-----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, L/QZBYVrgwqUPqieaGVxWjFtFJ3TatF6PFPEueQ4oQIR6GKiG1Zf+p4WB2mUpVnN WmpMXvVazDc8bNpVg/Wb3g== 0000950123-03-004793.txt : 20030425 0000950123-03-004793.hdr.sgml : 20030425 20030425165214 ACCESSION NUMBER: 0000950123-03-004793 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030425 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: 1128 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-56295 FILM NUMBER: 03665140 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: 1128 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 y85823sc13dza.txt AMENDMENT NO. 39 TO SCHEDULE 13D SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 File No. 005-56295 ----------------------------------------------------- SCHEDULE 13D/A (Rule 13d-101) Amendment No. 39 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) April 17, 2003 -------------------- (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 WITH 173,940,863 Covered Shares held by Covered Persons 17,563 Uncovered Shares held by Covered Persons(3) 1,908,441 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 175,866,867 PERSON - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 36.90% - -------------------------------------------------------------------------------- 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 89 private charitable foundations established by 89 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations and may be deemed to beneficially own such Uncovered Shares. Each other Covered Person may be deemed to beneficially own such Uncovered Shares by application of Rule 13d-5(b)(1). Each such Covered Person disclaims beneficial ownership of such Uncovered Shares, and each other Covered Person also disclaims beneficial ownership of such Uncovered Shares. 2 APPENDIX A
ITEM 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 Hilary E. Ackermann 0 0 0 0 Jeffrey D. Adams 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 Elizabeth D. Anderson 0 0 0 0 Jason R. Anderson 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 Jesus A. Arias Spain 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 Charles Baillie 0 0 0 0 Bernardo Bailo Italy 0 0 0 0 Andrew G. Baird UK 0 0 0 0 Mona H. Baird 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 Scott B. Barringer 0 0 0 0 Steven M. Barry 0 0 0 0 Christopher M. Barter 0 0 0 0 Stacy Bash-Polley 0 0 0 0 Christopher A. Bates 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 - ---------------------------------- ---------------- ----------- --------- ----------- ---------------- David Baum 0 0 0 0 Andrew T. Bednar 0 0 0 0 Frank A. Bednarz 0 0 0 0 Jonathan A. Beinner 0 0 0 0 Douglas S. Bell UK 0 0 0 0 Janet L. Bell 0 0 0 0 Ron E. Beller 0 0 0 0 Driss Ben-Brahim Morocco 0 0 0 0 Jordan M. Bender 0 0 0 0 Tarek M. Ben Halim Saudi Arabia 0 0 0 0 Anna Maria J. Bentley UK 0 0 0 0 Susan M. Benz 0 0 0 0 Kenneth Berents 0 0 0 0 Michael G. Berini 0 0 0 0 Milton R. Berlinski The Netherlands 0 0 0 0 Andrew S. Berman 0 0 0 0 Frances R. Bermanzohn 0 0 0 0 Paul D. Bernard 0 0 0 0 Anthony D. Bernbaum UK 0 0 0 0 Stuart N. Bernstein 0 0 0 0 Thomas P. Berquist 0 0 0 0 Robert A. Berry UK 0 0 0 0 John D. Bertuzzi 0 0 0 0 Elizabeth E. Beshel 0 0 0 0 Andrew M. Bevan UK 0 0 0 0 Jean-Luc Biamonti Monaco 0 0 0 0 Andrew C. Bieler 0 0 0 0 James J. Birch UK 0 0 0 0 Gary D. Black 0 0 0 0 Lloyd C. Blankfein 0 0 0 0 Abraham Bleiberg Mexico 0 0 0 0 Dorothee Blessing Germany 0 0 0 0 David W. Blood 0 0 0 0 Randall A. Blumenthal 0 0 0 0 David R. Boles 0 0 0 0 Johannes M. Boomaars The Netherlands 0 0 0 0 Douglas L. Borden 0 0 0 0 Antonio Borges Portugal 0 0 0 0 J. Theodore Borter 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 Mairtin Brady Ireland 0 0 0 0 Benjamin S. Bram 0 0 0 0 Graham Branton UK 0 0 0 0 Thomas C. Brasco 0 0 0 0 Alan J. Brazil 0 0 0 0 Timothy J. Bridges UK 0 0 0 0 Victoria A. Bridges 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 - ---------------------------------- ---------------- ----------- --------- ----------- ---------------- Peter L. Briger, Jr. 0 0 0 0 Craig W. Broderick 0 0 0 0 Richard J. Bronks UK 0 0 0 0 Julia A. Bronson 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 David D. Buckley UK 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 Nicholas F. Burgin 0 0 0 0 Andrew J. Burke-Smith Canada 0 0 0 0 Michael S. Burton UK 0 0 0 0 Joseph M. Busuttil 0 0 0 0 George H. Butcher III 0 0 0 0 Mary D. Byron 0 0 0 0 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 Sally W. Cantwell UK 0 600(5) 0 600(5) Gerald J. Cardinale 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 Mark J. Carney Canada 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 Mary Ann Casati 0 0 0 0 Chris Casciato 0 0 0 0 Eduardo Centola Brazil 0 0 0 0 Lik Shuen David Chan Hong Kong 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
- --------------- 5 Shared with family members. 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 - ---------------------------------- ---------------- ----------- --------- ----------- ---------------- Andrew A. Chisholm Canada 0 0 0 0 W. Reed Chisholm, II 498 0 498 0 Thomas V. Cholnoky 0 0 0 0 Robert J. Christie 0 0 0 0 Todd J. Christie 0 0 0 0 Jane P. Chwick 0 0 0 0 Peter T. Cirenza 0 0 0 0 Geoffrey G. Clark Canada 0 0 0 0 James B. Clark 0 0 0 0 Kent A. 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 Abby Joseph Cohen 0 0 0 0 Lawrence A. Cohen 400 0 400 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 Colin Coleman South Africa 0 0 0 0 Marcus R. Colwell 0 0 0 0 Peter H. Comisar 0 0 0 0 Laura C. Conigliaro 0 0 0 0 William Connell 0 0 0 0 Llewellyn C. Connolly 0 0 0 0 Thomas G. Connolly Ireland/USA 0 0 0 0 Frank T. Connor 0 0 0 0 Donna L. Conti 0 0 0 0 Karen R. Cook UK 0 0 0 0 Edith W. Cooper 0 0 0 0 Philip A. Cooper 0 0 0 0 Kenneth W. Coquillette 0 0 0 0 Carlos A. Cordeiro 0 0 0 0 Henry Cornell 0 0 0 0 E. Gerald Corrigan 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 Michael J. Crinieri 0 0 0 0 Craig W. Crossman Australia 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
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 - ---------------------------------- ---------------- ----------- --------- ----------- ---------------- Jeffrey R. Currie 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 Stephen D. Daniel Canada 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 Katherine R. Davisson 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 Giorgio De Santis Italy 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 Bradley S. DeFoor 0 0 0 0 Mark Dehnert 0 0 0 0 Paul C. Deighton UK 0 0 0 0 Alvaro del Castano Spain 0 0 0 0 James Del Favero Australia 0 0 0 0 Juan A. Del Rivero Spain 0 0 0 0 Robert V. Delaney, Jr. 0 0 0 0 Joseph Della Rosa 0 0 0 0 Roger E. Denby-Jones UK 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 David G. Dick UK 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
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 - ---------------------------------- ---------------- ----------- --------- ----------- ---------------- 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 David C. Earling 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 Robert K. Ehudin 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 Kathy G. Elsesser 0 0 0 0 Glenn D. Engel 0 0 0 0 Peter C. Enns Canada 0 0 0 0 Katherine B. Enquist 0 0 0 0 Earl S. Enzer 0 0 0 0 Christopher H. Eoyang 0 0 0 0 Christian Erickson 0 0 0 0 Fred W. Esiri UK 0 0 0 0 James P. Esposito 0 0 0 0 Michael P. Esposito 0 0 0 0 George C. Estey Canada 0 0 0 0 Mark D. Ettenger 0 0 0 0 Bruce J. Evans 0 0 0 0 Ian J. Evans UK 0 0 0 0 J. Michael Evans Canada 0 0 0 0 W. Mark Evans Canada 0 0 0 0 Charles P. Eve UK 0 0 0 0 Elizabeth C. Fascitelli 0 0 0 0 Jeffrey F. Fastov 0 0 0 0 Douglas L. Feagin 0 0 0 0
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 - ---------------------------------- ---------------- ----------- --------- ----------- ---------------- Regina M. Feeney 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 Gail S. Fierstein 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 Pierre-Henri Flamand France 0 0 0 0 David N. Fleischer 0 0 0 0 Alexander W. Fletcher UK 0 0 0 0 Mark C. Fletcher UK 0 0 0 0 David B. Ford 0 134(6) 0 134(6) Edward C. Forst 0 0 0 0 George B. Foussianes 0 0 0 0 Stephen H. Frank 0 0 0 0 Oliver L. Frankel 0 0 0 0 Orit P. Freedman Israel 0 0 0 0 Matthew T. Fremont-Smith 0 0 0 0 Christopher G. French UK 0 0 0 0 Timothy G. Freshwater UK 0 0 0 0 Jacob Y. Friedman 0 0 0 0 Richard A. Friedman 0 0 0 0 Matthias K. Frisch Switzerland 0 0 0 0 Robert K. Frumkes 0 0 0 0 C. Douglas Fuge 0 0 0 0 Naosuke Fujita Japan 0 0 0 0 Shirley Fung UK 0 0 0 0 Timothy T. Furey 0 0 0 0 Enrico S. Gaglioti 0 0 0 0 Maryann L. Gallivan 0 2000(7) 0 2000(7) Gonzalo R. Garcia Chile 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 Hywel D. George UK 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
- --------------- 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 - ---------------------------------- ---------------- ----------- --------- ----------- ---------------- Nomi P. Ghez Israel/USA 0 0 0 0 Scott A. Gieselman 0 0 0 0 Gary T. Giglio 0 0 0 0 H. John Gilbertson, Jr. 0 0 0 0 Nicholas G. Giordano 0 300(8) 0 300(8) Joseph H. Gleberman 0 0 0 0 Nancy S. Gloor 0 0 0 0 Justin G. Gmelich 0 0 0 0 Richard J. Gnodde Ireland/South 0 0 0 0 Africa Jeffrey B. Goldenberg 0 2,860(9) 0 2,860(9) Jacob D. Goldfield 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 Eldridge F. Gray 0 0 0 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 Michael J. Grimaldi 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 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
- --------------- 8 Shared with family members. 9 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 - ---------------------------------- ---------------- ----------- --------- ----------- ---------------- David R. Hansen Australia 0 0 0 0 Mary L. Harmon 0 0 0 0 Roger C. Harper 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 Nobumichi Hattori Japan 0 0 0 0 Stephen J. Hay UK 0 0 0 0 Keith L. Hayes UK 0 0 0 0 Edward A. Hazel 917 300(10) 917 300(10) 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 Benoit Herault France 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 Axel Hoerger Germany 0 0 0 0 Jacquelyn M. Hoffman-Zehner Canada 0 0 0 0 Christopher G. Hogg New Zealand/USA 0 0 0 0 Simon N. Holden UK 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
