-----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, AmwBDzdYs9+N4KptI1wwZYRmM3MkIoujhpmSgMKXZfYeohjvakE+X90RMF3auE/l nkW7fbUVRg4oGoLdgcHaQg== 0000950123-02-009925.txt : 20021025 0000950123-02-009925.hdr.sgml : 20021025 20021024181305 ACCESSION NUMBER: 0000950123-02-009925 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20021025 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: 02797865 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 y64825sc13dza.txt AMENDMENT #32 TO SCHEDULE 13D SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 File No. 005-56295 SCHEDULE 13D/A (Rule 13d-101) Amendment No. 32 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) October 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 person REPORTING listed on Appendix A.) PERSON 201,398,620 Covered Shares held by Covered Persons WITH 16,322 Uncovered Shares held by Covered Persons(3) 1,684,494 other Uncovered Shares held by Covered Persons(4) 9. SOLE DISPOSITIVE POWER (See Item 6) As to Covered Shares, less than 1% As to Uncovered Shares, as stated in Appendix A 10. SHARED DISPOSITIVE POWER (See Item 6): As to Covered Shares, 0 As to Uncovered Shares, as stated in Appendix A 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON(3) 203,099,436 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [x] (Applies to each person listed on Appendix A.) 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 42.02% 14. TYPE OF REPORTING PERSON: OO as to persons listed in Appendix A under the captions "Trusts" and "Limited Liability Companies"; PN as to persons listed in Appendix A under the caption "Partnerships"; CO as to persons listed in Appendix A under the caption "Corporations"; IN as to all other persons listed in Appendix A. - -------- 1 For a definition of this term, please see Item 2. 2 For a definition of this term, please see Item 3. 3 These are Uncovered Shares also described in Row 7 which each Covered Person is deemed to beneficially own by application of Rule 13d-5(b)(1), but do not include the Uncovered Shares described in note 4. Each Covered Person disclaims beneficial ownership of Uncovered Shares held by each other Covered Person. 4 These are Uncovered Shares held by 83 private charitable foundations established by 83 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 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- Bradley I. Abelow 0 0 0 0 Peter C. Aberg 0 0 0 0 Daniel A. Abut Argentina 0 0 0 0 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 Frank A. Bednarz 0 0 0 0 Jonathan A. Beinner 0 0 0 0 Janet L. Bell 0 0 0 0 Ron E. Beller 0 0 0 0 Jordan M. Bender 0 0 0 0 Tarek M. Ben Halim Saudi Arabia 0 0 0 0
3
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- 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 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 Michael S. Burton UK 0 0 0 0 Joseph M. Busuttil 0 0 0 0
4
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- 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 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 498 0 498 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 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
5
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- 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. 0 0 0 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 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
6
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- 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 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 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
7
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- 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(5) 0 134(5) 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 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
- -------- (5) Shared with family members. 8
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- Scott A. Gieselman 0 0 0 0 Gary T. Giglio 0 0 0 0 H. John Gilbertson, Jr. 0 0 0 0 Nicholas G. Giordano 0 300(6) 0 300(6) Joseph H. Gleberman 0 0 0 0 Nancy S. Gloor 0 0 0 0 Richard J. Gnodde Ireland/South 0 0 0 0 Africa Jeffrey B. Goldenberg 0 2,860(7) 0 2,860(7) Jacob D. Goldfield 0 0 0 0 Gary F. Goldring 0 0 0 0 Daniel C. Goldwater UK 0 0 0 0 James S. Golob 0 0 0 0 Gregg A. Gonsalves 0 0 0 0 Amy O. Goodfriend 0 0 0 0 Jay S. Goodgold 0 0 0 0 Larry J. Goodwin 0 0 0 0 Andrew M. Gordon 0 0 0 0 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 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
- -------- (6) Shared with family members. (7) Shared with family members. 9
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- 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(8) 0 300(8) Thomas J. Healey 0 0 0 0 Robert C. Heathcote UK 0 0 0 0 Sylvain M. Hefes France 0 0 0 0 Douglas C. Heidt 0 0 0 0 David R. Heinz 0 0 0 0 David B. Heller 0 0 0 0 Steven M. Heller 0 0 0 0 Ruud G. Hendriks The Netherlands 0 0 0 0 David P. Hennessey 0 0 0 0 R. Douglas Henderson 0 0 0 0 David L. Henle 0 0 0 0 Mary C. Henry 0 0 0 0 Peter C. Herbert 0 0 0 0 Bruce A. Heyman 0 0 0 0 Stephen Hickey 0 0 0 0 Melina E. Higgins 0 0 0 0 Robert E. Higgins 0 0 0 0 Joanne M. Hill 0 0 0 0 Michael I. Hill UK 0 0 0 0 M. Roch Hillenbrand 0 0 0 0 Donald W. Himpele 0 0 0 0 Kenneth W. Hitchner 0 0 0 0 Maykin Ho 0 0 0 0 Timothy E. Hodgson Canada 0 0 0 0 Jacquelyn M. Hoffman-Zehner Canada 0 0 0 0 Richard R. Hogan 0 0 0 0 Christopher G. Hogg New Zealand/USA 0 0 0 0 Margaret J. Holen 0 0 0 0 Daniel E. Holland III 0 0 0 0 Teresa E. Holliday 0 0 0 0 Peter Hollmann Germany 0 0 0 0 Philip Holzer Germany 0 0 0 0 Gregory T. Hoogkamp 0 0 0 0
- -------- (8) Shared with family members. 10
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- 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. 577 0 577 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 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 Andrew J. Jonas 0 0 0 0 Emerson P. Jones 0 0 0 0 Robert C. Jones 0 0 0 0 William J. Jones 0 0 0 0 Roy R. Joseph Guyana 0 0 0 0 Kenneth L. Josselyn 0 0 0 0 Chansoo Joung 0 0 0 0 Marc H. Jourdren France 0 0 0 0 Andrew J. Kaiser 0 0 0 0 Ann F. Kaplan 21 0 21 0
11
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- 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 Larry M. Kellerman 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 445 0 445 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 Bradford C. Koenig 0 0 0 0 Mark J. Kogan 0 0 0 0 Melissa B. 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
12
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- 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 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
13
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- Ryan D. Limaye 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 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
14
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- George N. Mattson 0 0 0 0 Thomas J. McAdam 54 0 54 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. 4,208 0 4,208 0 James A. McNamara 0 215(9) 0 215(9) 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 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
- -------- 9 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 - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 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 227 0 227 0 Mark J. Naylor UK 0 0 0 0 Jeffrey P. Nedelman 0 0 0 0 Daniel M. Neidich 58 0 58 0 Kipp M. Nelson 0 0 0 0 Leslie S. Nelson 0 0 0 0 Robin Neustein 0 0 0 0 Duncan L. Niederauer 0 0 0 0 Theodore E. Niedermayer USA/France 0 0 0 0 Susan M. Noble UK 0 0 0 0 Markus J. Noe-Nordberg Austria 0 0 0 0 Suok J. Noh 0 0 0 0 Suzanne M. Nora Johnson 0 0 0 0 Christopher K. Norton 0 0 0 0 Michael E. Novogratz 0 0 0 0 Jay S. Nydick 0 0 0 0 Katherine K. Oakley 0 0 0 0 Eric M. Oberg 0 0 0 0 Alok Oberoi India 0 0 0 0 Gavin G. O'Connor 0 0 0 0
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 - --------------------------------- ---------------- --------- --------- ----------- ----------- James K. O'Connor 0 0 0 0 Fergal J. O'Driscoll Ireland 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(10) 100 100(11) Michael L. Pasternak UK 0 0 0 0 Ketan J. Patel UK 0 0 0 0 Henry M. Paulson, Jr. 0 0 0 0 Arthur J. Peponis 287 0 287 0 David E. Perlin 0 0 0 0 Bradley J. Peterson 0 0 0 0 David B. Philip 0 0 0 0 Paul A. Phillips 0 0 0 0 Todd J. Phillips 0 0 0 0 Alberto M. Piedra, Jr. 0 0 0 0 Stephen R. Pierce 0 0 0 0 Philip J. Pifer 0 0 0 0 Scott M. Pinkus 0 0 0 0 Michel G. Plantevin France 0 0 0 0 Timothy C. Plaut Germany 0 0 0 0 Andrea Ponti Italy/USA 0 0 0 0 Ellen R. Porges 0 0 0 0 Wiet H. M. Pot The Netherlands 0 0 0 0 Michael J. Poulter UK 0 0 0 0
- ------------------------------------- (10) 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 - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 J. David Rogers 0 200(11) 0 200(12) 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
- ------------------------------------- (11) Shared with family members. 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 - --------------------------------- ---------------- --------- --------- ----------- ----------- Paul M. Russo 0 0 0 0 John P. Rustum Ireland/USA 20 0 20 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 Howard B. Schiller 0 0 0 0 Erich P. Schlaikjer 0 0 0 0 Jeffrey W. Schroeder 0 0 0 0 Antoine Schwartz France 0 0 0 0 Eric S. Schwartz 0 0 0 0 Harvey M. Schwartz 0 0 0 0 Mark Schwartz 0 0 0 0 Thomas M. Schwartz 0 1,900(12) 0 1,900(13) 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
