 2, 2002 4,000 $70.50 Trust u/w James Kellogg III July 2, 2002 4,000 $70.50 Richard C. Salvadore July 2, 2002 20,000 $70.50 Patrick P. Scire July 2, 2002 12,500 $70.50 Steven R. Starker July 2, 2002 25,000 $70.50 Brian J. Toolan July 2, 2002 15,000 $70.50 The Patrick J. Ward 2001 Trust July 2, 2002 10,000 $70.50 Andrew Cader July 3, 2002 15,000 $69.83 Todd J. Christie July 3, 2002 10,000 $69.83 Lawrence A. Cohen July 3, 2002 7,500 $69.83 Thomas J. Gravina July 3, 2002 1,500 $69.83 Edward S. Gutman July 3, 2002 2,000 $69.83 Richard R. Hogan July 3, 2002 15,000 $69.83 Bermuda Partners, L.P. July 3, 2002 2,000 $69.83 Peter R. Kellogg July 3, 2002 3,000 $69.83 120 Broadway Partners July 3, 2002 6,000 $69.83 IAT Reinsurance Syndicate Ltd July 3, 2002 6,000 $69.83
58
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------- ------------- ---------------- --------------- Trust u/w James Kellogg III July 3, 2002 6,000 $69.83 The Patrick J. Ward 2001 Trust July 3, 2002 6,541 $69.83 Andrew Cader July 5, 2002 15,000 $73.30 Todd J. Christie July 5, 2002 10,000 $73.30 Thomas J. Gravina July 5, 2002 1,500 $73.30 Edward S. Gutman July 5, 2002 2,000 $73.30 Richard R. Hogan July 5, 2002 15,000 $73.30 Andrew Cader July 8, 2002 40,000 $73.56 Todd J. Christie July 8, 2002 10,000 $73.56 Thomas J. Gravina July 8, 2002 1,500 $73.56 Edward S. Gutman July 8, 2002 2,000 $73.56 Richard R. Hogan July 8, 2002 15,000 $73.56 James A. Jacobson July 8, 2002 15,000 $73.56 Bermuda Partners, L.P. July 8, 2002 2,000 $73.56 Peter R. Kellogg July 8, 2002 3,000 $73.56 120 Broadway Partners July 8, 2002 6,000 $73.56 Trust u/w James Kellogg III July 8, 2002 6,000 $73.56 IAT Reinsurance Syndicate Ltd July 8, 2002 10,000 $73.56 Steven R. Starker July 8, 2002 25,000 $73.56 Andrew Cader July 9, 2002 30,000 $72.17 Todd J. Christie July 9, 2002 10,000 $72.17 Thomas J. Gravina July 9, 2002 1,500 $72.17 Edward S. Gutman July 9, 2002 2,000 $72.17 Richard R. Hogan July 9, 2002 10,000 $72.17 James A. Jacobson July 9, 2002 15,000 $72.17 Bermuda Partners, L.P. July 9, 2002 2,000 $72.17 Peter R. Kellogg July 9, 2002 3,000 $72.17 120 Broadway Partners July 9, 2002 6,000 $72.17 Trust u/w James Kellogg III July 9, 2002 8,000 $72.17 IAT Reinsurance Syndicate Ltd July 9, 2002 20,000 $72.17 Richard C. Salvadore July 9, 2002 16,000 $72.17 Andrew Cader July 10, 2002 30,000 $72.83 Todd J. Christie July 10, 2002 10,000 $72.83 Thomas J. Gravina July 10, 2002 3,000 $72.83 Edward S. Gutman July 10, 2002 2,000 $72.83 Richard R. Hogan July 10, 2002 9,880 $72.83 James A. Jacobson July 10, 2002 20,000 $72.83 Bermuda Partners, L.P. July 10, 2002 2,000 $72.83 Peter R. Kellogg July 10, 2002 4,000 $72.83 120 Broadway Partners July 10, 2002 6,000 $72.83 Trust u/w James Kellogg III July 10, 2002 8,000 $72.83 IAT Reinsurance Syndicate Ltd July 10, 2002 20,000 $72.83 Richard C. Salvadore July 10, 2002 12,039 $72.83 Steven R. Starker July 10, 2002 46,280 $72.83 Rebecca Amitai July 11, 2002 1,000 $71.41 Andrew Cader July 11, 2002 20,000 $71.41 Todd J. Christie July 11, 2002 10,000 $71.41 Thomas J. Gravina July 11, 2002 5,000 $71.41
59
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------- ------------- ---------------- --------------- Richard R. Hogan July 11, 2002 5,000 $71.41 James A. Jacobson July 11, 2002 15,000 $71.41 Bermuda Partners, L.P. July 11, 2002 2,000 $71.41 Peter R. Kellogg July 11, 2002 4,000 $71.41 120 Broadway Partners July 11, 2002 6,000 $71.41 Trust u/w James Kellogg III July 11, 2002 8,000 $71.41 IAT Reinsurance Syndicate Ltd July 11, 2002 20,000 $71.41 Andrew Cader July 12, 2002 30,000 $73.15 Todd J. Christie July 12, 2002 10,000 $73.15 Thomas J. Gravina July 12, 2002 5,000 $73.15 Richard R. Hogan July 12, 2002 5,000 $73.15 James A. Jacobson July 12, 2002 20,000 $73.15 Bermuda Partners, L.P. July 12, 2002 2,000 $73.15 Peter R. Kellogg July 12, 2002 4,000 $73.15 120 Broadway Partners July 12, 2002 6,000 $73.15 Trust u/w James Kellogg III July 12, 2002 8,000 $73.15 IAT Reinsurance Syndicate Ltd July 12, 2002 20,000 $73.15 Andrew Cader July 15, 2002 30,000 $71.55 Todd J. Christie July 15, 2002 10,000 $71.55 Thomas J. Gravina July 15, 2002 5,000 $71.55 Bermuda Partners, L.P. July 15, 2002 2,000 $71.55 Peter R. Kellogg July 15, 2002 3,000 $71.55 120 Broadway Partners July 15, 2002 6,000 $71.55 Trust u/w James Kellogg III July 15, 2002 8,000 $71.55 IAT Reinsurance Syndicate Ltd July 15, 2002 20,000 $71.55 Andrew Cader July 16, 2002 40,000 $72.31 Todd J. Christie July 16, 2002 10,000 $72.31 Gary F. Goldring July 16, 2002 50,000 $72.31 Thomas J. Gravina July 16, 2002 10,000 $72.31 Richard R. Hogan July 16, 2002 10,000 $72.31 Bermuda Partners, L.P. July 16, 2002 2,000 $72.31 Peter R. Kellogg July 16, 2002 3,000 $72.31 120 Broadway Partners July 16, 2002 6,000 $72.31 Trust u/w James Kellogg III July 16, 2002 8,000 $72.31 IAT Reinsurance Syndicate Ltd July 16, 2002 20,000 $72.31 Todd J. Christie July 17, 2002 10,000 $73.48 Lawrence A. Cohen July 17, 2002 10,000 $73.48 Thomas J. Gravina July 17, 2002 10,000 $73.48 James A. Jacobson July 17, 2002 15,558 $73.48 Bermuda Partners, L.P. July 17, 2002 2,000 $73.48 Peter R. Kellogg July 17, 2002 3,000 $73.48 Trust u/w James Kellogg III July 17, 2002 3,000 $73.48 120 Broadway Partners July 17, 2002 6,428 $73.48 IAT Reinsurance Syndicate Ltd July 17, 2002 20,000 $73.48 Todd J. Christie July 18, 2002 10,000 $75.38 Lawrence A. Cohen July 18, 2002 20,000 $75.38 Gary D. Cohn July 18, 2002 20,000 $75.38 Gary F. Goldring July 18, 2002 50,000 $75.38
60
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------- ------------- ---------------- --------------- Thomas J. Gravina July 18, 2002 20,000 $75.38 Edward S. Gutman July 18, 2002 10,000 $75.38 Bermuda Partners, L.P. July 18, 2002 2,000 $75.38 Peter R. Kellogg July 18, 2002 3,000 $75.38 Trust u/w James Kellogg III July 18, 2002 9,573 $75.38 IAT Reinsurance Syndicate Ltd July 18, 2002 20,000 $75.38 Rebecca Amitai July 19, 2002 1,000 $76.51 A.C. Trust July 19, 2002 39,847 $76.51 Andrew Cader July 19, 2002 256,369 $76.51 Todd J. Christie July 19, 2002 10,000 $76.51 Lawrence A. Cohen July 19, 2002 41,039 $76.51 Gary D. Cohn July 19, 2002 65,544 $76.51 Neil V. Desena July 19, 2002 51,912 $76.51 Gary F. Goldring July 19, 2002 150,000 $76.51 Thomas J. Gravina July 19, 2002 19,734 $76.51 Edward S. Gutman July 19, 2002 30,886 $76.51 Richard R. Hogan July 19, 2002 35,000 $76.51 Scott B. Kapnick July 19, 2002 90,000 $76.51 IAT Reinsurance Syndicate Ltd July 19, 2002 25,000 $76.51 Nicholas L. Marovich July 19, 2002 15,000 $76.51 Philip D. Murphy July 19, 2002 2,000 $76.51 Harvey Silverman July 19, 2002 10,000 $76.51 Silverman Partners, L.P. July 19, 2002 10,000 $76.51 Stuart L. Sternberg July 19, 2002 320,320 $76.51 Jon Winkelried July 19, 2002 50,000 $76.51 Barry L. Zubrow July 19, 2002 75,000 $76.51 Channel B Sales Christopher J. Carrera July 1, 2002 10,000 $72.75 Mary Ann Casati July 1, 2002 1,000 $72.75 Zachariah Cobrinik July 1, 2002 2,710 $72.75 Christopher A. Cole July 1, 2002 1,000 $72.75 Glenn P. Earle July 1, 2002 5,000 $72.75 Peter C. Gerhard July 1, 2002 8,000 $72.75 Vyrona Holdings Limited July 1, 2002 4,433 $72.75 Timothy J. Ingrassia July 1, 2002 7,786 $72.75 Robert J. Katz July 1, 2002 2,500 $72.75 David G. Lambert July 1, 2002 1,000 $72.75 Eff W. Martin July 1, 2002 5,000 $72.75 Robert B. Morris III July 1, 2002 4,003 $72.75 Sharmin Mossavar-Rahmani July 1, 2002 2,000 $72.75 Avi M. Nash July 1, 2002 1,007 $72.75 Greg M. Ostroff July 1, 2002 1,000 $72.75 The Unicorn Trust July 1, 2002 4,586 $72.75 Richard M. Ruzika July 1, 2002 2,000 $72.75 Richard A. Sapp July 1, 2002 2,600 $72.75 Joseph Sassoon July 1, 2002 3,000 $72.75 Charles B. Seelig, Jr. July 1, 2002 5,000 $72.75
