0000950123-05-003684.txt : 20120615 0000950123-05-003684.hdr.sgml : 20120615 20050328172832 ACCESSION NUMBER: 0000950123-05-003684 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050328 DATE AS OF CHANGE: 20050328 GROUP MEMBERS: GROUP MEMBERS LISTED IN FILING 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: 05707432 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 y07211sc13dza.txt AMENDMENT NO. 58 TO SCHEDULE 13D SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 File No. 005-56295 -------------------------------------- SCHEDULE 13D/A (Rule 13d-101) Amendment No. 58 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) Kenneth L. Josselyn Beverly L. O'Toole 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) March 18, 2005 -------------------- (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 104 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 and PF (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: 0 ----------------------------------------------------------------- NUMBER OF 8. SHARED VOTING POWER (See Item 6) (Applies to each person SHARES listed on Appendix A.) BENEFICIALLY 40,934,403 Voting Shares(2) held by Covered Persons OWNED BY 3,470 Shared Ownership Shares held by Covered Persons(3) REPORTING 21,947,876 Sixty Day Shares held by Covered Persons(4) PERSON 2,505,667 Other Shares held by Covered Persons(5) WITH ----------------------------------------------------------------- 9. SOLE DISPOSITIVE POWER (See Item 6) As to Voting Shares, less than 1% As to Shared Ownership Shares, Sixty Day Shares and Other Shares, 0 ----------------------------------------------------------------- 10.SHARED DISPOSITIVE POWER (See Item 6): As to Voting Shares, 0 As to Shared Ownership Shares, less than 0.01% As to Sixty Day Shares and Other Shares, less than 1%. -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 65,391,416 -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN [ ] SHARES -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13.07% -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON: IN as to Covered Persons; CO as to Reporting Entities(1) that are corporations; OO as to Reporting Entities that are trusts ----------------------------- (1) For a definition of this term, please see Item 2. (2) For a definition of this term, please see Item 6. (3) "Shared Ownership Shares" are shares of Common Stock (other than Other Shares, as defined below) of which a Covered Person shares beneficial ownership with someone other than the Covered Person's spouse. Each Covered Person disclaims beneficial ownership of Shared Ownership Shares beneficially owned by each other Covered Person. (4) "Sixty Day Shares" are shares of Common Stock deemed to be 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. Upon acquisition by the Covered Person, these shares will become Voting Shares. Each Covered Person disclaims beneficial ownership of Sixty Day Shares beneficially owned by each other Covered Person. (5) "Other Shares" include: (i) 614,379 shares of Common Stock held by 40 private charitable foundations established by 32 Covered Persons; (ii) 1,891,288 shares of Common Stock held by certain estate planning entities established by Covered Persons; and (iii) 290 shares of Common Stock held by the trust underlying The Goldman Sachs Employees' Profit Sharing Retirement Income Plan. Each Covered Person disclaims beneficial ownership of Other Shares beneficially owned by each other Covered Person, and each Covered Person disclaims beneficial ownership of all shares held by any private charitable foundation.

ITEM 1 ITEM 6 --------------------------- CITIZENSHIP (UNITED STATES UNLESS OTHERWISE NAMES OF REPORTING PERSONS INDICATED) --------------------------- ---------------- Peter C. Aberg Raanan A. Agus Syed H. Ahmad Pakistan Yusuf A. Aliredha Bahrain John A. Ashdown UK Philippe J. Altuzarra France Akio Asuke Japan Neil Z. Auerbach Armen A. Avanessians Dean C. Backer Steven M. Barry Christopher M. Barter Stacy Bash-Polley Jonathan A. Beinner Driss Ben-Brahim Morocco Milton R. Berlinski The Netherlands Frances R. Bermanzohn Paul D. Bernard Stuart N. Bernstein Jean-Luc Biamonti Monaco Lloyd C. Blankfein Charles W.A. Bott UK Craig W. Broderick Richard J. Bronks UK John J. Bu Lawrence V. Calcano Richard M. Campbell-Breeden UK Gerald J. Cardinale Mark M. Carhart Anthony H. Carpet Michael J. Carr Chris Casciato Amy L. Chasen Andrew A. Chisholm Canada Robert J. Christie Jane P. Chwick Kent A. Clark Canada Abby Joseph Cohen Alan M. Cohen Gary D. Cohn Christopher A. Cole Laura C. Conigliaro Thomas G. Connolly Ireland/USA Frank T. Connor Linnea K. Conrad Karen R. Cook UK Edith W. Cooper Thomas W. Cornacchia Henry Cornell E. Gerald Corrigan Claudio Costamagna Italy Frank L. Coulson, Jr. Randolph L. Cowen Brahm S. Cramer Canada Neil D. Crowder Matthew H. Cyzer UK Michael D. Daffey Australia John S. Daly Ireland Stephen D. Daniel Canada Philip M. Darivoff Diego De Giorgi Italy Michael G. De Lathauwer Belgium Francois-Xavier de Mallmann France/Switzerland Daniel L. Dees Mark Dehnert Paul C. Deighton UK Juan A. Del Rivero Spain James Del Favero Australia Martin R. Devenish UK Armando A. Diaz Alexander C. Dibelius Germany Simon P. Dingemans UK Joseph P. DiSabato Suzanne O. Donohoe Mario Draghi Italy William C. Dudley Jay S. Dweck Michael L. Dweck Gordon E. Dyal Isabelle Ealet France Kenneth M. Eberts III Paul S. Efron Herbert E. Ehlers Edward K. Eisler Austria Kathleen G. Elsesser Michael P. Esposito J. Michael Evans Canada Elizabeth C. Fascitelli Steven M. Feldman Stephen C. Fitzgerald Australia Pierre-Henri Flamand France Edward C. Forst Christopher G. French UK Richard A. Friedman

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ITEM 1 ITEM 6 --------------------------- CITIZENSHIP (UNITED STATES UNLESS OTHERWISE NAMES OF REPORTING PERSONS INDICATED) --------------------------- ---------------- Robert K. Frumkes Enrico S. Gaglioti James R. Garvey Ireland Peter C. Gerhard Rajiv A. Ghatalia India Robert R. Gheewalla Scott A. Gieselman Gary T. Giglio H. John Gilbertson, Jr. Justin G. Gmelich Richard J. Gnodde Ireland/ South Africa Jeffrey B. Goldenberg James S. Golob Gregg A. Gonsalves Andrew M. Gordon Frank J. Governali William M. Grathwohl Stefan Green Australia David J. Greenwald Douglas C. Grip Peter Gross Vishal Gupta India Celeste A. Guth Jana Hale Doty Rumiko Hasegawa Japan A. John Hass Keith L. Hayes UK David B. Heller Robert D. Henderson David L. Henle Bruce A. Heyman Stephen P. Hickey Melina E. Higgins Kenneth W. Hitchner Maykin Ho Margaret J. Holen Peter Hollmann Germany Philip Holzer Germany Robert Howard Zu Liu Frederick Hu China Edith A. Hunt Phillip S. Hylander UK Timothy J. Ingrassia Raymond J. Iwanowski William L. Jacob III Adrian M. Jones Ireland Robert C. Jones Ravindra J. Joseph UK/USA David A. Kaplan Robert S. Kaplan Scott B. Kapnick Toshinobu Kasai Japan James C. Katzman Richard L. Kauffman Carsten Kengeter Germany Kevin W. Kennedy Thomas J. Kenny Philippe Khuong-Huu France Douglas W. Kimmelman Robert C. King, Jr. Timothy M. Kingston Shigeki Kiritani Japan Ewan M. Kirk UK Remy Klammers France Peter S. Kraus Joseph A. LaNasa III Eric S. Lane Anthony D. Lauto John J. Lauto George C. Lee Gregg R. Lemkau Hughes B. Lepic France Johan Leven Sweden Jack Levy Matthew G. L'Heureux Gwen R. Libstag Mitchell J. Lieberman Ryan D. Limaye Josephine Linden UK Anthony W. Ling UK Robert Litterman Victor M. Lopez-Balboa Antigone Loudiadis UK Mark G. Machin UK John A. Mahoney Charles G. R. Manby UK Robert J. Markwick UK Alison J. Mass John J. Masterson David J. Mastrocola Kathy M. Matsui George N. Mattson Jason E. Maynard Theresa E. McCabe Ian R. McCormick UK

