-----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, H+yg2HEzv3wdGbJgmb6OZ7ROTztnEqqE0KidOAx1ITq6Pk9MLLuoNtUci0kxWRZE a6OYUwqQBQX5jjOQ/no0pg== 0000950123-03-013762.txt : 20031215 0000950123-03-013762.hdr.sgml : 20031215 20031212214029 ACCESSION NUMBER: 0000950123-03-013762 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20031215 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: 031053025 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 y92479sc13dza.txt AMENDMENT NO. 46 TO SCHEDULE 13D SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 File No. 005-56295 ----------------------------------------------------- SCHEDULE 13D/A (Rule 13d-101) Amendment No. 46 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) December 8, 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 REPORTING each person listed on Appendix A.) PERSON 185,561,791 Covered Shares held by Covered WITH Persons 32,378 Uncovered Shares held by Covered Persons(3) 1,448,436 other Uncovered Shares held by Covered Persons(4) --------------------------------------------------- 9. SOLE DISPOSITIVE POWER (See Item 6) As to Covered Shares, less than 1% As to Uncovered Shares, as stated in Appendix A --------------------------------------------------- 10. SHARED DISPOSITIVE POWER (See Item 6): As to Covered Shares, 0 As to Uncovered Shares, as stated in Appendix A - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 187,042,605(5) - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 36.25% - ------------------- (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 71 private charitable foundations established by 71 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. (5) Of these shares, 28,138,372 are deemed beneficially owned under Rule 13d-3(d)(1) because a Covered Person has the right to acquire beneficial ownership within 60 days of the date hereof. See Annex D for a description of these shares. The remaining 158,904,233 shares are beneficially owned by the Covered Persons as of the date hereof within the meaning of Rule 13d-3(a). 2 - ------------------------------------------------------------------------------- 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. 3 APPENDIX A
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- Julian D. Abel UK 0 0 0 0 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 John J. Adair 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 Olusegun O. Aganga UK 0 0 0 0 Mark E. Agne 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 Thomas K. Amster 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 Anton J. Arriola Spain 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 Indrajit Bardhan India 0 0 0 0
4
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 Gareth W. Bater UK 0 0 0 0 Christopher A. Bates 0 0 0 0 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 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 Stuart N. Bernstein 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 David W. Blood 0 0 0 0 Randall A. Blumenthal 0 0 0 0 David R. Boles 0 0 0 0 Marjorie Boliscar 0 0 0 0 Oliver R. Bolitho UK 0 0 0 0 Michael F. Bonte-Friedheim Germany 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 Sally A. Boyle UK 0 0 0 0
5
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- George M. Brady 0 0 0 0 Mairtin Brady Ireland 0 0 0 0 Lester R. Brafman 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 John Breyo 0 0 0 0 Timothy J. Bridges UK 0 0 0 0 Victoria A. Bridges 0 0 0 0 Peter L. Briger, Jr. 0 0 0 0 Craig W. Broderick 0 0 0 0 Richard J. Bronks UK 0 0 0 0 Julia A. Bronson 0 0 0 0 Holger Bross Germany 0 0 0 0 Cynthia A. Brower 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 Randall S. Burkert 142 0 142 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 Sebastiano Calabro 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 Richard M. Campbell-Breeden UK 0 0 0 0 Philippe L. Camu Belgium 0 0 0 0 David E. Cantillon Ireland 0 0 0 0 Sally W. Cantwell UK 0 600(6) 0 600(6) Gerald J. Cardinale 0 0 0 0 Mark M. Carhart 0 0 0 0 Mariafrancesca Carli Italy 0 0 0 0 Valentino D. Carlotti 0 0 0 0 Anthony H. Carpet 0 0 0 0
- ------------------------- (6) Shared with family members. 6
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 John W. Cembrook 0 0 0 0 Eduardo Centola Brazil 0 0 0 0 Robert J. Ceremsak, Jr. 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 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 Jane P. Chwick 0 0 0 0 James R. Cielinski 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 Kelly C. Coffey 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 Thomas V. Conigliaro 667 0 667 0 William J. Conley, Jr. 0 0 0 0 Thomas G. Connolly Ireland/USA 0 0 0 0 Frank T. Connor 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 Colin J. Corgan 0 0 0 0 David W. Corley 0 0 0 0 Thomas W. Cornacchia 0 0 0 0 Henry Cornell 0 0 0 0
7
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 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 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 Frederick C. Darling 0 0 0 0 Matthew S. Darnall 0 0 0 0 David H. Dase 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 Francois-Xavier De Mallmann France/ Switzerland 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
8
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- Joseph Della Rosa 0 0 0 0 Thomas F. Dempsey 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 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 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 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
9
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- Katherine B. Enquist 0 0 0 0 L. Brooks Entwistle 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 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 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 Gregory A. Finck 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 Daniel M. FitzPatrick 0 0 0 0 James A. Fitzpatrick 0 0 0 0 Pierre-Henri Flamand France 0 0 0 0 Alexander W. Fletcher UK 0 0 0 0 Mark C. Fletcher UK 0 0 0 0 Mark B. Florian 0 0 0 0 Timothy B. Flynn 0 0 0 0 Elisabeth Fontenelli 0 0 0 0 David B. Ford 0 134(7) 0 134(7) Elizabeth J. Ford 0 0 0 0 Edward C. Forst 0 0 0 0 Colleen A. Foster 0 0 0 0 George B. Foussianes 0 0 0 0 Linda M. Fox 0 0 0 0 Stephen H. Frank 0 0 0 0 Oliver L. Frankel 0 0 0 0 Jeffrey S. Frase 0 0 0 0 Orit P. Freedman Israel 0 0 0 0
- ------------------------- (7) Shared with family members. 10
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 Kieu L. Frisby 0 0 0 0 Matthias K. Frisch Switzerland 0 0 0 0 Robert K. Frumkes 0 0 0 0 C. Douglas Fuge 0 0 0 0 Shirley Fung UK 0 0 0 0 Timothy T. Furey 0 0 0 0 Enrico S. Gaglioti 0 0 0 0 Timur F. Galen 0 0 0 0 Maryann L. Gallivan 0 2000(8) 0 2000(8) Gonzalo R. Garcia Chile 0 0 0 0 Guillermo Garcia Mexico 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 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(9) 0 300(9) Joseph H. Gleberman 0 0 0 0 Justin G. Gmelich 0 0 0 0 Richard J. Gnodde Ireland/ 0 0 0 0 South Africa Jeffrey B. Goldenberg 0 2,860(10) 0 2,860(10) Rachel C. Golder 0 0 0 0 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 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
- ----------------------- (8) Shared with family members. (9) Shared with family members. (10) Shared with family members. 11
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 Edward J. Guay 0 0 0 0 Kevin J. Guidotti 0 0 0 0 Arun M. Gunewardena Sri Lanka 0 0 0 0 Vishal Gupta India 0 0 0 0 Celeste A. Guth 0 0 0 0 Vladimir M. Gutin 0 0 0 0 Joseph D. Gutman 0 0 0 0 Douglas A. Guzman Canada 0 0 0 0 Erol Hakanoglu Turkey 0 0 0 0 Elizabeth M. Hammack 0 0 0 0 David R. Hansen Australia 0 0 0 0 Mary L. Harmon 0 0 0 0 Roger C. Harper 0 0 0 0 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 Taizo Hasebe Japan 0 0 0 0 Rumiko Hasegawa Japan 0 0 0 0 Arthur J. Hass 0 0 0 0 Stephen J. Hay UK 0 0 0 0 Kuniyoshi Hayashi Japan 0 0 0 0 Keith L. Hayes UK 0 0 0 0 Edward A. Hazel 841 300(11) 841 300(11) 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 B. Heller 0 0 0 0 Steven M. Heller 0 0 0 0
- ------------------------- (11) Shared with family members. 12
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- William L. Hemphill 0 0 0 0 Ruud G. Hendriks The Netherlands 0 0 0 0 David P. Hennessey 0 0 0 0 R. Douglas Henderson 0 0 0 0 David L. Henle 0 600 0 600 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 L. Hirsch 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 Svein R. Hogset Norway 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 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. 578 0 578 0 Thomas J. Houle 0 0 0 0 Michael R. Housden UK 0 0 0 0 Robert Howard 0 0 0 0 Mark Howard-Johnson 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
13
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- 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-Dara Infante 0 0 0 0 Francis J. Ingrassia 0 0 0 0 Timothy J. Ingrassia 0 0 0 0 Zubin P. Irani India 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 523 0 523 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 Kevin M. Jordan 0 0 0 0 Mei L. Joseph Singapore 0 0 0 0 Roy R. Joseph Guyana 0 0 0 0 Kenneth L. Josselyn 0 0 0 0 Chansoo Joung 0 0 0 0 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 1,666(12) 0 1,666(12) 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