61
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------- ------------- ---------------- --------------- The James M Sheridan Shares Trust July 1, 2002 5,000 $72.75 Christian J. Siva-Jothy July 1, 2002 5,000 $72.75 Daniel W. Stanton July 1, 2002 5,000 $72.75 Cathrine Stickney Steck July 1, 2002 2,000 $72.75 Melalula Limited July 1, 2002 4,156 $72.75 John R. Tormondsen July 1, 2002 3,000 $72.75 Mark A. Zurack July 1, 2002 2,100 $72.75 Frank A. Bednarz July 2, 2002 1,308 $70.55 Christopher J. Carrera July 2, 2002 6,510 $70.55 Zachariah Cobrinik July 2, 2002 2,703 $70.55 Peter C. Gerhard July 2, 2002 6,981 $70.55 Nomi P. Ghez July 2, 2002 9,968 $70.55 Vyrona Holdings Limited July 2, 2002 4,421 $70.55 Francis J. Ingrassia July 2, 2002 2,992 $70.55 Robert J. Katz July 2, 2002 2,493 $70.55 David G. Lambert July 2, 2002 997 $70.55 Michael R. Lynch July 2, 2002 9,973 $70.55 Eff W. Martin July 2, 2002 4,987 $70.55 Robert B. Morris III July 2, 2002 3,992 $70.55 Sharmin Mossavar-Rahmani July 2, 2002 2,992 $70.55 Avi M. Nash July 2, 2002 1,004 $70.55 Greg M. Ostroff July 2, 2002 997 $70.55 The Unicorn Trust July 2, 2002 4,574 $70.55 The Rizner Family Limited Partnership July 2, 2002 1,995 $70.55 Richard M. Ruzika July 2, 2002 1,995 $70.55 Richard A. Sapp July 2, 2002 2,593 $70.55 The James M Sheridan Shares Trust July 2, 2002 4,987 $70.55 Daniel W. Stanton July 2, 2002 4,987 $70.55 Cathrine Stickney Steck July 2, 2002 1,995 $70.55 Melalula Limited July 2, 2002 4,145 $70.55 John R. Tormondsen July 2, 2002 9,973 $70.55 Mark A. Zurack July 2, 2002 2,094 $70.55 Zachariah Cobrinik July 3, 2002 2,710 $69.88 C. Steven Duncker July 3, 2002 10,000 $69.88 Vyrona Holdings Limited July 3, 2002 4,445 $69.88 Robert J. Katz July 3, 2002 2,500 $69.88 David G. Lambert July 3, 2002 1,000 $69.88 Jonathan M. Lopatin July 3, 2002 2,000 $69.88 Eff W. Martin July 3, 2002 5,919 $69.88 Robert B. Morris III July 3, 2002 4,003 $69.88 Sharmin Mossavar-Rahmani July 3, 2002 3,000 $69.88 Avi M. Nash July 3, 2002 1,010 $69.88 Greg M. Ostroff July 3, 2002 1,000 $69.88 The Unicorn Trust July 3, 2002 4,598 $69.88 The Rizner Family Limited Partnership July 3, 2002 2,017 $69.88 Richard M. Ruzika July 3, 2002 2,005 $69.88 Richard A. Sapp July 3, 2002 2,600 $69.88 The James M Sheridan Shares Trust July 3, 2002 5,000 $69.88
62
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------- ------------- ---------------- --------------- Christian J. Siva-Jothy July 3, 2002 5,000 $69.88 Marc A. Spilker July 3, 2002 5,000 $69.88 Melalula Limited July 3, 2002 4,167 $69.88 John R. Tormondsen July 3, 2002 5,000 $69.88 Gary W. Williams July 3, 2002 10,000 $69.88 Mark A. Zurack July 3, 2002 2,100 $69.88 Vyrona Holdings Limited July 5, 2002 4,433 $73.04 Robert J. Katz July 5, 2002 2,500 $73.04 David G. Lambert July 5, 2002 1,000 $73.04 Jonathan M. Lopatin July 5, 2002 2,000 $73.04 Michael R. Lynch July 5, 2002 10,000 $73.04 Eff W. Martin July 5, 2002 5,000 $73.04 Sharmin Mossavar-Rahmani July 5, 2002 3,000 $73.04 Avi M. Nash July 5, 2002 1,007 $73.04 Greg M. Ostroff July 5, 2002 1,000 $73.04 The Unicorn Trust July 5, 2002 4,586 $73.04 Richard M. Ruzika July 5, 2002 2,000 $73.04 The James M Sheridan Shares Trust July 5, 2002 5,000 $73.04 Christian J. Siva-Jothy July 5, 2002 5,000 $73.04 Marc A. Spilker July 5, 2002 1,500 $73.04 Cathrine Stickney Steck July 5, 2002 1,537 $73.04 Melalula Limited July 5, 2002 4,156 $73.04 John R. Tormondsen July 5, 2002 5,000 $73.04 Mark A. Zurack July 5, 2002 2,100 $73.04 Zachariah Cobrinik July 8, 2002 3,011 $73.61 Alexander C. Dibelius July 8, 2002 3,600 $73.61 Glenn P. Earle July 8, 2002 8,000 $73.61 Peter C. Gerhard July 8, 2002 7,000 $73.61 Vyrona Holdings Limited July 8, 2002 4,433 $73.61 Francis J. Ingrassia July 8, 2002 3,000 $73.61 Robert J. Katz July 8, 2002 2,500 $73.61 David G. Lambert July 8, 2002 1,000 $73.61 Jonathan M. Lopatin July 8, 2002 2,000 $73.61 Michael R. Lynch July 8, 2002 20,000 $73.61 Ronald G. Marks July 8, 2002 2,500 $73.61 Eff W. Martin July 8, 2002 7,500 $73.61 John P. McNulty July 8, 2002 50,000 $73.61 Robert B. Morris III July 8, 2002 4,404 $73.61 Sharmin Mossavar-Rahmani July 8, 2002 3,000 $73.61 Avi M. Nash July 8, 2002 1,007 $73.61 The Unicorn Trust July 8, 2002 4,586 $73.61 Richard M. Ruzika July 8, 2002 2,000 $73.61 Richard A. Sapp July 8, 2002 5,200 $73.61 Charles B. Seelig, Jr. July 8, 2002 10,000 $73.61 The James M Sheridan Shares Trust July 8, 2002 5,000 $73.61 Marc A. Spilker July 8, 2002 1,000 $73.61 Fredric E. Steck July 8, 2002 5,000 $73.61 Melalula Limited July 8, 2002 4,156 $73.61
63
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------- ------------- ---------------- --------------- John E. Urban July 8, 2002 6,000 $73.61 Gary W. Williams July 8, 2002 10,000 $73.61 Mark A. Zurack July 8, 2002 2,100 $73.61 Mary Ann Casati July 9, 2002 1,000 $72.35 Zachariah Cobrinik July 9, 2002 3,011 $72.35 Peter C. Gerhard July 9, 2002 6,000 $72.35 Vyrona Holdings Limited July 9, 2002 4,433 $72.35 Robert J. Katz July 9, 2002 2,500 $72.35 David G. Lambert July 9, 2002 1,000 $72.35 Jonathan M. Lopatin July 9, 2002 2,000 $72.35 Michael R. Lynch July 9, 2002 10,000 $72.35 Eff W. Martin July 9, 2002 5,000 $72.35 John P. McNulty July 9, 2002 20,000 $72.35 Robert B. Morris III July 9, 2002 4,404 $72.35 Sharmin Mossavar-Rahmani July 9, 2002 3,000 $72.35 Avi M. Nash July 9, 2002 1,007 $72.35 Greg M. Ostroff July 9, 2002 2,000 $72.35 The Unicorn Trust July 9, 2002 4,586 $72.35 Simon M. Robertson July 9, 2002 20,000 $72.35 Richard M. Ruzika July 9, 2002 2,000 $72.35 Richard A. Sapp July 9, 2002 2,600 $72.35 Charles B. Seelig, Jr. July 9, 2002 5,000 $72.35 Steven M. Shafran July 9, 2002 5,000 $72.35 The James M Sheridan Shares Trust July 9, 2002 5,000 $72.35 Marc A. Spilker July 9, 2002 2,500 $72.35 Melalula Limited July 9, 2002 4,156 $72.35 John R. Tormondsen July 9, 2002 3,000 $72.35 Gary W. Williams July 9, 2002 10,000 $72.35 Mark A. Zurack July 9, 2002 2,100 $72.35 Zachariah Cobrinik July 10, 2002 3,011 $72.73 Vyrona Holdings Limited July 10, 2002 4,433 $72.73 Francis J. Ingrassia July 10, 2002 3,000 $72.73 Robert J. Katz July 10, 2002 2,500 $72.73 David G. Lambert July 10, 2002 1,000 $72.73 Jonathan M. Lopatin July 10, 2002 2,000 $72.73 Michael R. Lynch July 10, 2002 5,000 $72.73 Eff W. Martin July 10, 2002 5,000 $72.73 John P. McNulty July 10, 2002 33,869 $72.73 Robert B. Morris III July 10, 2002 4,404 $72.73 Sharmin Mossavar-Rahmani July 10, 2002 3,000 $72.73 Avi M. Nash July 10, 2002 1,007 $72.73 Greg M. Ostroff July 10, 2002 2,000 $72.73 The Unicorn Trust July 10, 2002 4,586 $72.73 Richard M. Ruzika July 10, 2002 620 $72.73 Richard A. Sapp July 10, 2002 2,600 $72.73 Jonathan S. Savitz July 10, 2002 12,321 $72.73 Steven M. Shafran July 10, 2002 10,000 $72.73 The James M Sheridan Shares Trust July 10, 2002 5,000 $72.73