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ITEM 1 ITEM 6 --------------------------- CITIZENSHIP (UNITED STATES UNLESS OTHERWISE NAMES OF REPORTING PERSONS INDICATED) --------------------------- ---------------- Mark E. McGoldrick Stephen J. McGuinness John W. McMahon Audrey A. McNiff Robert A. McTamaney Sanjeev K. Mehra India Michael R. Miele Therese L. Miller Masanori Mochida Japan Philip J. Moffitt Australia Thomas K. Montag William C. Montgomery Wayne L. Moore J. Ronald Morgan III Simon P. Morris UK Jeffrey M. Moslow Sharmin Mossavar-Rahmani UK Gregory T. Mount Donald R. Mullen Marc O. Nachmann Germany Jeffrey P. Nedelman Duncan L. Niederauer Suzanne M. Nora Johnson Anthony J. Noto L. Peter O'Hagan Canada Terence J. O'Neill UK Timothy J. O'Neill Richard T. Ong Malaysia Taneki Ono Japan Nigel M. O'Sullivan UK Terence M. O'Toole Fumiko Ozawa Robert J. Pace Gregory K. Palm James R. Paradise UK Geoffrey M. Parker Sanjay H. Patel India Henry M. Paulson, Jr. Arthur J. Peponis David B. Philip Stephen R. Pierce Andrea Ponti Italy/USA Ellen R. Porges Richard H. Powers Kevin A. Quinn Jean Raby Canada John J. Rafter Ireland Charlotte P. Ransom UK Joseph Ravitch Jeffrey A. Resnick William M. Roberts John F. W. Rogers Emmanuel Roman France Eileen P. Rominger Ralph F. Rosenberg Ivan Ross Stuart M. Rothenberg Paul M. Russo Richard M. Ruzika David C. Ryan Michael D. Ryan Katsunori Sago Japan Pablo J. Salame Ecuador J. Michael Sanders Muneer A. Satter Marcus Schenck Germany Gary B. Schermerhorn Stephen M. Scherr Howard B. Schiller Jeffrey W. Schroeder Eric S. Schwartz Harvey M. Schwartz Steven M. Scopellite Karen D. Seitz Lisa M. Shalett Richard S. Sharp UK David G. Shell Richard G. Sherlund Michael S. Sherwood UK Ravi M. Singh Ravi Sinha India/USA Edward M. Siskind Jeffrey S. Sloan Michael M. Smith Sarah E. Smith UK Jonathan S. Sobel David M. Solomon Daniel L. Sparks Marc A. Spilker Esta E. Stecher Steven H. Strongin Hsueh J. Sung Taiwan Gene T. Sykes Shahriar Tadjbakhsh Greg W. Tebbe Roland W. Tegeder Germany David H. Tenney

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ITEM 1 ITEM 6 --------------------------- CITIZENSHIP (UNITED STATES UNLESS OTHERWISE NAMES OF REPORTING PERSONS INDICATED) --------------------------- ---------------- Mark R. Tercek Massimo Tononi Italy Mark J. Tracey UK Stephen S. Trevor Byron D. Trott Michael A. Troy Donald J. Truesdale Irene Y. Tse Hong Kong Robert B. Tudor III Eiji Ueda Japan Kaysie P. Uniacke Ashok Varadhan Corrado P. Varoli Canada John J. Vaske David A. Viniar David H. Voon John E. Waldron George H. Walker IV David M. Weil Theodor Weimer Germany John S. Weinberg Peter A. Weinberg Gregg S. Weinstein George W. Wellde, Jr. Lance N. West Matthew Westerman UK Elisha Wiesel William Wicker C. Howard Wietschner Susan A. Willetts Todd A. Williams John S. Willian Kendrick R. Wilson III Jon Winkelried Michael S. Wishart Tracy R. Wolstencroft Jon A. Woodruff W. Thomas York, Jr. Wassim G. Younan Lebanon Paul M. Young William J. Young Paolo Zannoni Italy Yoel Zaoui France Jide J. Zeitlin Kevin Zhang China

-6- REPORTING ENTITIES

ITEM 1 ITEM 6 NAME OF ESTABLISHING NAME OF ENTITY TYPE OF ENTITY PLACE OF ORGANIZATION COVERED PERSON -------------------------------- -------------- --------------------- --------------------------- Anahue Limited Corporation Jersey Andrew A. Chisholm Bott 2004 Settlement Trust UK Charles W.A. Bott Campbell-Breeden 2004 Settlement Trust UK Richard M. Campbell-Breeden Chambolle Limited Corporation Jersey Emmanuel Roman Deighton 2004 Settlement Trust UK Paul C. Deighton Devenish 2004 Settlement Trust UK Martin R. Devenish Dingemans 2004 Settlement Trust UK Simon P. Dingemans Drayton 2004 Settlement Trust UK Karen R. Cook French 2004 Settlement Trust UK Christopher G. French HJS2 Limited Corporation Cayman Islands Hsueh J. Sung Kirk 2004 Settlement Trust UK Ewan M. Kirk Ling 2004 Settlement Trust UK Anthony W. Ling Manby 2004 Settlement Trust UK Charles G.R. Manby Markwick 2004 Settlement Trust UK Robert J. Markwick O'Neill 2004 Trust Trust UK Terence J. O'Neill Ransom 2004 Settlement Trust UK Charlotte P. Ransom RJG Holding Company Corporation Cayman Islands Richard J. Gnodde Robinelli Limited Corporation Jersey Claudio Costamagna Sharp 2004 Settlement Trust UK Richard S. Sharp Sherwood 2004 Settlement Trust UK Michael S. Sherwood Tracey 2004 Settlement Trust UK Mark J. Tracey Westerman 2004 Settlement Trust UK Matthew Westerman Zurrah Limited Corporation Jersey Yoel Zaoui