- --------------- 10 Shared with family members. 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 - ---------------------------------- ---------------- ----------- --------- ----------- ---------------- Philip Holzer Germany 0 0 0 0 Gregory T. Hoogkamp 0 0 0 0 Sean C. Hoover 0 0 0 0 Shin Horie Japan 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 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 Adrian M. Jones Ireland 0 0 0 0 Emerson P. Jones 0 0 0 0 Robert C. Jones 0 0 0 0 Terrence O. 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
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 - ---------------------------------- ---------------- ----------- --------- ----------- ---------------- Chansoo Joung 0 0 0 0 Andrew J. Kaiser 0 0 0 0 Ann F. Kaplan 21 0 21 0 Barry A. Kaplan 0 0 0 0 David A. Kaplan 0 0 0 0 Jason S. Kaplan 0 0 0 0 Robert S. Kaplan 0 0 0 0 Scott B. Kapnick 0 0 0 0 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 Shunji Katayama 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 David K. Kaugher 0 0 0 0 Alan S. Kava 0 0 0 0 Larry M. Kellerman 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 428 0 428 0 Robert C. King, Jr. 0 0 0 0 Timothy M. Kingston 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 Andreas Koernlein Germany 0 0 0 0 Mark J. Kogan 0 0 0 0 Melissa B. Kogan 0 0 0 0 J. Christopher A. Kojima Canada 0 0 0 0 Kazuaki Kojima Japan 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 - ---------------------------------- ---------------- ----------- --------- ----------- ---------------- Jonathan L. Kolatch 0 0 0 0 Jeffrey A. Kolitch 0 0 0 0 Richard E. Kolman 0 0 0 0 Takahiro Komatsu Japan 0 0 0 0 Philip J. Kopp III 0 0 0 0 David J. Kostin 0 0 0 0 Koji Kotaka Japan 0 0 0 0 Peter S. Kraus 15 0 15 0 Srihari Kumar India 0 0 0 0 Mary Lyn Valkenburg Kurish 0 0 0 0 Eiichiro Kuwana Japan 0 0 0 0 Joon Kwun South Korea 0 0 0 0 Peter Labbat 0 0 0 0 Peggy A. Lamb 0 0 0 0 Simon M. Lamb UK 0 0 0 0 David G. Lambert 0 0 0 0 Joseph A. LaNasa III 0 0 0 0 Eric S. Lane 0 0 0 0 Thomas K. Lane 0 0 0 0 Rudolf N. Lang Germany 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 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 Brian J. Lee 0 0 0 0 Chan-Keun Lee South Korea 0 0 0 0 George 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 Tim Leissner Brazil 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 Johan H. Leven Sweden 0 0 0 0 Ronald S. Levin 0 0 0 0 Allan S. Levine 0 0 0 0 Brian T. Levine 0 0 0 0 Jack Levy 0 0 0 0 Richard J. Levy UK 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 - ---------------------------------- ---------------- ----------- --------- ----------- ---------------- 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 Lisette M. Lieberman 758 0 758 0 Mitchell J. Lieberman 0 0 0 0 Richerd C. Lightburn 0 0 0 0 Terence Tayseop Lim South Korea 0 0 0 0 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 Kevin L. Lundeen 0 0 0 0 Mark A. Lynch UK 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 Paula B. Madoff 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 Puneet Malhi UK 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 Jean E. Manas Greece 0 0 0 0
15
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - ---------------------------------- ---------------- ----------- --------- ----------- ---------------- Charles G. R. Manby UK 0 0 0 0 Robert S. Mancini 0 0 0 0 Barry A. Mannis 0 0 0 0 Simon I. Mansfield 0 0 0 0 Elizabeth C. Marcellino 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 Naomi Matsuoka Japan 0 0 0 0 George N. Mattson 0 0 0 0 Thomas J. McAdam 74 0 74 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 Gordon R. McCulloch UK 0 0 0 0 Mark E. McGoldrick 0 0 0 0 Joseph P. McGrath, Jr. 0 0 0 0 Stephen J. McGuinness 0 0 0 0 John C. McIntire 0 0 0 0 Matthew B. McLennan Australia 0 0 0 0 John W. McMahon 0 0 0 0 Geraldine F. McManus 0 0 0 0 Gerald C. McNamara, Jr. 2 0 2 0 James A. McNamara 0 215(11) 0 215(11) 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
- --------------- 11 Shared with family members. 16
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - ---------------------------------- ---------------- ----------- --------- ----------- ---------------- Stephen J. Mellas 0 0 0 0 Andrew J. Melnick 0 0 0 0 Bruce H. Mendelsohn 100 400(12) 100 400(12) Michael A. Mendelson 0 0 0 0 Bernard A. Mensah UK 0 0 0 0 Garry E. Menzel UK 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 Kenneth A. Miller 0 0 0 0 Therese L. Miller 0 0 0 0 Michael J. Millette 0 0 0 0 James E. Milligan 0 0 0 0 Milton R. Millman 0 0 0 0 Eric M. Mindich 0 0 0 0 Luciana D. Miranda Brazil 0 0 0 0 Edward S. Misrahi Italy 0 0 0 0 Masatoki J. Mitsumata Japan 0 0 0 0 Steven T. Mnuchin 0 0 0 0 Masanori Mochida Japan 0 0 0 0 Timothy H. Moe 0 0 0 0 Douglas D. Moffitt 0 0 0 0 Philip J. Moffitt Australia 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 Simon P. Morris UK 0 0 0 0 Thomas C. Morrow 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 Alvise J. Munari UK 0 0 0 0 Robert G. Munro UK 0 0 0 0 Rie Murayama Japan 0 0 0 0
- --------------- 12 Shared with family members. 17
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - ---------------------------------- ---------------- ----------- --------- ----------- ---------------- 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 Marc O. Nachmann Germany 0 0 0 0 Michiya Nagai Japan 0 0 0 0 Avi M. Nash 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 Claire M. Ngo 0 0 0 0 Duncan L. Niederauer 0 0 0 0 Theodore E. Niedermayer USA/France 0 0 0 0 Erik F. Nielsen Denmark 0 0 0 0 Hideya Niimi Japan 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 David J. Nolan Australia 0 0 0 0 Suzanne M. Nora Johnson 0 0 0 0 Christopher K. Norton 0 0 0 0 Michael E. Novogratz 0 0 0 0 Jay S. Nydick 0 0 0 0 Katherine K. Oakley 0 0 0 0 Eric M. Oberg 0 0 0 0 Alok Oberoi India 0 0 0 0 Gavin G. O'Connor 0 0 0 0 James K. O'Connor 0 0 0 0 Fergal J. O'Driscoll Ireland 0 0 0 0 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 Roderick S. Orr UK 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 James B. Otness 0 0 0 0
18
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - ---------------------------------- ---------------- ----------- --------- ----------- ---------------- 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 Simon Y. Park 0 0 0 0 Geoffrey M. Parker 0 0 0 0 Archie W. Parnell 100 100(13) 100 100(13) Ketan J. Patel UK 0 0 0 0 Douglas S. Patterson 0 0 0 0 Henry M. Paulson, Jr. 0 0 0 0 David T. Pearson 0 0 0 0 Arthur J. Peponis 287 0 287 0 David E. Perlin 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 Steven M. Pinkos 0 0 0 0 Scott M. Pinkus 0 0 0 0 Timothy C. Plaut Germany 0 0 0 0 Andrea Ponti Italy/USA 0 0 0 0 Ellen R. Porges 0 0 0 0 Wiet H. M. Pot The Netherlands 0 0 0 0 Michael J. Poulter UK 0 0 0 0 John J. Powers 0 0 0 0 Richard H. Powers 0 0 0 0 Alberto Pravettoni Italy 0 0 0 0 Michael A. Price 0 0 0 0 Scott Prince 0 0 0 0 Anthony J. Principato 35 0 35 0 Steven D. Pruett 0 0 0 0 Andrew F. Pyne 0 0 0 0 Kevin A. Quinn 0 0 0 0 Stephen D. Quinn 0 0 0 0 William M. Quinn 0 0 0 0 B. Andrew Rabin 0 0 0 0 Jean Raby Canada 0 0 0 0 Matthew Rafferty 0 0 0 0
- --------------- 13 Shared with family members. 19
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES - ---------------------------------- ---------------- ----------- --------- ----------- ---------------- John J. Rafter Ireland 0 0 0 0 Jonathan Raleigh 0 0 0 0 Dioscoro-Roy I. Ramos Philippines 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 Sandy C. Rattray UK 0 0 0 0 Joseph Ravitch 0 0 0 0 Sara E. Recktenwald 0 0 0 0 Girish V. Reddy 0 0 0 0 Nicholas T. Reid UK 0 0 0 0 David Reilly UK 0 0 0 0 Gene Reilly 0 0 0 0 Arthur J. Reimers III 0 0 0 0 Filip A. Rensky 0 0 0 0 Jeffrey A. Resnick 0 0 0 0 Richard J. Revell UK 0 0 0 0 Craig Reynolds 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 Kirk L. Rimer 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 4 0 4 0 Simon M. Robertson UK 0 0 0 0 Juliet A. Robinson UK 0 0 0 0 Normann G. Roesch Germany 0 0 0 0 Marina L. Roesler USA/Brazil 0 0 0 0 James H. Rogan 0 0 0 0 J. David Rogers 0 200(14) 0 200(14) 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 David J. Rosenblum 0 0 0 0 Jacob D. Rosengarten 0 0 0 0 Richard J. Rosenstein 0 0 0 0 Ivan Ross 0 0 0 0 Marc A. Rothenberg 0 0 0 0 Stuart M. Rothenberg 0 0 0 0
- --------------- 14 Shared with family members. 20
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- Michael S. Rotter 0 0 0 0 Thomas A. Roupe 0 0 0 0 Michael S. Rubinoff 0 0 0 0 Paul M. Russo 0 0 0 0 John P. Rustum Ireland/USA 0 0 0 0 Richard M. Ruzika 0 0 0 0 David C. Ryan 0 0 0 0 David M. Ryan Australia 0 0 0 0 Jeri Lynn Ryan 0 0 0 0 John C. Ryan 0 0 0 0 Michael D. Ryan 0 0 0 0 Katsunori Sago Japan 0 0 0 0 Pablo J. Salame Ecuador 0 0 0 0 Roy J. Salameh 0 0 0 0 J. Michael Sanders 0 0 0 0 Allen Sangines-Krause Mexico 212 0 212 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 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 Daniel Schmitz Germany 0 0 0 0 Jeffrey W. Schroeder 0 0 0 0 Matthew L. 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 1,9000(15) 0 1,900(15) Steven M. Scopellite 0 0 0 0 David J. Scudellari 0 0 0 0 Charles B. Seelig, Jr. 0 0 0 0 Peter A. Seibold 0 0 0 0 Karen D. Seitz 0 0 0 0 Hiran N. Selvaratnam Australia 0 0 0 0
- -------- (15) Shared with family members. 21
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- Anik Sen UK 0 0 0 0 Randolph Sesson, Jr. 0 0 0 0 Steven M. Shafran 0 0 0 0 Lisa M. Shalett 0 0 0 0 Richard S. Sharp UK 0 0 0 0 John P. Shaughnessy 0 0 0 0 Robert J. Shea, Jr. 0 0 0 0 Daniel M. Shefter 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 David A. Shiffman 0 0 0 0 Abraham Shua 0 0 0 0 Susan E. Sidd 0 0 0 0 Michael H. Siegel 0 0 0 0 Daniel J. Silber 0 0 0 0 Leslie C. Sillcox 0 0 0 0 Ralph J. Silva 0 0 0 0 Harry Silver 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 Guy C. Slimmon UK 0 0 0 0 Jeffrey S. Sloan 0 0 0 0 Linda J. Slotnick 0 0 0 0 Cody J Smith 0 1,000(16) 0 1,000(16) 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
- -------- (16) Shared with family members. 22