64
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------- ------------- ---------------- --------------- Marc A. Spilker July 10, 2002 2,500 $72.73 Daniel W. Stanton July 10, 2002 5,000 $72.73 Fredric E. Steck July 10, 2002 5,000 $72.73 Melalula Limited July 10, 2002 4,156 $72.73 John R. Tormondsen July 10, 2002 2,000 $72.73 Steven J. Wisch July 10, 2002 15,000 $72.73 Mark A. Zurack July 10, 2002 2,100 $72.73 David M. Baum July 11, 2002 5,000 $71.40 Zachariah Cobrinik July 11, 2002 3,011 $71.40 John O. Downing July 11, 2002 24,073 $71.40 Nomi P. Ghez July 11, 2002 10,000 $71.40 Vyrona Holdings Limited July 11, 2002 4,433 $71.40 M. Roch Hillenbrand July 11, 2002 10,000 $71.40 Ann F. Kaplan July 11, 2002 15,000 $71.40 Robert J. Katz July 11, 2002 2,500 $71.40 David G. Lambert July 11, 2002 1,599 $71.40 Jonathan M. Lopatin July 11, 2002 2,200 $71.40 Michael R. Lynch July 11, 2002 5,000 $71.40 Eff W. Martin July 11, 2002 5,000 $71.40 Robert B. Morris III July 11, 2002 4,404 $71.40 Sharmin Mossavar-Rahmani July 11, 2002 3,000 $71.40 Edward A. Mule July 11, 2002 6,000 $71.40 Avi M. Nash July 11, 2002 1,007 $71.40 Greg M. Ostroff July 11, 2002 6,000 $71.40 The Unicorn Trust July 11, 2002 4,586 $71.40 The Girish V Reddy 2001 Trust July 11, 2002 4,342 $71.40 Michael S. Rubinoff July 11, 2002 19,515 $71.40 Richard A. Sapp July 11, 2002 2,600 $71.40 The James M Sheridan Shares Trust July 11, 2002 5,000 $71.40 Marc A. Spilker July 11, 2002 5,000 $71.40 Daniel W. Stanton July 11, 2002 5,000 $71.40 Melalula Limited July 11, 2002 4,156 $71.40 John R. Tormondsen July 11, 2002 5,000 $71.40 Gary W. Williams July 11, 2002 5,692 $71.40 Steven J. Wisch July 11, 2002 15,000 $71.40 Mark A. Zurack July 11, 2002 2,100 $71.40 David M. Baum July 12, 2002 5,000 $73.12 Zachariah Cobrinik July 12, 2002 3,011 $73.12 C. Steven Duncker July 12, 2002 15,000 $73.12 Glenn P. Earle July 12, 2002 7,500 $73.12 Nomi P. Ghez July 12, 2002 10,000 $73.12 RJG Holding Company July 12, 2002 76,295 $73.12 Andrew M. Gordon July 12, 2002 7,000 $73.12 Vyrona Holdings Limited July 12, 2002 4,433 $73.12 Robert J. Katz July 12, 2002 2,500 $73.12 David G. Lambert July 12, 2002 1,000 $73.12 Jonathan M. Lopatin July 12, 2002 2,200 $73.12 Ronald G. Marks July 12, 2002 3,345 $73.12
65
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------- ------------- ---------------- --------------- Eff W. Martin July 12, 2002 5,000 $73.12 Robert B. Morris III July 12, 2002 4,404 $73.12 Sharmin Mossavar-Rahmani July 12, 2002 3,000 $73.12 Avi M. Nash July 12, 2002 1,007 $73.12 Greg M. Ostroff July 12, 2002 3,000 $73.12 The Unicorn Trust July 12, 2002 4,586 $73.12 Girish V. Reddy July 12, 2002 5,000 $73.12 Richard A. Sapp July 12, 2002 2,600 $73.12 Joseph Sassoon July 12, 2002 4,000 $73.12 Charles B. Seelig, Jr. July 12, 2002 5,742 $73.12 The James M Sheridan Shares Trust July 12, 2002 5,000 $73.12 Daniel W. Stanton July 12, 2002 5,000 $73.12 Melalula Limited July 12, 2002 4,156 $73.12 Steven J. Wisch July 12, 2002 11,721 $73.12 Mark A. Zurack July 12, 2002 2,100 $73.12 David M. Baum July 15, 2002 4,886 $71.70 Mary Ann Casati July 15, 2002 5,000 $71.70 Timothy D. Dattels July 15, 2002 3,000 $71.70 Robert V. Delaney July 15, 2002 10,000 $71.70 Nomi P. Ghez July 15, 2002 25,000 $71.70 RJG Holding Company July 15, 2002 42,130 $71.70 Vyrona Holdings Limited July 15, 2002 4,433 $71.70 Robert J. Katz July 15, 2002 2,500 $71.70 David G. Lambert July 15, 2002 1,000 $71.70 Jonathan M. Lopatin July 15, 2002 2,400 $71.70 Michael R. Lynch July 15, 2002 5,000 $71.70 Eff W. Martin July 15, 2002 5,000 $71.70 Robert B. Morris III July 15, 2002 4,405 $71.70 Sharmin Mossavar-Rahmani July 15, 2002 3,000 $71.70 Avi M. Nash July 15, 2002 1,007 $71.70 Greg M. Ostroff July 15, 2002 1,000 $71.70 The Unicorn Trust July 15, 2002 4,586 $71.70 Richard A. Sapp July 15, 2002 2,600 $71.70 Charles B. Seelig, Jr. July 15, 2002 5,000 $71.70 The James M Sheridan Shares Trust July 15, 2002 5,000 $71.70 Melalula Limited July 15, 2002 4,156 $71.70 George W. Wellde, Jr. July 15, 2002 5,000 $71.70 Mark A. Zurack July 15, 2002 2,100 $71.70 David M. Baum July 16, 2002 5,000 $72.19 Lawrence R. Buchalter July 16, 2002 15,000 $72.19 Robert V. Delaney July 16, 2002 10,000 $72.19 John O. Downing July 16, 2002 15,000 $72.19 Vyrona Holdings Limited July 16, 2002 4,433 $72.19 Francis J. Ingrassia July 16, 2002 3,000 $72.19 Ann F. Kaplan July 16, 2002 15,000 $72.19 Robert J. Katz July 16, 2002 2,500 $72.19 Jonathan M. Lopatin July 16, 2002 2,400 $72.19 Michael R. Lynch July 16, 2002 10,000 $72.19
66
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------- ------------- ---------------- --------------- Eff W. Martin July 16, 2002 3,000 $72.19 Robert B. Morris III July 16, 2002 4,405 $72.19 Sharmin Mossavar-Rahmani July 16, 2002 3,000 $72.19 Edward A. Mule July 16, 2002 7,000 $72.19 Avi M. Nash July 16, 2002 1,007 $72.19 The Unicorn Trust July 16, 2002 4,586 $72.19 Girish V. Reddy July 16, 2002 7,500 $72.19 Simon M. Robertson July 16, 2002 20,000 $72.19 Richard A. Sapp July 16, 2002 2,600 $72.19 Muneer A. Satter July 16, 2002 10,000 $72.19 Charles B. Seelig, Jr. July 16, 2002 5,000 $72.19 Steven M. Shafran July 16, 2002 5,000 $72.19 The James M Sheridan Shares Trust July 16, 2002 1,769 $72.19 Howard A. Silverstein July 16, 2002 1,000 $72.19 Marc A. Spilker July 16, 2002 11,324 $72.19 Daniel W. Stanton July 16, 2002 5,000 $72.19 Melalula Limited July 16, 2002 4,156 $72.19 Mark R. Tercek July 16, 2002 18,000 $72.19 Mark A. Zurack July 16, 2002 2,100 $72.19 Lawrence R. Buchalter July 17, 2002 21,191 $73.66 Robert V. Delaney July 17, 2002 10,000 $73.66 Glenn P. Earle July 17, 2002 7,808 $73.66 Aubrey Ellis, Jr. July 17, 2002 2,000 $73.66 Peter C. Gerhard July 17, 2002 11,000 $73.66 Nomi P. Ghez July 17, 2002 25,000 $73.66 