7 This Amendment No. 58 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. 58 is being filed primarily because the number of shares of Common Stock (as defined in Item 1 below) beneficially owned by Covered Persons (as defined in Item 2 below) has decreased by an amount in excess of one percent of the total number of shares of Common Stock outstanding. ITEM 1. SECURITY AND ISSUER This Schedule relates to the Common Stock, par value $.01 per share (the "Common Stock"), of The Goldman Sachs Group, Inc. ("GS Inc."), a Delaware corporation. The address of the principal executive offices of GS Inc. is 85 Broad Street, New York, New York 10004. ITEM 2. IDENTITY AND BACKGROUND (a), (b), (c), (f) The cover page to this Schedule and Appendix A hereto contain the names of the individuals ("Covered Persons") who are parties to a Shareholders' Agreement, dated as of May 7, 1999 and amended and restated as of June 22, 2004 (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 of each Covered Person. Each Covered Person is a Participating Managing Director (as defined in Item 6 below) employed by GS Inc. or one of its affiliates. GS Inc. is a global investment banking and securities firm. The business address of each Covered Person for purposes of this Schedule is 85 Broad Street, New York, New York 10004. Each entity listed on Appendix A under "Reporting Entities" (each a "Reporting Entity") is a trust or corporation created by or for a Covered Person for estate planning purposes. Each Reporting Entity is controlled by a Covered Person. The name, citizenship, business address and present principal occupation or employment of each of the directors and executive officers of each Reporting Entity that is a corporation (other than the Covered Person that established the Reporting Entity) are set forth in Annex A hereto. The business address of each Reporting Entity 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; and (iii) in the case of entities organized in the United States, 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 and, to the best knowledge of the Covered Persons, no executive officer or director of a Reporting Entity, has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or has been a party to a civil proceeding or a judicial or administrative body of competent jurisdiction resulting in such Covered Person or executive officer or director 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 Persons have acquired and will acquire shares of Common Stock in the following manners: (i) the former profit participating limited partners active in the business of The Goldman Sachs Group, L.P. ("Group L.P.") (the "IPO PMDs") acquired certain shares of Common Stock 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") and the former members (the "SLK Covered Persons" and, together with the Hull Covered Persons, the "Acquisition Covered Persons") of SLK LLC acquired certain shares of Common Stock in exchange for their interests in Hull or SLK LLC, as applicable; and (iii) certain Covered Persons have acquired and will acquire beneficial ownership of certain shares of Common Stock in connection with GS Inc.'s initial public offering and/or pursuant to GS Inc.'s employee compensation, benefit or similar plans. The 8 Reporting Entities have acquired and may in the future acquire beneficial ownership of shares of Common Stock as contributions or gifts made by Covered Persons. Covered Persons may from time to time acquire shares of Common Stock 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 Covered Persons, other than the Acquisition Covered Persons, acquired certain shares of Common Stock in connection with the succession of GS Inc. to the business of Group L.P. and GS Inc.'s initial public offering and/or through certain employee compensation, benefit or similar plans of GS Inc. The Acquisition Covered Persons acquired certain shares of Common Stock in connection with the acquisition by GS Inc. of Hull or the combination of GS Inc. with SLK LLC, as applicable, and through certain employee compensation, benefit or similar plans of GS Inc. The Reporting Entities acquired shares of Common Stock as contributions or gifts made by Covered Persons. Covered Persons may from time to time acquire shares of Common Stock for investment purposes. Except as described herein and in Annex C and except for the acquisition by Covered Persons or their Reporting Entities 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 the acquisition of additional Common Stock by them or their Reporting Entities 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 or Reporting Entity 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 and Appendix 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 set forth for each Covered Person and Reporting Entity: the percentage range of Voting Shares, Shared Ownership Shares, Sixty Day Shares and Other Shares (each as defined on the cover page hereof) as to which there is sole power to vote or direct the vote or to dispose or direct the disposition or shared power to vote or direct the vote or to dispose or direct the disposition. The power to vote Voting 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 or Reporting Entity has effected any transactions in Common Stock in the past 60 days. (d), (e) Not applicable. 9 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 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. The Shareholders' Agreement was amended and restated effective as of the close of business on June 22, 2004. References to the "board of directors" are to the board of directors of The Goldman Sachs Group, Inc. The Covered Persons under the Shareholders' Agreement include all Managing Directors of GS Inc. who participate in the GS Inc. Partner Compensation Plan or Restricted Partner Compensation Plan (each as defined in the Shareholders' Agreement) or any other employee benefit plan specified by the Shareholders' Committee (the "Participating Managing Directors"). The "Voting Shares" include all of the shares of Common Stock of which a Covered Person is the sole beneficial owner (excluding shares of Common Stock held by the trust underlying The Goldman Sachs Employees' Profit Sharing Retirement Income Plan) and the shares of Common Stock held by the trust underlying a Goldman Sachs Compensation Plan (as defined in the Shareholders' Agreement) and allocated to a Covered Person. The interest of a spouse or domestic partner in a joint account, an economic interest of GS Inc. as pledgee, and the interest of certain persons in the Reporting Entities will be disregarded for the purposes of determining whether a Covered Person is the sole beneficial owner of shares of Common Stock. TRANSFER RESTRICTIONS Each Covered Person has agreed in the Shareholders' Agreement, among other things, to retain sole beneficial ownership of a number of shares of Common Stock at least equal to 25% of such Covered Person's Covered Shares (as defined below) (the "General Transfer Restrictions"). In addition, certain senior officers designated by the Shareholders' Committee have each agreed to retain sole beneficial ownership of a number of shares of Common Stock at least equal to 75% of such Covered Person's Covered Shares (the "Special Transfer Restrictions" and, together with the General Transfer Restrictions, the "Transfer Restrictions"). The same shares may be used to satisfy both the Special Transfer Restrictions and the General Transfer Restrictions. The Transfer Restrictions applicable to a Covered Person terminate upon the death of the Covered Person. Any shares beneficially owned by a Covered Person through a Reporting Entity may be deemed to count toward the satisfaction of the Transfer Restrictions. For these purposes, "Covered Shares," with respect to a Covered Person, will be recalculated each time the Covered Person receives Common Stock underlying an award of restricted stock units, becomes vested in an award under The Goldman Sachs Defined Contribution Plan with respect to fiscal 1999 or 2000 or exercises a stock option (not including, in each case, awards in connection with GS Inc.'s initial public offering). The calculation of Covered Shares will include the gross number of shares underlying such restricted stock units, Defined Contribution Plan awards or stock options, less (i) a number of shares determined by reference to tax rates specified by the Shareholders' Committee and (ii) the number of shares necessary to cover the option exercise price, if applicable (all as calculated pursuant to a formula set out in the Shareholders' Agreement). The calculation of Covered Shares will only take into account awards that occurred after the Covered Person became a Participating Managing Director. WAIVERS The Shareholders' Committee, described below under "Information Regarding the Shareholders' Committee," has the power to waive the Transfer Restrictions to permit Covered Persons to: participate as sellers in underwritten public offerings of, and stock repurchase programs and tender and exchange offers by GS Inc. for, Common Stock; transfer Common Stock to charities, including charitable foundations; transfer Common Stock held in employee benefit plans; and transfer Common Stock in particular situations (such as transfers to family members, partnerships or trusts), but not generally. 10 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 outstanding Covered Shares; or if the board of directors is recommending rejection of the tender or exchange offer, by 66 2/3% of the outstanding Covered Shares. In the case of a tender or exchange offer by GS Inc., a majority of the outstanding Covered Shares may also 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 all Voting Shares on each matter upon which a vote of the shareholders is proposed to be taken (the "Preliminary Vote"). Each Voting Share will be voted in accordance with the majority of the votes cast by the Voting Shares in the Preliminary Vote. In elections of directors, each Voting Share will be voted in favor of the election of those persons, equal in number to the number of such positions to be filled, receiving the highest numbers of votes cast by the Voting Shares in the Preliminary Vote. OTHER RESTRICTIONS The Shareholders' Agreement also prohibits 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, a Covered Person may not: participate in a proxy solicitation to or with a Restricted Person; deposit any shares of Common Stock in a voting trust or subject any shares of Common Stock 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 Covered Shares. The Shareholders' Agreement may generally be amended at any time by a majority of the outstanding Covered Shares. 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 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 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 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 Covered Persons. Currently, Henry M. Paulson, Jr., Robert S. Kaplan and Lloyd C. Blankfein are the members of the Shareholders' Committee. 11 PLEDGE AGREEMENTS On July 31, 2000, certain Covered Persons pledged some of their shares of Common Stock 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. In addition, one or more Covered Persons have pledged in the aggregate 555,075 shares of Common Stock to a bank 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, January 8, 2003, December 22, 2003 and January 8, 2004, GS Inc. entered into a Registration Rights Instrument and five 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 FORMER EMPLOYEE MANAGING DIRECTORS In connection with the sale by certain Covered Persons (the "Former 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 Former Employee Managing Directors, other than any agency fees and commissions or underwriting commissions or discounts or any transfer taxes incurred by the Former Employee Managing Directors in connection with the sales. GS Inc. also has agreed to indemnify the Former Employee Managing Directors against certain liabilities, including those arising under the Securities Act. 12 DERIVATIVE INSTRUMENTS Certain Covered Persons, Reporting Entities and estate planning entities (which are not Reporting Entities) established by Covered Persons have entered into derivative transactions with regard to shares of Common Stock as described in Annex F. 13 MATERIAL TO BE FILED AS EXHIBITS

Exhibit Description ------- ----------- A. 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)). B. 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)). C. 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)). D. 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)). E. 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)). F. 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)). G. 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)). H. 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.). I. 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.). J. 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)). K. Supplemental Registration Rights Instrument, dated as of December 19, 2003 (incorporated by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No. 333-110371) filed by The Goldman Sachs Group, Inc.). L. Amended and Restated Shareholders' Agreement, effective as of the close of business on June 22, 2004 (incorporated by reference to Exhibit M to Amendment No. 54 to the Initial Schedule 13D, filed June 22, 2004 (File No. 005-56295)).

14 ANNEX A INFORMATION REQUIRED AS TO EXECUTIVE OFFICERS AND DIRECTORS OF CORPORATE REPORTING ENTITIES.

CONVICTIONS OR BENEFICIAL VIOLATIONS OF OWNERSHIP OF THE FEDERAL OR STATE COMMON STOCK OF THE LAWS WITHIN THE GOLDMAN SACHS NAME CITIZENSHIP BUSINESS ADDRESS PRESENT EMPLOYMENT LAST FIVE YEARS GROUP, INC. ---------- ----------- ------------------- ------------------ ---------------- ------------------- Steven M. USA 85 Broad Street Managing Director, None Less than 1% of the Bunson New York, NY The Goldman Sachs outstanding shares 10004 Group, Inc. of Common Stock. Russell E. USA 85 Broad Street Managing Director, None Less than 1% of the Makowsky New York, NY The Goldman Sachs outstanding shares 10004 Group, Inc. of Common Stock. Michael H. UK 26 New Street, Partner, None None Richardson St. Helier, Jersey, Bedell Cristin JE4 3RA Anthony J. UK 26 New Street, Partner, None None Dessain St. Helier, Jersey, Bedell Cristin JE4 3RA

15 ANNEX B ITEMS 2(D) AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS. None. 16 ANNEX C ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS OR REPORTING ENTITIES. None. 17 ANNEX D ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE EXERCISABLE WITHIN 60 DAYS. An aggregate of 21,947,876 shares of Common Stock are deliverable to Covered Persons upon the exercise of stock options, all of which have vested and are exercisable. The share amount given above includes the gross number of shares of Common Stock underlying these options, and is included in the aggregate number of shares beneficially owned by the Covered Persons under Rule 13d-3(d)(1) because the options represent a right to acquire beneficial ownership within 60 days of the date hereof. Upon delivery of the shares upon 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. Prior to delivery, the shares are included in Sixty Day Shares because the Covered Persons do not have the right to vote the shares. Upon delivery, the shares become Voting Shares. 18 ANNEX E ITEM 5(C). DESCRIPTION OF ALL TRANSACTIONS IN THE COMMON STOCK EFFECTED BY COVERED PERSONS OR REPORTING ENTITIES IN THE PAST 60 DAYS AND NOT PREVIOUSLY REPORTED ON SCHEDULE 13D. On December 14, 2004, December 29, 2004 and January 6, 2005, an aggregate of 30,981,587,646 and 878,107 shares of Common Stock, respectively, were delivered pursuant to the terms of an equal number of restricted stock units. Upon delivery, these shares became Voting Shares. The following sales of Voting Shares were made by the following Covered Persons or Reporting Entities through one or more subsidiaries of GS Inc. for cash on the New York Stock Exchange:

COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $) ------------------------- ---------------- ---------- ---------------------- Biamonti, Jean-Luc 3,000 12/17/04 105 Cardinale, Gerald J 1,000 12/17/04 105 Cohen, Abby Joseph 5,000 12/17/04 104.6224 Conigliaro, Laura C 14,500 12/17/04 105.0659 Robinelli Limited 1,137 12/17/04 105 Robinelli Limited 950 12/17/04 105 Cowen, Randolph L 25,000 12/17/04 104.9206 Daly, John S 3,000 12/17/04 104.5 Dingemans, Simon 20,000 12/17/04 105 Dweck, Michael L 4,674 12/17/04 104.8 Efron, Paul S 15,000 12/17/04 104.2025 Elsesser, Kathleen G 10,450 12/17/04 104.5648 Flamand, Pierre-Henri 667 12/17/04 104.92 Gieselman, Scott A 19,641 12/17/04 104.8711 Giglio, Gary T 1,000 12/17/04 104.1 Gilbertson Jr, H. John 10,000 12/17/04 104.1 Golob, James S 2,500 12/17/04 104.97 Governali, Frank J 14,192 12/17/04 104.9577 Greenwald, David J 2,000 12/17/04 104.1 Gross, Peter 1,000 12/17/04 104.98 Henle, David L 10,000 12/17/04 105 Hickey, Stephen P 7,200 12/17/04 104.2333 Ho, Maykin 2,000 12/17/04 105 Kengeter, Carsten 533 12/17/04 104.1 Kengeter, Carsten 2,139 12/17/04 104.1 Kimmelman, Douglas W 30,000 12/17/04 105 Lemkau, Gregg R 3,000 12/17/04 104.4667 Leven, Johan 3,116 12/17/04 104.1 Leven, Johan 1,884 12/17/04 104.1 Mahoney, John A 10,000 12/17/04 104.63 McCabe, Theresa E 5,000 12/17/04 104.8 McGuinness, Stephen J 30,000 12/17/04 104.6917 Mossavar-Rahmani, Sharmin 10,000 12/17/04 104.3162 O'Neill, Terence J 60,000 12/17/04 104.6964 Pace, Robert J 35,000 12/17/04 104.7513 Philip, David B 7,000 12/17/04 104.3257 Porges, Ellen R 1,550 12/17/04 104.9287 Rogers, John F.W 51,182 12/17/04 104.5278 Ross, Ivan 1,000 12/17/04 104.9