ITEM 8 ITEM 9 ITEM 6 ITEM 7 SHARED SOLE ITEM 10 CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES -------------------------- ---------- ------ ------ ------ ---------------- Vickrie C. South 0 0 0 0 Daniel L. Sparks 0 0 0 0 Claudia Spiess Switzerland 0 0 0 0 Marc A. Spilker 0 0 0 0 Howard Q. Spooner UK 0 0 0 0 Joseph F. Squeri 0 0 0 0 Christoph W. Stanger Austria 0 0 0 0 Daniel W. Stanton 0 0 0 0 Steven R. Starker 0 0 0 0 Keith G. Starkey UK 0 0 0 0 Esta E. Stecher 0 0 0 0 Cathrine S. Steck 0 0 0 0 Fredric E. Steck 0 0 0 0 Robert K. Steel 0 0 0 0 Jean-Michel Steg France 0 0 0 0 Joseph P. Stevens 0 0 0 0 Chase O. Stevenson 0 0 0 0 Richard J. Stingi 0 0 0 0 Raymond S. Stolz 0 0 0 0 Timothy T. Storey Canada 0 0 0 0 George C. Strachan 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 Howard B. Surloff 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 Kunio Tahara Japan 0 0 0 0 Ronald K. Tanemura UK/USA 0 0 0 0 Kui F. Tang China (PRC) 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 Roland W. Tegeder Germany 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 Stephen M. Thurer 0 0 0 0
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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 -------------------------- ---------- ------ ------ ------ ---------------- Nicolas F. Tiffou France 0 0 0 0 Jason A. Tilroe 0 0 0 0 Daisuke Toki Japan 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 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 Irene Y. Tse Hong Kong 0 0 0 0 Robert B. Tudor III 0 0 0 0 Keith Tuffley Australia 0 0 0 0 Thomas E. Tuft 0 0 0 0 John Tumilty UK 0 0 0 0 Barry S. Turkanis 0 0 0 0 Malcolm B. Turnbull Australia 0 0 0 0 Christopher H. Turner 0 0 0 0 Gareth N. Turner Canada 0 0 0 0 Eiji Ueda Japan 0 0 0 0 Scott B. Ullem 0 0 0 0 Kevin M. Ulrich Canada 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 Robin A. Vince UK 0 0 0 0 David A. Viniar 0 0 0 0 Andrea A. Vittorelli Italy 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(17) 0 10(17) Joann B. Walker 0 0 0 0 Thomas B. Walker III 0 0 0 0
- -------- (17) Shared with family members. 24
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 -------------------------- ---------- ------ ------ ------ ---------------- 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 Theodore T. Wang China (PRC) 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 Mark K. Weeks UK 0 0 0 0 David M. Weil 0 0 0 0 Theodor Weimer Germany 0 0 0 0 John S. Weinberg 0 0 0 0 Peter A. Weinberg 0 0 0 0 Gregg S. Weinstein 0 0 0 0 Scott R. Weinstein 0 0 0 0 Mark S. Weiss 0 0 0 0 George W. Wellde, Jr. 0 0 0 0 Christopher S. Wendel 0 0 0 0 Martin M. Werner Mexico 0 0 0 0 Richard T. Wertz 0 0 0 0 Lance N. West 0 0 0 0 Matthew Westerman UK 0 0 0 0 Barbara A. White 0 0 0 0 Melanie J. White UK 0 0 0 0 William Wicker 0 0 0 0 A. Carver Wickman 0 0 0 0 Elisha Wiesel 0 0 0 0 C. Howard Wietschner 0 0 0 0 David D. Wildermuth 1 0 1 0 Edward R. Wilkinson 73 0 73 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 Meurig R. Williams UK 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
25
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 -------------------------- ---------- ------ ------ ------ ---------------- Alexander D. Wohl 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 Neil J. Wright UK 0 0 0 0 Denise A. Wyllie UK 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 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 Sanaz Zaimi UK 0 0 0 0 Michael J. Zamkow 0 40(18) 0 40(18) 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 Gregory Zenna 0 0 0 0 Yi Kevin Zhang China (PRC) 0 0 0 0 Joan H. Zief 0 0 0 0 John W. Ziegler 0 0 0 0 Joseph R. Zimmel 0 0 0 0 James P. Ziperski 0 0 0 0 Barry L. Zubrow 0 0 0 0 Mark A. Zurack 0 0 0 0 Shares held by 89 private N/A 0 1,908,441 0 1,908,441 charitable foundations established by 89 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations 19
- -------- (18) Shared with family members. (19) Each Covered Person disclaims beneficial ownership of all such shares of Common Stock. 26
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ TRUSTS 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 John A. Thain Grantor Retained Annuity Trust 0 0 0 0 2001 Michael E. Novogratz 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 2003 Scott S. Prince Grantor Retained Annuity Trust 0 0 0 0 2003 John A. Thain Grantor Retained Annuity Trust 0 0 0 0 2003 Danny O. Yee Grantor Retained Annuity Trust 0 0 0 0 The Abby Joseph Cohen 2000 Family Trust 0 0 0 0 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 Abby Joseph Cohen 2003 Annuity Trust I 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
27
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ The 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(20) Jersey 0 0 0 0 Andrew L. Fippinger-Millennium Trust(21) 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. Alper 2003 Annuity Trust I 0 0 0 0 The Andrew M. Gordon 2000 Family Trust 0 0 0 0 Ann F. Kaplan Two Year Trust Dated 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 2002 Annuity Trust I 0 0 0 0 The Anthony D. Lauto 2002 Annuity Trust II 0 0 0 0 The Anthony D. Lauto 2003 Annuity Trust I 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 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
- -------- (20) Created by Andrew A. Chisholm. (21) Created by Ann F. Kaplan. 28
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ The 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 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 Brian Patrick Minehan 2001 Trust(22) 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 2002 Annuity Trust I 0 0 0 0 The Christopher A. Cole 2002 Annuity Trust II 0 0 0 0 The Christopher A. Cole 2003 Annuity Trust I 0 0 0 0 The Christopher K. Norton 2000 Family Trust 0 0 0 0 The Christopher Palmisano Remainder Trust(23) 0 0 0 0 The Christopher Ryan Tortora 2000 Trust 0 0 0 0 The Cody J Smith 2000 Family Trust 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 Dangui Trust(24) 0 0 0 0
- -------- (22) Created by E. Gerald Corrigan. (23) Created by Robert H. Litzenberger. (24) Created by Emmanuel Roman. 29
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ The Daniel Alexander Schwartz 2000 Trust 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 M. Neidich 2003 Annuity Trust I 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 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 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 2002 Annuity Trust I 0 0 0 0 The David L. Henle 2002 Annuity Trust II 0 0 0 0 The David L. Henle 2003 Annuity Trust I 0 0 0 0 The David M. Baum Family 2000 Trust New Jersey 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 Viniar 2003 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 2002 Annuity Trust I 0 0 0 0
30
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ The Donald F. Textor 2002 Annuity Trust II 0 0 0 0 The Donald F. Textor 2003 Annuity Trust I 0 0 0 0 The Douglas W. Kimmelman Trust 0 0 0 0 The E. Gerald Corrigan 2002 Annuity Trust I 0 0 0 0 The E. Gerald Corrigan 2003 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 2002 Annuity Trust I 0 0 0 0 The Edward Scott Mead 2002 Annuity Trust II 0 0 0 0 The Edward Scott Mead 2003 Annuity Trust I 0 0 0 0 Eff Warren Martin 2000 Children's Trust California 0 0 0 0 The Elizabeth Anne Corrigan 2000 Trust 0 0 0 0 The Elizabeth H. Coulson 2000 Trust 0 0 0 0 The Elizabeth L. Heller 2000 Trust 0 0 0 0 The Elizabeth Lin Mead 2000 Trust 0 0 0 0 The Elizabeth M. Stanton 2000 Trust 0 0 0 0 The Elizabeth Steel 2000 Trust 0 0 0 0 The Ellie Dorit Neustein 2000 Trust 0 0 0 0 The Emily Austen Katz 2000 Trust 0 0 0 0 The Emily Stecher 2000 Trust 0 0 0 0 The Emma M.L. Mead 2000 Trust 0 0 0 0 The Eric Fithian 2000 Trust(25) 0 0 0 0
- -------- (25) Created by David A. Viniar. 31
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ The Erin Marie Tormondsen 2000 Trust 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 Esta Eiger Stecher 2003 Annuity Trust I 0 0 0 0 The Evans Trust(26) 0 0 0 0 The Francis J. Ingrassia 2000 Family Trust 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 2002 Annuity Trust I 0 0 0 0 The Fredric E. Steck 2002 Annuity Trust II 0 0 0 0 The Fredric E. Steck 2003 Annuity Trust I 0 0 0 0 Gary D. Cohn 2000 Family Trust 0 0 0 0 The Gary W. Williams 2001 Trust 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 Gene Tiger Sykes 2003 Annuity Trust I 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 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. 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
- -------- (26) Created by W. Mark Evans. 32
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ 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 2002 Annuity Trust I 0 0 0 0 The Gregory K. Palm 2002 Annuity Trust II 0 0 0 0 The Gregory K. Palm 2003 Annuity Trust I 0 0 0 0 The Guapulo Trust(27) Jersey 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 A. Silverstein 2003 Annuity Trust I 0 0 0 0 The Isabelle M.L. Mead 2000 Trust 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 J. David Rogers 2003 Annuity Trust I 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
- -------- (27) Created by Erland S. Karlsson. 33
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ James P. Riley, Jr. 2000 Family Trust 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 JG 2000 Trust (28) 0 0 0 0 JG 2000 Trust (continuing trust) (28) 0 0 0 0 JG 2002 GRAT (28) 0 0 0 0 JG 2003 GRAT (28) 0 0 0 0 JG 2003 Family Trust (28) 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 O. Downing 2000 Family Trust 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 O. Downing 2003 Annuity Trust I 0 0 0 0 The John P. Curtin, Jr. 2000 Family Trust 0 0 0 0 The John P. Curtin, Jr. 2001 Annuity Trust I 0 0 0 0 The John R. Tormondsen 2002 Annuity Trust I 0 0 0 0 The John R. Tormondsen 2002 Annuity Trust II 0 0 0 0 The John R. Tormondsen 2003 Annuity Trust I 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
- -------- (28) Created by Jacob D. Goldfield. 34
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ The John S. Weinberg 2003 Annuity Trust I 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 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 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 (29) 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 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
- -------- (29) Created by David A. Viniar. 35
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ The Kevin W. Kennedy 2003 Annuity Trust I 0 0 0 0 The Kevin W. Kennedy 2003 Annuity Trust II 0 0 0 0 The Kimberly Lynn Macaione 2000 Trust (30) 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 (31) Jersey 0 0 0 0 The Kyle F. Textor 2000 Trust The Lauren Schiller 2000 Trust 0 0 0 0 The Lawrence R. Buchalter 2000 Family Trust 0 0 0 0 The Lawrence R. Buchalter 2001 Annuity Trust I 0 0 0 0 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 2002 Annuity Trust I 0 0 0 0 The Leslie C. Sillcox 2003 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