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ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- Richard 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 James P. Kenney 0 0 0 0 William J. Kenney 0 0 0 0 Thomas J. Kenny 0 0 0 0 Steven E. Kent 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 Masaaki Kimura South Korea 0 0 0 0 Colin E. King Canada 429 0 429 0 Jonathan S. King UK 0 0 0 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 Frederick J. Knecht 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 Yasuro K. Koizumi Japan 0 0 0 0 J. Christopher A. Kojima Canada 0 0 0 0 Kazuaki Kojima Japan 0 0 0 0 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 Robert A. Koort 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 John D. Kramer 0 0 0 0
15
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 Tak Sing Kenneth Kwok Hong Kong 0 0 0 0 Joon Kwun South Korea 0 0 0 0 Peter Labbat 0 0 0 0 Brian J. Lahey 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 Jonathan A. Langer 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 Hugh J. Lawson 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 Cham Chung Ken Lee Hong Kong 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 Ronald Lee 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 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 Deborah R. Leone 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
16
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 765 0 765 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 Josephine Linden UK 0 0 0 0 Lawrence H. Linden 0 0 0 0 Anthony W. Ling UK 0 0 0 0 Roger E. Linnemann, Jr. 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 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 Thomas R. Lynch 0 0 0 0 Peter J. Lyon 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 Aadarsh K. Malde UK 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
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ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- Kathleen M. Maloney 0 0 0 0 Jean E. Manas Greece 0 0 0 0 Charles G. R. Manby UK 0 0 0 0 Robert S. Mancini 0 0 0 0 Barry A. Mannis 0 0 0 0 Simon I. Mansfield 0 0 0 0 Elizabeth C. Marcellino 0 0 0 0 Joseph C. Marconi 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 Alexander M. Marshall UK 0 0 0 0 David J. Marshall 0 0 0 0 Allan S. Marson UK 0 0 0 0 Paul A. Marson UK 0 0 0 0 Eff W. Martin 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 Thomas H. Mattox 0 0 0 0 George N. Mattson 0 0 0 0 Jason E. Maynard 0 0 0 0 Thomas J. McAdam 91 0 91 0 Richard F. McArdle 0 0 0 0 John J. McCabe 0 0 0 0 Theresa E. McCabe 0 0 0 0 James P. McCarthy 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 Dermot W. McDonogh Ireland 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. 0 0 0 0 James A. McNamara 0 215(13) 0 215(13) Richard P. McNeil Jamaica 0 0 0 0 Audrey A. McNiff 0 0 0 0 John P. McNulty 0 0 0 0
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ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 Stephen J. Mellas 0 0 0 0 Andrew J. Melnick 0 0 0 0 Bruce H. Mendelsohn 100 400(14) 100 400(14) 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 Olivier F. Meyohas France 0 0 0 0 Michael R. Miele 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 Kristi L. Mitchem 0 0 0 0 Gregory C. Mitsch 0 0 0 0 Masatoki J. Mitsumata Japan 0 0 0 0 Wataru Mizoguchi 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 Scott E. Molin 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
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ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 Richard A. Murley UK 0 0 0 0 Philip D. Murphy 0 0 0 0 Thomas S. Murphy, Jr. 0 0 0 0 Arjun N. Murti 0 0 0 0 Gaetano J. Muzio 0 0 0 0 Marc O. Nachmann Germany 0 0 0 0 Avi M. Nash 0 0 0 0 Kevin D. Naughton 228 0 228 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 Craig J. Nossel USA/South Africa 0 0 0 0 Anthony J. Noto 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 10,000(15) 0 10,000(15) Gavin G. O'Connor 0 0 0 0 Fergal J. O'Driscoll Ireland 0 0 0 0 L. Peter O'Hagan Canada 0 0 0 0
- ------------ (15) Shared with family members. 20
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 Taneki Ono Japan 0 0 0 0 Donald C. Opatrny, Jr. 0 0 0 0 Peter C. Oppenheimer UK 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 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 Robert W. Pack UK 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 Lisa L. Parisi 0 0 0 0 Simon Y. Park 0 0 0 0 Geoffrey M. Parker 0 0 0 0 Archie W. Parnell 100 100(16) 100 100(16) Simon C. Parry-Wingfield UK 0 0 0 0 Ketan J. Patel UK 0 0 0 0 Sheila H. Patel 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 John M. Perlowski 0 0 0 0 David B. Philip 0 0 0 0 Todd J. Phillips 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 Carol V. Pledger UK 0 0 0 0
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ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 Gilberto Pozzi Italy 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 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 Krishna S. Rao India 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 Peter Richards UK 0 0 0 0 Jean-Manuel Richier France 0 0 0 0 Michael J. Richman 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 Louisa G. Ritter 0 0 0 0 Paul M. Roberts UK 0 0 0 0 Richard T. Roberts 6 0 6 0 William M. Roberts 0 0 0 0 Simon M. Robertson UK 0 0 0 0
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ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- Juliet A. Robinson UK 0 0 0 0 Nigel C. 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(17) 0 200(17) John F. W. Rogers 0 0 0 0 Emmanuel Roman France 0 0 0 0 Eileen P. Rominger 0 0 0 0 Andrew A. Root Canada 0 0 0 0 Pamela P. Root 0 0 0 0 Clifton P. Rose New Zealand/USA 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 Lisa A. Rotenberg 0 0 0 0 Marc A. Rothenberg 0 0 0 0 Stuart M. Rothenberg 0 0 0 0 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 2 0 2 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 John J. Ryan 0 0 0 0 Michael D. Ryan 0 0 0 0 Pamela S. Ryan 0 1,000 0 1,000 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
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ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- James E. Sawtell UK 0 0 0 0 Josephine Scesney 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 Clare R. Scherrer 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 Vivian C. Schneck-Last 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 1,900(18) 0 1,900(18) Steven M. Scopellite 0 0 0 0 David J. Scudellari 0 0 0 0 John A. Sebastian 0 0 0 0 Peter A. Seccia 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 Peter D. Selman UK 0 0 0 0 Anik Sen UK 0 0 0 0 Randolph Sesson, Jr. 0 0 0 0 Steven M. Shafran 0 0 0 0 Lisa M. Shalett 0 0 0 0 Richard S. Sharp UK 0 0 0 0 John P. Shaughnessy 0 0 0 0 Daniel M. Shefter 0 0 0 0 David G. Shell 0 0 0 0 Heather K. Shemilt Canada 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 Kunihiko Shiohara Japan 0 0 0 0 Abraham Shua 0 0 0 0 Susan E. Sidd 0 0 0 0 Michael H. Siegel 0 0 0 0 Leslie C. Sillcox 0 0 0 0 Ralph J. Silva 0 0 0 0
- ------------ (18) Shared with family members. 24
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- Harry Silver 0 0 0 0 Howard A. Silverstein 0 0 0 0 Gavin Simms UK 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 David A. Simpson UK 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(19) 0 1,000(19) 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 Jonathan S. Sobel 0 0 0 0 David M. Solomon 0 0 0 0 Judah C. Sommer 0 0 0 0 Chong Hon Andrew Song 0 0 0 0 Theodore T. Sotir 0 0 0 0 Sergio E. Sotolongo 0 0 0 0 Vickrie C. South 0 0 0 0 Daniel L. Sparks 0 0 0 0 Nicholas J. Spencer UK 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 Alec P. Stais 0 0 0 0 Christoph W. Stanger Austria 0 0 0 0 Daniel W. Stanton 0 0 0 0 Keith G. Starkey UK 0 0 0 0 Esta E. Stecher 0 0 0 0 Cathrine 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 Laurence Stein South Africa 0 0 0 0
- ------------ (19) Shared with family members. 25
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- Joseph 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 Patrick M. Street UK 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 Morgan C. Sze 0 0 0 0 Shahriar Tadjbakhsh 0 0 0 0 Kunio Tahara Japan 0 0 0 0 Thomas P. Takacs 928 0 928 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 Greg W. Tebbe 0 0 0 0 Roland W. Tegeder Germany 0 0 0 0 Thomas D. Teles 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 Nicolas F. Tiffou France 0 0 0 0 Jason A. Tilroe 0 0 0 0 Elena B. Titova Russian Federation 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 Serena Torielli Italy 0 0 0 0 John R. Tormondsen 0 0 0 0 Frederick Towfigh 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
26
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 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 Greg A. Tusar 0 0 0 0 Eiji Ueda Japan 0 0 0 0 Scott B. Ullem 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 Philip J. Venables UK 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 Alejandro Vollbrechthausen Mexico 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(20) 0 10(20) Joann B. Walker 0 0 0 0 Thomas B. Walker III 0 0 0 0 Robert P. Wall 0 0 0 0 Steven A. Wallace UK 0 0 0 0 Berent A. Wallendahl Norway 0 0 0 0 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 Peter J. Warren UK 0 0 0 0