- ------------------------------------- (12) 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 - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 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(13) 0 1,000(14) Derek S. Smith 0 0 0 0 Michael M. Smith 0 0 0 0 Sarah E. Smith UK 0 0 0 0 Trevor A. Smith UK 0 0 0 0 John E. Smollen 0 0 0 0 Randolph C. Snook 0 0 0 0 Jonathan S. Sobel 0 0 0 0 David M. Solomon 0 0 0 0 Judah C. Sommer 0 0 0 0 Theodore T. Sotir 0 0 0 0 Sergio E. Sotolongo 0 0 0 0 Vickrie C. South 0 0 0 0 Daniel L. Sparks 0 0 0 0 Marc A. Spilker 0 0 0 0 Daniel W. Stanton 0 0 0 0 Steven R. Starker 0 0 0 0 Keith G. Starkey UK 0 0 0 0 Esta E. Stecher 0 0 0 0 Cathrine S. Steck 0 0 0 0 Fredric E. Steck 0 0 0 0 Robert K. Steel 0 0 0 0
- ------------------------------------- (13) 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 - --------------------------------- ---------------- --------- --------- ----------- ----------- Jean-Michel Steg France 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 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 Keith Tuffley Australia 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 - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 20 0 20 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(14) 0 10(15) Thomas B. Walker III 0 0 0 0 Robert P. Wall 0 0 0 0 Steven A. Wallace UK 0 0 0 0 Berent A. Wallendahl Norway 0 0 0 0 Alastair J. Walton UK/Australia 0 0 0 0 David R. Walton UK 0 0 0 0 Hsueh-Ming Wang 0 0 0 0 Patrick J. Ward 0 0 0 0 Michael W. Warren UK 0 0 0 0 Haruko Watanuki Japan 0 0 0 0 Jerry T. Wattenberg 0 0 0 0 David M. Weil 0 0 0 0 Theodor Weimer Germany 0 0 0 0 John S. Weinberg 0 0 0 0 Peter A. Weinberg 0 0 0 0 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
- ------------------------------------- (14) 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 - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 321 0 321 0 Edward R. Wilkinson 59 0 59 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 Jaime E. Yordan 0 0 0 0 W. Thomas York, Jr. 0 0 0 0 Wassim G. Younan Lebanon 0 0 0 0 Paul M. Young 0 0 0 0 Richard M. Young 0 0 0 0 William J. Young 0 0 0 0 Michael J. Zamkow 0 55(15) 0 55(16) Paolo Zannoni Italy 0 0 0 0 Yoel Zaoui France 0 0 0 0 Gregory H. Zehner 0 0 0 0 Jide J. Zeitlin 0 0 0 0 Alphonse Zenna 0 0 0 0
- ------------------------------------- (15) Shared with family members. 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 - --------------------------------- ---------------- --------- --------- ----------- ----------- Gregory 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 83 private N/A 0 1,684,494 0 1,684,494 charitable foundations established by 83 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations(16)
- ------------------------------------- 16 Each Covered Person disclaims beneficial ownership of all such shares of Common Stock. 24
ITEM 9 ITEM 10 ITEM 6 ITEM 7 ITEM 8 SOLE SHARED PLACE OF SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ORGANIZATION (NEW POWER OF POWER OF POWER OF POWER OF ITEM 1 YORK UNLESS UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS OTHERWISE INDICATED) SHARES SHARES SHARES SHARES -------------------------- -------------------- ------ ------ ------ ------ TRUSTS 120 Broadway Partners (17) 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 (18) 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
(17) Created by Peter R. Kellogg. (18) Created by Andrew Cader. 25
ITEM 9 ITEM 10 ITEM 6 ITEM 7 ITEM 8 SOLE SHARED PLACE OF SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ORGANIZATION (NEW POWER OF POWER OF POWER OF POWER OF ITEM 1 YORK UNLESS UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS OTHERWISE 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 (19) 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
(19) Created by Andrew Chisolm. 26
ITEM 9 ITEM 10 ITEM 6 ITEM 7 ITEM 8 SOLE SHARED PLACE OF SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ORGANIZATION (NEW POWER OF POWER OF POWER OF POWER OF ITEM 1 YORK UNLESS UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS OTHERWISE 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 9 ITEM 10 ITEM 6 ITEM 7 ITEM 8 SOLE SHARED PLACE OF SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ORGANIZATION (NEW POWER OF POWER OF POWER OF POWER OF ITEM 1 YORK UNLESS UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS OTHERWISE 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 9 ITEM 10 ITEM 6 ITEM 7 ITEM 8 SOLE SHARED PLACE OF SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ORGANIZATION (NEW POWER OF POWER OF POWER OF POWER OF ITEM 1 YORK UNLESS UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS OTHERWISE 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 9 ITEM 10 ITEM 6 ITEM 7 ITEM 8 SOLE SHARED PLACE OF SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ORGANIZATION (NEW POWER OF POWER OF POWER OF POWER OF ITEM 1 YORK UNLESS UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS OTHERWISE 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 (20) 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 (21) 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
(20) Created by David A. Viniar. (21) Created by W. Mark Evans. 30
ITEM 9 ITEM 10 ITEM 6 ITEM 7 ITEM 8 SOLE SHARED PLACE OF SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ORGANIZATION (NEW POWER OF POWER OF POWER OF POWER OF ITEM 1 YORK UNLESS UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS OTHERWISE 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 9 ITEM 10 ITEM 6 ITEM 7 ITEM 8 SOLE SHARED PLACE OF SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ORGANIZATION (NEW POWER OF POWER OF POWER OF POWER OF ITEM 1 YORK UNLESS UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS OTHERWISE INDICATED) SHARES SHARES SHARES SHARES -------------------------- -------------------- ------ ------ ------ ------ The Gregory K. Palm 2002 Annuity Trust II 0 0 0 0 The Guapulo Trust (22) 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
(22) Created by Erland S. Karlsson. 32
ITEM 9 ITEM 10 ITEM 6 ITEM 7 ITEM 8 SOLE SHARED PLACE OF SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ORGANIZATION (NEW POWER OF POWER OF POWER OF POWER OF ITEM 1 YORK UNLESS UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS OTHERWISE INDICATED) SHARES SHARES SHARES SHARES -------------------------- -------------------- ------ ------ ------ ------ JG 2000 Trust (23) 0 0 0 0 JG 2000 Trust (continuing trust) (24) 0 0 0 0 JG 2001 GRAT (24) 0 0 0 0 JG 2002 GRAT (24) 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
(23) Created by Jacob D. Goldfield. 33
ITEM 9 ITEM 10 ITEM 6 ITEM 7 ITEM 8 SOLE SHARED PLACE OF SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ORGANIZATION (NEW POWER OF POWER OF POWER OF POWER OF ITEM 1 YORK UNLESS UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS OTHERWISE 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 (24) 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 (25) Jersey 0 0 0 0 The Kyle F. Textor 2000 Trust The Lauren Schiller 2000 Trust 0 0 0 0
(24) Created by David A. Viniar. (25) Created by Sylvain M. Hefes. 34
ITEM 9 ITEM 10 ITEM 6 ITEM 7 ITEM 8 SOLE SHARED PLACE OF SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE ORGANIZATION (NEW POWER OF POWER OF POWER OF POWER OF ITEM 1 YORK UNLESS UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS OTHERWISE 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 8 ITEM 9 Place of ITEM 7 Shared Sole ITEM 10 Organization Sole Voting Voting Dispositive Shared (New York Power of Power of Power of Dispositive ITEM 1 unless otherwise Uncovered Uncovered Uncovered Power of Names of Reporting Persons indicated) Shares Shares Shares Uncovered Shares -------------------------- ---------- ------ ------ ------ ---------------- 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(26) 0 0 0 0 The Melissa Jane Minehan 2001 Trust(27) 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
- ---------- (26) Created by E. Gerald Corrigan. 36
ITEM 6 ITEM 8 ITEM 9 Place of ITEM 7 Shared Sole ITEM 10 Organization Sole Voting Voting Dispositive Shared (New York Power of Power of Power of Dispositive ITEM 1 unless otherwise Uncovered Uncovered Uncovered Power of Names of Reporting Persons indicated) Shares Shares Shares Uncovered Shares -------------------------- ---------- ------ ------ ------ ---------------- The Mossavar-Rahmani 2000 Family Trust 0 0 0 0 Murphy 2000(27) 0 0 0 0 Murphy 2000 (continuing trust)(28) 0 0 0 0 Murphy 2001 GRAT(28) 0 0 0 0 Murphy 2002 GRAT(28) 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
- ---------- (27) Created by Thomas S. Murphy, Jr. 37
ITEM 6 ITEM 8 ITEM 9 Place of ITEM 7 Shared Sole ITEM 10 Organization Sole Voting Voting Dispositive Shared (New York Power of Power of Power of Dispositive ITEM 1 unless otherwise Uncovered Uncovered Uncovered Power of Names of Reporting Persons indicated) Shares Shares Shares Uncovered Shares -------------------------- ---------- ------ ------ ------ ---------------- 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(28) 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 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 The Robert B. Litterman 2000 Family Trust 0 0 0 0
- ---------- (28) Created by Emmanuel Roman. 38
ITEM 6 ITEM 8 ITEM 9 Place of ITEM 7 Shared Sole ITEM 10 Organization Sole Voting Voting Dispositive Shared (New York Power of Power of Power of Dispositive ITEM 1 unless otherwise Uncovered Uncovered Uncovered Power of Names of Reporting Persons indicated) Shares Shares Shares Uncovered Shares -------------------------- ---------- ------ ------ ------ ---------------- 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 The Robert Luckow 2001 Family Trust 0 0 0 0
39
ITEM 6 ITEM 8 ITEM 9 Place of ITEM 7 Shared Sole ITEM 10 Organization Sole Voting Voting Dispositive Shared (New York Power of Power of Power of Dispositive ITEM 1 unless otherwise Uncovered Uncovered Uncovered Power of Names of Reporting Persons indicated) Shares Shares Shares Uncovered Shares -------------------------- ---------- ------ ------ ------ ---------------- 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 The Stuart Mark Rothenberg 2000 Family Trust 0 0 0 0