- -------- (30) Created by Frank L. Coulson, Jr. (31) Created by Sylvain M. Hefes. 36
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ The 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 The Mark A. Zurack 2003 Annuity Trust I 0 0 0 0 Mark Dehnert Living Trust Illinois 0 0 0 0 The Mark Tercek 2000 Family Trust 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 The Mark Tercek 2003 Annuity Trust I 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 (32) 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 Trust 0 0 0 0 The Michael J. Zamkow 2002 Annuity Trust I 0 0 0 0
- -------- (32) Created by E. Gerald Corrigan. 37
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ The Michael J. Zamkow 2002 Annuity Trust II 0 0 0 0 The Michael Stecher 2000 Trust 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 The Milton R. Berlinski 2003 Annuity Trust I 0 0 0 0 The Milton R. and Jena M. Berlinski 2003 Life Insurance Trust 0 0 0 0 The Mossavar-Rahmani 2000 Family Trust 0 0 0 0 Murphy 2000 (continuing trust) (33) 0 0 0 0 Murphy 2002 GRAT (33) 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 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 C. Gerhard 2003 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 2002 Annuity Trust I 0 0 0 0 The Peter S. Kraus 2002 Annuity Trust II 0 0 0 0 The Peter S. Kraus 2003 Annuity Trust I 0 0 0 0 The Philip D. Murphy 2000 Family Trust 0 0 0 0 The Philip D. Murphy 2001 Annuity Trust I 0 0 0 0 The Philip D. Murphy 2002 Annuity Trust I 0 0 0 0
- -------- (33) Created by Thomas S. Murphy, Jr. 38
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ The Philip D. and Tammy S. Murphy 2002 Life Insurance Trust 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 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 2002 Annuity Trust I 0 0 0 0 The Ralph F. Rosenberg 2002 Annuity Trust II 0 0 0 0 The Ralph F. Rosenberg 2003 Annuity Trust I 0 0 0 0 Randal M. Fippinger-Millennium Trust (34) 0 0 0 0 The Randolph L. Cowen 2000 Family Trust 0 0 0 0 Rayas Trust (35) 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 2002 Annuity Trust I 0 0 0 0 The Richard E. Witten 2002 Annuity Trust II 0 0 0 0 The Richard E. Witten 2003 Annuity Trust I 0 0 0 0 The Richard G. Sherlund 2002 Annuity Trust I 0 0 0 0 Robert A. Fippinger, Jr. Millennium Trust (36) 0 0 0 0
- -------- (34) Created by Ann F. Kaplan. (35) Created by Emmanuel Roman. (36) Created by Ann F. Kaplan. 39
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ The Robert B. Litterman 2000 Family Trust 0 0 0 0 The Robert B. Litterman 2001 Annuity Trust I 0 0 0 0 The Robert B. Litterman 2002 Annuity Trust I 0 0 0 0 The Robert B. Litterman 2002 Annuity Trust II 0 0 0 0 The Robert B. Morris III 2000 Family Trust 0 0 0 0 The Robert B. Morris III 2001 Annuity Trust I 0 0 0 0 The Robert B. Morris III 2002 Annuity Trust I 0 0 0 0 The Robert B. Morris III 2002 Annuity Trust II 0 0 0 0 The Robert B. Morris III 2003 Annuity Trust I 0 0 0 0 The Robert J. Hurst 2000 Family Trust 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. Hurst 2003 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. Katz 2003 Annuity Trust I 0 0 0 0 The Robert J. O'Shea 2000 Family Trust 0 0 0 0 The Robert J. O'Shea 2001 Annuity Trust I 0 0 0 0 The Robert J. 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. O'Shea 2003 Annuity Trust I 0 0 0 0 The Robert J. Pace 2000 Family Trust 0 0 0 0 The Robert J. Pace 2002 Annuity Trust I 0 0 0 0 The Robert J. Pace 2003 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 K. Steel 2003 Annuity Trust I 0 0 0 0
40
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ 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 2002 Annuity Trust I 0 0 0 0 The Stephen M. Neidich 2000 Trust 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 J. Wisch 2003 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 2002 Grantor Retained Annuity Trust 0 0 0 0 The Steven T. Mnuchin 2000 Family Trust 0 0 0 0 The Steven T. Mnuchin 2002 Annuity Trust I 0 0 0 0 The Steven T. Mnuchin 2003 Annuity Trust I 0 0 0 0 The Stuart Mark Rothenberg 2000 Family Trust 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
41
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ The Stuart Mark Rothenberg 2003 Annuity Trust I 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 J. Healey 2003 Annuity Trust New Jersey 0 0 0 0 The Thomas K. Montag 2000 Family Trust 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 (37) New Jersey 0 0 0 0 Trust f/b/o Megan H. Hagerty u/a/d June 5, 2002 (37) 0 0 0 0 Trust f/b/o Megan H. Hagerty u/a/d March 26, 2003 (37) New Jersey 0 0 0 0 Trust for the benefit of Thomas Jeremiah Healey u/a DTD 3/26/01 New Jersey 0 0 0 0 Trust f/b/o Thomas Jeremiah Healey u/a/d June 5, 2002 0 0 0 0 Trust f/b/o Thomas Jeremiah Healey u/a/d March 26, 2003 New Jersey 0 0 0 0 The Unicorn Trust (38) UK 0 0 0 0
- -------- (37) Created by Thomas J. Healey. (38) Created by Wiet H.M. Pot. 42
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ Vyrona Trust (39) Jersey 0 0 0 0 The William C. Sherlund 2000 Trust 0 0 0 0 The William Keith Litzenberger Remainder Trust 0 0 0 0 Zachariah Cobrinik 2001 Annuity Trust I 0 0 0 0 Zachariah Cobrinik 2001 Family Trust 0 0 0 0 The Zachariah Cobrinik Family 2000 Trust 0 0 0 0 Zachariah Cobrinik 2002 Annuity Trust 0 0 0 0 PARTNERSHIPS ALS Investment Partners, L.P. (40) Delaware 0 0 0 0 Beech Associates, L.P. (41) Delaware 0 0 0 0 Crestley, L.P. (42) Delaware 0 0 0 0 Greenley Partners, L.P. (43) Delaware 0 0 0 0 HEMPA Limited Partnership (44) Delaware 0 0 0 0 JSS Investment Partners, L.P. (45) 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 (46) 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. (47) Delaware 0 0 0 0 Stone Gate GS Partners, L.P. (48) Delaware 0 0 0 0 Trott GS Investment Partners, L.P. Delaware 0 0 0 0 Tuft GS Investment Partners, L.P. Delaware 0 0 0 0 Ward Investment Partners, L.P. Delaware 0 0 0 0
- -------- (39) Created by Sylvain M. Hefes. (40) Created by Charles B. Seelig, Jr. (41) Created by David B. Ford. (42) Created by Thomas J. Healey. (43) Created by Jaime E. Yordan. (44) Created by Henry M. Paulson, Jr. (45) Created by Jonathan S. Savitz. (46) Created by Peter Layton. (47) Created by Peter Savitz. (48) Created by Connie K. Duckworth. 43
ITEM 6 ITEM 8 ITEM 9 ITEM 10 PLACE OF ITEM 7 SHARED SOLE SHARED ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE YORK UNLESS POWER OF POWER OF POWER OF POWER OF ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------- ------ ------ ------ ------ Windy Hill Investment Company II, L.P. (49) Delaware 0 0 0 0 Winkelried Investment Partners, L.P. Delaware 0 0 0 0 LIMITED LIABILITY COMPANIES The James Coufos Family LLC Delaware 0 0 0 0 The Lawrence Cohen Family LLC Delaware 0 0 0 0 The Rebecca Amitai Family LLC Delaware 0 0 0 0 The Steven Starker Family LLC Delaware 0 0 0 0 The Todd Christie Family LLC Delaware 0 0 0 0 CORPORATIONS Anahue Limited (50) Jersey 0 0 0 0 Chambolle Limited (51) Jersey 0 0 0 0 Guapulo Holdings Ltd (52) Jersey 0 0 0 0 HJS2 Limited (53) Cayman Islands 0 0 0 0 Majix Limited (54) Jersey 0 0 0 0 Melalula Limited (55) Jersey 0 0 0 0 RJG Holding Company (56) Cayman Islands 0 0 0 0 Robinelli Limited (57) Jersey 0 0 0 0 Vyrona Holdings Limited (58) Jersey 0 0 0 0 Zurrah Limited (59) Jersey 0 0 0 0
- -------- (49) Created by Joseph D. Gutman. (50) Created by Andrew A. Chisholm. (51) Created by Emmanuel Roman. (52) Created by Erland S. Karlsson. (53) Created by Hsueh J. Sung. (54) Created by Alok Oberoi. (55) Created by Peter D. Sutherland. (56) Created by Richard J. Gnodde. (57) Created by Claudio Costamagna. (58) Created by Sylvain M. Hefes. (59) Created by Yoel Zaoui. 44 This Amendment No. 39 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. 39 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 The Goldman Sachs Group, Inc. ("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 one of its affiliates 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") 45 of Walter N. Frank & Co., LLC ("Walter Frank") acquired certain Covered Shares in exchange for their interests in Hull, SLK LLC, Jacobson or Walter Frank, as applicable; (iii) certain Individual Covered Persons have acquired and will acquire beneficial ownership of certain other Covered Shares in connection with GS Inc.'s initial public offering and/or pursuant to GS Inc.'s employee compensation, benefit or similar plans; (iv) certain Individual Covered Persons (the "Transferee Covered Persons") acquired their Covered Shares from other Individual Covered Persons 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 March 21, 2003 and terminated on April 17, 2003, with an aggregate of 6,128,786 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 46 reported in rows (11) and (13) of the cover page to this Schedule and Appendix A are shares as to which there is a right to acquire exercisable within 60 days. (b) Rows (7) through (10) of the cover page to this Schedule, Appendix A and Annex A set forth the percentage range of Covered Shares as to which there is sole power to vote or direct the vote or to dispose or direct the disposition; the number of Uncovered Shares as to which there is sole power to vote or direct the vote or to dispose or direct the disposition; and the number of shares of Common Stock as to which there is shared power to vote or direct the vote or to dispose or direct the disposition. With respect to the Covered Shares subject to the Partner Transfer Restrictions, the power to vote Covered Shares by Covered Persons is shared with each other Covered Person, as described below in response to Item 6. Each Covered Person hereby disclaims beneficial ownership of any shares of Common Stock held by any other Covered Person. (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 47 25% of the cumulative number of Covered Shares beneficially owned by him or her at the time he or she became a Covered Person or acquired by him or her thereafter and with no credit for dispositions (the "General Transfer Restrictions") for so long as he or she is a Covered Person and an employee of GS Inc. (an "Employee Covered Person"). The PMDs are also subject to limitations on their ability to transfer some of the Covered Shares received in connection with the succession of GS Inc. to the business of Group L.P. Such restrictions also apply to some of the Covered Shares acquired by the Acquisition Covered Persons in exchange for their interests in Hull, SLK LLC, Jacobson or Walter Frank, as applicable. Under these restrictions (the "Partner Transfer Restrictions" and, together with the General Transfer Restrictions, the "Transfer Restrictions"), each PMD, Hull Covered Person, SLK Covered Person and Jacobson Covered Person agreed not to transfer such Covered Shares until after May 7, 2002, the third anniversary of the date of GS Inc.'s initial public offering of its Common Stock, and each Walter Frank Covered Person agreed not to transfer such Covered Shares until after June 26, 2003, the first anniversary of the closing of the acquisition by GS Inc. of Walter Frank. The Partner Transfer Restrictions lapsed as to 25,325,624 Covered Shares on May 8, 2002, and will lapse as to the remaining Covered Shares beneficially owned by the PMDs, Hull Covered Persons, SLK Covered Persons and Jacobson Covered Persons in equal installments on each of May 8, 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 during the second fiscal quarter of an aggregate of 2,722,867 Covered Shares by certain Covered Persons under the Channel A Sales Program described in Item 4 and an aggregate of 7,912,604 Covered Shares by certain Covered Persons under the Channel B Sales Program described in Item 4. These amounts represent no more than 10% of the Covered Shares held by each participant in the Channel A or Channel B Sales Program that are subject to the Partner Transfer Restrictions that would otherwise lapse on May 8, 2003 or May 8, 2004 (generally not including shares held through U.S. estate planning vehicles or private charitable foundations). 