- ------------ (20) Shared with family members. 27
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 Richard A. Weissmann 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 Eileen M. 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 0 0 0 0 Edward R. Wilkinson 83 0 83 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 Deborah B. Wilkens Germany/USA 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 Samuel J. Wisnia France 0 0 0 0 Richard E. Witten 0 0 0 0 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
28
ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- Neil J. Wright UK 0 0 0 0 Denise A. Wyllie UK 0 0 0 0 Zi Wang Xu Canada/China (PRC) 0 0 0 0 Richard A. Yacenda 0 0 0 0 Tetsufumi Yamakawa Japan 0 0 0 0 Yasuyo Yamazaki Japan 0 0 0 0 Anne Yang 0 0 0 0 Danny O. Yee 0 0 0 0 Shinichi Yokote Japan 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 William J. Young 0 0 0 0 Sanaz Zaimi UK 0 0 0 0 Michael J. Zamkow 0 40(21) 0 40(21) Peter J. Zangari 0 0 0 0 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 71 private N/A 0 1,448,436 0 1,448,436 charitable foundations established by 71 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations(22)
- ----------- (21) Shared with family members. (22) Each Covered Person disclaims beneficial ownership of all such shares of Common Stock. 29
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- TRUSTS 2000 John A. Thain Grantor Retained Annuity Trust 0 0 0 0 2001 John A. Thain 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 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 Abby Joseph Cohen 2003 Annuity Trust II 0 0 0 0 The Adina R. Lopatin 2000 Trust 0 0 0 0 The Alexander H. Witten 2000 Trust 0 0 0 0 The Alexander I. Berlinski 2000 Trust 0 0 0 0 The Alexander Litzenberger Remainder Trust 0 0 0 0 The Alexandra D. Steel 2000 Trust The Alexis Blood 2000 Trust The Alyssa Blood 2000 Trust 0 0 0 0
30
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- The Amanda Liann Mead 2000 Trust 0 0 0 0 Anahue Trust(23) Jersey 0 0 0 0 Andrew L. Fippinger-Millennium Trust(24) 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. Alper 2003 Annuity Trust II 0 0 0 0 The Andrew M. Gordon 2000 Family Trust 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 Anthony D. Lauto 2003 Annuity Trust II 0 0 0 0 The Arthur J. Reimers, III Defective Trust 2000 Connecticut 0 0 0 0 The Avi M. Nash 2000 Family Trust 0 0 0 0 The Bari Marissa Schwartz 2000 Trust 0 0 0 0 Barry A. Kaplan 2000 Family Trust 0 0 0 0 Barry A. Kaplan 2002 GRAT 0 0 0 0 Barry A. Kaplan 2003 GRAT 0 0 0 0 The Barry L. Zubrow 2000 Family Trust 0 0 0 0 The Barry L. Zubrow 2002 Annuity Trust I 0 0 0 0 The Barry L. Zubrow 2002 Annuity Trust II 0 0 0 0 Beller 2002 GRAT 0 0 0 0 Beller 2003 GRAT 0 0 0 0 Beller 2003 Family Trust 0 0 0 0
- -------------- (23) Created by Andrew A. Chisholm. (24) Created by Ann F. Kaplan. 31
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- The 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(25) 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 A. Cole 2003 Annuity Trust II 0 0 0 0 The Christopher K. Norton 2000 Family Trust 0 0 0 0 The Christopher Palmisano Remainder Trust(26) 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(27) 0 0 0 0 The Daniel Alexander Schwartz 2000 Trust 0 0 0 0
- -------- (25) Created by E. Gerald Corrigan. (26) Created by Robert H. Litzenberger. (27) Created by Emmanuel Roman. 32
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- 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 M. Neidich 2003 Annuity Trust II 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 Pennsylvania 0 0 0 0 The David B. Ford 2003 Annuity Trust dtd as of 6/26/2003 Pennsylvania 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 L. Henle 2003 Annuity Trust II 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 Viniar 2003 Annuity Trust II 0 0 0 0 The David W. Blood 2002 Annuity Trust I 0 0 0 0
33
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - --------------------------------- ---------------- --------- --------- ----------- ----------- The David W. Blood 2002 Annuity Trust II 0 0 0 0 The Donald F. Textor 2002 Annuity Trust I 0 0 0 0 The Donald F. Textor 2002 Annuity Trust II 0 0 0 0 The Donald F. Textor 2003 Annuity Trust I 0 0 0 0 The Donald F. Textor 2003 Annuity Trust II 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 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 The Edward Scott Mead 2003 Annuity Trust II 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
34
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------------------------- ---------------- --------- --------- ----------- ----------- The Emma M.L. Mead 2000 Trust 0 0 0 0 The Eric Fithian 2000 Trust(28) 0 0 0 0 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 Esta Eiger Stecher 2003 Annuity Trust II 0 0 0 0 The Evans Trust(29) 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 The Fredric E. Steck 2003 Annuity Trust II 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 Gene Tiger Sykes 2003 Annuity Trust II 0 0 0 0 The Geoffrey T. Grant 2000 Family Trust 0 0 0 0 The George H. Walker 2000 Family Trust 0 0 0 0
- ---------- (28) Created by David A. Viniar. (29) Created by W. Mark Evans. 35
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------------------------- ---------------- --------- --------- ----------- ----------- The 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 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 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 Gregory K. Palm 2003 Annuity Trust II 0 0 0 0 The Guapulo Trust(30) Jersey 0 0 0 0 The Howard A. Silverstein 2000 Family Trust 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 Howard A. Silverstein 2003 Annuity Trust II 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
- ---------- (30) Created by Erland S. Karlsson. 36
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------------------------- ---------------- --------- --------- ----------- ----------- The J. David Rogers 2002 Annuity Trust II 0 0 0 0 The J. David Rogers 2003 Annuity Trust I 0 0 0 0 The J. David Rogers 2003 Annuity Trust II 0 0 0 0 The James Alexander Mead 2000 Trust 0 0 0 0 The James M. Sheridan Shares Trust 0 0 0 0 The James M. Sheridan Trust 0 0 0 0 The James Nicholas Katz 2000 Trust 0 0 0 0 James P. Riley, Jr. 2000 Family Trust 0 0 0 0 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(31) 0 0 0 0 JG 2000 Trust (continuing trust)(31) 0 0 0 0 JG 2002 GRAT(31) 0 0 0 0 JG 2003 GRAT(31) 0 0 0 0 JG 2003 Family Trust(31) 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
- ---------- (31) Created by Jacob D. Goldfield. 37
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------------------------- ---------------- --------- --------- ----------- ----------- The John R. Tormondsen 2003 Annuity Trust I 0 0 0 0 The John R. Tormondsen 2003 Annuity Trust II 0 0 0 0 The John R. Tormondsen, Jr. 2000 Trust 0 0 0 0 The John S. Weinberg 2000 Family Trust 0 0 0 0 The John S. Weinberg 2002 Annuity Trust I 0 0 0 0 The John S. Weinberg 2002 Annuity Trust II 0 0 0 0 The John S. Weinberg 2003 Annuity Trust I 0 0 0 0 The John S. Weinberg 2003 Annuity Trust II 0 0 0 0 The Jonathan G. Neidich 2000 Trust 0 0 0 0 The Jonathan L. Cohen 2002 Annuity Trust I 0 0 0 0 The Jonathan M. Lopatin 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 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(32) 0 0 0 0
- ---------- (32) Created by David A. Viniar. 38
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------------------------- ---------------- --------- --------- ----------- ----------- The 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 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 Kevin W. Kennedy 2003 Annuity Trust III 0 0 0 0 The Kimberly Lynn Macaione 2000 Trust(33) 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(34) 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 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. Sillcox 2003 Annuity Trust II 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
- ---------- (33) Created by Frank L. Coulson, Jr. (34) Created by Sylvain M. Hefes. 39
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------------------------- ---------------- --------- --------- ----------- ----------- The Lloyd C. Blankfein 2002 Annuity Trust I 0 0 0 0 The Louise Rice Townsend 2000 Trust 0 0 0 0 M. Roch Hillenbrand Trust f/b/o C. Justin Hillenbrand New Jersey 0 0 0 0 M. Roch Hillenbrand Trust f/b/o Molly D. Hillenbrand New Jersey 0 0 0 0 The Mallory G. Neidich 2000 Trust 0 0 0 0 The Marc A. Spilker 2000 Family Trust 0 0 0 0 The Mark A. Zurack 2000 Family Trust 0 0 0 0 The Mark A. Zurack 2000 Issue Trust 0 0 0 0 The Mark A. Zurack 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(35) 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
- ---------- (35) Created by E. Gerald Corrigan. 40