Eric P. Grubman July 17, 2002 50,000 $73.66 Vyrona Holdings Limited July 17, 2002 4,433 $73.66 David Heinz July 17, 2002 6,064 $73.66 Mary C. Henry July 17, 2002 2,000 $73.66 M. Roch Hillenbrand July 17, 2002 10,000 $73.66 Jacquelyn M. Hoffman-Zehner July 17, 2002 30,335 $73.66 Fern K. Hurst July 17, 2002 3,401 $73.66 Ann F. Kaplan July 17, 2002 15,000 $73.66 Robert J. Katz July 17, 2002 2,500 $73.66 Jonathan M. Lopatin July 17, 2002 2,400 $73.66 Michael R. Lynch July 17, 2002 5,248 $73.66 Eff W. Martin July 17, 2002 4,500 $73.66 Robert B. Morris III July 17, 2002 4,405 $73.66 Sharmin Mossavar-Rahmani July 17, 2002 4,000 $73.66 Edward A. Mule July 17, 2002 5,000 $73.66 Avi M. Nash July 17, 2002 1,007 $73.66 The Unicorn Trust July 17, 2002 4,586 $73.66 J. David Rogers July 17, 2002 10,000 $73.66 Richard A. Sapp July 17, 2002 2,841 $73.66 Joseph Sassoon July 17, 2002 5,000 $73.66 Tsutomu Sato July 17, 2002 10,000 $73.66 Muneer A. Satter July 17, 2002 10,000 $73.66 Howard A. Silverstein July 17, 2002 1,000 $73.66
67
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------- ------------- ---------------- --------------- Daniel W. Stanton July 17, 2002 5,000 $73.66 Fredric E. Steck July 17, 2002 5,000 $73.66 Melalula Limited July 17, 2002 4,156 $73.66 M.B. Turnbull Pty, Limited July 17, 2002 10,000 $73.66 John E. Urban July 17, 2002 5,296 $73.66 Gregory H. Zehner July 17, 2002 38,927 $73.66 Mark A. Zurack July 17, 2002 2,100 $73.66 Zachariah Cobrinik July 18, 2002 6,024 $75.24 Carlos A. Cordeiro July 18, 2002 60,000 $75.24 Timothy D. Dattels July 18, 2002 17,000 $75.24 Robert V. Delaney July 18, 2002 10,000 $75.24 John O. Downing July 18, 2002 15,000 $75.24 C. Steven Duncker July 18, 2002 15,000 $75.24 Paul S. Efron July 18, 2002 10,000 $75.24 Edward C. Forst July 18, 2002 10,000 $75.24 Nomi P. Ghez July 18, 2002 50,000 $75.24 Joseph H. Gleberman July 18, 2002 20,000 $75.24 Thomas J. Healey July 18, 2002 50,000 $75.24 Vyrona Holdings Limited July 18, 2002 4,433 $75.24 David L. Henle July 18, 2002 5,000 $75.24 Mary C. Henry July 18, 2002 4,000 $75.24 Fern K. Hurst July 18, 2002 5,000 $75.24 Francis J. Ingrassia July 18, 2002 15,000 $75.24 Ann F. Kaplan July 18, 2002 15,000 $75.24 Robert J. Katz July 18, 2002 2,500 $75.24 Jonathan L. Kolatch July 18, 2002 20,000 $75.24 Jonathan M. Lopatin July 18, 2002 2,422 $75.24 Eff W. Martin July 18, 2002 500 $75.24 Robert B. Morris III July 18, 2002 4,404 $75.24 Sharmin Mossavar-Rahmani July 18, 2002 10,000 $75.24 Edward A. Mule July 18, 2002 7,000 $75.24 Avi M. Nash July 18, 2002 1,007 $75.24 Greg M. Ostroff July 18, 2002 1,677 $75.24 The Unicorn Trust July 18, 2002 4,586 $75.24 Michael A. Price July 18, 2002 10,000 $75.24 Girish V. Reddy July 18, 2002 4,253 $75.24 Richard A. Sapp July 18, 2002 2,600 $75.24 Joseph Sassoon July 18, 2002 3,000 $75.24 Steven M. Shafran July 18, 2002 5,000 $75.24 Howard A. Silverstein July 18, 2002 1,000 $75.24 Daniel W. Stanton July 18, 2002 4,000 $75.24 Melalula Limited July 18, 2002 4,156 $75.24 Gene T. Sykes July 18, 2002 30,000 $75.24 George W. Wellde, Jr. July 18, 2002 53,079 $75.24 Mark A. Zurack July 18, 2002 2,100 $75.24 Armen A. Avanessians July 19, 2002 70,000 $73.92 Milton R. Berlinski July 19, 2002 20,000 $73.92 David W. Blood July 19, 2002 60,951 $73.92
68
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------- ------------- ---------------- --------------- Mary Ann Casati July 19, 2002 4,000 $73.92 Zachariah Cobrinik July 19, 2002 6,024 $73.92 Carlos A. Cordeiro July 19, 2002 19,819 $73.92 Timothy D. Dattels July 19, 2002 19,463 $73.92 Gavyn Davies July 19, 2002 125,000 $73.92 David A. Dechman July 19, 2002 20,000 $73.92 Mark Dehnert Living Trust July 19, 2002 10,888 $73.92 Robert V. Delaney July 19, 2002 10,000 $73.92 Paul S. Efron July 19, 2002 11,681 $73.92 Aubrey Ellis, Jr. July 19, 2002 3,000 $73.92 Christopher G. French July 19, 2002 20,000 $73.92 Peter C. Gerhard July 19, 2002 20,000 $73.92 Nomi P. Ghez July 19, 2002 10,000 $73.92 Joseph H. Gleberman July 19, 2002 80,000 $73.92 Jeffrey B. Goldenberg July 19, 2002 10,000 $73.92 Andrew M. Gordon July 19, 2002 8,000 $73.92 Thomas J. Healey July 19, 2002 15,796 $73.92 Vyrona Holdings Limited July 19, 2002 4,426 $73.92 David B. Heller July 19, 2002 63,749 $73.92 Mary C. Henry July 19, 2002 6,000 $73.92 Fern K. Hurst July 19, 2002 5,000 $73.92 Francis J. Ingrassia July 19, 2002 14,009 $73.92 Chansoo Joung July 19, 2002 30,000 $73.92 Ann F. Kaplan July 19, 2002 15,965 $73.92 Robert J. Katz July 19, 2002 5,000 $73.92 Bradford C. Koenig July 19, 2002 34,754 $73.92 Jonathan L. Kolatch July 19, 2002 26,194 $73.92 Thomas D. Lasersohn July 19, 2002 24,521 $73.92 Jonathan M. Lopatin July 19, 2002 2,422 $73.92 Robert B. Morris III July 19, 2002 4,404 $73.92 R. Scott Morris July 19, 2002 1,000 $73.92 Sharmin Mossavar-Rahmani July 19, 2002 10,000 $73.92 Edward A. Mule July 19, 2002 40,000 $73.92 Thomas S. Murphy, Jr. July 19, 2002 10,000 $73.92 Avi M. Nash July 19, 2002 1,006 $73.92 Majix Limited July 19, 2002 30,000 $73.92 Terence M. O'Toole July 19, 2002 100,000 $73.92 Robert J. Pace July 19, 2002 13,305 $73.92 The Unicorn Trust July 19, 2002 4,591 $73.92 Michael A. Price July 19, 2002 15,000 $73.92 Scott S. Prince July 19, 2002 17,429 $73.92 Michael G. Rantz July 19, 2002 41,288 $73.92 Girish V. Reddy July 19, 2002 4,000 $73.92 Simon M. Robertson July 19, 2002 20,000 $73.92 J. David Rogers July 19, 2002 20,000 $73.92 Chambolle Limited July 19, 2002 12,589 $73.92 Richard A. Sapp July 19, 2002 2,600 $73.92
69
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------- ------------- ---------------- --------------- Joseph Sassoon July 19, 2002 5,000 $73.92 Muneer A. Satter July 19, 2002 15,000 $73.92 Antoine Schwartz July 19, 2002 26,174 $73.92 Mark Schwartz July 19, 2002 50,000 $73.92 Michael S. Sherwood July 19, 2002 50,000 $73.92 Howard A. Silverstein July 19, 2002 5,000 $73.92 Cody J Smith July 19, 2002 50,000 $73.92 Daniel W. Stanton July 19, 2002 4,000 $73.92 Melalula Limited July 19, 2002 4,147 $73.92 Gene T. Sykes July 19, 2002 30,000 $73.92 Mark R. Tercek July 19, 2002 16,653 $73.92 Thomas E. Tuft July 19, 2002 47,949 $73.92 M.B. Turnbull Pty, Limited July 19, 2002 14,581 $73.92 Thomas B. Walker III July 19, 2002 33,326 $73.92 Kendrick R. Wilson III July 19, 2002 30,000 $73.92 Mark A. Zurack July 19, 2002 3,326 $73.92 OTHER SALES Charles T. Harris III July 1, 2001 6,000 $73.80 Charles T. Harris III July 1, 2001 10,000 $73.80 Charles T. Harris III July 8, 2002 3,000 $74.12 Charles T. Harris III July 8, 2002 7,000 $74.12 Christopher K. Norton July 11, 2002 10,000 $71.50 Jaime E. Yordan July 18, 2002 10,000 $75.00