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 48 respect to acceptance of the tender or exchange offer, by a majority of the Voting Interests (as defined below); or if the board of directors is recommending rejection of the tender or exchange offer, by 66 2/3% of the outstanding Voting Interests. In the case of a tender or exchange offer by GS Inc., a majority of the outstanding Voting Interests may also elect to waive or terminate the Transfer Restrictions. VOTING Prior to any vote of the shareholders of GS Inc., the Shareholders' Agreement requires a separate, preliminary vote of the Voting Interests on each matter upon which a vote of the shareholders is proposed to be taken (the "Preliminary Vote"). Each Covered Share held by an Employee Covered Person and each other Covered Share subject to the Partner Transfer Restrictions will be voted in accordance with the majority of the votes cast by the Voting Interests in the Preliminary Vote. In elections of directors, each Covered Share will be voted in favor of the election of those persons receiving the highest numbers of votes cast by the Voting Interests in the Preliminary Vote. "Voting Interests" are Covered Shares beneficially owned by all Employee Covered Persons. OTHER RESTRICTIONS The Shareholders' Agreement also prohibits the Employee Covered Persons from engaging in certain activities relating to any securities of GS Inc. with any person who is not a Covered Person or a director, officer or employee of GS Inc. ("Restricted Persons"). Among other things, an Employee Covered Person may not: participate in a proxy solicitation to or with a Restricted Person; deposit any Covered Shares in a voting trust or subject any Covered Shares to any voting agreement or arrangement that includes any Restricted Person; form, join or in any way participate in a "group" with any Restricted Person; or together with any Restricted Person, propose 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., John A. Thain and Lloyd C. Blankfein are the members of the Shareholders' Committee. 49 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 1,331,643 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. 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, January 9, 2002, December 23, 2002 and January 8, 2003, GS Inc. entered into a Registration Rights Instrument and four 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. 50 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 720,000 Covered Shares with strike prices ranging from $65 to $90 and maturity dates ranging from April 19, 2003 to January 17, 2004. None of these Covered Persons is employed by Goldman Sachs. Certain private foundations established by one or more Individual Covered Persons, none of whom are employed by Goldman Sachs, have written American-style call options on an aggregate of 40,300 Uncovered Shares with strike prices ranging from $75 to $85 and maturity dates ranging from April 19, 2003 to October 18, 2003. 51 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)). 52 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.). 53 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)). EE. Supplemental Registration Rights Instrument, dated as of December 20, 2002 (incorporated by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No. 333-101093) filed by the The Goldman Sachs Group, Inc.). FF. Form of Written Consent Relating to Sale and Purchase of Common Stock (incorporated by reference to Exhibit FF to Amendment No. 35 to the Initial Schedule 13D, filed January 8, 2003 (File No. 005-56295)). 54 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 PRESENT LAWS WITHIN THE THE GOLDMAN NAME CITIZENSHIP BUSINESS ADDRESS EMPLOYMENT LAST FIVE YEARS SACHS GROUP, INC. - ------------------------------------------------------------------------------------------------------------------------ Steven M. Bunson USA 85 Broad Street Managing Director, None Covered Person, so New York, NY The Goldman ownership is as set 10004 Sachs Group, Inc. forth in or incorporated into Item 5 above. - ----------------------------------------------------------------------------------------------------------------------- Russell E. Makowsky USA 85 Broad Street Managing Director, None Covered Person, so New York, NY The Goldman ownership is as set 10004 Sachs Group, Inc. forth in or incorporated into Item 5 above. - ----------------------------------------------------------------------------------------------------------------------- Michael H. Richardson UK 26 New Street, Partner, None None St. Helier, Jersey, Bedell Cristin JE4 3RA - ----------------------------------------------------------------------------------------------------------------------- Anthony J. Dessain UK 26 New Street, Partner, None None 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. Gorman USA 120 Broadway Vice President, None None New York, NY Spear, Leeds & 10271 Kellogg, L.P. - ----------------------------------------------------------------------------------------------------------------------- Richard D. Spurling UK 41 Cedar Avenue Partner, Appleby, None None Hamilton HM12 Spurling & Kempe Bermuda - -----------------------------------------------------------------------------------------------------------------------
55 ANNEX B ITEMS 2(D) AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS None. 56 ANNEX C ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS None. 57 ANNEX D ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE EXERCISABLE WITHIN 60 DAYS. An aggregate of 7,831,205 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. 58 ANNEX E ITEM 5(C). DESCRIPTION OF ALL TRANSACTIONS IN THE COMMON STOCK EFFECTED BY THE COVERED PERSONS IN THE PAST 60 DAYS AND NOT PREVIOUSLY REPORTED ON SCHEDULE 13D The following sales of Covered Shares were made by the following Covered Persons through 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 - --------------- Christopher A. Cole March 27, 2003 2,500 $70.44 Eric M. Mindich March 27, 2003 10,000 $70.44 Michael S. Sherwood March 27, 2003 75,507 $70.44 Christopher A. Cole March 28, 2003 2,500 $70.30 Eric M. Mindich March 28, 2003 10,000 $70.30 Christopher A. Cole March 31, 2003 2,500 $68.67 Christopher A. Cole April 1, 2003 1,000 $69.09 Gary D. Cohn April 2, 2003 20,000 $72.12 Christopher A. Cole April 2, 2003 1,000 $72.12 Gary D. Cohn April 3, 2003 20,000 $72.80 Christopher A. Cole April 3, 2003 2,500 $72.80 Christopher A. Cole April 4, 2003 2,500 $72.13 Daniel M. Neidich April 4, 2003 50,000 $72.13 Christopher A. Cole April 7, 2003 2,500 $73.54 Christopher A. Cole April 8, 2003 2,500 $72.56 Kevin W. Kennedy April 8, 2003 10,000 $72.56 Christopher A. Cole April 9, 2003 2,500 $72.77 John S. Weinberg April 9, 2003 25,000 $72.77 Peter A. Weinberg April 9, 2003 50,000 $72.77 Christopher A. Cole April 10, 2003 2,500 $72.05 Christopher A. Cole April 11, 2003 2,500 $72.59 Gary D. Cohn April 14, 2003 20,000 $73.56 Christopher A. Cole April 14, 2003 2,500 $73.56 Kevin W. Kennedy April 14, 2003 10,000 $73.56 Lloyd C. Blankfein April 15, 2003 5,000 $75.60 Christopher A. Cole April 15, 2003 2,500 $75.60 Jon Winkelried April 15, 2003 50,000 $75.60 Lloyd C. Blankfein April 16, 2003 5,000 $75.99 Christopher A. Cole April 16, 2003 5,000 $75.99 Peter S. Kraus April 16, 2003 50,000 $75.99 Philip D. Murphy April 16, 2003 50,000 $75.99 John S. Weinberg April 16, 2003 25,000 $75.99 Peter A. Weinberg April 16, 2003 40,000 $75.99 Lloyd C. Blankfein April 17, 2003 15,000 $75.73 Christopher A. Cole April 17, 2003 5,000 $75.73 Daniel M. Neidich April 17, 2003 35,693 $75.73 Jon Winkelried April 17, 2003 25,000 $75.73 Channel B Sales - --------------- Lawrence R. Buchalter March 27, 2003 10,000 $70.40 Christopher J. Carrera March 27, 2003 4,824 $70.40 Zachariah Cobrinik March 27, 2003 1,300 $70.40
59