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------------------------- ---------------- --------- --------- ----------- ----------- The Michael D. Ryan 2002 Annuity Trust II 0 0 0 0 The Michael D. Ryan 2003 Annuity Trust I 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 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. Berlinski 2003 Annuity Trust II 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)(36) 0 0 0 0 Murphy 2002 GRAT(36) 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 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 C. Gerhard 2003 Annuity Trust II 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
- ---------- (36) Created by Thomas S. Murphy, Jr. 41
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------------------------- ---------------- --------- --------- ----------- ----------- 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 Peter S. Kraus 2003 Annuity Trust II 0 0 0 0 The Philip D. Murphy 2000 Family Trust 0 0 0 0 The Philip D. Murphy 2002 Annuity Trust I 0 0 0 0 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 The Ralph F. Rosenberg 2003 Annuity Trust II 0 0 0 0 Randal M. Fippinger-Millennium Trust(37) 0 0 0 0 The Randolph L. Cowen 2000 Family Trust 0 0 0 0 Rayas Trust(38) 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 2002 Annuity Trust I 0 0 0 0
- ---------- (37) Created by Ann F. Kaplan. (38) Created by Emmanuel Roman. 42
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------------------------- ---------------- --------- --------- ----------- ----------- The Richard A. Sapp 2003 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 E. Witten 2003 Annuity Trust II 0 0 0 0 The Richard G. Sherlund 2002 Annuity Trust I 0 0 0 0 Robert A. Fippinger, Jr. Millennium Trust(39) 0 0 0 0 The Robert B. Litterman 2000 Family Trust 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 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 B. Morris III 2003 Annuity Trust II 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. Hurst 2003 Annuity Trust II 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. Katz 2003 Annuity Trust II 0 0 0 0
- ---------- (39) Created by Ann F. Kaplan. 43
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------------------------- ---------------- --------- --------- ----------- ----------- The Robert J. O'Shea 2000 Family Trust 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. O'Shea 2003 Annuity Trust II 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 J. Pace 2003 Annuity Trust II 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 The Robert K. Steel 2003 Annuity Trust II 0 0 0 0 Robin Neustein 2002 Annuity Trust 0 0 0 0 Robin Neustein 2003 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 2002 Annuity Trust I 0 0 0 0 The Scott B. Kapnick 2003 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 Sharmin Mossavar-Rahmani 2003 Annuity Trust I 0 0 0 0
44
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------------------------- ---------------- --------- --------- ----------- ----------- The 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 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 Steven T. Mnuchin 2003 Annuity Trust II 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 The Stuart Mark Rothenberg 2003 Annuity Trust I 0 0 0 0 The Stuart Mark Rothenberg 2003 Annuity Trust II 0 0 0 0 The Suzanne E. Cohen 2000 Trust 0 0 0 0 The Terence M. O' Toole 2000 Family Trust 0 0 0 0 The Terence M. O' Toole 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 J. Healey 2003 Annuity Trust II New Jersey 0 0 0 0 The Thomas K. Montag 2000 Family Trust 0 0 0 0
45
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------------------------- ---------------- --------- --------- ----------- ----------- The Tracy Richard Wolstencroft 2000 Family Trust 0 0 0 0 The Tracy Richard Wolstencroft 2002 Annuity Trust I 0 0 0 0 The Tracy Richard Wolstencroft 2003 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(40) New Jersey 0 0 0 0 Trust f/b/o Megan H. Hagerty u/a/d June 5, 2002(40) 0 0 0 0 Trust f/b/o Megan H. Hagerty u/a/d March 26, 2003(40) New Jersey 0 0 0 0 Trust f/b/o Megan H. Hagerty u/a/d June 13, 2003(40) New Jersey 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 Trust f/b/o Thomas Jeremiah Healey u/a/d June 13, 2003 New Jersey 0 0 0 0 The Unicorn Trust(41) UK 0 0 0 0 Vyrona Trust(42) 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 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 Zachariah Cobrinik 2003 Annuity Trust 0 0 0 0
- ---------- (40) Created by Thomas J. Healey. (41) Created by Wiet H.M. Pot. (42) Created by Sylvain M. Hefes. 46
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------------------------- ---------------- --------- --------- ----------- ----------- PARTNERSHIPS ALS Investment Partners, L.P.(43) Delaware 0 0 0 0 Beech Associates, L.P.(44) Delaware 0 0 0 0 Crestley, L.P.(45) Delaware 0 0 0 0 Greenley Partners, L.P.(46) Delaware 0 0 0 0 HEMPA Limited Partnership(47) Delaware 0 0 0 0 JSS Investment Partners, L.P.(48) 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(49) Illinois 0 0 0 0 Opatrny Investment Partners, L.P. Delaware 0 0 0 0 Quail Brook GS Partners, L.P.(50) Delaware 0 0 0 0 Rantz GS Investment Partners, L.P. Delaware 0 0 0 0 Savitz Investment Partners, L.P.(51) Delaware 0 0 0 0 Stone Gate GS Partners, L.P.(52) Delaware 0 0 0 0 Trott GS Investment Partners, L.P. Delaware 0 0 0 0 Tuft GS Investment Partners, L.P. Delaware 0 0 0 0 Ward Investment Partners, L.P. Delaware 0 0 0 0 Windy Hill Investment Company II, L.P.(53) 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 CORPORATIONS Anahue Limited(54) Jersey 0 0 0 0
- ---------- (43) Created by Charles B. Seelig, Jr. (44) Created by David B. Ford. (45) Created by Thomas J. Healey. (46) Created by Jaime E. Yordan. (47) Created by Henry M. Paulson, Jr. (48) Created by Jonathan S. Savitz. (49) Created by Peter Layton. (50) Created by Barry L. Zubrow. (51) Created by Peter Savitz. (52) Created by Connie K. Duckworth. (53) Created by Joseph D. Gutman. (54) Created by Andrew A. Chisholm. 47
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES - ------------------------------------------------------------- ---------------- --------- --------- ----------- ----------- Chambolle Limited(55) Jersey 0 0 0 0 Guapulo Holdings Ltd(56) Jersey 0 0 0 0 HJS2 Limited(57) Cayman Islands 0 0 0 0 Majix Limited(58) Jersey 0 0 0 0 Melalula Limited(59) Jersey 0 0 0 0 RJG Holding Company(60) Cayman Islands 0 0 0 0 Robinelli Limited(61) Jersey 0 0 0 0 Vyrona Holdings Limited(62) Jersey 0 0 0 0 Zurrah Limited(63) Jersey 0 0 0 0
- ---------- (55) Created by Emmanuel Roman. (56) Created by Erland S. Karlsson. (57) Created by Hsueh J. Sung. (58) Created by Alok Oberoi. (59) Created by Peter D. Sutherland. (60) Created by Richard J. Gnodde. (61) Created by Claudio Costamagna. (62) Created by Sylvain M. Hefes. (63) Created by Yoel Zaoui. 48 This Amendment No. 46 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. 46 is being filed primarily because, commencing on or around December 19, 2003, certain Covered Persons (as defined in Item 2 below) will be permitted to sell shares of Common Stock (as defined in Item 1 below) through the Channel A and Channel B Sales Programs (as defined in Item 4 below). 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"), the former members (the "Walter Frank Covered Persons") of Walter N. Frank & Co., LLC ("Walter Frank") and John Breyo (together with the Hull Covered Persons, the SLK Covered Persons, the 49 Jacobson Covered Persons and Walter Frank Covered Persons, the "Acquisition Covered Persons"), a former partner of The Ayco Company, L.P. ("Ayco"), acquired certain Covered Shares in exchange for their interests in Hull, SLK LLC, Jacobson, Walter Frank or Ayco, 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, Walter Frank or Ayco or the combination of GS Inc. with SLK LLC, as applicable, and through certain employee compensation, benefit or similar plans of GS Inc. The Transferee Covered Persons acquired their Covered Shares from other Individual Covered Persons in accordance with pre-existing contractual arrangements or judicial decrees. As a condition to the transfer of the Covered Shares, the Shareholders' Committee required that each Transferee Covered Person agree to become a party to the Shareholders' Agreement and to be bound by the Partner Transfer Restrictions referred to in Item 6 below. The Estate Planning Covered Persons acquired the Covered Shares as contributions or gifts made for estate planning purposes by Individual Covered Persons, and the provisions of the organizational documents of certain Estate Planning Covered Persons provide for the distribution of Common Stock to certain other Covered Persons. As a condition to the contribution or gift of the Covered Shares, the Shareholders' Committee required that each Estate Planning Covered Person agree to become a party to the Shareholders' Agreement and to be bound by the Partner Transfer Restrictions referred to in Item 6 below. The board of directors of GS Inc. and, in the case of the PMDs and the Transferee Covered Persons, the Shareholders' Committee have approved sales by the PMDs, Transferee Covered Persons and certain Estate Planning Covered Persons and Acquisition Covered Persons of a portion of their shares of Common Stock through two programs (the "Channel A Sales Program" and the "Channel B Sales Program"). Sales under the Channel A and Channel B Sales Programs commenced on September 24, 2003 and terminated on October 24, 2003, with an aggregate of 2,843,623 Covered