19

COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $) ------------------------- ---------------- ---------- ---------------------- Rothenberg, Stuart M 10,000 12/17/04 105 Rothenberg, Stuart M 15,000 12/17/04 105 Russo, Paul M 377 12/17/04 104.5 Sago, Katsunori 10,861 12/17/04 104.5 Salame, Pablo J 21,671 12/17/04 104.1 Schwartz, Harvey M 5,000 12/17/04 105 Scopellite, Steve M 1,300 12/17/04 105.0054 Sherlund, Richard G 67,593 12/17/04 104.5251 Sinha, Ravi 10,000 12/17/04 104.91 Smith, Michael M 3,600 12/17/04 104.15 Sobel, Jonathan S 20,000 12/17/04 104.1 Tebbe, Greg W 16,648 12/17/04 104.4801 Tegeder, Roland W 2,528 12/17/04 104.1 Tercek, Mark R 15,000 12/17/04 105.275 Tercek, Mark R 15,000 12/17/04 104.265 Trevor, Stephen S 3,000 12/17/04 104.492 Trott, Byron D 21,963 12/17/04 104.1 Tse, Irene Y 3,513 12/17/04 105 Ueda, Eiji 9,700 12/17/04 104.1 Voon, David H 6,243 12/17/04 104.7338 Weil, David M 10,000 12/17/04 104.3 Weinberg, John S 50,000 12/17/04 105 Weinberg, John S 50,000 12/17/04 104.1 Weinberg, John S 50,000 12/17/04 104.1 Weinberg, Peter A 50,000 12/17/04 104.1 Weinberg, Peter A 25,000 12/17/04 104.1 Weinberg, Peter A 50,000 12/17/04 104.1 Weinberg, Peter A 25,000 12/17/04 104.1 Wietschner, C. Howard 500 12/17/04 90 Wilson III, Kendrick R 30,000 12/17/04 104.6827 Zannoni, Paolo 23,728 12/17/04 104.1 Zannoni, Paolo 4,695 12/17/04 104.1 Cardinale, Gerald J 4,076 12/20/04 104.7036 Chwick, Jane P 1,527 12/20/04 104.8014 Coulson Jr, Frank L 10,000 12/20/04 104.6947 Cramer, Brahm S 1,098 12/20/04 104.74 Daly, John S 1,000 12/20/04 104.67 Dees, Daniel L 1,000 12/20/04 103.76 Del Rivero, Juan A 12,638 12/20/04 103.76 Hale Doty, Jana 2,500 12/20/04 105 Elsesser, Kathleen G 1,449 12/20/04 104.8 Guth, Celeste A 4,500 12/20/04 104.8969 Henle, David L 10,000 12/20/04 105 Ho, Maykin 3,000 12/20/04 105 Jacob III, William L 5,000 12/20/04 104.356 Kenny, Thomas J 2,584 12/20/04 104.4496 Lieberman, Mitchell J 5,687 12/20/04 105 Linden, Josephine 1,000 12/20/04 103.71 Litterman, Robert B 5,000 12/20/04 104.6558 Montgomery, William C 6,167 12/20/04 103.6048 Moslow, Jeffrey M 3,000 12/20/04 104.46 O'Neill, Timothy J 100,000 12/20/04 104.0744

20

COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $) ------------------------- ---------------- ---------- ---------------------- Philip, David B 3,582 12/20/04 104.7599 Rominger, Eileen P 8,000 12/20/04 103.4541 Ross, Ivan 2,000 12/20/04 103.554 Russo, Paul M 2,500 12/20/04 104.7 Sago, Katsunori 10,861 12/20/04 104.7 Sago, Katsunori 10,861 12/20/04 104.2 Schwartz, Eric S 8,334 12/20/04 104.1638 Smith, Michael M 3,500 12/20/04 104.5643 HJS2 Limited 2,500 12/20/04 104.55 HJS2 Limited 2,500 12/20/04 104.25 Trevor, Stephen S 3,000 12/20/04 104.1667 Zaoui, Yoel 7,085 12/20/04 105 Zaoui, Yoel 19,474 12/20/04 105 Zhang, Kevin 5,908 12/20/04 103.76 Conigliaro, Laura C 14,200 12/21/04 104.3414 Coulson Jr, Frank L 10,000 12/21/04 104.3964 Cramer, Brahm S 11,168 12/21/04 104.5037 Daly, John S 1,000 12/21/04 104.28 Darivoff, Philip M 10,000 12/21/04 105 Dees, Daniel L 500 12/21/04 104.5 Hale Doty, Jana 2,500 12/21/04 105.0524 Frumkes, Robert K 5,000 12/21/04 104.5048 Grathwohl, William M 10,000 12/21/04 104.75 Gross, Peter 4,946 12/21/04 105.0127 Guth, Celeste A 4,000 12/21/04 104.785 Ho, Maykin 4,000 12/21/04 105.08 Jacob III, William L 6,000 12/21/04 104.4535 Kennedy, Kevin W 25,000 12/21/04 104.3344 Kraus, Peter S 25,000 12/21/04 104.9252 Lauto, John J 1,000 12/21/04 105 Lemkau, Gregg R 1,000 12/21/04 105 Mattson, George N 2,000 12/21/04 104.66 Moslow, Jeffrey M 3,000 12/21/04 104.3047 Mullen, Donald R 3,293 12/21/04 104.5215 O'Neill, Timothy J 20,000 12/21/04 105 Pace, Robert J 5,000 12/21/04 105.15 Pace, Robert J 2,500 12/21/04 105.05 Pace, Robert J 2,000 12/21/04 105.03 Pace, Robert J 500 12/21/04 105.01 Porges, Ellen R 3,500 12/21/04 104.5329 Quinn, Kevin A 4,000 12/21/04 105 Ross, Ivan 2,000 12/21/04 104.65 Russo, Paul M 6,000 12/21/04 104.5922 Schwartz, Eric S 8,333 12/21/04 104.5109 Schwartz, Harvey M 5,000 12/21/04 105 Scopellite, Steve M 5,000 12/21/04 105 Smith, Michael M 2,000 12/21/04 104.745 Sykes, Gene T 25,000 12/21/04 104.4547 Tercek, Mark R 15,000 12/21/04 105 Trevor, Stephen S 3,000 12/21/04 104.489 Uniacke, Kaysie P 9,000 12/21/04 104.794 Weil, David M 10,000 12/21/04 105

21

COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $) ------------------------- ---------------- ---------- ---------------------- Beinner, Jonathan A 11,980 12/22/04 105.3271 Bott, Charles W.A 2,284 12/22/04 104.45 Cardinale, Gerald J 500 12/22/04 105.44 Del Favero, James 5,000 12/22/04 104.45 Greenwald, David J 2,000 12/22/04 104.89 Guth, Celeste A 1,000 12/22/04 105.063 Ho, Maykin 4,000 12/22/04 105 Jacob III, William L 3,000 12/22/04 105.1233 Moslow, Jeffrey M 3,000 12/22/04 105.064 Mossavar-Rahmani, Sharmin 10,000 12/22/04 104.881 Pace, Robert J 10,000 12/22/04 105.3355 Ross, Ivan 1,500 12/22/04 104.6273 Russo, Paul M 1,500 12/22/04 105.2367 Schwartz, Eric S 8,333 12/22/04 104.8921 Scopellite, Steve M 3,067 12/22/04 105 Smith, Michael M 500 12/22/04 105.354 HJS2 Limited 2,500 12/22/04 105 Sykes, Gene T 25,000 12/22/04 105.0003 Sykes, Gene T 15,300 12/22/04 105.5 Trevor, Stephen S 3,000 12/22/04 104.9133 Ueda, Eiji 3,000 12/22/04 105.3 Vaske, John J 8,504 12/22/04 105 Williams, Todd A 20,000 12/22/04 105.4111 Cole, Christopher A 10,000 12/23/04 104.7947 Darivoff, Philip M 15,000 12/23/04 105.003 Gross, Peter 3,000 12/23/04 105.07 Guth, Celeste A 2,000 12/23/04 105 Ho, Maykin 4,000 12/23/04 105 Kennedy, Kevin W 25,000 12/23/04 105.0872 Lepic, Hughes B 7,503 12/23/04 105.28 Lepic, Hughes B 6,613 12/23/04 105.26 Lepic, Hughes B 2,111 12/23/04 105.29 Lepic, Hughes B 722 12/23/04 105.25 Lepic, Hughes B 612 12/23/04 105.31 Lepic, Hughes B 555 12/23/04 105.27 Lepic, Hughes B 334 12/23/04 105.3 Lepic, Hughes B 5,997 12/23/04 105.28 Lepic, Hughes B 5,287 12/23/04 105.26 Lepic, Hughes B 1,689 12/23/04 105.29 Lepic, Hughes B 578 12/23/04 105.25 Lepic, Hughes B 488 12/23/04 105.31 Lepic, Hughes B 445 12/23/04 105.27 Lepic, Hughes B 266 12/23/04 105.3 Litterman, Robert B 5,000 12/23/04 105.073 Moslow, Jeffrey M 3,000 12/23/04 105.054 Pace, Robert J 10,000 12/23/04 104.8352 Rafter, John J 9,030 12/23/04 104.8018 Ross, Ivan 2,500 12/23/04 105.292 Russo, Paul M 2,000 12/23/04 104.9675 Ryan, Michael D 25,000 12/23/04 105 Scopellite, Steve M 408 12/23/04 105.09 Sinha, Ravi 11,000 12/23/04 104.5379