- --------------------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - --------------------------------------------------------------------------------------------- E. Gerald Corrigan March 27, 2003 5,000 $70.40 James A. Coufos March 27, 2003 2,000 $70.40 Neil V. Desena March 27, 2003 1,000 $70.40 Amy O. Goodfriend March 27, 2003 8,126 $70.40 Vyrona Holdings Limited March 27, 2003 3,231 $70.40 David B. Heller March 27, 2003 2,000 $70.40 David L. Henle March 27, 2003 5,000 $70.40 Fern K. Hurst March 27, 2003 1,000 $70.40 Francis J. Ingrassia March 27, 2003 5,000 $70.40 Barry A. Kaplan March 27, 2003 5,000 $70.40 Robert J. Katz March 27, 2003 5,000 $70.40 Matthew G. L'Heureux March 27, 2003 10,000 $70.40 Peter G.C. Mallinson March 27, 2003 20,000 $70.40 Ronald G. Marks March 27, 2003 2,000 $70.40 Eff W. Martin March 27, 2003 10,000 $70.40 John P. McNulty March 27, 2003 20,000 $70.40 Edward A. Mule March 27, 2003 4,000 $70.40 Timothy J. O'Neill March 27, 2003 28,316 $70.40 Robert J. O'Shea March 27, 2003 13,000 $70.40 Greg M. Ostroff March 27, 2003 1,000 $70.40 The Unicorn Trust March 27, 2003 3,343 $70.40 Simon M. Robertson March 27, 2003 10,000 $70.40 J. David Rogers March 27, 2003 10,000 $70.40 Emmanuel Roman March 27, 2003 624 $70.40 Chambolle Limited March 27, 2003 960 $70.40 Joseph Sassoon March 27, 2003 3,000 $70.40 Charles B. Seelig Jr. March 27, 2003 10,000 $70.40 Howard A. Silverstein March 27, 2003 2,000 $70.40 Daniel W. Stanton March 27, 2003 8,000 $70.40 John R. Tormondsen March 27, 2003 2,500 $70.40 The Patrick J Ward 2001 Trust March 27, 2003 1,811 $70.40 Yasuyo Yamazaki March 27, 2003 6,596 $70.40 Michael J. Zamkow March 27, 2003 5,000 $70.40 Mark A. Zurack March 27, 2003 2,000 $70.40 Zachariah Cobrinik March 28, 2003 1,300 $70.28 James A. Coufos March 28, 2003 2,000 $70.28 C. Steven Duncker March 28, 2003 20,000 $70.28 Vyrona Holdings Limited March 28, 2003 3,231 $70.28 David B. Heller March 28, 2003 2,000 $70.28 Fern K. Hurst March 28, 2003 1,000 $70.28 Robert J. Katz March 28, 2003 5,000 $70.28 David G. Lambert March 28, 2003 3,000 $70.28 Jonathan M. Lopatin March 28, 2003 1,200 $70.28 Ronald G. Marks March 28, 2003 3,500 $70.28 John P. McNulty March 28, 2003 30,000 $70.28 Edward A. Mule March 28, 2003 4,000 $70.28 Greg M. Ostroff March 28, 2003 1,000 $70.28 The Unicorn Trust March 28, 2003 3,343 $70.28 James P. Riley Jr. March 28, 2003 4,967 $70.28 J. David Rogers March 28, 2003 10,000 $70.28 Chambolle Limited March 28, 2003 960 $70.28 Joseph Sassoon March 28, 2003 4,000 $70.28 Howard A. Silverstein March 28, 2003 2,000 $70.28
60
- --------------------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - --------------------------------------------------------------------------------------------- Cody J Smith March 28, 2003 15,000 $70.28 The Patrick J Ward 2001 Trust March 28, 2003 1,811 $70.28 Mark A. Zurack March 28, 2003 2,000 $70.28 Zachariah Cobrinik March 31, 2003 1,300 $68.59 James A. Coufos March 31, 2003 2,000 $68.59 Jeffrey B. Goldenberg March 31, 2003 5,000 $68.59 Vyrona Holdings Limited March 31, 2003 3,231 $68.59 David B. Heller March 31, 2003 2,000 $68.59 Fern K. Hurst March 31, 2003 1,000 $68.59 Barry A. Kaplan March 31, 2003 4,790 $68.59 Robert J. Katz March 31, 2003 5,000 $68.59 David G. Lambert March 31, 2003 1,000 $68.59 Mijen Family Partnership March 31, 2003 2,780 $68.59 Jonathan M. Lopatin March 31, 2003 1,200 $68.59 Peter G.C. Mallinson March 31, 2003 10,000 $68.59 Ronald G. Marks March 31, 2003 3,500 $68.59 Eff W. Martin March 31, 2003 10,000 $68.59 John P. McNulty March 31, 2003 25,570 $68.59 Edward A. Mule March 31, 2003 4,000 $68.59 Robert J. O'Shea March 31, 2003 11,947 $68.59 Greg M. Ostroff March 31, 2003 1,000 $68.59 The Unicorn Trust March 31, 2003 3,343 $68.59 Scott S. Prince March 31, 2003 2,000 $68.59 Chambolle Limited March 31, 2003 960 $68.59 Richard M. Ruzika March 31, 2003 8,351 $68.59 Howard A. Silverstein March 31, 2003 1,000 $68.59 John R. Tormondsen March 31, 2003 2,500 $68.59 M.B. Turnbull Pty, Limited March 31, 2003 2,000 $68.59 Barry S. Volpert March 31, 2003 20,000 $68.59 The Patrick J Ward 2001 Trust March 31, 2003 1,811 $68.59 Steven J. Wisch March 31, 2003 15,441 $68.59 Mark A. Zurack March 31, 2003 2,000 $68.59 Zachariah Cobrinik April 1, 2003 1,300 $69.21 Joseph H. Gleberman April 1, 2003 20,000 $69.21 Vyrona Holdings Limited April 1, 2003 3,231 $69.21 David B. Heller April 1, 2003 2,000 $69.21 M. Roch Hillenbrand April 1, 2003 5,000 $69.21 Fern K. Hurst April 1, 2003 1,000 $69.21 Robert J. Katz April 1, 2003 5,000 $69.21 David G. Lambert April 1, 2003 1,000 $69.21 Mijen Family Partnership April 1, 2003 2,000 $69.21 Robert Litterman April 1, 2003 28,909 $69.21 Jonathan M. Lopatin April 1, 2003 1,200 $69.21 Ronald G. Marks April 1, 2003 2,500 $69.21 Eff W. Martin April 1, 2003 10,000 $69.21 Edward A. Mule April 1, 2003 5,000 $69.21 The Unicorn Trust April 1, 2003 3,343 $69.21 Matthew Rafferty April 1, 2003 1,600 $69.21 Chambolle Limited April 1, 2003 960 $69.21 Joseph Sassoon April 1, 2003 2,000 $69.21 Howard A. Silverstein April 1, 2003 1,000 $69.21 The Patrick J Ward 2001 Trust April 1, 2003 1,811 $69.21 Mark A. Zurack April 1, 2003 1,000 $69.21
61
- --------------------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - --------------------------------------------------------------------------------------------- Zachariah Cobrinik April 2, 2003 1,300 $71.95 James A. Coufos April 2, 2003 1,000 $71.95 Paul S. Efron April 2, 2003 2,500 $71.95 Vyrona Holdings Limited April 2, 2003 3,231 $71.95 David Heinz April 2, 2003 1,880 $71.95 David B. Heller April 2, 2003 2,000 $71.95 David L. Henle April 2, 2003 5,000 $71.95 Mary C. Henry April 2, 2003 4,000 $71.95 Fern K. Hurst April 2, 2003 1,000 $71.95 Robert J. Katz April 2, 2003 5,000 $71.95 David G. Lambert April 2, 2003 1,000 $71.95 Mijen Family Partnership April 2, 2003 2,000 $71.95 Jonathan M. Lopatin April 2, 2003 1,200 $71.95 Ronald G. Marks April 2, 2003 2,500 $71.95 The Unicorn Trust April 2, 2003 3,343 $71.95 Scott S. Prince April 2, 2003 2,000 $71.95 Girish V. Reddy April 2, 2003 6,000 $71.95 Chambolle Limited April 2, 2003 960 $71.95 Joseph Sassoon April 2, 2003 3,000 $71.95 Howard A. Silverstein April 2, 2003 2,000 $71.95 Melalula Limited April 2, 2003 5,049 $71.95 John R. Tormondsen April 2, 2003 2,500 $71.95 M.B. Turnbull Pty, Limited April 2, 2003 4,000 $71.95 Barry S. Volpert April 2, 2003 10,000 $71.95 George H. Walker April 2, 2003 14,921 $71.95 The Patrick J Ward 2001 Trust April 2, 2003 1,811 $71.95 Mark A. Zurack April 2, 2003 1,000 $71.95 Christopher A Bates April 3, 2003 3,000 $72.69 Peter L. Briger Jr. April 3, 2003 15,000 $72.69 Lawrence R. Buchalter April 3, 2003 9,122 $72.69 Zachariah Cobrinik April 3, 2003 1,300 $72.69 Lawrence A. Cohen April 3, 2003 8,000 $72.69 Carlos A. Cordeiro April 3, 2003 25,000 $72.69 E. Gerald Corrigan April 3, 2003 10,000 $72.69 James A. Coufos April 3, 2003 2,000 $72.69 Neil V. Desena April 3, 2003 1,500 $72.69 John O. Downing April 3, 2003 10,000 $72.69 C. Steven Duncker April 3, 2003 10,000 $72.69 Aubrey Ellis, Jr. April 3, 2003 4,500 $72.69 Joseph H. Gleberman April 3, 2003 10,000 $72.69 Thomas J. Healey April 3, 2003 38,057 $72.69 Vyrona Holdings Limited April 3, 2003 3,231 $72.69 David B. Heller April 3, 2003 2,000 $72.69 Fern K. Hurst April 3, 2003 1,000 $72.69 Robert J. Katz April 3, 2003 5,000 $72.69 Jonathan L. Kolatch April 3, 2003 10,738 $72.69 David G. Lambert April 3, 2003 1,000 $72.69 Mijen Family Partnership April 3, 2003 3,000 $72.69 Jonathan M. Lopatin April 3, 2003 1,200 $72.69 Michael R. Lynch April 3, 2003 20,000 $72.69 Peter G.C. Mallinson April 3, 2003 10,000 $72.69 E. Scott Mead April 3, 2003 10,000 $72.69 Edward A. Mule April 3, 2003 5,000 $72.69
62
- --------------------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - --------------------------------------------------------------------------------------------- Avi M. Nash April 3, 2003 2,000 $72.69 Greg M. Ostroff April 3, 2003 11,778 $72.69 The Unicorn Trust April 3, 2003 3,343 $72.69 Scott S. Prince April 3, 2003 2,000 $72.69 Girish V. Reddy April 3, 2003 4,500 $72.69 J. David Rogers April 3, 2003 8,000 $72.69 Chambolle Limited April 3, 2003 960 $72.69 Muneer A. Satter April 3, 2003 34,544 $72.69 Charles B. Seelig Jr. April 3, 2003 10,000 $72.69 Steven M. Shafran April 3, 2003 10,000 $72.69 Richard S. Sharp April 3, 2003 25,000 $72.69 The James M Sheridan Shares Trust April 3, 2003 7,000 $72.69 Howard A. Silverstein April 3, 2003 2,000 $72.69 Daniel W. Stanton April 3, 2003 6,000 $72.69 Melalula Limited April 3, 2003 5,049 $72.69 John R. Tormondsen April 3, 2003 2,500 $72.69 M.B. Turnbull Pty, Limited April 3, 2003 7,516 $72.69 Barry S. Volpert April 3, 2003 10,000 $72.69 The Patrick J Ward 2001 Trust April 3, 2003 1,811 $72.69 Michael J. Zamkow April 3, 2003 5,000 $72.69 Mark A. Zurack April 3, 2003 2,000 $72.69 Milton R. Berlinski April 4, 2003 100,000 $72.19 Zachariah Cobrinik April 4, 2003 683 $72.19 Lawrence A. Cohen April 4, 2003 3,000 $72.19 Carlos A. Cordeiro April 4, 2003 10,000 $72.19 E. Gerald Corrigan April 4, 2003 5,000 $72.19 James A. Coufos April 4, 2003 2,000 $72.19 Paul S. Efron April 4, 2003 2,500 $72.19 Vyrona Holdings Limited April 4, 2003 3,231 $72.19 David B. Heller April 4, 2003 2,000 $72.19 Mary C. Henry April 4, 2003 6,000 $72.19 M. Roch Hillenbrand April 4, 2003 5,000 $72.19 Fern K. Hurst April 4, 2003 1,000 $72.19 Robert J. Katz April 4, 2003 15,000 $72.19 William J. Kenney April 4, 2003 4,000 $72.19 David G. Lambert April 4, 2003 1,000 $72.19 Mijen Family Partnership April 4, 2003 3,000 $72.19 Jonathan M. Lopatin April 4, 2003 1,200 $72.19 Michael R. Lynch April 4, 2003 9,061 $72.19 Peter G.C. Mallinson April 4, 2003 10,000 $72.19 Edward A. Mule April 4, 2003 4,000 $72.19 Thomas S. Murphy Jr. April 4, 2003 10,000 $72.19 The Unicorn Trust April 4, 2003 3,343 $72.19 Michael A. Price April 4, 2003 10,000 $72.19 Scott S. Prince April 4, 2003 2,000 $72.19 J. David Rogers April 4, 2003 8,000 $72.19 Chambolle Limited April 4, 2003 960 $72.19 Joseph Sassoon April 4, 2003 3,000 $72.19 Howard B. Schiller April 4, 2003 10,000 $72.19 Howard A. Silverstein April 4, 2003 2,000 $72.19 Fredric E. Steck April 4, 2003 15,000 $72.19 Melalula Limited April 4, 2003 5,089 $72.19
63
- --------------------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - --------------------------------------------------------------------------------------------- The Patrick J Ward 2001 Trust April 4, 2003 1,811 $72.19 Kendrick R. Wilson III April 4, 2003 30,000 $72.19 Michael J. Zamkow April 4, 2003 5,000 $72.19 Mark A. Zurack April 4, 2003 2,000 $72.19 Richard J. Bronks April 7, 2003 17,934 $73.50 Zachariah Cobrinik April 7, 2003 683 $73.50 James A. Coufos April 7, 2003 2,000 $73.50 Gavyn Davies April 7, 2003 50,000 $73.50 Mark Dehnert Living Trust April 7, 2003 2,000 $73.50 Jeffrey B. Goldenberg April 7, 2003 3,000 $73.50 Vyrona Holdings Limited April 7, 2003 3,231 $73.50 David B. Heller April 7, 2003 2,000 $73.50 Mary C. Henry April 7, 2003 6,000 $73.50 Fern K. Hurst April 7, 2003 1,000 $73.50 Robert J. Katz April 7, 2003 10,000 $73.50 Jonathan M. Lopatin April 7, 2003 1,200 $73.50 The Unicorn Trust April 7, 2003 3,343 $73.50 Chambolle Limited April 7, 2003 960 $73.50 Joseph Sassoon April 7, 2003 4,000 $73.50 Richard S. Sharp April 7, 2003 35,000 $73.50 Howard A. Silverstein April 7, 2003 2,000 $73.50 Melalula Limited April 7, 2003 5,049 $73.50 Barry S. Volpert April 7, 2003 20,000 $73.50 The Patrick J Ward 2001 Trust April 7, 2003 1,811 $73.50 Gary W. Williams April 7, 2003 10,000 $73.50 Mark A. Zurack April 7, 2003 2,000 $73.50 Peter L. Briger Jr. April 8, 2003 21,581 $72.47 Zachariah Cobrinik April 8, 2003 683 $72.47 James A. Coufos April 8, 2003 1,000 $72.47 Philip M. Darivoff April 8, 2003 4,000 $72.47 Neil V. Desena April 8, 2003 1,644 $72.47 Joseph H. Gleberman April 8, 2003 5,000 $72.47 Vyrona Holdings Limited April 8, 2003 3,231 $72.47 David B. Heller April 8, 2003 2,000 $72.47 Mary C. Henry April 8, 2003 8,000 $72.47 Fern K. Hurst April 8, 2003 1,000 $72.47 Robert J. Katz April 8, 2003 12,443 $72.47 William J. Kenney April 8, 2003 4,066 $72.47 Mijen Family Partnership April 8, 2003 3,000 $72.47 Jonathan M. Lopatin April 8, 2003 1,200 $72.47 The Unicorn Trust April 8, 2003 3,343 $72.47 Scott S. Prince April 8, 2003 2,000 $72.47 The Girish V Reddy 2001 Trust April 8, 2003 3,908 $72.47 Chambolle Limited April 8, 2003 960 $72.47 Joseph Sassoon April 8, 2003 3,000 $72.47