Shares having been sold. See Annex E for sales since the last amendment to this Schedule 13D. On December 8, 2003, GS Inc. notified eligible Covered Persons that additional sales under the Channel A and Channel B Sales Programs will be permitted commencing on or around December 19, 2003 and terminating on or around January 23, 2004. The Channel A and Channel B Sales Programs may continue in subsequent fiscal quarters, but can be suspended, modified or terminated at any time. The participants in the Channel A Sales Program may sell, in a coordinated manner, a portion of their Covered Shares in accordance with the volume and manner of sale limitations of Rule 144 under the Securities Act of 1933, as amended ("Rule 144"), and a volume limitation that will be established by GS Inc. (the "Channel A Sales Limit"). Subject to the volume limitations of Rule 144 and the Channel A Sales Limit, up to 12,549,200 Covered Shares are eligible for sale by Covered Persons under the Channel A Sales Program. These consist of those Covered Shares that had been subject to the Partner Transfer Restrictions (as defined below) that lapsed on May 8, 2002 and May 8, 2003, as well as up to 10% of each Covered Person's shares that are subject to the Partner Transfer Restrictions that would otherwise lapse on May 8, 2004 (generally not including shares held through U.S. estate planning vehicles or private charitable foundations). Certain participants in the Channel A Sales Program may effect their sales pursuant to plans designed to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended, as described in Annex C. With respect to other participants, the decision as to whether and how many shares to sell will be made by each participant on a daily basis, subject to the foregoing limitations. 50 The participants in the Channel B Sales Program may sell, in a coordinated manner, a portion of their shares of Common Stock in accordance with Rule 144(k) and a volume limitation that will be established by GS Inc. (the "Channel B Sales Limit"). Subject to the Channel B Sales Limit, up to 11,293,582 Covered Shares are eligible for sale by Covered Persons under the Channel B Sales Program. These consist of those Covered Shares that had been subject to the Partner Transfer Restrictions that lapsed on May 8, 2002 and May 8, 2003, as well as up to 10% of each Covered Person's shares that are subject to the Partner Transfer Restrictions that would otherwise lapse on May 8, 2004 (generally not including shares held through U.S. estate planning vehicles or private charitable foundations). The decision as to whether and how many shares to sell will be made by each participant on a daily basis, subject to the volume limitation. Covered Persons may from time to time acquire Uncovered Shares for investment purposes. Except as described herein and except for the acquisition by Covered Persons of Common Stock pursuant to employee compensation, benefit or similar plans of GS Inc. in the future or as described above, none of the Covered Persons has any plans or proposals which relate to or would result in their acquisition of additional Common Stock or any of the other events described in Item 4(a) through 4(j). Each Covered Person is expected to evaluate on an ongoing basis GS Inc.'s financial condition and prospects and his or her interests in and with respect to GS Inc. Accordingly, each Covered Person may change his or her plans and intentions at any time and from time to time. In particular, each Covered Person may at any time and from time to time acquire or dispose of shares of Common Stock. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) Rows (11) and (13) of the cover page to this Schedule, Appendix A and Annex A are hereby incorporated by reference. Each Covered Person hereby disclaims beneficial ownership of any shares of Common Stock held by any other Covered Person. Except as described in Annex D, none of the shares of Common Stock reported in rows (11) and (13) of the cover page to this Schedule and Appendix A are shares as to which there is a right to acquire exercisable within 60 days. (b) Rows (7) through (10) of the cover page to this Schedule, Appendix A and Annex A set forth the percentage range of Covered Shares as to which there is sole power to vote or direct the vote or to dispose or direct the disposition; the number of Uncovered Shares as to which there is sole power to vote or direct the vote or to dispose or direct the disposition; and the number of shares of Common Stock as to which there is shared power to vote or direct the vote or to dispose or direct the disposition. With respect to the Covered Shares subject to the Partner Transfer Restrictions, the power to vote Covered Shares by Covered Persons is shared with each other 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 51 Agreement, dated as of May 16, 2002 (the "Walter Frank Member Agreement"), between such Walter Frank Covered Person and GS Inc. In the case of John Breyo, certain of the provisions and restrictions discussed below are set forth in a Partner Agreement, dated as of April 14, 2003 (the "Breyo Partner Agreement"), between John Breyo and GS Inc and, together with the SLK Member Agreement, the Jacobson Member Agreement and the Walter Frank Member Agreement, the "Member Agreements"). 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, Walter Frank or Ayco, as applicable; shares of Common Stock acquired or to be acquired through the grant of restricted stock units, stock options and interests in a defined contribution plan (except for certain Uncovered Shares as specified in Appendix A); shares of Common Stock acquired by the Transferee Covered Persons in accordance with pre-existing contractual arrangements or judicial decrees; shares of Common Stock acquired or to be acquired by Estate Planning Covered Persons from Individual Covered Persons for estate planning purposes and shares of Common Stock to be distributed by Estate Planning Covered Persons to Individual Covered Persons or to other Estate Planning Covered Persons; and, unless otherwise determined by the board of directors and the Shareholders' Committee, any shares of Common Stock acquired or to be acquired by the Covered Persons from GS Inc. through any other employee compensation, benefit or similar plan. Covered Shares do not include any shares of Common Stock purchased or to be purchased by a Covered Person in the open market or in a subsequent underwritten public offering. TRANSFER RESTRICTIONS Each Individual Covered Person (other than the Transferee Covered Persons and, with respect to the shares of Common Stock received in exchange for their interests in Hull, the Hull Covered Persons) has agreed in the Shareholders' Agreement, among other things, to retain beneficial ownership of Covered Shares at least equal to 25% of the cumulative number of Covered Shares beneficially owned by him or her at the time he or she became a Covered Person or acquired by him or her thereafter and with no credit for dispositions (the "General Transfer Restrictions") for so long as he or she is a Covered Person and an employee of GS Inc. (an "Employee Covered Person"). The PMDs are also subject to limitations on their ability to transfer some of the Covered Shares received in connection with the succession of GS Inc. to the business of Group L.P. Such restrictions also apply to some of the Covered Shares acquired by the Acquisition Covered Persons in exchange for their interests in Hull, SLK LLC, Jacobson,Walter Frank or Ayco, 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, 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, and John Breyo agreed not to transfer such Covered Shares until after July 1, 2004, the first anniversary of the closing of the acquisition by GS Inc. of Ayco. The Partner Transfer Restrictions lapsed as to 25,325,624 Covered Shares on May 8, 2002, 54,786,126 Covered Shares on May 8, 2003 and 177,851 Covered Shares on June 26, 2003, and will lapse as to the remaining Covered Shares beneficially owned by the PMDs, Hull Covered Persons, SLK Covered Persons and Jacobson Covered Persons on May 8, 2004, as to the Covered Shares beneficially owned by the Walter Frank Covered Persons in equal installments on each of June 26, 2004 and June 26, 2005 and as to the Covered Shares beneficially owned by John Breyo in equal installments on each of July 1, 2004, July 1, 2005 and such date after December 31, 2005 (but in no event later than January 31, 2005) on which GS Inc. notifies John Breyo that such Partner Transfer Restrictions have lapsed. 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. 