40
ITEM 6 ITEM 8 ITEM 9 Place of ITEM 7 Shared Sole ITEM 10 Organization Sole Voting Voting Dispositive Shared (New York Power of Power of Power of Dispositive ITEM 1 unless otherwise Uncovered Uncovered Uncovered Power of Names of Reporting Persons indicated) Shares Shares Shares Uncovered Shares -------------------------- ---------- ------ ------ ------ ---------------- 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 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(29) New Jersey 0 0 0 0 Trust f/b/o Megan H. Hagerty u/a/d June 5, 2002(30) 0 0 0 0 Trust for the benefit of Thomas Jeremiah Healey u/a DTD 3/26/01 New Jersey 0 0 0 0 Trust 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(30) UK 0 0 0 0 Vyrona Trust(31) Jersey 0 0 0 0
- ---------- (29) Created by Thomas J. Healey. (30) Created by Wiet H.M. Pot. 41
ITEM 6 ITEM 8 ITEM 9 Place of ITEM 7 Shared Sole ITEM 10 Organization Sole Voting Voting Dispositive Shared (New York Power of Power of Power of Dispositive ITEM 1 unless otherwise Uncovered Uncovered Uncovered Power of Names of Reporting Persons indicated) Shares Shares Shares Uncovered Shares -------------------------- ---------- ------ ------ ------ ---------------- 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.(32) Delaware 0 0 0 0 Beech Associates, L.P.(33) Delaware 0 0 0 0 Bermuda Partners, L.P.(34) Delaware 0 0 0 0 Crestley, L.P.(35) Delaware 0 0 0 0 EPG Associates, L.P.(36) 0 0 0 0 Greenley Partners, L.P.(37) Delaware 0 0 0 0 Harris Capital Partners, Limited Partnership Delaware 0 0 0 0 HEMPA Limited Partnership(38) Delaware 0 0 0 0 JSS Investment Partners, L.P.(39) 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(40) Illinois 0 0 0 0 Opatrny Investment Partners, L.P. Delaware 0 0 0 0 Rantz GS Investment Partners, L.P. Delaware 0 0 0 0 The Rizner Family Limited Partnership Illinois 0 0 0 0 Savitz Investment Partners, L.P. Delaware 0 0 0 0 Silverman Partners, L.P. Delaware 0 0 0 0 Stone Gate GS Partners, L.P.(41) Delaware 0 0 0 0 Trott GS Investment Partners, L.P. Delaware 0 0 0 0
- ---------- (31) Created by Sylvain M. Hefes. (32) Created by Charles B. Seelig, Jr. (33) Created by David B. Ford. (34) Created by Peter R. Kellogg. (35) Created by Thomas J. Healey. (36) Created by Edward S. Gutman. (37) Created by Jaime E. Yordan. (38) Created by Henry M. Paulson, Jr. (39) Created by Jonathan S. Savitz. (40) Created by Peter Layton. (41) Created by Connie K. Duckworth. 42
ITEM 6 ITEM 8 ITEM 9 Place of ITEM 7 Shared Sole ITEM 10 Organization Sole Voting Voting Dispositive Shared (New York Power of Power of Power of Dispositive ITEM 1 unless otherwise Uncovered Uncovered Uncovered Power of Names of Reporting Persons indicated) Shares Shares Shares Uncovered Shares -------------------------- ---------- ------ ------ ------ ---------------- 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.(42) 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 Thomas Gravina Family LLC Delaware 0 0 0 0 The Todd Christie Family LLC Delaware 0 0 0 0 CORPORATIONS Anahue Limited(43) Jersey 0 0 0 0 Chambolle Limited(44) Jersey 0 0 0 0 Guapulo Holdings Limited(45) Jersey 0 0 0 0 HJS2 Limited(46) Cayman Islands 0 0 0 0 IAT Reinsurance Syndicate Ltd.(47) Bermuda 0 0 0 0 Majix Limited(48) Jersey 0 0 0 0 Melalula Limited(49) Jersey 0 0 0 0 RJG Holding Company(50) Cayman Islands 0 0 0 0 Robinelli Limited(51) Jersey 0 0 0 0 Vyrona Holdings Limited(52) Jersey 0 0 0 0 Zurrah Limited(53) Jersey 0 0 0 0
- ---------- (42) Created by Joseph D. Gutman. (43) Created by Andrew A. Chisholm. (44) Created by Emmanuel Roman. (45) Created by Erland S. Karlsson. (46) Created by Hsueh J. Sung. (47) Created by Peter R. Kellogg. (48) Created by Alok Oberoi. (49) Created by Peter D. Sutherland. (50) Created by Richard J. Gnodde. (51) Created by Claudio Costamagna. (52) Created by Sylvain M. Hefes. (53) Created by Yoel Zaoui. 43 This Amendment No. 32 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. 32 is being filed primarily because the number of shares of Common Stock (as defined in Item 1 below) beneficially owned by Covered Persons (as defined in Item 2 below) has decreased by 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 44 Persons (the "Transferee Covered Persons") acquired their Covered Shares from other Individual Covered Persons in accordance with pre-existing contractual arrangements or judicial decrees; and (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 and the Transferee Covered Persons, the Shareholders' Committee have approved sales by the PMDs, Transferee Covered Persons and certain Estate Planning Covered Persons and 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 September 25, 2002 and terminated on October 18, 2002 with an aggregate of 8,398,117 Covered Shares having been sold. 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 herein 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 45 Covered Person, as described below in response to Item 6. Each Covered Person hereby disclaims beneficial ownership of any shares of Common Stock held by any other Covered Person. (c) Except as described in Annex E or previously reported on Schedule 13D, no Covered Person has effected any transactions in Common Stock in the past 60 days. (d), (e) Not applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Each Covered Person listed on the cover page to this Schedule and Appendix A hereto is a party to the Shareholders' Agreement. The Shareholders' Agreement, and forms of the Counterparts to the Shareholders' Agreement executed by or on behalf of the Estate Planning Covered Persons, certain Hull Covered Persons and the Transferee Covered Persons, are filed as Exhibits to this Schedule and the following summary of the terms of the Shareholders' Agreement is qualified in its entirety by reference thereto. In the case of each SLK Covered Person, certain of the provisions and restrictions discussed below are set forth in an Amended and Restated Member Agreement, dated as of September 10, 2000, and amended and restated as of October 26, 2000 (an "SLK Member Agreement"), between such SLK Covered Person and GS Inc. In the case of each Jacobson Covered Person, certain of the provisions and restrictions discussed below are set forth in a Member Agreement, dated as of January 26, 2001 (the "Jacobson Member Agreement"), 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 46 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, 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 3,636,465 Covered Shares by certain Covered Persons under the Channel A Sales Program described in Item 4 and an aggregate of 9,715,883 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: 47 participate in a proxy solicitation to or with a Restricted Person; deposit any Covered Shares in a voting trust or subject any Covered Shares to any voting agreement or arrangement that includes any Restricted Person; form, join or in any way participate in a "group" with any Restricted Person; or together with any Restricted Person, propose certain transactions with GS Inc. or seek the removal of any directors of GS Inc. or any change in the composition of the board of directors. TERM, AMENDMENT AND CONTINUATION The Shareholders' Agreement is to continue in effect until the earlier of January 1, 2050 and the time it is terminated by the vote of 66 2/3% of the outstanding Voting Interests. The Partner Transfer Restrictions will not terminate upon the expiration or termination of the Shareholders' Agreement unless previously waived or terminated or unless subsequently waived or terminated by the board of directors. The Shareholders' Agreement may generally be amended at any time by a majority of the outstanding Voting Interests. Unless otherwise terminated, in the event of any transaction in which a third party succeeds to the business of GS Inc. and in which Covered Persons hold securities of the third party, the Shareholders' Agreement will remain in full force and effect as to the securities of the third party, and the third party shall succeed to the rights and obligations of GS Inc. under the Shareholders' Agreement. INFORMATION REGARDING THE SHAREHOLDERS' COMMITTEE The Shareholders' Committee 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. 48 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. DERIVATIVE INSTRUMENTS Certain Individual Covered Persons have written American-style call options on an aggregate of 620,000 Covered Shares with strike prices ranging from $65 to $90 and maturity dates ranging from October 19, 2002 to January 18, 2003. None of these Covered Persons is employed by Goldman Sachs. On September 30, 2002, an Estate Planning Covered Person purchased a European-style put option on 511,380 Covered Shares with a strike price of $57.47 and an expiration date of January 2, 2003 and wrote a European-style call option on 511,380 Covered Shares with a strike price of $70.54 and an expiration date of January 2, 2003. Neither the settlor nor any beneficiary of this Estate Planning Covered Person is employed by Goldman Sachs. Certain private foundations established by one or more Individual Covered Persons have written American-style call options on an aggregate of 18,900 Uncovered Shares with strike prices ranging from $75 to $80 and maturity dates ranging from November 16, 2002 to January 18, 2003. None of these Covered Persons is employed by Goldman Sachs. 49 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)).
50
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.).
51
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)).