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 - -------------- ---------- ---------------- --------------- Ben Halim,Tarek M July 1, 2002 905 $72.55 Ben Halim,Tarek M July 1, 2002 907 $72.55 Ben Halim,Tarek M July 1, 2002 1,176 $72.55 Ben Halim,Tarek M July 1, 2002 2,152 $72.55 Bradford III,Charles C July 1, 2002 2,296 $72.55 Bradford III,Charles C July 1, 2002 2,296 $72.55 Byron,Mary D July 1, 2002 400 $72.55 Christie,Robert J July 1, 2002 1,529 $72.55 Christie,Robert J July 1, 2002 1,529 $72.55 Connolly,Thomas G July 1, 2002 1,142 $72.55 Connolly,Thomas G July 1, 2002 1,142 $72.55 Connolly,Thomas G July 1, 2002 3,261 $72.55 Coutts,Eric J July 1, 2002 1,500 $72.55 De Vecchi,Luigi July 1, 2002 2,000 $72.55 Dingemans,Simon July 1, 2002 1,189 $72.55 Dingemans,Simon July 1, 2002 1,960 $72.55 Dingemans,Simon July 1, 2002 2,351 $72.55 Dudley,William C July 1, 2002 124 $72.55 Dudley,William C July 1, 2002 859 $72.55
70
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - -------------- ---------- ---------------- --------------- Dudley,William C July 1, 2002 860 $72.55 Dudley,William C July 1, 2002 2,257 $72.55 Fuge,C. Douglas July 1, 2002 4,133 $72.55 Hughes,Terry P July 1, 2002 1,013 $72.55 Jick,Daniel J July 1, 2002 3,088 $72.55 Lichtenauer,Stephen C July 1, 2002 1,000 $72.55 Limaye,Ryan D July 1, 2002 1,007 $72.55 Longerstaey,Jacques M July 1, 2002 490 $72.55 Longerstaey,Jacques M July 1, 2002 490 $72.55 Longerstaey,Jacques M July 1, 2002 750 $72.55 Lundeen,Kevin L July 1, 2002 593 $72.55 Marshall,David J July 1, 2002 100 $72.55 Martin,Jacques July 1, 2002 200 $72.55 Miele,Michael R July 1, 2002 4,000 $72.55 Moffitt,Douglas D July 1, 2002 1,309 $72.55 Moffitt,Douglas D July 1, 2002 2,949 $72.55 Piedra Jr.,Alberto M July 1, 2002 762 $72.55 Piedra Jr.,Alberto M July 1, 2002 5,293 $72.55 Pruett,Steven D July 1, 2002 747 $72.55 Pruett,Steven D July 1, 2002 1,300 $72.55 Pruett,Steven D July 1, 2002 1,473 $72.55 Ross,Ivan July 1, 2002 3,600 $72.55 Sloan,Jeffrey S July 1, 2002 358 $72.55 Sloan,Jeffrey S July 1, 2002 1,549 $72.55 Stuart,Andrew J July 1, 2002 743 $72.55 Stuart,Andrew J July 1, 2002 2,717 $72.55 Sulzberger,Johannes R July 1, 2002 172 $72.55 Sulzberger,Johannes R July 1, 2002 536 $72.55 Turkanis,Barry S July 1, 2002 7,022 $72.55 Weil,David M July 1, 2002 200 $72.55 Beinner,Jonathan A July 2, 2002 991 $70.44 Ben Halim,Tarek M July 2, 2002 1,586 $70.44 Ben Halim,Tarek M July 2, 2002 1,618 $70.44 Ben Halim,Tarek M July 2, 2002 2,069 $70.44 Bender,Jordan M July 2, 2002 400 $70.44 Campbell,John D July 2, 2002 1,500 $70.44 Connor,Frank T July 2, 2002 3,200 $70.44 Dees,Daniel L July 2, 2002 500 $70.44 Enzer,Earl S July 2, 2002 1,000 $70.44 Enzer,Earl S July 2, 2002 1,561 $70.44 Hayen,Isabelle July 2, 2002 1,000 $70.44 Hitchner,Kenneth W July 2, 2002 303 $70.44 Hitchner,Kenneth W July 2, 2002 834 $70.44 Hitchner,Kenneth W July 2, 2002 1,863 $70.44 Houle,Thomas J July 2, 2002 1,000 $70.44 Kaplan,David A July 2, 2002 690 $70.44 Kaplan,David A July 2, 2002 1,810 $70.44 Kogan,Mark J July 2, 2002 3,658 $70.44 Kogan,Mark J July 2, 2002 15,602 $70.44 Larson,Bruce M July 2, 2002 1,041 $70.44 Larson,Bruce M July 2, 2002 1,041 $70.44 Larson,Bruce M July 2, 2002 2,733 $70.44 Larson,Bruce M July 2, 2002 11,332 $70.44
71
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - -------------- ---------- ---------------- --------------- Limaye,Ryan D July 2, 2002 1,000 $70.44 Lundeen,Kevin L July 2, 2002 1,000 $70.44 Mahoney,Sean O July 2, 2002 10,000 $70.44 McCabe,John J July 2, 2002 799 $70.44 Rosenstein,Richard J July 2, 2002 2,500 $70.44 Schwartz,Harvey M July 2, 2002 7,995 $70.44 Weil,David M July 2, 2002 200 $70.44 Agran,Gregory A July 3, 2002 5,000 $69.91 Dees,Daniel L July 3, 2002 600 $69.91 Eoyang,Christopher H July 3, 2002 2,151 $69.91 Esposito,Michael P July 3, 2002 2,548 $69.91 Esposito,Michael P July 3, 2002 7,217 $69.91 Gheewalla,Robert R July 3, 2002 1,100 $69.91 Karp,James M July 3, 2002 1,469 $69.91 Karp,James M July 3, 2002 1,698 $69.91 Karp,James M July 3, 2002 1,812 $69.91 Keusch,Lawrence S July 3, 2002 1,970 $69.91 Lauto,John J July 3, 2002 790 $69.91 Lieb,Richard J July 3, 2002 4,000 $69.91 Mather,Blake W July 3, 2002 599 $69.91 Meron,Amos July 3, 2002 3,000 $69.91 Miller,Therese L July 3, 2002 1,000 $69.91 Noe-Nordberg,Markus J July 3, 2002 140 $69.91 Noe-Nordberg,Markus J July 3, 2002 535 $69.91 Resnick,Jeffrey A July 3, 2002 1,000 $69.91 Stuart,Andrew J July 3, 2002 1,000 $69.91 Stuart,Andrew J July 3, 2002 3,000 $69.91 Willman,Kenneth W July 3, 2002 145 $69.91 Willman,Kenneth W July 3, 2002 1,142 $69.91 Wishart,Michael S July 3, 2002 10,234 $69.91 Frisch,Matthias K July 5, 2002 200 $72.40 Martin,Jacques July 5, 2002 200 $72.40 Meron,Amos July 5, 2002 2,000 $72.40 Smith,Trevor A July 5, 2002 500 $72.40 Bender,Jordan M July 8, 2002 500 $73.65 Camp,Elizabeth V July 8, 2002 1,582 $73.65 Chiaramonte,Sacha A July 8, 2002 1,000 $73.65 Christie,Robert J July 8, 2002 3,000 $73.65 Dees,Daniel L July 8, 2002 700 $73.65 Frisch,Matthias K July 8, 2002 300 $73.65 Hayen,Isabelle July 8, 2002 4,425 $73.65 Lane,Eric S July 8, 2002 242 $73.65 Leet,Kenneth H.M. July 8, 2002 5,211 $73.65 Leland,Todd W July 8, 2002 587 $73.65 Leland,Todd W July 8, 2002 1,798 $73.65 Levin,Ronald S July 8, 2002 1,422 $73.65 Levin,Ronald S July 8, 2002 1,582 $73.65 Lieb,Richard J July 8, 2002 2,600 $73.65 Limaye,Ryan D July 8, 2002 700 $73.65 Loudiadis,Antigone July 8, 2002 1,285 $73.65 Loudiadis,Antigone July 8, 2002 1,285 $73.65 Loudiadis,Antigone July 8, 2002 3,084 $73.65 Loudiadis,Antigone July 8, 2002 3,484 $73.65
72
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - -------------- ---------- ---------------- --------------- Lundeen,Kevin L July 8, 2002 719 $73.65 Lundeen,Kevin L July 8, 2002 1,484 $73.65 Martin,Jacques July 8, 2002 200 $73.65 Meron,Amos July 8, 2002 2,000 $73.65 Singh,Ravi M July 8, 2002 2,511 $73.65 Stuart,Andrew J July 8, 2002 2,242 $73.65 Ueda,Eiji July 8, 2002 3,143 $73.65 Weil,David M July 8, 2002 300 $73.65 Woodruff,Jon A July 8, 2002 1,500 $73.65 Barter,Christopher M July 9, 2002 175 $72.12 Barter,Christopher M July 9, 2002 1,285 $72.12 Barter,Christopher M July 9, 2002 2,090 $72.12 Bender,Jordan M July 9, 2002 680 $72.12 Bleiberg,Abraham July 9, 2002 64 $72.12 Bleiberg,Abraham July 9, 2002 94 $72.12 Bleiberg,Abraham July 9, 2002 260 $72.12 Buisseret,Mark J July 9, 2002 759 $72.12 Buisseret,Mark J July 9, 2002 760 $72.12 Buisseret,Mark J July 9, 2002 3,733 $72.12 Campbell,John D July 9, 2002 1,000 $72.12 Carlebach,Mark J July 9, 2002 323 $72.12 Carlebach,Mark J July 9, 2002 705 $72.12 Christie,Robert J July 9, 2002 1,014 $72.12 Christie,Robert J July 9, 2002 1,986 $72.12 Dees,Daniel L July 9, 2002 365 $72.12 DiSabato,Joseph P July 9, 2002 1,250 $72.12 Estey,George C July 9, 2002 2,500 $72.12 Jacobe Jr,Ronald H July 9, 2002 2,482 $72.12 Jacobe Jr,Ronald H July 9, 2002 9,924 $72.12 Khandalavala,Rustom N July 9, 2002 416 $72.12 Khandalavala,Rustom N July 9, 2002 1,584 $72.12 Londal,Douglas F July 9, 2002 2,000 $72.12 Marshall,David J July 9, 2002 31 $72.12 Marshall,David J July 9, 2002 909 $72.12 Mather,Blake W July 9, 2002 1,003 $72.12 Paradise,James R July 9, 2002 666 $72.12 Paradise,James R July 9, 2002 871 $72.12 Paradise,James R July 9, 2002 935 $72.12 Porges,Ellen R July 9, 2002 15 $72.12 Porges,Ellen R July 9, 2002 293 $72.12 Reizenstein,Anthony J July 9, 2002 4,700 $72.12 Sinha,Ravi July 9, 2002 11,991 $72.12 Stuart,Andrew J July 9, 2002 3,274 $72.12 Turkanis,Barry S July 9, 2002 2,000 $72.12 Vaske,John J July 9, 2002 2,159 $72.12 Weil,David M July 9, 2002 400 $72.12 Willian,John S July 9, 2002 500 $72.12 Bender,Jordan M July 10, 2002 161 $73.03 Bender,Jordan M July 10, 2002 539 $73.03 Campbell,John D July 10, 2002 1,151 $73.03 Daffey,Michael D July 10, 2002 1,344 $73.03 Daffey,Michael D July 10, 2002 2,604 $73.03 Eberts III,Kenneth M July 10, 2002 750 $73.03