64
- --------------------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - --------------------------------------------------------------------------------------------- Howard A. Silverstein April 8, 2003 2,000 $72.47 Melalula Limited April 8, 2003 5,049 $72.47 Mark R. Tercek April 8, 2003 5,000 $72.47 The Patrick J Ward 2001 Trust April 8, 2003 1,811 $72.47 Danny O. Yee April 8, 2003 18,664 $72.47 Mark A. Zurack April 8, 2003 2,000 $72.47 Zachariah Cobrinik April 9, 2003 683 $72.84 Carlos A. Cordeiro April 9, 2003 10,000 $72.84 James A. Coufos April 9, 2003 1,000 $72.84 Joseph H. Gleberman April 9, 2003 5,000 $72.84 Vyrona Holdings Limited April 9, 2003 3,231 $72.84 David B. Heller April 9, 2003 3,000 $72.84 Fern K. Hurst April 9, 2003 1,000 $72.84 Ann F. Kaplan April 9, 2003 10,000 $72.84 Mijen Family Partnership April 9, 2003 3,000 $72.84 Matthew G. L'Heureux April 9, 2003 10,058 $72.84 Jonathan M. Lopatin April 9, 2003 1,200 $72.84 Avi M. Nash April 9, 2003 2,000 $72.84 The Unicorn Trust April 9, 2003 3,343 $72.84 Simon M. Robertson April 9, 2003 10,000 $72.84 Chambolle Limited April 9, 2003 960 $72.84 Joseph Sassoon April 9, 2003 3,000 $72.84 Howard A. Silverstein April 9, 2003 2,000 $72.84 Daniel W. Stanton April 9, 2003 6,000 $72.84 Fredric E. Steck April 9, 2003 3,000 $72.84 Melalula Limited April 9, 2003 5,049 $72.84 Barry S. Volpert April 9, 2003 5,000 $72.84 The Patrick J Ward 2001 Trust April 9, 2003 1,811 $72.84 Michael J. Zamkow April 9, 2003 5,000 $72.84 Mark A. Zurack April 9, 2003 2,000 $72.84 Zachariah Cobrinik April 10, 2003 683 $72.07 David A. Dechman April 10, 2003 5,710 $72.07 Eric P. Grubman April 10, 2003 10,000 $72.07 Vyrona Holdings Limited April 10, 2003 3,231 $72.07 David B. Heller April 10, 2003 3,000 $72.07 Fern K. Hurst April 10, 2003 1,000 $72.07 Mijen Family Partnership April 10, 2003 3,017 $72.07 Jonathan M. Lopatin April 10, 2003 1,200 $72.07 Eff W. Martin April 10, 2003 10,000 $72.07 The Unicorn Trust April 10, 2003 3,343 $72.07 Chambolle Limited April 10, 2003 960 $72.07 Joseph Sassoon April 10, 2003 3,000 $72.07 Howard A. Silverstein April 10, 2003 2,000 $72.07 Melalula Limited April 10, 2003 5,049 $72.07 Barry S. Volpert April 10, 2003 15,000 $72.07 The Patrick J Ward 2001 Trust April 10, 2003 1,811 $72.07 Mark A. Zurack April 10, 2003 2,000 $72.07 Bradley I. Abelow April 11, 2003 2,500 $72.56 Zachariah Cobrinik April 11, 2003 683 $72.56 Carlos A. Cordeiro April 11, 2003 19,469 $72.56 Robinelli Limited April 11, 2003 22,379 $72.56 James A. Coufos April 11, 2003 1,000 $72.56 Philip M. Darivoff April 11, 2003 5,000 $72.56
65
- --------------------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - --------------------------------------------------------------------------------------------- Joseph H. Gleberman April 11, 2003 10,000 $72.56 Vyrona Holdings Limited April 11, 2003 3,231 $72.56 David B. Heller April 11, 2003 3,000 $72.56 Fern K. Hurst April 11, 2003 1,000 $72.56 Jonathan M. Lopatin April 11, 2003 1,200 $72.56 The Unicorn Trust April 11, 2003 3,343 $72.56 Simon M. Robertson April 11, 2003 10,000 $72.56 Chambolle Limited April 11, 2003 960 $72.56 Joseph Sassoon April 11, 2003 4,000 $72.56 Richard S. Sharp April 11, 2003 10,000 $72.56 Howard A. Silverstein April 11, 2003 2,000 $72.56 Melalula Limited April 11, 2003 5,049 $72.56 Barry S. Volpert April 11, 2003 10,000 $72.56 The Patrick J Ward 2001 Trust April 11, 2003 1,811 $72.56 George W. Wellde Jr. April 11, 2003 15,000 $72.56 Danny O. Yee April 11, 2003 10,000 $72.56 Mark A. Zurack April 11, 2003 2,000 $72.56 Bradley I. Abelow April 14, 2003 2,500 $73.40 Zachariah Cobrinik April 14, 2003 682 $73.40 James A. Coufos April 14, 2003 1,000 $73.40 Philip M. Darivoff April 14, 2003 5,000 $73.40 C. Steven Duncker April 14, 2003 11,008 $73.40 Vyrona Holdings Limited April 14, 2003 3,231 $73.40 David B. Heller April 14, 2003 3,000 $73.40 Fern K. Hurst April 14, 2003 1,000 $73.40 Ann F. Kaplan April 14, 2003 10,000 $73.40 Jonathan M. Lopatin April 14, 2003 1,200 $73.40 Michael R. Lynch April 14, 2003 10,000 $73.40 Avi M. Nash April 14, 2003 5,145 $73.40 The Unicorn Trust April 14, 2003 3,343 $73.40 Chambolle Limited April 14, 2003 960 $73.40 Joseph Sassoon April 14, 2003 4,000 $73.40 Richard S. Sharp April 14, 2003 9,257 $73.40 The James M Sheridan Shares Trust April 14, 2003 7,000 $73.40 Howard A. Silverstein April 14, 2003 2,000 $73.40 Melalula Limited April 14, 2003 5,049 $73.40 The Patrick J Ward 2001 Trust April 14, 2003 1,811 $73.40 Mark A. Zurack April 14, 2003 2,000 $73.40 Bradley I. Abelow April 15, 2003 3,500 $75.42 Armen A. Avanessians April 15, 2003 30,000 $75.42 Michael J. Carr April 15, 2003 23,491 $75.42 Zachariah Cobrinik April 15, 2003 683 $75.42 Lawrence A. Cohen April 15, 2003 5,650 $75.42 E. Gerald Corrigan April 15, 2003 10,000 $75.42 James A. Coufos April 15, 2003 2,000 $75.42 Philip M. Darivoff April 15, 2003 8,000 $75.42 John O. Downing April 15, 2003 10,000 $75.42 Lawton W. Fitt April 15, 2003 30,000 $75.42 Joseph H. Gleberman April 15, 2003 10,000 $75.42 Vyrona Holdings Limited April 15, 2003 3,231 $75.42 David B. Heller April 15, 2003 3,000 $75.42 Mary C. Henry April 15, 2003 7,056 $75.42
66
- --------------------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - --------------------------------------------------------------------------------------------- Jacquelyn M. Hoffman-Zehner April 15, 2003 7,038 $75.42 Fern K. Hurst April 15, 2003 1,350 $75.42 Ann F. Kaplan April 15, 2003 10,000 $75.42 Mijen Family Partnership April 15, 2003 5,000 $75.42 Jonathan M. Lopatin April 15, 2003 1,800 $75.42 Nicholas L. Marovich April 15, 2003 3,867 $75.42 Donald C. Opatrny Jr. April 15, 2003 20,000 $75.42 The Unicorn Trust April 15, 2003 3,343 $75.42 Chambolle Limited April 15, 2003 960 $75.42 Charles B. Seelig Jr. April 15, 2003 17,112 $75.42 Howard A. Silverstein April 15, 2003 2,000 $75.42 Cody J Smith April 15, 2003 21,000 $75.42 Fredric E. Steck April 15, 2003 3,249 $75.42 Melalula Limited April 15, 2003 5,049 $75.42 Mark R. Tercek April 15, 2003 3,000 $75.42 The Patrick J Ward 2001 Trust April 15, 2003 1,811 $75.42 George W. Wellde Jr. April 15, 2003 17,439 $75.42 Gary W. Williams April 15, 2003 7,500 $75.42 Gregory H. Zehner April 15, 2003 9,839 $75.42 Mark A. Zurack April 15, 2003 2,186 $75.42 Bradley I. Abelow April 16, 2003 5,000 $75.89 Armen A. Avanessians April 16, 2003 30,000 $75.89 Andrew A. Chisholm April 16, 2003 20,570 $75.89 Zachariah Cobrinik April 16, 2003 682 $75.89 James A. Coufos April 16, 2003 3,000 $75.89 Gavyn Davies April 16, 2003 51,167 $75.89 David A. Dechman April 16, 2003 8,194 $75.89 Mark Dehnert Living Trust April 16, 2003 2,100 $75.89 Joseph H. Gleberman April 16, 2003 9,734 $75.89 Jeffrey B. Goldenberg April 16, 2003 2,000 $75.89 Vyrona Holdings Limited April 16, 2003 3,231 $75.89 David B. Heller April 16, 2003 4,159 $75.89 M. Roch Hillenbrand April 16, 2003 4,000 $75.89 Fern K. Hurst April 16, 2003 1,000 $75.89 Stefan J. Jentzsch April 16, 2003 22,000 $75.89 Ann F. Kaplan April 16, 2003 15,000 $75.89 Philip J. Kopp III April 16, 2003 9,395 $75.89 Anthony D. Lauto April 16, 2003 45,389 $75.89 Mijen Family Partnership April 16, 2003 5,000 $75.89 Jonathan M. Lopatin April 16, 2003 1,800 $75.89 Michael R. Lynch April 16, 2003 10,000 $75.89 The Edward Scott Mead 2001 Trust April 16, 2003 20,000 $75.89 Sanjeev K. Mehra April 16, 2003 15,000 $75.89 Sharmin Mossavar-Rahmani April 16, 2003 20,000 $75.89 Robin Neustein April 16, 2003 10,000 $75.89 Majix Limited April 16, 2003 25,000 $75.89 Donald C. Opatrny Jr. April 16, 2003 20,000 $75.89 Scott M. Pinkus April 16, 2003 111,227 $75.89 The Unicorn Trust April 16, 2003 3,343 $75.89 Michael G. Rantz April 16, 2003 28,999 $75.89 Girish V. Reddy April 16, 2003 8,058 $75.89 Simon M. Robertson April 16, 2003 10,000 $75.89 Chambolle Limited April 16, 2003 960 $75.89
67
- --------------------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - --------------------------------------------------------------------------------------------- Joseph Sassoon April 16, 2003 5,000 $75.89 Tsutomu Sato April 16, 2003 10,000 $75.89 The James M Sheridan Shares Trust April 16, 2003 7,839 $75.89 Howard A. Silverstein April 16, 2003 3,000 $75.89 Melalula Limited April 16, 2003 5,057 $75.89 Thomas B. Walker III April 16, 2003 40,000 $75.89 The Patrick J Ward 2001 Trust April 16, 2003 1,811 $75.89 Barry L. Zubrow April 16, 2003 50,000 $75.89 Bradley I. Abelow April 17, 2003 3,000 $75.62 James A. Coufos April 17, 2003 1,000 $75.62 Philip M. Darivoff April 17, 2003 8,000 $75.62 Lawton W. Fitt April 17, 2003 30,000 $75.62 Vyrona Holdings Limited April 17, 2003 3,237 $75.62 David Heinz April 17, 2003 2 $75.62 David B. Heller April 17, 2003 4,159 $75.62 Jacquelyn M. Hoffman-Zehner April 17, 2003 14,076 $75.62 Fern K. Hurst April 17, 2003 1,000 $75.62 Francis J. Ingrassia April 17, 2003 10,000 $75.62 Ann F. Kaplan April 17, 2003 16,672 $75.62 Mijen Family Partnership April 17, 2003 5,000 $75.62 Jonathan M. Lopatin April 17, 2003 1,739 $75.62 Eff W. Martin April 17, 2003 5,000 $75.62 E. Scott Mead April 17, 2003 10,000 $75.62 Donald C. Opatrny Jr. April 17, 2003 25,000 $75.62 Terence M. O'Toole April 17, 2003 50,000 $75.62 Bryant F. Pantano April 17, 2003 2,061 $75.62 The Unicorn Trust April 17, 2003 3,351 $75.62 Chambolle Limited April 17, 2003 957 $75.62 Joseph Sassoon April 17, 2003 2,809 $75.62 Tsutomu Sato April 17, 2003 10,949 $75.62 Howard A. Silverstein April 17, 2003 2,000 $75.62 Melalula Limited April 17, 2003 5,000 $75.62 Thomas B. Walker III April 17, 2003 30,000 $75.62 The Patrick J Ward 2001 Trust April 17, 2003 1,811 $75.62 Gary W. Williams April 17, 2003 7,500 $75.62 Tracy R. Wolstencroft April 17, 2003 50,000 $75.62 Gregory H. Zehner April 17, 2003 19,678 $75.62 Other Sales - ----------- William C. Dudley March 27, 2003 548 $70.40 Frank J. Governali March 27, 2003 14,838 $70.40 Peter J. Layton March 27, 2003 2,121 $70.40 Noel B. Donohoe March 28, 2003 2,000 $70.28 Gregory T. Hoogkamp March 28, 2003 1,000 $70.28 Jason A. Tilroe March 28, 2003 826 $70.28 William H. Wolf Jr. March 28, 2003 200 $70.28 Peter D. Brundage March 31, 2003 4,000 $68.59 Daniel M. Shefter March 31, 2003 250 $68.59 Ronald K. Tanemura March 31, 2003 6,150 $68.59 Margaret H. Isdale April 1, 2003 336 $69.21 Daniel B. O'Rourke April 1, 2003 3,730 $69.21 W. Reed Chisholm II April 2, 2003 1,000 $71.95