22

COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $) ------------------------- ---------------- ---------- ---------------------- Smith, Michael M 300 12/23/04 105 Uniacke, Kaysie P 3,000 12/23/04 105.236 Berlinski, Milton R 19,100 12/27/04 105 Gonsalves, Gregg A 1,000 12/27/04 104.52 Henle, David L 10,000 12/27/04 105 Mossavar-Rahmani, Sharmin 10,000 12/27/04 104.2 Russo, Paul M 2,000 12/27/04 104.88 Uniacke, Kaysie P 7,000 12/27/04 105 Bernstein, Stuart N 500 12/28/04 105 Biamonti, Jean-Luc 4,000 12/28/04 105 Calcano, Lawrence V 10,000 12/28/04 105 Ho, Maykin 6,000 12/28/04 105.0552 Moslow, Jeffrey M 3,000 12/28/04 105.05 Mossavar-Rahmani, Sharmin 10,000 12/28/04 105.0896 O'Neill, Timothy J 20,000 12/28/04 105 Russo, Paul M 2,000 12/28/04 105 Ryan, Michael D 10,000 12/28/04 105.0743 Auerbach, Neil Z 1,636 12/29/04 105 Auerbach, Neil Z 1,635 12/29/04 104.64 Avanessians, Armen A 10,000 12/29/04 105 Avanessians, Armen A 10,000 12/29/04 104.75 Christie, Robert J 5,000 12/29/04 105 Cole, Christopher A 10,000 12/29/04 104.722 De Giorgi, Diego 4,000 12/29/04 104.39 Higgins, Melina E 6,630 12/29/04 105.06 Ho, Maykin 3,000 12/29/04 105.1 Moslow, Jeffrey M 3,000 12/29/04 105.1293 Moslow, Jeffrey M 2,940 12/29/04 104.9 Russo, Paul M 3,000 12/29/04 104.7347 Scherr, Stephen M 637 12/29/04 104.69 York Jr, W 1,752 12/29/04 104.8775 Bernstein, Stuart N 1,000 12/30/04 105.25 Cole, Christopher A 5,000 12/30/04 104.9 Connolly, Thomas G 23,448 12/30/04 104.9727 Greenwald, David J 1,938 12/30/04 105.3648 Henle, David L 10,000 12/30/04 105.2555 Hu, Zu Liu Frederick 2,700 12/30/04 105.13 Hu, Zu Liu Frederick 1,300 12/30/04 105.19 Mattson, George N 1,000 12/30/04 105.5 Russo, Paul M 2,000 12/30/04 105.05 Sykes, Gene T 34,700 12/30/04 105.5 Ueda, Eiji 3,000 12/30/04 105.3 Weil, David M 15,869 12/30/04 105 Young, Paul M 1,900 12/30/04 105.23 Young, Paul M 118 12/30/04 105.25 Russo, Paul M 1,907 12/31/04 104.2926 Giglio, Gary T 1,000 1/3/05 104.52 Kenny, Thomas J 1,128 1/3/05 104.952 Lauto, John J 900 1/3/05 104.98 Lauto, John J 100 1/3/05 105 Linden, Josephine 1,000 1/3/05 104.87 Philip, David B 1,467 1/3/05 104.72

23

COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $) -------------- ---------------- ---------- ---------------------- Quinn, Kevin A 4,000 1/3/05 104.9635 Ross, Ivan 2,000 1/3/05 104.8525 Dees, Daniel L 500 1/4/05 104.8 Eberts III, Kenneth M 6,600 1/4/05 104.85 Eberts III, Kenneth M 226 1/4/05 104.86 Gerhard, Peter C 10,000 1/4/05 105.05 Goldenberg, Jeffrey B 20,000 1/4/05 104.8 Libstag, Gwen R 15,000 1/4/05 104.962 Machin, Mark G 5,000 1/4/05 104.75 McCabe, Theresa E 7,182 1/4/05 104.2554 Moslow, Jeffrey M 2,000 1/4/05 105.05 Raby, Jean 1,000 1/4/05 104.9 Ross, Ivan 1,000 1/4/05 104.73 Schwartz, Harvey M 3,649 1/4/05 105 HJS2 Limited 5,000 1/4/05 105 HJS2 Limited 5,000 1/4/05 104.8 Trevor, Stephen S 2,000 1/4/05 104.8 Altuzarra, Philippe J 4,000 1/5/05 104.69 Altuzarra, Philippe J 3,899 1/5/05 104.65 Altuzarra, Philippe J 3,000 1/5/05 104.6 de Mallmann, Franoois-Xavier 990 1/5/05 103.75 Dees, Daniel L 500 1/5/05 103.9 Garvey, James R 3,500 1/5/05 104.49 Garvey, James R 143 1/5/05 104.52 Golob, James S 2,500 1/5/05 103.75 Linden, Josephine 1,000 1/5/05 104.12 Machin, Mark G 5,000 1/5/05 104.2588 Miele, Michael R 10,000 1/5/05 103.75 Quinn, Kevin A 5,000 1/5/05 104.44 Ross, Ivan 1,000 1/5/05 104.21 Sago, Katsunori 10,861 1/5/05 104.98 HJS2 Limited 5,000 1/5/05 104.5 Trevor, Stephen S 1,000 1/5/05 104.01 West, Lance N 3,500 1/5/05 104.25 Broderick, Craig W 10,000 1/6/05 104.14 Cardinale, Gerald J 1,738 1/6/05 104.47 Dees, Daniel L 388 1/6/05 103.96 Gerhard, Peter C 9,600 1/6/05 104.8947 Gerhard, Peter C 5,400 1/6/05 104.8947 Giglio, Gary T 2,000 1/6/05 104.36 Gilbertson Jr, H. John 1,055 1/6/05 104.25 Gilbertson Jr, H. John 1,000 1/6/05 104.39 Gilbertson Jr, H. John 1,000 1/6/05 104.405 Gilbertson Jr, H. John 1,000 1/6/05 104.45 Gilbertson Jr, H. John 1,000 1/6/05 105.2 Gilbertson Jr, H. John 1,000 1/6/05 105.15 Gilbertson Jr, H. John 1,000 1/6/05 105 Gilbertson Jr, H. John 1,000 1/6/05 104.8 Gilbertson Jr, H. John 1,000 1/6/05 104.7 Gilbertson Jr, H. John 1,000 1/6/05 104.64 Gilbertson Jr, H. John 1,000 1/6/05 104.5 Gilbertson Jr, H. John 1,000 1/6/05 104.49