52 WAIVERS Except in the case of a third-party tender or exchange offer, the Partner Transfer Restrictions may be waived or terminated at any time by the Shareholders' Committee described below under "Information Regarding the Shareholders' Committee". The Shareholders' Committee also has the power to waive the Transfer Restrictions to permit Covered Persons to: participate as sellers in underwritten public offerings of Common Stock and tender and exchange offers and share repurchase programs by GS Inc.; transfer Covered Shares to charities, including charitable foundations; transfer Covered Shares held in employee benefit plans; and transfer Covered Shares in specific transactions (for example, to immediate family members and trusts) or other circumstances. The Shareholders' Committee permitted the transfers of Covered Shares to the Estate Planning Covered Persons and the Transferee Covered Persons on the condition that each Estate Planning Covered Person and Transferee Covered Person agree to become a party to the Shareholders' Agreement and to be bound by the Partner Transfer Restrictions. On July 31, 2000, the Shareholders' Committee waived the Partner Transfer Restrictions solely to permit certain Covered Persons to pledge a portion of their Covered Shares to obtain approximately $400,000,000 in loan commitments to make investments from time to time in certain merchant banking funds sponsored by GS Inc. The loan commitments are for five years, may be drawn upon from time to time and generally require that any loans be collateralized by shares of Common Stock with a market value four times that of the amount borrowed. Pursuant to Rule 13d-3(d)(3) under the Securities Exchange Act of 1934, as amended, the pledgees did not acquire beneficial ownership of the pledged shares by virtue of the pledge. The Shareholders' Committee and, in the case of the Acquisition Covered Persons, the board of directors waived the Partner Transfer Restrictions to permit the sale of up to an aggregate of 607,976 Covered Shares by certain Covered Persons under the Channel A Sales Program described in Item 4 and up to an aggregate of 1,874,882 Covered Shares by certain Covered Persons under the Channel B Sales Program described in Item 4, in each case commencing on or around December 19, 2003 and terminating on or around January 23, 2004. 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, 2004 (generally not including shares held through U.S. estate planning vehicles or private charitable foundations). On September 24, 2003, the Shareholders' Committee waived the Transfer Restrictions on 20,000 Covered Shares held by a Transferee Covered Person. In the case of a third-party tender or exchange offer, the Transfer Restrictions may be waived or terminated: if the board of directors is recommending acceptance or is not making any recommendation with respect to acceptance of the tender or exchange offer, by a majority of the Voting Interests (as defined below); or if the board of directors is recommending rejection of the tender or exchange offer, by 66 2/3% of the outstanding Voting Interests. In the case of a tender or exchange offer by GS Inc., a majority of the outstanding Voting Interests may also elect to waive or terminate the Transfer Restrictions. VOTING Prior to any vote of the shareholders of GS Inc., the Shareholders' Agreement requires a separate, preliminary vote of the Voting Interests on each matter upon which a vote of the shareholders is proposed to be taken (the "Preliminary Vote"). Each Covered Share held by an Employee Covered Person and each other Covered Share subject to the Partner Transfer Restrictions will be voted in accordance with the majority of the votes cast by the Voting Interests in the Preliminary Vote. In elections of directors, each Covered Share will be voted in favor of the election of those persons receiving the highest numbers of votes cast by the Voting Interests in the Preliminary Vote. "Voting Interests" are Covered Shares beneficially owned by all Employee Covered Persons. OTHER RESTRICTIONS 53 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. 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. On June 25, 2003, a similar arrangement was established with respect to a previously established Estate Planning Covered Person, with the IPO Pledge being replaced by a guarantee and pledge agreement entered into by the Estate Planning Covered Person and the Individual Covered Person pledging his interests in the entity to GS Inc. 54 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. In connection with GS Inc.'s acquisition of Ayco, John Breyo has pledged to GS Inc. Common Stock or other assets to secure his obligations under the Breyo Partner Agreement to indemnify GS Inc. in connection with the acquisition of Ayco and not to engage in certain competitive activities or solicit clients or employees of GS Inc. 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 2,711,286 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. 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. 55 DERIVATIVE INSTRUMENTS Certain Individual Covered Persons have written American-style call options on an aggregate of 2,973,000 Covered Shares with strike prices ranging from $70 to $105 and maturity dates ranging from December 20, 2003 to January 21, 2006. Certain Individual Covered Persons have written American-style call options on an aggregate of 125,000 Uncovered Shares with strike prices ranging from $95 to $105 and maturity dates ranging from January 17, 2004 to January 22, 2005. Certain Individual Covered Persons have written American-style put options on an aggregate of 10,000 Covered Shares with strike prices ranging from $75.00 to $85.00 and maturity dates ranging from December 20, 2003 to January 17, 2004. Certain Individual Covered Persons have purchased American-style put options on an aggregate of 70,000 Covered Shares with strike prices ranging from $70.00 to $75.00 and having maturity dates of January 17, 2004. None of these Covered Persons is employed by Goldman Sachs. On May 8, 2003, an Individual Covered Person purchased an American-style put option on 40,000 Covered Shares with a strike price of $70.00 and an expiration date of January 17, 2004 and wrote an American-style call option on 40,000 Covered Shares with a strike price of $85.00 and an expiration date of January 17, 2004. On June 3, 2003, this Individual Covered Person purchased an American-style put option on 30,000 Covered Shares with a strike price of $75.00 and an expiration date of January 17, 2004 and wrote an American-style call option on 30,000 Covered Shares with a strike price of $90.00 and an expiration date of January 17, 2004. This Covered Person is not employed by Goldman Sachs. On October 29, 2003, an Individual Covered Person purchased an American-style put option on 60,000 Covered Shares with a strike price of $80.00 and an expiration date of January 17, 2004 and wrote an American-style call option on 60,000 Covered Shares with a strike price of $85.00 and an expiration date of January 17, 2004. This Covered Person is not employed by Goldman Sachs. On October 31, 2003, an Individual Covered Person purchased an American-style put option on 25,000 Covered Shares with a strike price of $85.00 and an expiration date of January 17, 2004 and wrote an American-style call option on 25,000 Covered Shares with a strike price of $100.00 and an expiration date of January 17, 2004. On October 31, 2003, this Individual Covered Person purchased an American-style put option on 25,000 Covered Shares with a strike price of $90.00 and an expiration date of January 17, 2004 and wrote an American-style call option on 25,000 Covered Shares with a strike price of $100.00 and an expiration date of January 17, 2004. This Covered Person is not 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 94,200 Uncovered Shares with strike prices ranging from $80 to $105 and maturity dates ranging from December 20, 2003 to January 22, 2005. An Individual Covered Person who is not employed by GS Inc. entered into two separate pre-paid variable share forward contracts on June 2, 2003 on Covered Shares that were not subject to any transfer restrictions. One contract relates to 74,051 Covered Shares, has a Cap Price (as used in the formula below) of $98.59 and a Floor Price (as used in the formula below) of $82.15, and yielded proceeds to the Individual Covered Person of $5,275,126.66. The other contract relates to 74,052 Covered Shares, has a Cap Price of $98.42 and a Floor Price of $82.02, and yielded proceeds to the Individual Covered Person of $5,267,570.54. Both contracts have a delivery date of June 7, 2006 (the "Delivery Date"). Under each contract, in exchange for receiving the proceeds, the Individual Covered Person agreed to deliver a number of shares of Common Stock on the Delivery Date (or on an earlier date if the contract is terminated early) pursuant to the following formula: (i) if the price of Common Stock on June 2, 2006 (the "Final Price") is less than the Floor Price, the number of shares to which the contract relates (the "Number of Shares"); (ii) if the Final Price is less than to the Cap Price, but greater than the Floor Price, then a number of shares equal to the Number of Shares times the Floor Price divided by the Final Price; (iii) if the Final Price is greater than the Cap Price, then a number of shares equal to the Number of Shares multiplied by a fraction, the numerator of which is the sum of the Floor Price and the difference between the Final Price and the Cap Price, and the denominator of which is the Final Price. Alternatively, the Individual Covered Person has the option to cash settle either contract, with the cash settlement amount being equal to the Number of Shares to be delivered times the Final Price. In connection with these contracts, the Individual Covered Person pledged an aggregate of 148,103 Covered Shares to the counterparties to secure the delivery obligation. 56 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)).