73
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - -------------- ---------- ---------------- --------------- Grieve,Peter W July 10, 2002 2,432 $73.03 Grieve,Peter W July 10, 2002 3,742 $73.03 Grieve,Peter W July 10, 2002 3,748 $73.03 Grip,Douglas C July 10, 2002 5,000 $73.03 Khandalavala,Rustom N July 10, 2002 2,869 $73.03 Leadem,Susan R July 10, 2002 4,500 $73.03 Lichtenauer,Stephen C July 10, 2002 1,000 $73.03 Lyon III,Richard E July 10, 2002 497 $73.03 Lyon III,Richard E July 10, 2002 1,503 $73.03 Martin,Jacques July 10, 2002 300 $73.03 McCabe,John J July 10, 2002 22 $73.03 McCabe,John J July 10, 2002 179 $73.03 McNamara Jr,Gerald C July 10, 2002 1,000 $73.03 Mendelson,Michael A July 10, 2002 400 $73.03 Meron,Amos July 10, 2002 2,502 $73.03 Nydick,Jay S July 10, 2002 991 $73.03 Nydick,Jay S July 10, 2002 991 $73.03 Schechner,P. Sheridan July 10, 2002 5,000 $73.03 Tebbe,Greg W July 10, 2002 499 $73.03 Tebbe,Greg W July 10, 2002 1,000 $73.03 Tebbe,Greg W July 10, 2002 1,501 $73.03 Weil,David M July 10, 2002 200 $73.03 Wietschner,C. Howard July 10, 2002 107 $73.03 Wietschner,C. Howard July 10, 2002 283 $73.03 Willetts,Susan A July 10, 2002 6,000 $73.03 York Jr,W. Thomas July 10, 2002 3,000 $73.03 Barrett,Adam P July 11, 2002 1,282 $71.17 Barrett,Adam P July 11, 2002 1,482 $71.17 Barrett,Adam P July 11, 2002 2,650 $71.17 Cruz,Eduardo A July 11, 2002 1,000 $71.17 Devenport,Andrew C July 11, 2002 1,006 $71.17 DiSabato,Joseph P July 11, 2002 625 $71.17 Gheewalla,Robert R July 11, 2002 745 $71.17 Harmon,Mary L July 11, 2002 822 $71.17 Hay,Stephen J July 11, 2002 5,000 $71.17 Kaugher,David K July 11, 2002 400 $71.17 Kelly,John L July 11, 2002 2,358 $71.17 Kelly,John L July 11, 2002 4,142 $71.17 Khandalavala,Rustom N July 11, 2002 575 $71.17 Khandalavala,Rustom N July 11, 2002 803 $71.17 Khandalavala,Rustom N July 11, 2002 1,122 $71.17 Kingshott,Adrian P July 11, 2002 2,567 $71.17 Kingshott,Adrian P July 11, 2002 3,293 $71.17 Martin,Jacques July 11, 2002 200 $71.17 Metcalfe,Andrew L July 11, 2002 2,321 $71.17 Norton,Christopher K July 11, 2002 6,735 $71.17 Quinn,Kevin A July 11, 2002 2,000 $71.17 Quinn,Kevin A July 11, 2002 2,000 $71.17 Smith,Trevor A July 11, 2002 114 $71.17 Smith,Trevor A July 11, 2002 736 $71.17 Stuart,Andrew J July 11, 2002 4,000 $71.17 Willian,John S July 11, 2002 507 $71.17 Wolf Jr,William H July 11, 2002 595 $71.17
74
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - -------------- ---------- ---------------- --------------- Young,Richard M July 11, 2002 85 $71.17 Young,Richard M July 11, 2002 616 $71.17 Young,Richard M July 11, 2002 943 $71.17 Bernstein,Stuart N July 12, 2002 827 $73.09 Blumenthal,Randall A July 12, 2002 1,779 $73.09 Bott,Charles W.A. July 12, 2002 1,000 $73.09 Cole,Timothy J July 12, 2002 700 $73.09 Cole,Timothy J July 12, 2002 1,252 $73.09 Cramer,Brahm S July 12, 2002 7,312 $73.09 Curtis,John W July 12, 2002 2,000 $73.09 Eberts III,Kenneth M July 12, 2002 380 $73.09 Estey,George C July 12, 2002 1,500 $73.09 Estey,George C July 12, 2002 1,500 $73.09 Frisch,Matthias K July 12, 2002 200 $73.09 Guth,Celeste A July 12, 2002 1,000 $73.09 Jevon,Thomas July 12, 2002 1,000 $73.09 Kiernan Jr,James T July 12, 2002 1,636 $73.09 Kiernan Jr,James T July 12, 2002 1,991 $73.09 Lane,Eric S July 12, 2002 150 $73.09 Lieb,Richard J July 12, 2002 3,303 $73.09 Martin,Jacques July 12, 2002 300 $73.09 Negus,Warwick M July 12, 2002 131 $73.09 Negus,Warwick M July 12, 2002 170 $73.09 Negus,Warwick M July 12, 2002 197 $73.09 Negus,Warwick M July 12, 2002 497 $73.09 Rafter,John J July 12, 2002 867 $73.09 Rafter,John J July 12, 2002 868 $73.09 Rafter,John J July 12, 2002 4,787 $73.09 Sanders,J. Michael July 12, 2002 1,000 $73.09 Sanders,J. Michael July 12, 2002 1,000 $73.09 Sullivan,Patrick July 12, 2002 1,085 $73.09 Sullivan,Patrick July 12, 2002 1,086 $73.09 Sullivan,Patrick July 12, 2002 3,000 $73.09 Vaske,John J July 12, 2002 1,341 $73.09 Weil,David M July 12, 2002 200 $73.09 Wickman,A Carver July 12, 2002 542 $73.09 Wickman,A Carver July 12, 2002 958 $73.09 Williams,Christopher G July 12, 2002 563 $73.09 Williams,Christopher G July 12, 2002 2,008 $73.09 Woodruff,Jon A July 12, 2002 304 $73.09 Woodruff,Jon A July 12, 2002 369 $73.09 Burton,Michael S July 15, 2002 6,371 $71.45 Cooper,Philip A July 15, 2002 2,974 $71.45 Coutts,Eric J July 15, 2002 1,334 $71.45 de Vecchi,Luigi July 15, 2002 1,000 $71.45 Docharty,Michele I July 15, 2002 1,000 $71.45 Knight,Jonathan R July 15, 2002 5,237 $71.45 Leet,Kenneth H.M. July 15, 2002 10,000 $71.45 Lichtenauer,Stephen C July 15, 2002 1,589 $71.45 Martin,Jacques July 15, 2002 200 $71.45 Nagai,Michiya July 15, 2002 831 $71.45 Shiga Murayama,Rie July 15, 2002 600 $71.45 Throsby,Timothy J July 15, 2002 2,497 $71.45
75
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - -------------- ---------- ---------------- --------------- Toki,Daisuke July 15, 2002 1,566 $71.45 Auerbach,Neil Z July 16, 2002 100 $72.17 Christie,Robert J July 16, 2002 3,000 $72.17 Devenport,Andrew C July 16, 2002 200 $72.17 Devenport,Andrew C July 16, 2002 1,710 $72.17 DiSabato,Joseph P July 16, 2002 1,100 $72.17 Estey,George C July 16, 2002 2 $72.17 Estey,George C July 16, 2002 998 $72.17 Giglio,Gary T July 16, 2002 936 $72.17 Giglio,Gary T July 16, 2002 1,064 $72.17 Guzman,Douglas A July 16, 2002 998 $72.17 Guzman,Douglas A July 16, 2002 3,741 $72.17 Hutcherson,Walter V July 16, 2002 835 $72.17 Lewis,P. Jeremy July 16, 2002 720 $72.17 Lewis,P. Jeremy July 16, 2002 1,129 $72.17 Lewis,P. Jeremy July 16, 2002 1,802 $72.17 Lieb,Richard J July 16, 2002 3,300 $72.17 Londal,Douglas F July 16, 2002 2,000 $72.17 Martin,Jacques July 16, 2002 203 $72.17 Meron,Amos July 16, 2002 2,000 $72.17 O'Hagan,L. Peter July 16, 2002 664 $72.17 O'Hagan,L. Peter July 16, 2002 2,205 $72.17 Porges,Ellen R July 