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COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $) -------------- ---------------- ---------- ---------------------- Gilbertson Jr, H. John 1,000 1/6/05 104.47 Gilbertson Jr, H. John 195 1/6/05 105.15 Gilbertson Jr, H. John 1,000 1/6/05 105.2 Gilbertson Jr, H. John 1,000 1/6/05 104.5 Guth, Celeste A 5,000 1/6/05 105 Henle, David L 10,000 1/6/05 105.14 Holen, Margaret J 2,025 1/6/05 104.3693 Jacob III, William L 7,449 1/6/05 104.2718 Kenny, Thomas J 1,711 1/6/05 104.89 Kingston, Timothy M 5,470 1/6/05 105 Lee, George C 8,741 1/6/05 105.065 Machin, Mark G 5,000 1/6/05 104.561 McCabe, Theresa E 5,000 1/6/05 104.2 O'Neill, Timothy J 20,000 1/6/05 105 Rafter, John J 6,873 1/6/05 104.4 Rafter, John J 3,558 1/6/05 104.4024 Ravitch, Joseph 6,006 1/6/05 104.8508 Ross, Ivan 2,000 1/6/05 104.895 Salame, Pablo J 3,832 1/6/05 104.3832 Smith, Michael M 419 1/6/05 104.16 HJS2 Limited 10,000 1/6/05 105 HJS2 Limited 5,000 1/6/05 104.75 HJS2 Limited 5,000 1/6/05 104.5 Trevor, Stephen S 1,204 1/6/05 104 Bernstein, Stuart N 500 1/7/05 105.15 Carhart, Mark M 10,000 1/7/05 105.1242 Corrigan, E Gerald 10,000 1/7/05 105.23 Efron, Paul S 10,000 1/7/05 105.23 Kennedy, Kevin W 25,000 1/7/05 105.0726 Lemkau, Gregg R 2,000 1/7/05 105 Machin, Mark G 5,000 1/7/05 105.04 Masterson, John J 2,000 1/7/05 105.23 Porges, Ellen R 1,827 1/7/05 104.9844 Quinn, Kevin A 4,000 1/7/05 104.82 Ross, Ivan 1,000 1/7/05 105.335 HJS2 Limited 10,000 1/7/05 105.26 HJS2 Limited 10,000 1/7/05 105.01 Bernstein, Stuart N 500 1/10/05 105.26 Biamonti, Jean-Luc 4,000 1/10/05 105 Cohen, Abby Joseph 10,000 1/10/05 104.6 Golob, James S 10,000 1/10/05 104.28 Ho, Maykin 10,154 1/10/05 105.2177 Hylander, Phillip S 6,300 1/10/05 105.25 Hylander, Phillip S 4,300 1/10/05 105.17 Hylander, Phillip S 2,500 1/10/05 105.24 Hylander, Phillip S 2,000 1/10/05 105.29 Hylander, Phillip S 1,600 1/10/05 105.19 Hylander, Phillip S 1,500 1/10/05 105.36 Hylander, Phillip S 1,300 1/10/05 105.22 Hylander, Phillip S 1,100 1/10/05 105.35 Hylander, Phillip S 900 1/10/05 105.12 Hylander, Phillip S 800 1/10/05 105.34

25

COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $) -------------- ---------------- ---------- ---------------------- Hylander, Phillip S 700 1/10/05 105.16 Hylander, Phillip S 600 1/10/05 105.13 Hylander, Phillip S 200 1/10/05 105.14 Hylander, Phillip S 200 1/10/05 105.32 Hylander, Phillip S 100 1/10/05 105.11 Hylander, Phillip S 100 1/10/05 105.18 Hylander, Phillip S 100 1/10/05 105.26 Hylander, Phillip S 100 1/10/05 105.28 Hylander, Phillip S 100 1/10/05 105.3 Hylander, Phillip S 100 1/10/05 105.31 Hylander, Phillip S 52 1/10/05 105.15 Linden, Josephine 2,000 1/10/05 105.0825 McMahon, John W 10,000 1/10/05 105.1848 Ravitch, Joseph 2,500 1/10/05 105.21 Ravitch, Joseph 1,000 1/10/05 105.38 Ross, Ivan 1,000 1/10/05 105.22 Rothenberg, Stuart M 10,000 1/10/05 105.2139 Solomon, David M 5,000 1/10/05 105.1288 HJS2 Limited 10,000 1/10/05 105.25 HJS2 Limited 10,000 1/10/05 105.0036 HJS2 Limited 10,000 1/10/05 104.6 Tebbe, Greg W 956 1/10/05 104.75 West, Lance N 2,180 1/10/05 105.22 West, Lance N 1,157 1/10/05 105.22 Wicker, William M 2,724 1/10/05 104.9112 Cooper, Edith W 9,238 1/11/05 104.05 McCormick, Ian R 3,606 1/11/05 103.7567 Morgan III, J.Ronald 2,763 1/11/05 104.1568 O'Neill, Timothy J 13,000 1/11/05 104.1762 Pierce, Stephen R 5,000 1/11/05 104.0286 Sago, Katsunori 837 1/11/05 104.05 Smith, Michael M 557 1/11/05 103.93 Giglio, Gary T 2,000 1/12/05 103.2715 Hickey, Stephen P 2,500 1/12/05 104.1 Loudiadis, Antigone 700 1/12/05 104.06 Loudiadis, Antigone 2,400 1/12/05 104.0575 Pierce, Stephen R 5,000 1/12/05 103.2716 Schiller, Howard B 20,000 1/12/05 103.174 Tracey, Mark J 10,000 1/12/05 102.979 Carhart, Mark M 4,738 1/13/05 103.4329 Greenwald, David J 1,000 1/13/05 102.95 Mullen, Donald R 11,486 1/13/05 103.6034 Pierce, Stephen R 5,000 1/13/05 103.3986 Schiller, Howard B 20,000 1/13/05 103.4046 HJS2 Limited 2,500 1/13/05 103.3036 HJS2 Limited 2,500 1/13/05 103.75 Uniacke, Kaysie P 20,574 1/13/05 103.9273 Christie, Robert J 6,974 1/14/05 104.2803 Giglio, Gary T 4,000 1/14/05 104.02 Gonsalves, Gregg A 11,375 1/14/05 103.4531 Green, Stefan 3,000 1/14/05 104 Holzer, Philip 2,000 1/14/05 103.65

26

COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $) -------------- ---------------- ---------- ---------------------- Lopez-Balboa, Victor M 43,661 1/14/05 103.6824 Lopez-Balboa, Victor M 6,791 1/14/05 103.6824 Loudiadis, Antigone 15,526 1/14/05 103.7031 Loudiadis, Antigone 48,106 1/14/05 104.046 McGuinness, Stephen J 801 1/14/05 103.35 Mount, Gregory T 5,700 1/14/05 103.69 Mount, Gregory T 3,300 1/14/05 103.75 O'Neill, Timothy J 26,000 1/14/05 103.6445 Pierce, Stephen R 5,000 1/14/05 103.6764 Raby, Jean 900 1/14/05 103.84 Raby, Jean 600 1/14/05 103.85 HJS2 Limited 2,500 1/14/05 104.25 HJS2 Limited 2,500 1/14/05 103.75 Ueda, Eiji 837 1/14/05 103.85 Biamonti, Jean-Luc 4,000 1/18/05 104.5 Calcano, Lawrence V 10,000 1/18/05 105.05 Christie, Robert J 10,000 1/18/05 105 Corrigan, E Gerald 10,000 1/18/05 104.9251 Cyzer, Matthew H 5,200 1/18/05 104.77 Cyzer, Matthew H 4,200 1/18/05 104.71 Cyzer, Matthew H 4,000 1/18/05 104.73 Cyzer, Matthew H 2,800 1/18/05 104.72 Cyzer, Matthew H 71 1/18/05 104.76 Daly, John S 1,000 1/18/05 104.95 Goldenberg, Jeffrey B 5,000 1/18/05 105 Grathwohl, William M 5,417 1/18/05 105 Jones, Robert C 2,500 1/18/05 104.952 Jones, Robert C 2,500 1/18/05 104.942 Jones, Robert C 2,500 1/18/05 104.934 Jones, Robert C 2,500 1/18/05 104.91 Jones, Robert C 2,500 1/18/05 104.85 Jones, Robert C 2,500 1/18/05 104.7584 Jones, Robert C 2,500 1/18/05 104.54 Jones, Robert C 2,500 1/18/05 104.49 Jones, Robert C 423 1/18/05 104.93 Kingston, Timothy M 5,000 1/18/05 105 Lauto, Anthony D 50,000 1/18/05 104.6553 Lieberman, Mitchell J 4,902 1/18/05 105 Linden, Josephine 1,000 1/18/05 104.686 Manby, Charles G R 10,000 1/18/05 105 Ravitch, Joseph 5,667 1/18/05 105 Chambolle Limited 532 1/18/05 103.66 Chambolle Limited 1,173 1/18/05 103.66 Ryan, Michael D 637 1/18/05 105 Siskind, Edward M 16,111 1/18/05 104.94 Tudor III, Robert B 30,000 1/18/05 104.9522 West, Lance N 4,859 1/18/05 104.15 West, Lance N 3,893 1/18/05 104.22 Zhang, Kevin 2,412 1/18/05 103.6 Campbell-Breeden, Richard M 14,206 1/19/05 103.9855 Robinelli Limited 33,333 1/19/05 104.33 French, Christopher G 10,932 1/19/05 104.2493