57 \
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.).
58
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 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)). GG. Partner Agreement, dated as of April 14, 2003, between GS Inc. and John Breyo (incorporated by reference to Exhibit GG to Amendment No. 44 to the Initial Schedule 13D, filed September 19, 2003 (File No. 005-56295)). HH. Pledge Agreement, dated as of July 1, 2003, between GS Inc. and John Breyo (incorporated by reference to Exhibit HH to Amendment No. 44 to the Initial Schedule 13D, filed September 19, 2003 (File No. 005-56295)).
59 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
60 ANNEX B ITEMS 2(D) AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS None. 61 ANNEX C ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS None. 62 ANNEX D ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE EXERCISABLE WITHIN 60 DAYS. An aggregate of 14,830,282 shares of Common Stock are deliverable to Covered Persons upon the exercise of stock options, all of which have vested and are exercisable. On or about January 5, 2004, 14,249,312 shares of Common Stock will be delivered pursuant to the terms of an equal number of restricted stock units and on or about January 2, 2004, stock options covering 13,889,060 shares of Common Stock will vest and become exercisable. The share amounts given above include the gross number of shares of Common Stock underlying these restricted stock units and options, and are included in the aggregate number of shares beneficially owned by the Covered Persons under Rule 13d-3(d)(1) because they represent a right to acquire beneficial ownership within 60 days of the date hereof. Upon delivery of shares pursuant to the terms of restricted stock units or the exercise of stock options, a net amount of shares will be actually delivered to the Covered Person, with some shares withheld for tax payments, to fund the option strike price or for other reasons. The net shares delivered to the Covered Person will continue to be included in aggregate number of shares beneficially owned by the Covered Persons. The withheld shares will cease to be beneficially owned by any Covered Person, and will no longer be included in the aggregate number of shares beneficially owned by Covered Persons. 63 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 B Sales David A. Dechman October 23, 2003 6,262 $ 86.75 Joseph Della Rosa October 23, 2003 50,000 $ 86.75 David B. Heller October 23, 2003 5,000 $ 86.75 Mary C. Henry October 23, 2003 5,965 $ 86.75 Guapulo Holdings Ltd October 23, 2003 4,348 $ 86.75 Robert J. Katz October 23, 2003 5,000 $ 86.75 Donald C. Opatrny, Jr. October 23, 2003 20,000 $ 86.75 Bryant F. Pantano October 23, 2003 1,500 $ 86.75 Melalula Limited October 23, 2003 2,172 $ 86.75 James A. Coufos October 24, 2003 2,000 $ 85.58 Frank L. Coulson, Jr. October 24, 2003 10,000 $ 85.58 Gavyn Davies October 24, 2003 40,000 $ 85.58 Mark Dehnert Living Trust October 24, 2003 3,600 $ 85.58 Paul C. Deighton October 24, 2003 22,561 $ 85.58 Peter C. Gerhard October 24, 2003 10,000 $ 85.58 Andrew M. Gordon October 24, 2003 8,000 $ 85.58 David B. Heller October 24, 2003 10,000 $ 85.58 M. Roch Hillenbrand October 24, 2003 3,000 $ 85.58 Robert J. Hurst October 24, 2003 15,000 $ 85.58 Guapulo Holdings Ltd October 24, 2003 4,344 $ 85.58 Robert J. Katz October 24, 2003 5,000 $ 85.58 Jonathan M. Lopatin October 24, 2003 12,809 $ 85.58 Michael R. Lynch October 24, 2003 10,000 $ 85.58 Sharmin Mossavar-Rahmani October 24, 2003 10,000 $ 85.58 Donald C. Opatrny, Jr. October 24, 2003 20,000 $ 85.58 Joseph Sassoon October 24, 2003 4,000 $ 85.58 Melalula Limited October 24, 2003 2,161 $ 85.58 Gary W. Williams October 24, 2003 10,949 $ 85.58 Kendrick R. Wilson III October 24, 2003 10,000 $ 85.58 Other Sales Philip A. Cooper October 23, 2003 1,629 $ 86.75 Christopher H. Eoyang October 23, 2003 500 $ 86.75 Celeste A. Guth October 23, 2003 452 $ 86.75 Joseph A. LaNasa III October 23, 2003 181 $ 86.75 John J. McCabe October 23, 2003 500 $ 86.75 Ellen R. Porges October 23, 2003 485 $ 86.75 Barbara A. White October 23, 2003 600 $ 86.75 William H.Wolf, Jr. October 23, 2003 300 $ 86.75 W. Thomas York, Jr. October 23, 2003 2,000 $ 86.75 George M. Brady October 24, 2003 306 $ 85.58 Benjamin S. Bram October 24, 2003 700 $ 85.58
64
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - ------------------------- ---------------- ---------------- --------------- Timothy J. Bridges October 24, 2003 200 $ 85.58 Peter D. Brundage October 24, 2003 1,000 $ 85.58 Mark J. Buisseret October 24, 2003 2,247 $ 85.58 John S. Daly October 24, 2003 434 $ 85.58 Mark F. Dehnert October 24, 2003 6,361 $ 85.58 John E. Eisenberg October 24, 2003 308 $ 85.58 Oliver L. Frankel October 24, 2003 1,972 $ 85.58 David J. Greenwald October 24, 2003 1,000 $ 85.58 Robert C. Jones October 24, 2003 17,667 $ 85.58 James M. Karp October 24, 2003 4,501 $ 85.58 David K. Kaugher October 24, 2003 100 $ 85.58 Peter Labbat October 24, 2003 5,084 $ 85.58 David N. Lawrence October 24, 2003 4,057 $ 85.58 Susan R. Leadem October 24, 2003 2,000 $ 85.58 Ellen R. Porges October 24, 2003 60 $ 85.58 Anthony J. Principato October 24, 2003 500 $ 85.58 Sara E. Recktenwald October 24, 2003 342 $ 85.58 Vickrie C. South October 24, 2003 2,218 $ 85.58 Steven H. Strongin October 24, 2003 685 $ 85.58 Susan A. Willetts October 24, 2003 1,000 $ 85.58 John S. Willian October 24, 2003 2,000 $ 85.58 William H. Wolf Jr October 24, 2003 358 $ 85.58 Melinda B. Wolfe October 24, 2003 1,207 $ 85.58 The Evans Trust (64) October 27, 2003 41,700 $ 88.15 Edward A. Mule October 27, 2003 11,040 $ 88.16 Andrew M. Alper October 28, 2003 5,000 $ 91.15 Lawrence R. Buchalter October 28, 2003 10,000 $ 89.50 The Evans Trust (64) October 28, 2003 215,000 $ 90.59 Edward A. Mule October 