16, 2002 30 $72.17 Porges,Ellen R July 16, 2002 1,470 $72.17 Scudellari,David J July 16, 2002 5,148 $72.17 Simpson,Christine A July 16, 2002 1,331 $72.17 Sulzberger,Johannes R July 16, 2002 1,000 $72.17 Turkanis,Barry S July 16, 2002 1,000 $72.17 Weil,David M July 16, 2002 325 $72.17 Weinstein,Scott R July 16, 2002 400 $72.17 Wildermuth,David D July 16, 2002 283 $72.17 Woodruff,Jon A July 16, 2002 750 $72.17 Brown,Melissa R July 17, 2002 500 $73.66 Bu,John J July 17, 2002 10,000 $73.66 Chisholm II,W Reed July 17, 2002 1,158 $73.66 Eberts III,Kenneth M July 17, 2002 525 $73.66 Holzer,Philip July 17, 2002 551 $73.66 Hutcherson,Walter V July 17, 2002 1,000 $73.66 Klingher,Michael K July 17, 2002 1,026 $73.66 Klingher,Michael K July 17, 2002 1,619 $73.66 Lichtenauer,Stephen C July 17, 2002 1,000 $73.66 Martin,Jacques July 17, 2002 500 $73.66 Meerschwam,David M July 17, 2002 4,900 $73.66 Meron,Amos July 17, 2002 2,000 $73.66 Noble,Susan M July 17, 2002 1,000 $73.66 Noble,Susan M July 17, 2002 1,008 $73.66 Ross,Ivan July 17, 2002 1,000 $73.66 Weil,David M July 17, 2002 400 $73.66 Barakat,John S July 18, 2002 6,691 $75.09 Bender,Jordan M July 18, 2002 500 $75.09 Bender,Jordan M July 18, 2002 500 $75.09 Bernbaum,Anthony D July 18, 2002 604 $75.09 Bernbaum,Anthony D July 18, 2002 890 $75.09
76
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - -------------- ---------- ---------------- --------------- Bertuzzi,John D July 18, 2002 1,345 $75.09 Bott,Charles W.A. July 18, 2002 2,000 $75.09 Bram,Benjamin S July 18, 2002 1,374 $75.09 Christie,Robert J July 18, 2002 4,400 $75.09 Cole,Timothy J July 18, 2002 542 $75.09 Cruz,Eduardo A July 18, 2002 1,350 $75.09 DiSabato,Joseph P July 18, 2002 1,623 $75.09 Docharty,Michele I July 18, 2002 776 $75.09 Duvnjak,Karlo J July 18, 2002 1,000 $75.09 Duvnjak,Karlo J July 18, 2002 3,564 $75.09 Eberts III,Kenneth M July 18, 2002 533 $75.09 Estey,George C July 18, 2002 2,000 $75.09 Ettenger,Mark D July 18, 2002 3,723 $75.09 Feldman,Steven M July 18, 2002 3,242 $75.09 Feldman,Steven M July 18, 2002 4,000 $75.09 Gheewalla,Robert R July 18, 2002 1,500 $75.09 Hoogkamp,Gregory T July 18, 2002 1,503 $75.09 Housden,Michael R July 18, 2002 718 $75.09 Hughes,Terry P July 18, 2002 2,000 $75.09 Jessop,Andrew R July 18, 2002 444 $75.09 Jessop,Andrew R July 18, 2002 755 $75.09 Kaplan,David A July 18, 2002 94 $75.09 Kaplan,David A July 18, 2002 105 $75.09 Kaplan,David A July 18, 2002 1,843 $75.09 Kaugher,David K July 18, 2002 400 $75.09 Labbat,Peter July 18, 2002 600 $75.09 Lane,Eric S July 18, 2002 148 $75.09 Lenterman,Remco O July 18, 2002 2,000 $75.09 Liddell,Roger A July 18, 2002 2,000 $75.09 Lightburn,Richard C July 18, 2002 4,000 $75.09 Londal,Douglas F July 18, 2002 4,500 $75.09 Longo,Joseph July 18, 2002 1,285 $75.09 Luethke,Michael C July 18, 2002 1,200 $75.09 Luethke,Michael C July 18, 2002 1,538 $75.09 Luethke,Michael C July 18, 2002 7,371 $75.09 Mahoney,Sean O July 18, 2002 8,783 $75.09 Martin,Jacques July 18, 2002 500 $75.09 Nedelman,Jeffrey P July 18, 2002 1,356 $75.09 Nedelman,Jeffrey P July 18, 2002 1,518 $75.09 Niedermayer,Theodore E July 18, 2002 1,022 $75.09 Niedermayer,Theodore E July 18, 2002 1,394 $75.09 Phillips,Paul A July 18, 2002 500 $75.09 Phillips,Paul A July 18, 2002 1,000 $75.09 Sanders,J. Michael July 18, 2002 6,000 $75.09 Schapira,Paul S July 18, 2002 231 $75.09 Schechner,P. Sheridan July 18, 2002 2,500 $75.09 Sparks,Daniel L July 18, 2002 2,000 $75.09 Truell,Daniel July 18, 2002 720 $75.09 Ueda,Eiji July 18, 2002 3,000 $75.09 Varadhan,Ashok July 18, 2002 12,797 $75.09 Voon,David H July 18, 2002 2,000 $75.09 Walton,David R July 18, 2002 2,304 $75.09 Weil,David M July 18, 2002 500 $75.09
77
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - -------------- ---------- ---------------- --------------- Weinstein,Scott R July 18, 2002 500 $75.09 Wietschner,C. Howard July 18, 2002 200 $75.09 Wildermuth,David D July 18, 2002 287 $75.09 Willman,Kenneth W July 18, 2002 500 $75.09 Wolf Jr,William H July 18, 2002 595 $75.09 Woodruff,Jon A July 18, 2002 1,750 $75.09 Ashdown,John A July 19, 2002 1,000 $72.95 Ashdown,John A July 19, 2002 1,862 $72.95 Ashdown,John A July 19, 2002 3,374 $72.95 Bell,Janet L July 19, 2002 1,000 $72.95 Bernstein,Stuart N July 19, 2002 827 $72.95 Bernstein,Stuart N July 19, 2002 1,000 $72.95 Bertuzzi,John D July 19, 2002 2,500 $72.95 Blessing,Dorothee July 19, 2002 372 $72.95 Bradford III,Charles C July 19, 2002 2,331 $72.95 Brady,George M July 19, 2002 292 $72.95 Calcano,Lawrence V July 19, 2002 1,197 $72.95 Calcano,Lawrence V July 19, 2002 1,198 $72.95 Calcano,Lawrence V July 19, 2002 4,437 $72.95 Calcano,Lawrence V July 19, 2002 8,168 $72.95 Carhart,Mark M July 19, 2002 732 $72.95 Carhart,Mark M July 19, 2002 1,300 $72.95 Carhart,Mark M July 19, 2002 1,300 $72.95 Chisholm II,W Reed July 19, 2002 1,278 $72.95 Christie,Robert J July 19, 2002 4,381 $72.95 Comisar,Peter H July 19, 2002 1,069 $72.95 Comisar,Peter H July 19, 2002 1,725 $72.95 Cruz,Eduardo A July 19, 2002 532 $72.95 Cruz,Eduardo A July 19, 2002 1,133 $72.95 Daines,Linda S July 19, 2002 2,000 $72.95 De Giorgi,Diego July 19, 2002 712 $72.95 De Giorgi,Diego July 19, 2002 1,839 $72.95 Devenish,Martin R July 19, 2002 700 $72.95 Devenish,Martin R July 19, 2002 1,369 $72.95 DiSabato,Joseph P July 19, 2002 1,623 $72.95 Dominick,Paula A July 19, 2002 1,973 $72.95 Dominick,Paula A July 19, 2002 2,027 $72.95 Duet,Donald J July 19, 2002 362 $72.95 Duet,Donald J July 19, 2002 743 $72.95 Duet,Donald J July 19, 2002 764 $72.95 Duvnjak,Karlo J July 19, 2002 137 $72.95 Duvnjak,Karlo J July 19, 2002 1,819 $72.95 Duvnjak,Karlo J July 19, 2002 3,044 $72.95 Dweck,Michael L July 19, 2002 1,466 $72.95 Dweck,Michael L July 19, 2002 1,590 $72.95 Estey,George C July 19, 2002 202 $72.95 Evans,Bruce J July 19, 2002 1,000 $72.95 Evans,Ian J July 19, 2002 500 $72.95 Evans,Ian J July 19, 2002 2,500 $72.95 Fascitelli,Elizabeth C July 19, 2002 1,968 $72.95 Fascitelli,Elizabeth C July 19, 2002 7,500 $72.95 Ferber,Laurie R July 19, 2002 1,579 $72.95 Ferber,Laurie R July 19, 2002 1,581 $72.95
78