52 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 Anthony J. UK 26 New Street, Partner, None None Dessain 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
53 ANNEX B ITEMS 2(D) AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS None. 54 ANNEX C ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS None. 55 ANNEX D ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE EXERCISABLE WITHIN 60 DAYS. An aggregate of 7,821,427 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. 56 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 120 Broadway Partners October 4, 2002 1,500 $62.50 Bermuda Partners, L.P. October 4, 2002 900 $62.50 Bryant F. Pantano October 4, 2002 1,000 $62.50 IAT Reinsurance Syndicate Ltd October 4, 2002 10,000 $62.50 Trust u/w James Kellogg III October 4, 2002 1,700 $62.50 Patrick P. Scire October 4, 2002 5,000 $62.50 Peter R. Kellogg October 4, 2002 1,000 $62.50 The Patrick J. Ward 2001 Trust October 4, 2002 4,327 $62.50 120 Broadway Partners October 7, 2002 1,500 $60.35 Bermuda Partners, L.P. October 7, 2002 900 $60.35 Bryant F. Pantano October 7, 2002 800 $60.35 Gary F. Goldring October 7, 2002 25,000 $60.35 IAT Reinsurance Syndicate Ltd October 7, 2002 10,000 $60.35 Trust u/w James Kellogg III October 7, 2002 1,700 $60.35 Peter R. Kellogg October 7, 2002 1,000 $60.35 The Patrick J. Ward 2001 Trust October 7, 2002 4,327 $60.35 120 Broadway Partners October 8, 2002 1,500 $60.52 Bermuda Partners, L.P. October 8, 2002 900 $60.52 Christopher A. Bates October 8, 2002 2,500 $60.52 IAT Reinsurance Syndicate Ltd October 8, 2002 10,000 $60.52 Neil V. Desena October 8, 2002 12,523 $60.52 Trust u/w James Kellogg III October 8, 2002 1,700 $60.52 Peter R. Kellogg October 8, 2002 1,000 $60.52 The Patrick J. Ward 2001 Trust October 8, 2002 4,327 $60.52 Thomas K. Montag October 8, 2002 20,000 $60.52 120 Broadway Partners October 9, 2002 1,500 $60.08 Bermuda Partners, L.P. October 9, 2002 900 $60.08 Bryant F. Pantano October 9, 2002 331 $60.08 Gary F. Goldring October 9, 2002 25,000 $60.08 IAT Reinsurance Syndicate Ltd October 9, 2002 10,000 $60.08 Trust u/w James Kellogg III October 9, 2002 1,700 $60.08 Peter R. Kellogg October 9, 2002 1,000 $60.08 Steven R. Starker October 9, 2002 10,000 $60.08 The Patrick J. Ward 2001 Trust October 9, 2002 4,327 $60.08 120 Broadway Partners October 10, 2002 1,500 $60.73 Bermuda Partners, L.P. October 10, 2002 900 $60.73 IAT Reinsurance Syndicate Ltd October 10, 2002 10,000 $60.73 Trust u/w James Kellogg III October 10, 2002 1,700 $60.73
57
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE Peter R. Kellogg October 10, 2002 1,000 $60.73 The Patrick J. Ward 2001 Trust October 10, 2002 4,327 $60.73 Todd J. Christie October 10, 2002 22,409 $60.73 120 Broadway Partners October 11, 2002 1,500 $64.44 Bermuda Partners, L.P. October 11, 2002 900 $64.44 Eric S. Schwartz October 11, 2002 30,000 $64.44 Gary F. Goldring October 11, 2002 25,000 $64.44 IAT Reinsurance Syndicate Ltd October 11, 2002 10,000 $64.44 Trust u/w James Kellogg III October 11, 2002 1,700 $64.44 Peter R. Kellogg October 11, 2002 1,000 $64.44 Steven T. Mnuchin October 11, 2002 50,000 $64.44 The Patrick J. Ward 2001 Trust October 11, 2002 4,327 $64.44 120 Broadway Partners October 14, 2002 1,500 $64.85 Bermuda Partners, L.P. October 14, 2002 900 $64.85 Bryant F. Pantano October 14, 2002 600 $64.85 IAT Reinsurance Syndicate Ltd October 14, 2002 10,000 $64.85 Lawrence A. Cohen October 14, 2002 15,000 $64.85 Trust u/w James Kellogg III October 14, 2002 1,700 $64.85 Peter R. Kellogg October 14, 2002 1,000 $64.85 The Patrick J. Ward 2001 Trust October 14, 2002 4,327 $64.85 120 Broadway Partners October 15, 2002 1,500 $69.21 Bermuda Partners, L.P. October 15, 2002 900 $69.21 Bryant F. Pantano October 15, 2002 500 $69.21 Eric M. Mindich October 15, 2002 10,000 $69.21 Gary D. Cohn October 15, 2002 20,000 $69.21 Gary F. Goldring October 15, 2002 10,000 $69.21 IAT Reinsurance Syndicate Ltd October 15, 2002 10,000 $69.21 Trust u/w James Kellogg III October 15, 2002 1,700 $69.21 Peter R. Kellogg October 15, 2002 1,000 $69.21 Steven R. Starker October 15, 2002 9,920 $69.21 The Patrick J. Ward 2001 Trust October 15, 2002 4,327 $69.21 Thomas J. Gravina October 15, 2002 1,000 $69.21 120 Broadway Partners October 16, 2002 1,254 $68.37 A.C. Trust October 16, 2002 7,296 $68.37 Andrew Cader October 16, 2002 149,915 $68.37 Bermuda Partners, L.P. October 16, 2002 888 $68.37 Bryant F. Pantano October 16, 2002 1,200 $68.37 Eric M. Mindich October 16, 2002 10,000 $68.37 Gary D. Cohn October 16, 2002 20,000 $68.37 IAT Reinsurance Syndicate Ltd October 16, 2002 5,541 $68.37 James A. Jacobson October 16, 2002 20,722 $68.37 Kevin W. Kennedy October 16, 2002 50,000 $68.37 Lawrence A. Cohen October 16, 2002 15,000 $68.37 Trust u/w James Kellogg III October 16, 2002 2,013 $68.37 Peter A. Weinberg October 16, 2002 75,000 $68.37 Peter R. Kellogg October 16, 2002 1,975 $68.37 Philip D. Murphy October 16, 2002 5,000 $68.37 Richard R. Hogan October 16, 2002 10,089 $68.37
58
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE The Patrick J. Ward 2001 Trust October 16, 2002 4,327 $68.37 Thomas J. Gravina October 16, 2002 3,026 $68.37 Bryant F. Pantano October 17, 2002 2,500 $71.61 Eric S. Schwartz October 17, 2002 42,864 $71.61 Gary D. Cohn October 17, 2002 20,000 $71.61 Richard R. Hogan October 17, 2002 6,000 $71.61 Scott B. Kapnick October 17, 2002 50,000 $71.61 The Patrick J. Ward 2001 Trust October 17, 2002 4,327 $71.61 Thomas J. Gravina October 17, 2002 5,000 $71.61 Thomas K. Montag October 17, 2002 20,000 $71.61 Brian J. Toolan October 18, 2002 27,000 $71.16 Bryant F. Pantano October 18, 2002 5,000 $71.16 Gary D. Cohn October 18, 2002 23,046 $71.16 Jon Winkelried October 18, 2002 50,000 $71.16 Kevin W. Kennedy October 18, 2002 50,000 $71.16 Lawrence A. Cohen October 18, 2002 15,000 $71.16 Richard C. Salvadore October 18, 2002 35,228 $71.16 Richard R. Hogan October 18, 2002 10,000 $71.16 Scott B. Kapnick October 18, 2002 55,180 $71.16 Steven T. Mnuchin October 18, 2002 35,000 $71.16 The Patrick J. Ward 2001 Trust October 18, 2002 4,327 $71.16 Channel B Sales Aubrey Ellis, Jr. October 4, 2002 6,100 $62.61 Avi M. Nash October 4, 2002 1,042 $62.61 David G. Lambert October 4, 2002 1,136 $62.61 David L. Henle October 4, 2002 5,000 $62.61 Fern K. Hurst October 4, 2002 1,389 $62.61 Gary W. Williams October 4, 2002 5,000 $62.61 Greg M. Ostroff October 4, 2002 250 $62.61 Howard A. Silverstein October 4, 2002 1,000 $62.61 Jonathan M. Lopatin October 4, 2002 1,900 $62.61 Lee G. Vance October 4, 2002 4,000 $62.61 M.B. Turnbull Pty, Limited October 4, 2002 1,000 $62.61 Mark A. Zurack October 4, 2002 1,000 $62.61 Mary C. Henry October 4, 2002 3,000 $62.61 Melalula Limited October 4, 2002 4,156 $62.61 Richard A. Sapp October 4, 2002 5,000 $62.61 Richard G. Sherlund October 4, 2002 5,000 $62.61 Robert H. Litzenberger October 4, 2002 1,308 $62.61 Robert J. Katz October 4, 2002 1,000 $62.61 Ronald G. Marks October 4, 2002 1,000 $62.61 The Michael J. Zamkow 2001 Trust October 4, 2002 12,505 $62.61 The Unicorn Trust October 4, 2002 4,586 $62.61 Vyrona Holdings Limited October 4, 2002 4,432 $62.61 Zachariah Cobrinik October 4, 2002 1,619 $62.61 Avi M. Nash October 7, 2002 1,042 $60.38 David G. Lambert October 7, 2002 1,000 $60.38
59