28, 2003 7,000 $ 91.78 Stephen D. Quinn October 28, 2003 20,000 $ 90.60 Stephen D. Quinn October 28, 2003 20,000 $ 91.00 Mark Schwartz October 28, 2003 10,000 $ 91.10 Leslie C. Sillcox October 28, 2003 103,398 $ 91.93 Fredric E. Steck October 28, 2003 1,000 $ 90.28 Fredric E. Steck October 28, 2003 1,000 $ 92.25 John L. Townsend October 28, 2003 6,884 $ 91.12 Andrew M. Alper October 29, 2003 5,000 $ 92.70 David M. Baum October 29, 2003 10,000 $ 92.20 Zachariah Cobrinik October 29, 2003 5,000 $ 92.95 The Evans Trust (64) October 29, 2003 84,379 $ 92.84 Amy O. Goodfriend October 29, 2003 5,000 $ 92.83 E. Scott Mead October 29, 2003 6,898 $ 92.86 Edward A. Mule October 29, 2003 5,000 $ 92.55 Zachariah Cobrinik October 30, 2003 5,000 $ 93.74 Amy O. Goodfriend October 30, 2003 5,000 $ 93.70 Edward A. Mule October 30, 2003 5,000 $ 93.48 Thomas S. Murphy, Jr. October 30, 2003 10,000 $ 93.83 Fredric E. Steck October 30, 2003 5,500 $ 93.60 Richard E. Witten October 30, 2003 5,000 $ 93.80 Zachariah Cobrinik October 31, 2003 5,000 $ 94.50
- --------- (64) Sales were done through Wells Fargo Brokerage Service, LLC. 65
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - ------------------------- ---------------- ---------------- --------------- C. Steven Duncker October 31, 2003 28,179 $ 94.34 Amy O. Goodfriend October 31, 2003 2,500 $ 94.35 Amy O. Goodfriend October 31, 2003 2,500 $ 94.40 E. Scott Mead October 31, 2003 25,000 $ 94.10 Mark Schwartz October 31, 2003 10,000 $ 94.23 Fredric E. Steck October 31, 2003 5,500 $ 94.41 Richard E. Witten October 31, 2003 5,000 $ 94.25 Andrew M. Alper November 3, 2003 5,000 $ 94.91 John O. Downing November 3, 2003 5,000 $ 95.00 Amy O. Goodfriend November 3, 2003 5,000 $ 96.23 Edward A. Mule November 3, 2003 8,000 $ 96.36 Mark Schwartz November 3, 2003 10,000 $ 96.11 Richard E. Witten November 3, 2003 5,000 $ 95.00 Amy O. Goodfriend November 4, 2003 5,000 $ 96.00 Robert S. Harrison November 4, 2003 25,000 $ 95.64 David T. Pearson November 4, 2003 5,000 $ 95.72 Amy O. Goodfriend November 5, 2003 2,000 $ 96.25 Robert E. Higgins November 5, 2003 330,000 $ 95.21 Thomas B. Walker III November 5, 2003 10,000 $ 94.62 Robert E. Higgins November 6, 2003 650,000 $ 95.69 Robert H. Litzenberger November 6, 2003 4,900 $ 95.97 Robert E. Higgins November 7, 2003 509,133 $ 96.66 Mark Schwartz November 7, 2003 10,000 $ 97.29 Michael J. Zamkow November 11, 2003 17,622 $ 95.76 Edward A. Mule November 17, 2003 8,000 $ 93.85 Fredric E. Steck November 18, 2003 1,000 $ 94.56 Fredric E. Steck November 19, 2003 2,000 $ 93.72 Alok Oberoi November 21, 2003 5,000 $ 85.00 Steven J. Wisch November 21, 2003 23,761 $ 92.79 Andrew M. Alper November 24, 2003 5,000 $ 94.74 Andrew M. Alper November 24, 2003 5,000 $ 94.93 Fredric E. Steck November 24, 2003 1,000 $ 94.86 Andrew M. Alper November 25, 2003 5,000 $ 96.35 Thomas S. Murphy, Jr. November 25, 2003 15,000 $ 96.20 Fredric E. Steck November 25, 2003 2,000 $ 96.06 Andrew M. Alper December 1, 2003 5,000 $ 97.00 David M. Baum December 1, 2003 6,800 $ 96.23 Fredric E. Steck December 1, 2003 1,000 $ 97.63 Richard E. Witten December 1, 2003 2,500 $ 97.52 Mark Schwartz December 2, 2003 10,000 $ 98.12 Richard E. Witten December 2, 2003 5,000 $ 98.00 Andrew M. Alper December 3, 2003 5,000 $ 99.00 Amy O. Goodfriend December 3, 2003 5,000 $ 99.00 Amy O. Goodfriend December 3, 2003 1,000 $ 99.09 Amy O. Goodfriend December 3, 2003 1,000 $ 99.52 Scott M. Pinkus December 3, 2003 50,000 $ 99.04 Mark Schwartz December 3, 2003 10,000 $ 99.20 Richard E. Witten December 3, 2003 2,500 $ 99.00 Richard E. Witten December 3, 2003 2,500 $ 99.50 Richard E. Witten December 3, 2003 2,500 $ 99.95 Jaime E. Yordan December 3, 2003 20,000 $ 100.00 Andrew M. Alper December 4, 2003 5,000 $ 99.25 Robin Neustein December 4, 2003 15,000 $ 99.25
66
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE - ------------------------- ---------------- ---------------- --------------- Edward A. Mule December 5, 2003 5,000 $ 97.61 Lawton W. Fitt December 8, 2003 10,000 $ 98.37
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.
COVERED PERSON TRANSACTION DATE NUMBER OF SHARES PRICE PER SHARE - -------------------- ----------------- ---------------- --------------- Randall S. Burkert October 23, 2003 1 $ 87.00 Thomas J. McAdam October 23, 2003 1 $ 87.00 Edward A. Hazel October 23, 2003 3 $ 87.00 Edward R. Wilkinson October 23, 2003 1 $ 87.00 Thomas J. McAdam October 31, 2003 1 $ 93.90 Edward R. Wilkinson October 31, 2003 1 $ 93.90 William J. Conley Jr November 11, 2003 417 $ 96.10 Thomas J. McAdam November 14, 2003 1 $ 93.80 Edward R. Wilkinson November 14, 2003 1 $ 93.80 Thomas J. McAdam November 28, 2003 1 $ 96.08 Edward R. Wilkinson November 28, 2003 1 $ 96.08
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 - ------------------- ---------------- --------- ------ ----- --------- --------- Michael K. Klingher October 24, 2003 2,750 53.00 87.00 2,750 0
67 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: December 12, 2003 By: /s/ James B. McHugh ----------------------------------- Name: James B. McHugh Title: Attorney-in-Fact 68 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)).
69
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)).
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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)). GG. Partner Agreement, dated as of April 14, 2003, between GS Inc. and John Breyo (incorporated by reference to Exhibit GG to Amendment No. 44 to the Initial Schedule 13D, filed September 19, 2003 (File No. 005-56295)). HH. Pledge Agreement, dated as of July 1, 2003, between GS Inc. and John Breyo (incorporated by reference to Exhibit HH to Amendment No. 44 to the Initial Schedule 13D, filed September 19, 2003 (File No. 005-56295)).
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