68
- --------------------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - --------------------------------------------------------------------------------------------- Ian Mukherjee April 2, 2003 1,500 $71.95 Gregory G. Randolph April 2, 2003 500 $71.95 Gary D. Black April 3, 2003 5,722 $72.69 Sacha A. Chiaramonte April 3, 2003 1,000 $72.69 Philip A. Cooper April 3, 2003 1,000 $72.69 Isabelle Ealet April 3, 2003 7,000 $72.69 Matthias K. Frisch April 3, 2003 259 $72.69 David J. Greenwald April 3, 2003 1,000 $72.69 Sebastian Grigg April 3, 2003 570 $72.69 Celeste A. Guth April 3, 2003 1,000 $72.69 David R. Heinz April 3, 2003 1,000 $72.69 James A. Hudis April 3, 2003 4,905 $72.69 David K. Kaugher April 3, 2003 700 $72.69 Colin E. King April 3, 2003 2,174 $72.69 Richard O. Leggett April 3, 2003 2,000 $72.69 Lance P. Meaney April 3, 2003 1,969 $72.69 Daniel B. O'Rourke April 3, 2003 501 $72.69 Paul A. Phillips April 3, 2003 1,128 $72.69 Paul S. Schapira April 3, 2003 500 $72.69 Daniel M. Shefter April 3, 2003 150 $72.69 Watanan Suthiwartnarueput April 3, 2003 3,000 $72.69 Jaime E. Yordan April 3, 2003 25,000 $73.00 W. Thomas York Jr. April 3, 2003 2,534 $72.69 Susan M. Benz April 4, 2003 1,000 $72.19 Linda S. Daines April 4, 2003 2,648 $72.19 Christopher K. Norton April 4, 2003 2,000 $72.08 Daniel M. Shefter April 4, 2003 180 $72.19 Randolph C. Snook April 4, 2003 1,657 $72.19 Judah C. Sommer April 4, 2003 1,650 $72.19 Susan A. Willetts April 4, 2003 500 $72.19 William H. Wolf Jr. April 4, 2003 200 $72.19 W Reed Chisholm II April 7, 2003 400 $73.50 Jacob Y. Friedman April 7, 2003 564 $73.50 David R. Heinz April 7, 2003 1,143 $73.50 Michael K. Klingher April 7, 2003 1,000 $73.50 Paul S. Schapira April 7, 2003 500 $73.50 Peter H. Comisar April 8, 2003 2,126 $72.47 Linda S. Daines April 8, 2003 1,043 $72.47 Bruce J. Evans April 8, 2003 200 $72.47 Robert G. Hottensen Jr. April 8, 2003 1,250 $72.47 Walter V. Hutcherson April 8, 2003 2,000 $72.47 Joseph Longo April 8, 2003 888 $72.47 Steven D Pruett April 8, 2003 663 $72.47 Matthew Rafferty April 8, 2003 1,119 $72.47 Ronald K Tanemura April 8, 2003 5,000 $72.47 William H. Wolf Jr. April 8, 2003 200 $72.47 Philip A. Cooper April 9, 2003 1,000 $72.84 David K. Kaugher April 9, 2003 425 $72.84 Barry A. Mannis April 9, 2003 2,000 $72.84 John E. Waldron April 9, 2003 2,168 $72.84 Oliver L. Frankel April 10, 2003 3,000 $72.07 James A. Hudis April 10, 2003 2,000 $72.07 William H. Wolf Jr. April 10, 2003 200 $72.07
69
- --------------------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - --------------------------------------------------------------------------------------------- Noel B. Donohoe April 11, 2003 1,200 $72.56 Jeffrey M. Moslow April 11, 2003 2,109 $72.56 Jean Raby April 11, 2003 500 $72.56 Daniel M. Shefter April 11, 2003 250 $72.56 William H. Wolf Jr. April 11, 2003 200 $72.56 Jean-Luc Biamonti April 14, 2003 4,500 $73.40 Neil D. Crowder April 14, 2003 2,000 $73.40 Bruce J. Evans April 14, 2003 250 $73.40 Kenneth K. Gershenfeld April 14, 2003 896 $73.40 Gregory T. Hoogkamp April 14, 2003 1,000 $73.40 Robert G. Hottensen Jr. April 14, 2003 4,000 $73.40 Michiya Nagai April 14, 2003 6,000 $73.40 Daniel M. Shefter April 14, 2003 200 $73.40 Alberto F. Ades April 15, 2003 3,752 $75.42 Andrew G. Baird April 15, 2003 1,000 $75.42 Marc I. Cohen April 15, 2003 3,000 $75.42 Isabelle Ealet April 15, 2003 2,563 $75.42 Isabelle Ealet April 15, 2003 4,095 $75.42 Bruce J. Evans April 15, 2003 250 $75.42 Thomas M. Fitzgerald April 15, 2003 3,250 $75.42 Eiichiro Kuwana April 15, 2003 709 $75.42 Mitchell J. Lieberman April 15, 2003 6,000 $75.42 Jacques M. Longerstaey April 15, 2003 300 $75.42 Gordon R. McCulloch April 15, 2003 1,245 $75.42 James A. McNamara April 15, 2003 1,400 $75.42 Bernard A. Mensah April 15, 2003 724 $75.42 Michael R. Miele April 15, 2003 838 $75.42 Ian Mukherjee April 15, 2003 1,000 $75.42 Donald J. Mulvihill April 15, 2003 500 $75.42 Patrick E. Mulvihill April 15, 2003 7,736 $75.42 Ellen R. Porges April 15, 2003 350 $75.42 Daniel M. Shefter April 15, 2003 250 $75.42 Ronald K. Tanemura April 15, 2003 8,029 $75.42 Mark J. Tracey April 15, 2003 3,407 $75.42 Barry S. Turkanis April 15, 2003 3,000 $75.42 Theodore T. Wang April 15, 2003 97 $75.42 Susan A. Willetts April 15, 2003 502 $75.42 William H. Wolf Jr. April 15, 2003 200 $75.42 Neil Z. Auerbach April 16, 2003 363 $75.89 Andrew T. Bednar April 16, 2003 750 $75.89 Stuart N. Bernstein April 16, 2003 1,414 $75.89 Lawrence V. Calcano April 16, 2003 10,000 $75.89 Gerald J. Cardinale April 16, 2003 3,553 $75.89 Philip A. Cooper April 16, 2003 2,584 $75.89 Neil D. Crowder April 16, 2003 2,000 $75.89 John S. Daly April 16, 2003 1,000 $75.89 Matthew S. Darnall April 16, 2003 1,500 $75.89 Bruce J. Evans April 16, 2003 447 $75.89 Jeffrey F. Fastov April 16, 2003 1,380 $75.89 Pierre-Henri Flamand April 16, 2003 98 $75.89 Matthew T. Fremont-Smith April 16, 2003 4,412 $75.89 Maryann L. Gallivan April 16, 2003 1,460 $75.89 Robert D. Gottlieb April 16, 2003 1,366 $75.89
70
- --------------------------------------------------------------------------------------------- COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - --------------------------------------------------------------------------------------------- Daniel E. Holland III April 16, 2003 700 $75.89 Gregory T. Hoogkamp April 16, 2003 1,000 $75.89 Zu Liu Frederick Hu April 16, 2003 642 $75.89 John S. Iglehart April 16, 2003 2,700 $75.89 William L. Jacob III April 16, 2003 2,500 $75.89 Brian J. Lee April 16, 2003 275 $75.89 Gwen R. Libstag April 16, 2003 6,000 $75.89 Roger A. Liddell April 16, 2003 2,257 $75.89 Mitchell J. Lieberman April 16, 2003 10,000 $75.89 Syaru Shirley Lin April 16, 2003 6,323 $75.89 Robert A. Mass April 16, 2003 700 $75.89 Fergal J. O'Driscoll April 16, 2003 2,000 $75.89 Marcus Schenck April 16, 2003 300 $75.89 Daniel M. Shefter April 16, 2003 250 $75.89 John E. Waldron April 16, 2003 2,168 $75.89 Todd A. Williams April 16, 2003 3,383 $75.89 W. Thomas York Jr. April 16, 2003 2,012 $75.89 James P. Ziperski April 16, 2003 2,622 $75.89 Andrew G. Baird April 17, 2003 1,000 $75.62 Timothy J. Bridges April 17, 2003 200 $75.62 Victoria A. Bridges April 17, 2003 200 $75.62 Kent A. Clark April 17, 2003 10,000 $75.62 Edith W. Cooper April 17, 2003 3,294 $75.62 Bruce J. Evans April 17, 2003 600 $75.62 Celeste A. Guth April 17, 2003 1,500 $75.62 James A. Hudis April 17, 2003 2,683 $75.62 Anthony J. Leitner April 17, 2003 600 $75.62 Ronald S. Levin April 17, 2003 1,300 $75.62 Jack Levy April 17, 2003 25,000 $75.62 John J. McCabe April 17, 2003 500 $75.62 Richard T. Ong April 17, 2003 5,000 $75.62 Dioscoro-Roy I. Ramos April 17, 2003 11,086 $75.62 Steven M. Scopellite April 17, 2003 7,897 $75.62 Daniel M. Shefter April 17, 2003 272 $75.62 Ralph J. Silva April 17, 2003 493 $75.62 John H. Taylor April 17, 2003 1,522 $75.62 Casper W. Von Koskull April 17, 2003 1,416 $75.62 - ---------------------------------------------------------------------------------------------
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. These shares are Uncovered Shares.
- ------------------------------------------------------------------------------------------ ACQUISITION OR PRICE PER COVERED PERSON DISPOSITION TRANSACTION DATE NUMBER OF SHARES SHARE - ------------------------------------------------------------------------------------------ Thomas J. McAdam March 31, 2003 Acquisition 2 $68.08 Peter T. Johnston March 31, 2003 Acquisition 517 $68.08 Richard T. Roberts March 31, 2003 Acquisition 1 $68.08 Edward R. Wilkinson March 31, 2003 Acquisition 1 $68.08 Gerald C. McNamara Jr. April 3, 2003 Disposition 4,214 $72.35 David D. Wildermuth April 14, 2003 Disposition 321 $74.49 Thomas J. McAdam April 15, 2003 Acquisition 2 $76.54 Richard T. Roberts April 15, 2003 Acquisition 1 $76.54
71
- ------------------------------------------------------------------------------------------ ACQUISITION OR PRICE PER COVERED PERSON DISPOSITION TRANSACTION DATE NUMBER OF SHARES SHARE - ------------------------------------------------------------------------------------------ Edward R. Wilkinson April 15, 2003 Acquisition 1 $76.54 - ------------------------------------------------------------------------------------------
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 NUMBER OF NUMBER OF STRIKE SALES OF SHARES SHARES COVERED PERSON DATE OF EXERCISE OPTIONS PRICE PRICE SOLD RETAINED - ---------------------------------------------------------------------------------------------------- Susan R. Leadem March 31, 2003 20,000 $53.00 $68.48 20,000 0 David McD. A. Livingstone April 2, 2003 3,248 $53.00 $71.79 3,248 0 Philip A. Cooper April 3, 2003 10,000 $53.00 $72.63 10,000 0 Syaru Shirley Lin April 14, 2003 8,279 $53.00 $72.59 8,279 0 Matthew Rafferty April 15, 2003 7,328 $53.00 $74.98 7,328 0 Zu Liu Frederick Hu April 16, 2003 4,255 $53.00 $75.89 4,255 0 David R. Heinz April 17, 2003 6,943 $53.00 $75.31 6,943 0 - ----------------------------------------------------------------------------------------------------
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: April 25, 2003 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)). 74 Exhibit Description - ------- ----------------------------------------------------------------------- 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)). 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)). 75 Exhibit Description - ------- ----------------------------------------------------------------------- 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.). 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)). EE. Supplemental Registration Rights Instrument, dated as of December 20, 2002 (incorporated by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No. 333-101093) filed by The Goldman Sachs Group, Inc.). FF. Form of Written Consent Relating to Sale and Purchase of Common Stock (incorporated by reference to Exhibit FF to Amendment No. 35 to the Initial Schedule 13D, filed January 8, 2003 (File No. 005-56295)). 76 -----END PRIVACY-ENHANCED MESSAGE-----