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE Fern K. Hurst October 7, 2002 1,389 $60.38 Fredric E. Steck October 7, 2002 5,000 $60.38 Gary W. Williams October 7, 2002 5,000 $60.38 Greg M. Ostroff October 7, 2002 500 $60.38 Howard A. Silverstein October 7, 2002 1,000 $60.38 Jonathan M. Lopatin October 7, 2002 1,900 $60.38 Lee G. Vance October 7, 2002 4,000 $60.38 M.B. Turnbull Pty, Limited October 7, 2002 1,000 $60.38 Mark A. Zurack October 7, 2002 1,000 $60.38 Mary C. Henry October 7, 2002 3,000 $60.38 Melalula Limited October 7, 2002 4,156 $60.38 Richard A. Sapp October 7, 2002 4,500 $60.38 Richard G. Sherlund October 7, 2002 5,000 $60.38 Robert H. Litzenberger October 7, 2002 1,308 $60.38 Robert J. Katz October 7, 2002 1,000 $60.38 Ronald G. Marks October 7, 2002 1,000 $60.38 Simon M. Robertson October 7, 2002 10,000 $60.38 The Unicorn Trust October 7, 2002 4,586 $60.38 Vyrona Holdings Limited October 7, 2002 4,432 $60.38 Zachariah Cobrinik October 7, 2002 1,619 $60.38 Avi M. Nash October 8, 2002 1,042 $60.63 Daniel W. Stanton October 8, 2002 10,000 $60.63 David G. Lambert October 8, 2002 1,000 $60.63 Fern K. Hurst October 8, 2002 1,389 $60.63 Greg M. Ostroff October 8, 2002 300 $60.63 Howard A. Silverstein October 8, 2002 1,000 $60.63 Howard B. Schiller October 8, 2002 12,634 $60.63 John R. Tormondsen October 8, 2002 3,000 $60.63 Jonathan M. Lopatin October 8, 2002 1,900 $60.63 Lee G. Vance October 8, 2002 4,000 $60.63 Mark A. Zurack October 8, 2002 1,000 $60.63 Mary C. Henry October 8, 2002 3,000 $60.63 Richard A. Sapp October 8, 2002 4,500 $60.63 Robert H. Litzenberger October 8, 2002 1,308 $60.63 Robert J. Katz October 8, 2002 1,000 $60.63 Ronald G. Marks October 8, 2002 1,000 $60.63 The Unicorn Trust October 8, 2002 4,586 $60.63 Vyrona Holdings Limited October 8, 2002 4,432 $60.63 Ann F. Kaplan October 9, 2002 7,000 $60.13 Avi M. Nash October 9, 2002 1,042 $60.13 Barry S. Volpert October 9, 2002 10,000 $60.13 Cody J Smith October 9, 2002 20,000 $60.13 David G. Lambert October 9, 2002 1,000 $60.13 Douglas W. Kimmelman October 9, 2002 5,000 $60.13 Fern K. Hurst October 9, 2002 1,389 $60.13 Greg M. Ostroff October 9, 2002 2,000 $60.13 Howard A. Silverstein October 9, 2002 1,000 $60.13 John O. Downing October 9, 2002 10,000 $60.13
60
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE John R. Tormondsen October 9, 2002 3,000 $60.13 Jonathan M. Lopatin October 9, 2002 1,900 $60.13 Jonathan S. Savitz October 9, 2002 5,089 $60.13 Joseph D. Gutman October 9, 2002 10,000 $60.13 Joseph Sassoon October 9, 2002 3,500 $60.13 Lee G. Vance October 9, 2002 4,000 $60.13 Mark A. Zurack October 9, 2002 1,000 $60.13 Mary Ann Casati October 9, 2002 4,000 $60.13 Mary C. Henry October 9, 2002 6,000 $60.13 Melalula Limited October 9, 2002 4,674 $60.13 Richard A. Sapp October 9, 2002 4,500 $60.13 Richard G. Sherlund October 9, 2002 5,000 $60.13 Robert B. Morris III October 9, 2002 16,500 $60.13 Robert H. Litzenberger October 9, 2002 1,308 $60.13 Robert J. Katz October 9, 2002 1,000 $60.13 Ronald G. Marks October 9, 2002 3,000 $60.13 The Unicorn Trust October 9, 2002 4,586 $60.13 Vyrona Holdings Limited October 9, 2002 4,432 $60.13 Zachariah Cobrinik October 9, 2002 1,850 $60.13 Avi M. Nash October 10, 2002 1,042 $60.52 Charles B. Seelig Jr. October 10, 2002 10,000 $60.52 Christian J. Siva-Jothy October 10, 2002 5,481 $60.52 Fern K. Hurst October 10, 2002 1,389 $60.52 Greg M. Ostroff October 10, 2002 4,000 $60.52 Howard A. Silverstein October 10, 2002 1,000 $60.52 Jonathan M. Lopatin October 10, 2002 1,900 $60.52 Lee G. Vance October 10, 2002 4,000 $60.52 M. Roch Hillenbrand October 10, 2002 5,000 $60.52 Mark A. Zurack October 10, 2002 1,000 $60.52 Mary Ann Casati October 10, 2002 4,000 $60.52 Mary C. Henry October 10, 2002 3,000 $60.52 Richard A. Sapp October 10, 2002 4,500 $60.52 Robert B. Morris III October 10, 2002 7,300 $60.52 Robert H. Litzenberger October 10, 2002 1,308 $60.52 Robert J. Katz October 10, 2002 1,000 $60.52 Ronald G. Marks October 10, 2002 1,000 $60.52 The Unicorn Trust October 10, 2002 4,586 $60.52 Vyrona Holdings Limited October 10, 2002 4,432 $60.52 Ann F. Kaplan October 11, 2002 8,000 $64.35 Avi M. Nash October 11, 2002 1,042 $64.35 Barry S. Volpert October 11, 2002 10,000 $64.35 Bradley I. Abelow October 11, 2002 7,500 $64.35 Charles B. Seelig Jr. October 11, 2002 10,000 $64.35 Daniel W. Stanton October 11, 2002 10,000 $64.35 David G. Lambert October 11, 2002 1,000 $64.35 Fern K. Hurst October 11, 2002 1,389 $64.35 Frank L. Coulson Jr. October 11, 2002 15,000 $64.35 Gary W. Williams October 11, 2002 5,000 $64.35
61
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE Gavyn Davies October 11, 2002 40,000 $64.35 Greg M. Ostroff October 11, 2002 2,000 $64.35 Howard A. Silverstein October 11, 2002 1,000 $64.35 John J. Powers October 11, 2002 20,000 $64.35 John O. Downing October 11, 2002 10,000 $64.35 Jonathan M. Lopatin October 11, 2002 1,900 $64.35 Joseph Sassoon October 11, 2002 3,500 $64.35 Lee G. Vance October 11, 2002 4,000 $64.35 Mark A. Zurack October 11, 2002 1,000 $64.35 Mary Ann Casati October 11, 2002 4,000 $64.35 Melalula Limited October 11, 2002 5,454 $64.35 Michael R. Lynch October 11, 2002 20,000 $64.35 Richard A. Sapp October 11, 2002 4,500 $64.35 Richard G. Sherlund October 11, 2002 4,292 $64.35 Richard S. Sharp October 11, 2002 20,000 $64.35 Robert B. Morris III October 11, 2002 7,300 $64.35 Robert H. Litzenberger October 11, 2002 1,308 $64.35 Robert J. Katz October 11, 2002 1,000 $64.35 Ronald G. Marks October 11, 2002 1,500 $64.35 Terence M. O'Toole October 11, 2002 15,000 $64.35 The James M. Sheridan Shares Trust October 11, 2002 8,000 $64.35 The Unicorn Trust October 11, 2002 4,586 $64.35 Vyrona Holdings Limited October 11, 2002 4,432 $64.35 Zachariah Cobrinik October 11, 2002 2,220 $64.35 Ann F. Kaplan October 14, 2002 8,000 $64.77 Avi M. Nash October 14, 2002 1,042 $64.77 C. Steven Duncker October 14, 2002 15,564 $64.77 Danny O. Yee October 14, 2002 6,000 $64.77 Fern K. Hurst October 14, 2002 1,389 $64.77 Francis J. Ingrassia October 14, 2002 4,000 $64.77 Frank L. Coulson Jr. October 14, 2002 20,000 $64.77 Gavyn Davies October 14, 2002 20,000 $64.77 George H. Walker October 14, 2002 5,000 $64.77 Greg M. Ostroff October 14, 2002 1,500 $64.77 Howard A. Silverstein October 14, 2002 1,000 $64.77 J. David Rogers October 14, 2002 7,000 $64.77 John E. Urban October 14, 2002 7,000 $64.77 John R. Tormondsen October 14, 2002 8,000 $64.77 Jonathan M. Lopatin October 14, 2002 1,900 $64.77 Joseph Sassoon October 14, 2002 3,500 $64.77 Lee G. Vance October 14, 2002 4,000 $64.77 M. Roch Hillenbrand October 14, 2002 5,000 $64.77 Mark A. Zurack October 14, 2002 1,000 $64.77 Mary C. Henry October 14, 2002 1,341 $64.77 Melalula Limited October 14, 2002 5,454 $64.77 Michael R. Lynch October 14, 2002 20,000 $64.77 Richard A. Sapp October 14, 2002 4,500 $64.77 Robert H. Litzenberger October 14, 2002 1,308 $64.77
62