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - -------------- ---------- ---------------- --------------- Fleischer,David N July 19, 2002 10,666 $72.95 Freedman,Orit P July 19, 2002 816 $72.95 Freedman,Orit P July 19, 2002 1,660 $72.95 Freedman,Orit P July 19, 2002 3,322 $72.95 Frisch,Matthias K July 19, 2002 2,900 $72.95 Frumkes,Robert K July 19, 2002 1,000 $72.95 Frumkes,Robert K July 19, 2002 2,000 $72.95 Gaglioti,Enrico S July 19, 2002 500 $72.95 Gaglioti,Enrico S July 19, 2002 1,000 $72.95 Giglio,Gary T July 19, 2002 2,000 $72.95 Greenwald,David J July 19, 2002 206 $72.95 Greenwald,David J July 19, 2002 794 $72.95 Grigg,Sebastian July 19, 2002 400 $72.95 Gross,Peter July 19, 2002 782 $72.95 Gross,Peter July 19, 2002 2,052 $72.95 Gross,Peter July 19, 2002 4,224 $72.95 Guth,Celeste A July 19, 2002 500 $72.95 Hale Doty,Jana July 19, 2002 1,516 $72.95 Hale Doty,Jana July 19, 2002 1,989 $72.95 Hale Doty,Jana July 19, 2002 2,421 $72.95 Holliday,Teresa E July 19, 2002 1,150 $72.95 Holzer,Philip July 19, 2002 1,000 $72.95 Hoogkamp,Gregory T July 19, 2002 1,200 $72.95 Hudis,James A July 19, 2002 1,000 $72.95 Hutcherson,Walter V July 19, 2002 500 $72.95 Iwanowski,Raymond J July 19, 2002 6,538 $72.95 Jonas,Andrew J July 19, 2002 2,297 $72.95 Jonas,Andrew J July 19, 2002 3,703 $72.95 Jones,Robert C July 19, 2002 11,181 $72.95 Kaplan,David A July 19, 2002 1,844 $72.95 Kapur,Atul July 19, 2002 259 $72.95 Kapur,Atul July 19, 2002 2,741 $72.95 Kauffman,John J July 19, 2002 1,857 $72.95 Kingston,Timothy M July 19, 2002 1,189 $72.95 Kiritani,Shigeki July 19, 2002 4,699 $72.95 Kostin,David J July 19, 2002 945 $72.95 Kostin,David J July 19, 2002 1,537 $72.95 Kostin,David J July 19, 2002 3,728 $72.95 Kostin,David J July 19, 2002 3,790 $72.95 Labbat,Peter July 19, 2002 900 $72.95 Learoyd,Andrew D July 19, 2002 891 $72.95 Learoyd,Andrew D July 19, 2002 2,137 $72.95 Learoyd,Andrew D July 19, 2002 2,137 $72.95 Learoyd,Andrew D July 19, 2002 4,382 $72.95 Lemkau,Gregg R July 19, 2002 139 $72.95 Lemkau,Gregg R July 19, 2002 292 $72.95 Lenterman,Remco O July 19, 2002 625 $72.95 Lenterman,Remco O July 19, 2002 1,207 $72.95 Lepic,Hughes B July 19, 2002 4,000 $72.95 Lepic,Hughes B July 19, 2002 8,000 $72.95 Libstag,Gwen R July 19, 2002 3,380 $72.95 Libstag,Gwen R July 19, 2002 3,385 $72.95 Libstag,Gwen R July 19, 2002 3,441 $72.95
79
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - -------------- ---------- ---------------- --------------- Lichtenauer,Stephen C July 19, 2002 2,000 $72.95 Limaye,Ryan D July 19, 2002 1,000 $72.95 Ling,Anthony W July 19, 2002 8,018 $72.95 Londal,Douglas F July 19, 2002 5,428 $72.95 Lyon III,Richard E July 19, 2002 308 $72.95 Lyon III,Richard E July 19, 2002 1,389 $72.95 Makowsky,Russell E July 19, 2002 35 $72.95 Makowsky,Russell E July 19, 2002 58 $72.95 Makowsky,Russell E July 19, 2002 620 $72.95 Makowsky,Russell E July 19, 2002 1,655 $72.95 Markwick,Robert J July 19, 2002 2,022 $72.95 Markwick,Robert J July 19, 2002 7,978 $72.95 Martin,Jacques July 19, 2002 500 $72.95 McCabe,John J July 19, 2002 500 $72.95 McMahon,John W July 19, 2002 6,776 $72.95 McMahon,John W July 19, 2002 7,318 $72.95 McNamara Jr,Gerald C July 19, 2002 1,000 $72.95 McTamaney,Robert A July 19, 2002 1,396 $72.95 McTamaney,Robert A July 19, 2002 6,414 $72.95 Mendelson,Michael A July 19, 2002 634 $72.95 Mendelson,Michael A July 19, 2002 1,230 $72.95 Metcalfe,Andrew L July 19, 2002 8,000 $72.95 Milligan,James E July 19, 2002 3,000 $72.95 Morgan III,J.Ronald July 19, 2002 2,228 $72.95 Moslow,Jeffrey M July 19, 2002 1,400 $72.95 Moslow,Jeffrey M July 19, 2002 3,620 $72.95 Moslow,Jeffrey M July 19, 2002 3,676 $72.95 Mount,Gregory T July 19, 2002 6,807 $72.95 Nash,Trevor P July 19, 2002 280 $72.95 Nash,Trevor P July 19, 2002 5,931 $72.95 Parekh,Mukesh K July 19, 2002 10,000 $72.95 Phillips,Paul A July 19, 2002 1,000 $72.95 Pierce,Stephen R July 19, 2002 3,414 $72.95 Pierce,Stephen R July 19, 2002 3,414 $72.95 Pierce,Stephen R July 19, 2002 6,172 $72.95 Powers,Richard H July 19, 2002 1,000 $72.95 Ravitch,Joseph July 19, 2002 1,500 $72.95 Ross,Ivan July 19, 2002 500 $72.95 Ryan,David C July 19, 2002 112 $72.95 Ryan,David C July 19, 2002 963 $72.95 Ryan,David C July 19, 2002 1,896 $72.95 Sago,Katsunori July 19, 2002 15,569 $72.95 Sanders,J. Michael July 19, 2002 2,583 $72.95 Sarnak,Neil I July 19, 2002 197 $72.95 Sarnak,Neil I July 19, 2002 203 $72.95 Schechner,P. Sheridan July 19, 2002 1,942 $72.95 Scher,Susan J July 19, 2002 600 $72.95 Scher,Susan J July 19, 2002 600 $72.95 Shaughnessy,John P July 19, 2002 2,500 $72.95 Shaughnessy,John P July 19, 2002 12,233 $72.95 Simon,Richard P July 19, 2002 5,000 $72.95 Snook,Randolph C July 19, 2002 2,102 $72.95 Snook,Randolph C July 19, 2002 2,898 $72.95
80
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - -------------- ---------- ---------------- --------------- Stevens,Joseph P July 19, 2002 2,072 $72.95 Stevens,Joseph P July 19, 2002 2,075 $72.95 Strongin,Steven H July 19, 2002 625 $72.95 Stuart,Andrew J July 19, 2002 1,000 $72.95 Stuart,Andrew J July 19, 2002 2,338 $72.95 Stuart,Andrew J July 19, 2002 2,662 $72.95 Sullivan,Patrick July 19, 2002 2,496 $72.95 Sulzberger,Johannes R July 19, 2002 1,000 $72.95 Sussman,Richard J July 19, 2002 2,102 $72.95 Truesdale,Donald J July 19, 2002 7,500 $72.95 Turkanis,Barry S July 19, 2002 1,000 $72.95 Ueda,Eiji July 19, 2002 1,498 $72.95 Ueda,Eiji July 19, 2002 2,502 $72.95 Uniacke,Kaysie P July 19, 2002 7,500 $72.95 Voon,David H July 19, 2002 109 $72.95 Voon,David H July 19, 2002 476 $72.95 Weil,David M July 19, 2002 2,000 $72.95 Wietschner,C. Howard July 19, 2002 595 $72.95 Woodruff,Jon A July 19, 2002 1,000 $72.95
81 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: July 23, 2002 By: /s/ James B. McHugh ------------------------------- Name: James B. McHugh Title: Attorney-in-Fact 82 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)).
83
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. 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)). R. 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)). S. 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)). T. 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)). U. 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)). V. 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)). W. 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)). X. 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)). Y. 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)). Z. 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)).
84
Exhibit Description - -------------- ------------------------------------------------------------- AA. 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.). BB. Form of Power of Attorney executed by Covered Persons participating in the Channel A Sales Program (incorporated by reference to Exhibit BB to Amendment No. 27 to the Initial Schedule 13D, filed June 20, 2002 (File No. 005-56295)). CC. Form of Member Agreement, dated as of May 16, 2002, between GS Inc. and each Walter Frank Covered Person (incorporated by reference to Exhibit CC to Amendment No. 28 to the Initial Schedule 13D, filed July 5, 2002 (File No. 005-56295)). DD. Form of Pledge Agreement, dated as of June 26, 2002, between GS Inc. and each Walter Frank Covered Person (incorporated by reference to Exhibit DD to Amendment No. 28 to the Initial Schedule 13D, filed July 5, 2002 (File No. 005-56295)).
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