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE Sanjeev K. Mehra October 14, 2002 10,000 $64.77 Terence M. O'Toole October 14, 2002 20,000 $64.77 The Unicorn Trust October 14, 2002 4,586 $64.77 Vyrona Holdings Limited October 14, 2002 4,432 $64.77 Zachariah Cobrinik October 14, 2002 2,220 $64.77 Ann F. Kaplan October 15, 2002 9,400 $69.05 Avi M. Nash October 15, 2002 1,042 $69.05 Barry S. Volpert October 15, 2002 10,000 $69.05 Carlos A. Cordeiro October 15, 2002 50,000 $69.05 Christopher A. Cole October 15, 2002 5,000 $69.05 Christopher G. French October 15, 2002 25,000 $69.05 Connie K. Duckworth October 15, 2002 50,000 $69.05 Danny O. Yee October 15, 2002 6,000 $69.05 E. Gerald Corrigan October 15, 2002 5,000 $69.05 Eff W. Martin October 15, 2002 10,000 $69.05 Fern K. Hurst October 15, 2002 1,389 $69.05 Frank L. Coulson Jr. October 15, 2002 10,000 $69.05 Fredric E. Steck October 15, 2002 8,000 $69.05 Gary W. Williams October 15, 2002 10,000 $69.05 Gene T. Sykes October 15, 2002 80,000 $69.05 George W. Wellde Jr. October 15, 2002 26,271 $69.05 Greg M. Ostroff October 15, 2002 1,200 $69.05 Howard A. Silverstein October 15, 2002 1,000 $69.05 J. David Rogers October 15, 2002 7,000 $69.05 John E. Urban October 15, 2002 4,566 $69.05 John R. Tormondsen October 15, 2002 8,000 $69.05 Jonathan M. Lopatin October 15, 2002 1,276 $69.05 Joseph Sassoon October 15, 2002 4,500 $69.05 Kipp M. Nelson October 15, 2002 23,563 $69.05 Lee G. Vance October 15, 2002 4,000 $69.05 M.B. Turnbull Pty, Limited October 15, 2002 2,000 $69.05 Mark A. Zurack October 15, 2002 1,000 $69.05 Melalula Limited October 15, 2002 5,454 $69.05 Paul C. Deighton October 15, 2002 46,364 $69.05 Richard A. Sapp October 15, 2002 4,500 $69.05 Richard S. Sharp October 15, 2002 75,000 $69.05 Robert B. Morris III October 15, 2002 9,100 $69.05 Robert H. Litzenberger October 15, 2002 1,308 $69.05 Robert S. Harrison October 15, 2002 10,000 $69.05 Ronald G. Marks October 15, 2002 1,500 $69.05 Sanjeev K. Mehra October 15, 2002 10,000 $69.05 Simon M. Robertson October 15, 2002 20,000 $69.05 Steven M. Shafran October 15, 2002 10,000 $69.05 The James M. Sheridan Shares Trust October 15, 2002 5,000 $69.05 The Unicorn Trust October 15, 2002 4,586 $69.05 Timothy D. Dattels October 15, 2002 15,517 $69.05 Vyrona Holdings Limited October 15, 2002 4,432 $69.05 Yasuyo Yamazaki October 15, 2002 22,958 $69.05
63
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE Zachariah Cobrinik October 15, 2002 2,220 $69.05 Avi M. Nash October 16, 2002 1,042 $68.41 Bradford C. Koenig October 16, 2002 31,279 $68.41 Byron D. Trott October 16, 2002 50,000 $68.41 Charles B. Seelig Jr. October 16, 2002 15,509 $68.41 Christopher A. Cole October 16, 2002 10,000 $68.41 Connie K. Duckworth October 16, 2002 25,000 $68.41 Daniel W. Stanton October 16, 2002 7,000 $68.41 Douglas W. Kimmelman October 16, 2002 5,000 $68.41 E. Gerald Corrigan October 16, 2002 5,000 $68.41 Eff W. Martin October 16, 2002 10,000 $68.41 Fern K. Hurst October 16, 2002 1,389 $68.41 Francis J. Ingrassia October 16, 2002 10,000 $68.41 Frank L. Coulson Jr. October 16, 2002 10,314 $68.41 Fredric E. Steck October 16, 2002 8,000 $68.41 Gary W. Williams October 16, 2002 20,000 $68.41 Gavyn Davies October 16, 2002 50,000 $68.41 George H. Walker October 16, 2002 4,394 $68.41 Girish V. Reddy October 16, 2002 6,000 $68.41 Greg M. Ostroff October 16, 2002 1,200 $68.41 Howard A. Silverstein October 16, 2002 1,000 $68.41 J. David Rogers October 16, 2002 7,000 $68.41 Jacob D. Goldfield October 16, 2002 10,000 $68.41 Jeri Lynn Ryan October 16, 2002 6,500 $68.41 John E. Urban October 16, 2002 4,000 $68.41 John J. Powers October 16, 2002 25,000 $68.41 John L. Townsend III October 16, 2002 49,967 $68.41 John S. Weinberg October 16, 2002 25,000 $68.41 Jonathan L. Kolatch October 16, 2002 15,000 $68.41 Jonathan M. Lopatin October 16, 2002 1,275 $68.41 Joseph D. Gutman October 16, 2002 10,000 $68.41 Joseph Della Rosa October 16, 2002 25,000 $68.41 Joseph Sassoon October 16, 2002 6,500 $68.41 Lawrence R. Buchalter October 16, 2002 10,000 $68.41 Lee G. Vance October 16, 2002 706 $68.41 M.B. Turnbull Pty, Limited October 16, 2002 3,000 $68.41 Mark A. Zurack October 16, 2002 5,000 $68.41 Melalula Limited October 16, 2002 5,454 $68.41 Michael G. Rantz October 16, 2002 17,159 $68.41 Michael S. Sherwood October 16, 2002 100,000 $68.41 Paul S. Efron October 16, 2002 10,000 $68.41 Philip M. Darivoff October 16, 2002 5,000 $68.41 Richard A. Sapp October 16, 2002 4,500 $68.41 Richard J. Bronks October 16, 2002 11,070 $68.41 Richard S. Sharp October 16, 2002 25,000 $68.41 Robert B. Morris III October 16, 2002 9,100 $68.41 Robert H. Litzenberger October 16, 2002 1,308 $68.41 Robert J. O'Shea October 16, 2002 30,000 $68.41
64
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE Robert S. Harrison October 16, 2002 10,000 $68.41 Robert V. Delaney October 16, 2002 10,000 $68.41 Robin Neustein October 16, 2002 10,000 $68.41 Sanjeev K. Mehra October 16, 2002 5,000 $68.41 Sharmin Mossavar-Rahmani October 16, 2002 10,000 $68.41 Steven M. Shafran October 16, 2002 15,000 $68.41 The James M. Sheridan Shares Trust October 16, 2002 5,000 $68.41 The Unicorn Trust October 16, 2002 4,586 $68.41 Tsutomu Sato October 16, 2002 25,863 $68.41 Vyrona Holdings Limited October 16, 2002 4,435 $68.41 Zachariah Cobrinik October 16, 2002 2,221 $68.41 Zurrah Limited October 16, 2002 25,000 $68.41 Avi M. Nash October 17, 2002 1,042 $71.34 Barry S. Volpert October 17, 2002 10,000 $71.34 Cody J Smith October 17, 2002 27,473 $71.34 David A. Dechman October 17, 2002 18,175 $71.34 David L. Henle October 17, 2002 5,000 $71.34 Edward A. Mule October 17, 2002 25,000 $71.34 Eff W. Martin October 17, 2002 10,000 $71.34 Fern K. Hurst October 17, 2002 1,388 $71.34 Fredric E. Steck October 17, 2002 8,511 $71.34 Gavyn Davies October 17, 2002 50,647 $71.34 Greg M. Ostroff October 17, 2002 1,200 $71.34 Howard A. Silverstein October 17, 2002 1,000 $71.34 J. David Rogers October 17, 2002 7,000 $71.34 John O. Downing October 17, 2002 10,000 $71.34 Jonathan M. Lopatin October 17, 2002 1,275 $71.34 Joseph D. Gatto October 17, 2002 25,000 $71.34 Joseph Sassoon October 17, 2002 6,500 $71.34 Kendrick R. Wilson III October 17, 2002 20,000 $71.34 M.B. Turnbull Pty, Limited October 17, 2002 4,000 $71.34 Mark A. Zurack October 17, 2002 5,000 $71.34 Mark R. Tercek October 17, 2002 10,000 $71.34 Melalula Limited October 17, 2002 5,454 $71.34 Michael R. Lynch October 17, 2002 10,199 $71.34 Richard A. Sapp October 17, 2002 4,500 $71.34 Richard S. Sharp October 17, 2002 75,000 $71.34 Robert B. Morris III October 17, 2002 9,100 $71.34 Robert H. Litzenberger October 17, 2002 1,308 $71.34 Robert S. Harrison October 17, 2002 9,216 $71.34 Steven M. Shafran October 17, 2002 3,379 $71.34 The James M. Sheridan Shares Trust October 17, 2002 4,548 $71.34 The Michael J. Zamkow 2001 Trust October 17, 2002 20,000 $71.34 The Unicorn Trust October 17, 2002 4,586 $71.34 Thomas B. Walker III October 17, 2002 30,000 $71.34 Vyrona Holdings Limited October 17, 2002 4,432 $71.34 Zachariah Cobrinik October 17, 2002 2,221 $71.34 Alexander C. Dibelius October 18, 2002 5,000 $71.17
65
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE Anahue Trust October 18, 2002 6,324 $71.17 Andrew M. Gordon October 18, 2002 10,000 $71.17 Ann F. Kaplan October 18, 2002 28,346 $71.17 Armen A. Avanessians October 18, 2002 10,000 $71.17 Avi M. Nash October 18, 2002 1,041 $71.17 Barry S. Volpert October 18, 2002 25,000 $71.17 Bradley I. Abelow October 18, 2002 2,585 $71.17 Byron D. Trott October 18, 2002 37,837 $71.17 Carlos A. Cordeiro October 18, 2002 29,591 $71.17 Christopher A. Cole October 18, 2002 15,000 $71.17 Donald F. Textor October 18, 2002 47,188 $71.17 Edward A. Mule October 18, 2002 16,000 $71.17 Eff W. Martin October 18, 2002 5,159 $71.17 Fern K. Hurst October 18, 2002 1,388 $71.17 Francis J. Ingrassia October 18, 2002 20,000 $71.17 Howard A. Silverstein October 18, 2002 3,000 $71.17 J. David Rogers October 18, 2002 14,000 $71.17 Jacquelyn M. Hoffman-Zehner October 18, 2002 27,302 $71.17 Jeffrey B. Goldenberg October 18, 2002 5,000 $71.17 Jeri Lynn Ryan October 18, 2002 6,401 $71.17 John J. Powers October 18, 2002 30,000 $71.17 John S. Weinberg October 18, 2002 25,000 $71.17 Jonathan L. Kolatch October 18, 2002 15,000 $71.17 Jonathan M. Lopatin October 18, 2002 1,275 $71.17 Joseph D. Gutman October 18, 2002 15,000 $71.17 Joseph Della Rosa October 18, 2002 30,555 $71.17 Joseph Sassoon October 18, 2002 6,500 $71.17 Lawrence R. Buchalter October 18, 2002 20,000 $71.17 Lawton W. Fitt October 18, 2002 20,000 $71.17 M.B. Turnbull Pty, Limited October 18, 2002 3,125 $71.17 Mark A. Zurack October 18, 2002 17,205 $71.17 Mark R. Tercek October 18, 2002 15,000 $71.17 Matthew G. L'Heureux October 18, 2002 24,762 $71.17 Melalula Limited October 18, 2002 5,451 $71.17 Michael A. Price October 18, 2002 20,000 $71.17 Michael G. Rantz October 18, 2002 20,000 $71.17 Michael R. Lynch October 18, 2002 10,000 $71.17 Philip M. Darivoff October 18, 2002 16,000 $71.17 Richard A. Sapp October 18, 2002 4,500 $71.17 Richard J. Bronks October 18, 2002 11,070 $71.17 Richard S. Sharp October 18, 2002 65,000 $71.17 RJG Holding Company October 18, 2002 24,430 $71.17 Robert B. Morris III October 18, 2002 9,080 $71.17 Robert H. Litzenberger October 18, 2002 1,308 $71.17 Robert V. Delaney October 18, 2002 15,000 $71.17 Robin Neustein October 18, 2002 156,000 $71.17 Scott M. Pinkus October 18, 2002 127,658 $71.17 Sharmin Mossavar-Rahmani October 18, 2002 10,000 $71.17
66
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE The Michael J. Zamkow 2001 Trust October 18, 2002 20,000 $71.17 The Unicorn Trust October 18, 2002 4,591 $71.17 Thomas B. Walker III October 18, 2002 30,000 $71.17 Thomas J. Healey October 18, 2002 38,913 $71.17 Thomas S. Murphy Jr. October 18, 2002 10,000 $71.17 Timothy J. Ingrassia October 18, 2002 20,000 $71.17 Tracy R. Wolstencroft October 18, 2002 65,000 $71.17 Vyrona Holdings Limited October 18, 2002 4,439 $71.17 Other Sales Jacob Y. Friedman October 4, 2002 100 $62.61 Donald J. Mulvihill October 4, 2002 1,000 $62.61 Brett R. Overacker October 4, 2002 1,118 $62.61 Brett R. Overacker October 4, 2002 2,533 $62.61 Archie W. Parnell October 4, 2002 708 $62.61 Donna L. Conti October 7, 2002 1,500 $60.38 David K. Kaugher October 7, 2002 160 $60.38 Therese L. Miller October 7, 2002 1,100 $60.38 Archie W. Parnell October 7, 2002 200 $60.38 Alexander S. Ehrlich October 8, 2002 1,500 $60.63 John L. Kelly October 8, 2002 1,019 $60.63 Peter Labbat October 8, 2002 3,498 $60.63 Gregory D. Lee October 8, 2002 6,342 $60.63 Elizabeth C. Marcellino October 8, 2002 569 $60.63 Elizabeth C. Marcellino October 8, 2002 1,231 $60.63 Paul S. Schapira October 8, 2002 500 $60.63 John H. Taylor October 8, 2002 428 $60.63 John H. Taylor October 8, 2002 688 $60.63 Alexander S. Ehrlich October 9, 2002 1,519 $60.13 R. Scott Morris October 9, 2002 1,000 $60.13 Jay S. Nydick October 9, 2002 601 $60.13 Jay S. Nydick October 9, 2002 3,742 $60.13 Paul S. Schapira October 9, 2002 500 $60.13 Anne Yang October 9, 2002 1,459 $60.13 Stefan Green October 10, 2002 2,000 $60.52 Charles G.R. Manby October 10, 2002 5,888 $60.52 Calum M. Osborne October 10, 2002 632 $60.52 Calum M. Osborne October 10, 2002 1,611 $60.52 Calum M. Osborne October 10, 2002 1,611 $60.52 Marcus R. Colwell October 11, 2002 790 $64.35 Marcus R. Colwell October 11, 2002 1,653 $64.35 Llewellyn C. Connolly October 11, 2002 7,221 $64.35 Christian Erickson October 11, 2002 400 $64.35 David J. Grounsell October 11, 2002 266 $64.35 Paul S. Schapira October 11, 2002 500 $64.35 Todd A. Williams October 11, 2002 2,029 $64.35 Todd A. Williams October 11, 2002 2,057 $64.35 Todd A. Williams October 11, 2002 5,914 $64.35
67
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE John S. Willian October 11, 2002 500 $64.35 John D. Bertuzzi October 14, 2002 2,000 $64.77 Donna L. Conti October 14, 2002 1,821 $64.77 Steven M. Feldman October 14, 2002 1,315 $64.77 Steven M. Feldman October 14, 2002 1,315 $64.77 Ralf O. Haase October 14, 2002 588 $64.77 Michael S. Rotter October 14, 2002 1,139 $64.77 Michael S. Rotter October 14, 2002 3,866 $64.77 David R. Walton October 14, 2002 1,000 $64.77 Jordan M. Bender October 15, 2002 200 $69.05 Jean-Luc Biamonti October 15, 2002 5,000 $69.05 Sacha A. Chiaramonte October 15, 2002 1,000 $69.05 Jason H. Ekaireb October 15, 2002 989 $69.05 Jason H. Ekaireb October 15, 2002 2,566 $69.05 Matthias K. Frisch October 15, 2002 200 $69.05 Sebastian Grigg October 15, 2002 161 $69.05 Sebastian Grigg October 15, 2002 176 $69.05 Shelley A. Hartman October 15, 2002 4,800 $69.05 Michael K. Klingher October 15, 2002 3,000 $69.05 Therese L. Miller October 15, 2002 1,217 $69.05 R. Scott Morris October 15, 2002 357 $69.05 R. Scott Morris October 15, 2002 850 $69.05 Kevin A. Quinn October 15, 2002 1,000 $69.05 Paul S. Schapira October 15, 2002 750 $69.05 Sergio E. Sotolongo October 15, 2002 563 $69.05 Nicolas F. Tiffou October 15, 2002 1,838 $69.05 David M. Weil October 15, 2002 1,000 $69.05 Scott R. Weinstein October 15, 2002 750 $69.05 William H. Wolf Jr. October 15, 2002 100 $69.05 Francois Andriot October 16, 2002 642 $68.41 Francois Andriot October 16, 2002 1,279 $68.41 Francois Andriot October 16, 2002 1,279 $68.41 Jordan M. Bender October 16, 2002 200 $68.41 John D. Bertuzzi October 16, 2002 2,000 $68.41 Randall A. Blumenthal October 16, 2002 2,200 $68.41 Charles W.A. Bott October 16, 2002 2,000 $68.41 Alan J. Brazil October 16, 2002 1,000 $68.41 Lawrence V. Calcano October 16, 2002 11,058 $68.41 James B. Clark October 16, 2002 2,193 $68.41 Philip A. Cooper October 16, 2002 2,900 $68.41 Steven M. Feldman October 16, 2002 1,200 $68.41 Steven M. Feldman October 16, 2002 1,237 $68.41 Steven M. Feldman October 16, 2002 2,300 $68.41 Jacob Y. Friedman October 16, 2002 300 $68.41 C. Douglas Fuge October 16, 2002 1,187 $68.41 C. Douglas Fuge October 16, 2002 1,187 $68.41 C. Douglas Fuge October 16, 2002 1,626 $68.41 David J. Greenwald October 16, 2002 412 $68.41
68
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE David J. Greenwald October 16, 2002 588 $68.41 David J. Grounsell October 16, 2002 200 $68.41 Ralf O. Haase October 16, 2002 179 $68.41 Robert G. Hottensen Jr. October 16, 2002 205 $68.41 Robert G. Hottensen Jr. October 16, 2002 301 $68.41 Robert G. Hottensen Jr. October 16, 2002 355 $68.41 Michael R. Housden October 16, 2002 28 $68.41 Michael R. Housden October 16, 2002 718 $68.41 Terry P. Hughes October 16, 2002 114 $68.41 Carsten Kengeter October 16, 2002 613 $68.41 Carsten Kengeter October 16, 2002 683 $68.41 Michael K. Klingher October 16, 2002 472 $68.41 Michael K. Klingher October 16, 2002 1,528 $68.41 Alan B. Levande October 16, 2002 2,716 $68.41 Alan B. Levande October 16, 2002 5,030 $68.41 Ronald S. Levin October 16, 2002 2,400 $68.41 Thomas B. Lewis Jr. October 16, 2002 1,000 $68.41 Roger A. Liddell October 16, 2002 1,000 $68.41 Richard C. Lightburn October 16, 2002 900 $68.41 Shogo Maeda October 16, 2002 330 $68.41 Shogo Maeda October 16, 2002 2,070 $68.41 David B. Philip October 16, 2002 1,882 $68.41 David B. Philip October 16, 2002 6,133 $68.41 Jeffrey A. Resnick October 16, 2002 1,000 $68.41 Susan J. Scher October 16, 2002 316 $68.41 Susan J. Scher October 16, 2002 400 $68.41 Jeffrey W. Schroeder October 16, 2002 3,535 $68.41 Robert J. Shea Jr. October 16, 2002 1,373 $68.41 Robert J. Shea Jr. October 16, 2002 1,627 $68.41 Vickrie C. South October 16, 2002 2,296 $68.41 Vickrie C. South October 16, 2002 2,787 $68.41 Daisuke Toki October 16, 2002 2,000 $68.41 Kaysie P. Uniacke October 16, 2002 1,222 $68.41 Kaysie P. Uniacke October 16, 2002 2,014 $68.41 David M. Weil October 16, 2002 2,406 $68.41 Richard T. Wertz October 16, 2002 500 $68.41 Lance N. West October 16, 2002 300 $68.41 Lance N. West October 16, 2002 310 $68.41 Lance N. West October 16, 2002 311 $68.41 Lance N. West October 16, 2002 3,951 $68.41 C. Howard Wietschner October 16, 2002 300 $68.41 Kevin L. Willens October 16, 2002 3,100 $68.41 Susan A. Willetts October 16, 2002 3,000 $68.41 John S. Willian October 16, 2002 1,409 $68.41 William H. Wolf Jr. October 16, 2002 100 $68.41 Tetsufumi Yamakawa October 16, 2002 1,421 $68.41 Paolo Zannoni October 16, 2002 1,207 $68.41 Paolo Zannoni October 16, 2002 1,317 $68.41
69
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE Paolo Zannoni October 16, 2002 3,134 $68.41 Paolo Zannoni October 16, 2002 9,572 $68.41 Andrew G. Baird October 17, 2002 1,500 $71.34 John D. Bertuzzi October 17, 2002 2,000 $71.34 Andrew M. Bevan October 17, 2002 1,481 $71.34 Andrew M. Bevan October 17, 2002 1,578 $71.34 Andrew M. Bevan October 17, 2002 1,578 $71.34 Randall A. Blumenthal October 17, 2002 2,200 $71.34 James K. Brown October 17, 2002 300 $71.34 John S. Daly October 17, 2002 1,500 $71.34 Matthew S. Darnall October 17, 2002 1,000 $71.34 Jacob Y. Friedman October 17, 2002 300 $71.34 Matthias K. Frisch October 17, 2002 400 $71.34 Jay S. Goodgold October 17, 2002 3,859 $71.34 Margaret J. Holen October 17, 2002 580 $71.34 Peter Hollmann October 17, 2002 1,130 $71.34 Andrew R. Jessop October 17, 2002 1,200 $71.34 Anthony J. Leitner October 17, 2002 300 $71.34 Robert A. Mass October 17, 2002 922 $71.34 George N. Mattson October 17, 2002 3,000 $71.34 Yukihiro Moroe October 17, 2002 1,633 $71.34 Yukihiro Moroe October 17, 2002 5,000 $71.34 Suok J. Noh October 17, 2002 1,430 $71.34 Suok J. Noh October 17, 2002 3,252 $71.34 Todd G. Owens October 17, 2002 450 $71.34 Todd G. Owens October 17, 2002 3,000 $71.34 Massimo Pappone October 17, 2002 322 $71.34 Massimo Pappone October 17, 2002 2,178 $71.34 Nobumichi Sugiyama October 17, 2002 2,460 $71.34 Christopher S. Wendel October 17, 2002 950 $71.34 Richard T. Wertz October 17, 2002 500 $71.34 William H. Wolf Jr. October 17, 2002 100 $71.34 Peter C. Aberg October 18, 2002 2,290 $71.17 Ben I. Adler October 18, 2002 100 $71.17 Ben I. Adler October 18, 2002 263 $71.17 Ben I. Adler October 18, 2002 643 $71.17 John D. Bertuzzi October 18, 2002 2,098 $71.17 Jean-Luc Biamonti October 18, 2002 2,000 $71.17 Randall A. Blumenthal October 18, 2002 2,157 $71.17 Charles W.A. Bott October 18, 2002 2,000 $71.17 Joseph M. Busuttil October 18, 2002 1,000 $71.17 Lawrence V. Calcano October 18, 2002 4,000 $71.17 Sacha A. Chiaramonte October 18, 2002 1,066 $71.17 Marc I. Cohen October 18, 2002 1,000 $71.17 Edith W. Cooper October 18, 2002 2,413 $71.17 Edith W. Cooper October 18, 2002 2,413 $71.17 Eduardo A. Cruz October 18, 2002 4,000 $71.17 Diego De Giorgi October 18, 2002 689 $71.17
70
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE Diego De Giorgi October 18, 2002 894 $71.17 Diego De Giorgi October 18, 2002 2,000 $71.17 Paula A. Dominick October 18, 2002 2,000 $71.17 John E. Eisenberg October 18, 2002 100 $71.17 John E. Eisenberg October 18, 2002 200 $71.17 George B. Foussianes October 18, 2002 2,219 $71.17 George B. Foussianes October 18, 2002 2,806 $71.17 Oliver L. Frankel October 18, 2002 1,000 $71.17 Oliver L. Frankel October 18, 2002 1,000 $71.17 Matthias K. Frisch October 18, 2002 400 $71.17 Enrico S. Gaglioti October 18, 2002 750 $71.17 Robert R. Gheewalla October 18, 2002 1,800 $71.17 Robert D. Gottlieb October 18, 2002 1,200 $71.17 David J. Greenwald October 18, 2002 1,328 $71.17 David J. Greenwald October 18, 2002 1,672 $71.17 Douglas C. Grip October 18, 2002 10,000 $71.17 David J. Grounsell October 18, 2002 400 $71.17 Nobumichi Hattori October 18, 2002 884 $71.17 Nobumichi Hattori October 18, 2002 885 $71.17 Nobumichi Hattori October 18, 2002 1,632 $71.17 Nobumichi Hattori October 18, 2002 2,299 $71.17 Gregory T. Hoogkamp October 18, 2002 2,000 $71.17 Andrew R. Jessop October 18, 2002 1,200 $71.17 Michael K. Klingher October 18, 2002 712 $71.17 Melissa B. Kogan October 18, 2002 1,500 $71.17 Melissa B. Kogan October 18, 2002 2,452 $71.17 Koji Kotaka October 18, 2002 120 $71.17 Koji Kotaka October 18, 2002 1,135 $71.17 Koji Kotaka October 18, 2002 2,451 $71.17 Gregg R. Lemkau October 18, 2002 1,000 $71.17 Bonnie S. Litt October 18, 2002 750 $71.17 David McD A. Livingstone October 18, 2002 1,041 $71.17 David McD A. Livingstone October 18, 2002 1,041 $71.17 David McD A. Livingstone October 18, 2002 4,163 $71.17 David McD A. Livingstone October 18, 2002 4,643 $71.17 Mark G. Machin October 18, 2002 2,189 $71.17 Mark G. Machin October 18, 2002 8,063 $71.17 Ian R. McCormick October 18, 2002 235 $71.17 Ian R. McCormick October 18, 2002 508 $71.17 Ian R. McCormick October 18, 2002 1,342 $71.17 Richard P. McNeil October 18, 2002 9,000 $71.17 Jeffrey M. Moslow October 18, 2002 6,200 $71.17 Michiya Nagai October 18, 2002 5,000 $71.17 Todd G. Owens October 18, 2002 1,904 $71.17 Kevin A. Quinn October 18, 2002 1,000 $71.17 Sara E. Recktenwald October 18, 2002 1,321 $71.17 Sara E. Recktenwald October 18, 2002 1,345 $71.17 Sara E. Recktenwald October 18, 2002 1,538 $71.17
71
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE Jeffrey A. Resnick October 18, 2002 362 $71.17 Richard J. Rosenstein October 18, 2002 2,324 $71.17 Ivan Ross October 18, 2002 120 $71.17 Ivan Ross October 18, 2002 380 $71.17 Paul S. Schapira October 18, 2002 1,000 $71.17 Richard P. Simon October 18, 2002 5,000 $71.17 Randolph C. Snook October 18, 2002 2,758 $71.17 Nobumichi Sugiyama October 18, 2002 115 $71.17 Nobumichi Sugiyama October 18, 2002 946 $71.17 Nobumichi Sugiyama October 18, 2002 1,403 $71.17 Richard T. Wertz October 18, 2002 500 $71.17 Lance N. West October 18, 2002 107 $71.17 C. Howard Wietschner October 18, 2002 500 $71.17 John S. Willian October 18, 2002 2,091 $71.17 Richard A. Yacenda October 18, 2002 317 $71.17 Richard A. Yacenda October 18, 2002 1,180 $71.17 Richard A. Yacenda October 18, 2002 1,324 $71.17 W. Thomas York Jr. October 18, 2002 2,000 $71.17
The Covered Persons listed below participate in the Common Stock fund of The Goldman Sachs Employees' Profit Sharing Retirement Income Plan. These Covered Persons acquired interests in the Common Stock fund representing the number of shares of Common Stock set forth below:
ACQUISITION OR TRANSACTION NUMBER OF COVERED PERSON DISPOSITION DATE SHARES PRICE PER SHARE Edward R. Wilkinson Acquisition October 10, 2002 52 $61.08 Thomas J. McAdam Acquisition October 15, 2002 1 $70.00 Edward R. Wilkinson Acquisition October 15, 2002 1 $70.00
The following cashless exercises of stock options were effected by the following Covered Persons, with the indicated number of underlying shares sold through an affiliate of Mellon Investor Services LLC for cash on the New York Stock Exchange:
NUMBER OF NUMBER OF DATE OF NUMBER OF STRIKE SALES SHARES SHARES COVERED PERSON EXERCISE OPTIONS PRICE PRICE SOLD RETAINED Geraldine F. McManus October 7, 2002 16,304 $53.00 $62.05 1,023 15,281 David R. Hansen October 18, 2002 5,000 $53.00 $72.48 739 4,261
The following exercises of stock options were effected by the following Covered Person, with all of the underlying shares received upon exercise retained:
DATE OF NUMBER OF STRIKE COVERED PERSON EXERCISE OPTIONS PRICE Peter Hollmann October 8, 2002 1,509 $53.00 Peter Hollmann October 15, 2002 1,500 $53.00
72 SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: October 24, 2002 By: /s/ James B. McHugh ---------------------------------- Name: James B. McHugh Title: Attorney-in-Fact 73 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)).
74
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)).
75
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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