27

COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $) -------------- ---------------- ---------- ---------------------- Gilbertson Jr, H. John 20,000 1/19/05 95 Hickey, Stephen P 4,780 1/19/05 104.4646 Litterman, Robert B 12,000 1/19/05 104.33 Mossavar-Rahmani, Sharmin 10,000 1/19/05 104.678 Noto, Anthony J 10,262 1/19/05 104.0253 Pace, Robert J 5,000 1/19/05 104.4 Pace, Robert J 5,000 1/19/05 104.1 Raby, Jean 700 1/19/05 104.68 Raby, Jean 300 1/19/05 104.67 Siskind, Edward M 10,806 1/19/05 103.8774 Siskind, Edward M 16,110 1/19/05 104.2528 HJS2 Limited 5,300 1/19/05 95 Uniacke, Kaysie P 46 1/19/05 104.5 Vaske, John J 10,000 1/19/05 104.1738 West, Lance N 8,237 1/19/05 104.13 Wietschner, C. Howard 160 1/19/05 103.95 Aberg, Peter C 10,000 1/20/05 100 Carr, Michael J 14,000 1/20/05 103.5229 Conrad, Linnea K 6,000 1/20/05 103.4518 Cowen, Randolph L 20,000 1/20/05 100 Cowen, Randolph L 15,000 1/20/05 95 Cowen, Randolph L 15,000 1/20/05 90 Daly, John S 1,433 1/20/05 103.68 Dees, Daniel L 812 1/20/05 103.3434 Efron, Paul S 10,000 1/20/05 95 Fascitelli, Elizabeth C 15,941 1/20/05 103.3612 Feldman, Steven M 3,000 1/20/05 103.3683 Gerhard, Peter C 25,000 1/20/05 100 Giglio, Gary T 4,000 1/20/05 103.311 Holzer, Philip 300 1/20/05 103.52 Holzer, Philip 212 1/20/05 103.44 Holzer, Philip 200 1/20/05 103.6 Holzer, Philip 200 1/20/05 103.5 Holzer, Philip 200 1/20/05 103.41 Holzer, Philip 100 1/20/05 103.75 Holzer, Philip 100 1/20/05 103.66 Holzer, Philip 100 1/20/05 103.59 Holzer, Philip 100 1/20/05 103.4 Holzer, Philip 100 1/20/05 103.39 Holzer, Philip 100 1/20/05 103.37 Holzer, Philip 100 1/20/05 103.35 Holzer, Philip 100 1/20/05 103.34 Holzer, Philip 100 1/20/05 103.29 Holzer, Philip 100 1/20/05 103.25 Ingrassia, Timothy J 20,000 1/20/05 103.3634 Mattson, George N 5,000 1/20/05 95 Mattson, George N 2,600 1/20/05 100 Mattson, George N 2,500 1/20/05 90 Mehra, Sanjeev K 50,000 1/20/05 100 Moslow, Jeffrey M 3,500 1/20/05 100 Ponti, Andrea 4,448 1/20/05 103.55 Solomon, David M 25,000 1/20/05 103.4

28

COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $) -------------- ---------------- ---------- ---------------------- HJS2 Limited 20,000 1/20/05 100 HJS2 Limited 14,700 1/20/05 95 Tercek, Mark R 20,000 1/20/05 100 Tercek, Mark R 20,000 1/20/05 95 Vaske, John J 5,000 1/20/05 103.25 Wellde Jr, George W 20,000 1/20/05 95 Willetts, Susan A 7,500 1/20/05 90 Bott, Charles W A W A 2,000 1/21/05 104 Cohen, Abby Joseph 10,000 1/21/05 104.25 Cooper, Edith W 9,247 1/21/05 102.8 Coulson Jr, Frank L 10,000 1/21/05 103.5076 Daly, John S 5,000 1/21/05 103.4734 Dees, Daniel L 854 1/21/05 103.6808 Dweck, Michael L 1,738 1/21/05 103.3802 Elsesser, Kathleen G 2,000 1/21/05 104.1075 Forst, Edward C 20,000 1/21/05 103.4385 Garvey, James R 1,700 1/21/05 103.41 Garvey, James R 109 1/21/05 103.44 Gerhard, Peter C 25,000 1/21/05 104.3692 Giglio, Gary T 732 1/21/05 103.7383 Goldenberg, Jeffrey B 5,000 1/21/05 104.3 Golob, James S 4,300 1/21/05 104.39 Golob, James S 700 1/21/05 104.41 Ingrassia, Timothy J 30,000 1/21/05 103.7605 Katzman, James C 8,630 1/21/05 104.3 Kennedy, Kevin W 25,000 1/21/05 104.3535 Kimmelman, Douglas W 56,630 1/21/05 104 King Jr., Robert C 12,467 1/21/05 103.7071 Leven, Johan 5,103 1/21/05 103.2 Libstag, Gwen R 11,649 1/21/05 103.1638 Lieberman, Mitchell J 6,232 1/21/05 104.33 Linden, Josephine 1,000 1/21/05 104.39 Masterson, John J 1,000 1/21/05 103.28 Mattson, George N 4,602 1/21/05 104.4007 McMahon, John W 11,649 1/21/05 104.3724 McNiff, Audrey A 10,000 1/21/05 104.3 Pace, Robert J 5,000 1/21/05 103.25 Pace, Robert J 2,500 1/21/05 103.3 Pace, Robert J 2,500 1/21/05 103.2 Pierce, Stephen R 9,759 1/21/05 103.2793 Chambolle Limited 20,000 1/21/05 104 Tadjbakhsh, Shahriar 3,000 1/21/05 103.98 Ueda, Eiji 3,861 1/21/05 103.2 Varoli, Corrado P 320 1/21/05 103.67 Vaske, John J 5,000 1/21/05 103.7594 Westerman, Matthew C 2,401 1/21/05 104.3121 York Jr, W 2,010 1/21/05 103.7111 Gerhard, Peter C 25,000 2/18/05 105 Bernstein, Stuart N 2,000 3/18/05 110.045 Casciato, Chris 28,814 3/18/05 110.05 Casciato, Chris 4,091 3/18/05 110.1 Casciato, Chris 4,030 3/18/05 110.05

29

COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $) -------------- ---------------- ---------- ---------------------- Casciato, Chris 1,189 3/18/05 110.05 Casciato, Chris 575 3/18/05 110.05 Casciato, Chris 4,097 3/18/05 110.05 Casciato, Chris 4,165 3/18/05 110.05 Casciato, Chris 27,887 3/18/05 110.0877 Casciato, Chris 152 3/18/05 110.05 Evans, J. Michael 125,000 3/18/05 110.0768 Feldman, Steven M 725 3/18/05 109.9507 Gheewalla, Robert R 2,000 3/18/05 110.1 Giglio, Gary T 96 3/18/05 110.28 Golob, James S 5,878 3/18/05 110.04 Hass, A.John 7,000 3/18/05 109.7 Henle, David L 5,000 3/18/05 110 Rothenberg, Stuart M 10,000 3/18/05 110.1205 Scopellite, Steve M 5,000 3/18/05 110.01 Sherwood, Michael S 130,000 3/18/05 109.9824 Singh, Ravi M 3,977 3/18/05 110 Singh, Ravi M 600 3/18/05 110.15 Singh, Ravi M 400 3/18/05 110.12 Sloan, Jeffrey S 1,000 3/18/05 110.25 Sykes, Gene T 20,000 3/18/05 110 Trevor, Stephen S 1,139 3/18/05 109.9188 Weinberg, Peter A 125,000 3/18/05 110

The following sales of Other Shares were made by estate planning entities (which are not Reporting Entities) established by the following Covered Persons through one or more subsidiaries of GS Inc. for cash on the New York Stock Exchange:

COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $) -------------- ---------------- ---------- ---------------------- Lauto, Anthony D 20,434 12/17/04 104.4823 Lauto, Anthony D 27,296 12/17/04 104.4785 Lauto, Anthony D 4,407 12/17/04 104.4949 Trott, Byron D 46,337 12/17/04 104.1 Winkelried, Jon 17,500 12/17/04 104.6498 Woodruff, Jon A 1,400 12/17/04 104.6571 Dehnert, Mark F 2,625 12/20/04 103.6954 Nedelman, Jeffrey P 5,000 12/20/04 104.762 Parker Geoffrey M 1,000 12/20/04 103.76 Dehnert, Mark F 2,500 12/21/04 104.5188 Nedelman, Jeffrey P 2,000 12/21/04 104.25 Dehnert, Mark F 3,000 12/22/04 104.8937 Gordon, Andrew M 47,700 12/22/04 105.0004 Gordon, Andrew M 12,000 12/22/04 105 Dehnert, Mark F 2,874 12/23/04 105.1337 Sanders, J. Michael 3,400 12/23/04 104.9 Nedelman, Jeffrey P 1,506 12/28/04 105.08 Limaye, Ryan D 974 12/29/04 104.6369 Satter, Muneer A 50,000 1/3/05 105.0522 Dehnert, Mark F 5,000 1/6/05 104.93 Cowen, Randolph L 25,000 1/7/05 105.0518 Kennedy, Kevin W 1,000 1/7/05 105.35 Woodruff, Jon A 182 1/7/05 104.88 Satter, Muneer A 363 1/10/05 104.59

30

COVERED PERSON NUMBER OF SHARES TRADE DATE PRICE PER SHARE (IN $) -------------- ---------------- ---------- ---------------------- Trott, Byron D 10,000 1/20/05 95 Kennedy, Kevin W 1,000 1/21/05 104.371 Dehnert, Mark F 5,000 2/18/05 105

The following cashless exercises of stock options were effected by the following Covered Persons, with the indicated number of underlying shares sold through an affiliate of Mellon Investor Services LLC for cash on the New York Stock Exchange:

NUMBER OF DATE OF NUMBER OF STRIKE NUMBER OF SHARES COVERED PERSON EXERCISE OPTIONS PRICE SALES PRICE SHARES SOLD RETAINED ---------------------- -------- --------- ------ ----------- ----------- -------- Cardinale, Gerald J 12/17/04 10,152 53 104.5022 10,152 0 Gilbertson Jr, H. John 12/17/04 20,000 53 104.5022 20,000 0 Kengeter, Carsten 12/17/04 3,003 53 104.5022 3,003 0 Kengeter, Carsten 12/17/04 3,658 82.875 104.5022 3,658 0 Kengeter, Carsten 12/17/04 12,542 53 104.5022 12,542 0 Limaye, Ryan D 12/17/04 8,000 53 104.5022 8,000 0 Matsui, Kathy M 12/17/04 2,000 53 104.5022 2,000 0 McNiff, Audrey A 12/17/04 10,000 53 104.5022 10,000 0 Sago, Katsunori 12/17/04 41,513 53 104.5022 41,513 0 Scherr, Stephen M 12/17/04 7,914 53 104.5022 7,914 0 Ueda, Eiji 12/17/04 9,435 82.875 104.5022 9,435 0 Ueda, Eiji 12/17/04 30,742 53 104.5022 30,742 0 Agus, Raanan A 12/20/04 15,000 53 103.8718 15,000 0 Dingemans, Simon 12/20/04 60,033 53 103.8718 60,033 0 Gieselman, Scott A 12/20/04 17,007 53 103.8718 17,007 0 Matsui, Kathy M 12/20/04 3,000 53 103.8718 3,000 0 O'Hagan, L. Peter 12/20/04 7,934 53 103.8718 7,934 0 Sago, Katsunori 12/20/04 41,514 53 103.8718 41,514 0 Salame, Pablo J 12/20/04 100,473 53 103.8718 100,473 0 Willian, John S 12/20/04 10,000 53 103.8718 10,000 0 Cardinale, Gerald J 12/21/04 3,000 53 104.4846 3,000 0 Chwick, Jane P 12/21/04 1,126 53 104.4846 1,126 0 Hitchner, Kenneth W 12/21/04 39,563 53 104.4846 39,563 0 Kirk, Ewan M 12/21/04 15,000 53 104.4846 15,000 0 Matsui, Kathy M 12/21/04 2,000 53 104.4846 2,000 0 O'Neill, Terence J 12/21/04 46,545 82.875 104.4846 46,545 0 Tse, Irene Y 12/21/04 2,000 53 104.4846 2,000 0 Agus, Raanan A 12/22/04 15,000 53 104.849 15,000 0 Kirk, Ewan M 12/22/04 14,799 53 104.849 14,799 0 Schermerhorn, Gary B 12/22/04 40,138 53 104.849 40,138 0 Ueda, Eiji 12/22/04 5,000 53 104.849 5,000 0 Agus, Raanan A 12/23/04 15,000 53 104.9614 15,000 0 Matsui, Kathy M 12/23/04 3,000 53 104.9614 3,000 0 Daniel, Stephen D 12/27/04 9,172 53 104.4154 9,172 0 Dweck, Jay S 12/27/04 20,000 53 104.4154 20,000 0 Holzer, Philip 12/27/04 2,150 0 104.4154 2,150 0 Ueda, Eiji 12/27/04 35,176 159 313.2462 35,176 0 Holen, Margaret J 12/29/04 567 82.875 104.6147 567 0 Holen, Margaret J 12/29/04 945 53 104.6147 945 0 Connolly, Thomas G 12/30/04 43,592 53 105.1589 43,592 0 Matsui, Kathy M 12/30/04 3,000 53 105.1589 3,000 0

31

NUMBER OF NUMBER OF DATE OF NUMBER OF STRIKE SHARES SHARES COVERED PERSON EXERCISE OPTIONS PRICE SALES PRICE SOLD RETAINED -------------- -------- --------- ------ ----------- --------- -------- Agus, Raanan A 12/31/04 23,680 53 104.5453 23,680 0 McGoldrick, Mark E 12/31/04 29,172 82.875 104.5453 29,172 0 McGoldrick, Mark E 12/31/04 43,441 53 104.5453 43,441 0 Bu, John J 1/3/05 5,000 53 104.7136 5,000 0 Dudley, William C 1/3/05 13,263 53 104.7136 13,263 0 Limaye, Ryan D 1/3/05 10,000 53 104.7136 10,000 0 Niederauer, Duncan L 1/3/05 82,166 53 104.7136 82,166 0 Scherr, Stephen M 1/3/05 7,914 53 104.7136 7,914 0 Beinner, Jonathan A 1/4/05 19,981 53 104.741 19,981 0 Bu, John J 1/4/05 5,000 53 104.741 5,000 0 Jones, Robert C 1/4/05 64,203 53 104.741 64,203 0 McGoldrick, Mark E 1/4/05 137,166 91.61 104.741 37,166 0 O'Neill, Terence J 1/4/05 68,793 91.61 104.741 68,793 0 Kiritani, Shigeki 1/5/05 16,212 91.61 104.081 16,212 0 Matsui, Kathy M 1/5/05 3,000 53 104.081 3,000 0 Gross, Peter 1/7/05 25,974 53 104.9778 25,974 0 Matsui, Kathy M 1/7/05 3,000 53 104.9778 3,000 0 Cardinale, Gerald J 1/10/05 750 53 104.8897 750 0 de Mallmann, Francois-Xavier 1/10/05 1,148 82.875 104.8897 1,148 0 de Mallmann, Francois-Xavier 1/10/05 1,190 53 104.8897 1,190 0 de Mallmann, Francois-Xavier 1/10/05 2,212 53 104.8897 2,212 0 Loudiadis, Antigone 1/10/05 99,968 53 104.8897 99,968 0 Cardinale, Gerald J 1/11/05 900 53 104.0312 900 0 DiSabato, Joseph P 1/11/05 12,500 53 104.0312 12,500 0 Gheewalla, Robert R 1/11/05 8,000 53 104.0312 8,000 0 Holzer, Philip 1/11/05 5,113 0 104.0312 1,001 4,112 Loudiadis, Antigone 1/11/05 25,602 53 104.0312 25,602 0 Matsui, Kathy M 1/11/05 3,000 53 104.0312 3,000 0 Schenck, Marcus 1/11/05 4,125 0 104.0312 4,125 0 Tse, Irene Y 1/11/05 5,672 53 104.0312 5,672 0 Bu, John J 1/12/05 5,000 53 103.0471 5,000 0 Hollmann, Peter 1/12/05 8,824 0 103.0471 4,294 4,530 Matsui, Kathy M 1/12/05 3,553 53 103.0471 3,553 0 Cardinale, Gerald J 1/13/05 1,100 53 103.4496 1,100 0 Frumkes, Robert K 1/13/05 23,297 53 103.4496 23,297 0 Jacob III, William L 1/13/05 11,046 53 103.4496 11,046 0 Zannoni, Paolo 1/13/05 26,770 53 103.4496 26,770 0 Zannoni, Paolo 1/13/05 30,965 53 103.4496 30,965 0 Cardinale, Gerald J 1/14/05 1,100 53 103.5637 1,100 0 Chasen, Amy L 1/14/05 16,131 53 103.5637 16,131 0 Willian, John S 1/14/05 10,000 53 103.5637 10,000 0 Cardinale, Gerald J 1/18/05 1,100 53 104.5536 1,100 0 Carpet, Anthony H 1/18/05 42,761 53 104.5536 30,945 11,816 Bu, John J 1/19/05 10,000 53 104.1911 10,000 0 Cardinale, Gerald J 1/19/05 1,100 53 104.1911 1,100 0 Gheewalla, Robert R 1/19/05 10,000 53 104.1911 10,000 0 Nedelman, Jeffrey P 1/19/05 13,515 53 104.1911 13,515 0 Shalett, Lisa M 1/19/05 9,061 53 104.1911 9,061 0

32

NUMBER OF NUMBER OF DATE OF NUMBER OF STRIKE SHARES SHARES COVERED PERSON EXERCISE OPTIONS PRICE SALES PRICE SOLD RETAINED -------------- -------- --------- ------ ----------- --------- -------- Smith, Michael M 1/19/05 17,202 53 104.1911 17,202 0 Weil, David M 1/19/05 50,000 53 104.1911 50,000 0 Willian, John S 1/19/05 10,005 53 104.1911 10,005 0 Connor, Frank T 1/20/05 60,000 53 103.3067 60,000 0 Esposito, Michael P 1/20/05 20,621 53 103.3067 20,621 0 Fascitelli, Elizabeth C 1/20/05 30,000 53 103.3067 30,000 0 Gonsalves, Gregg A 1/20/05 10,000 53 103.3067 10,000 0 Barter, Christopher M 1/21/05 5,303 53 103.6513 5,303 0 Barter, Christopher M 1/21/05 13,315 53 103.6513 13,315 0 Feldman, Steven M 1/21/05 4,000 53 103.6513 4,000 0 Gheewalla, Robert R 1/21/05 6,000 53 103.6513 6,000 0 Mount, Gregory T 1/21/05 43,607 53 103.6513 43,607 0 Ross, Ivan 1/21/05 5,000 53 103.6513 5,000 0 Sanders, J. Michael 1/21/05 9,696 82.875 103.6513 9,696 0 Sanders, J. Michael 1/21/05 25,283 91.61 103.6513 25,283 0 Sanders, J. Michael 1/21/05 30,426 53 103.6513 30,426 0 Schwartz, Harvey M 1/21/05 6,600 82.875 103.6513 6,600 0 Schwartz, Harvey M 1/21/05 64,000 53 103.6513 64,000 0 Williams, Todd A 1/21/05 15,660 53 103.6513 15,660 0 Clark, Kent A 3/18/05 22,641 53 109.9008 22,641 0 Cramer, Brahm S 3/18/05 35,570 53 109.9008 35,570 0 Feldman, Steven M 3/18/05 3,044 53 109.9008 3,044 0 Lane, Eric S 3/18/05 1,500 53 109.9008 1,500 0 Mattson, George N 3/18/05 3,000 53 109.9008 3,000 0 McNiff, Audrey A 3/18/05 2,000 53 109.9008 2,000 0

The following charitable contributions or other transfers of shares in transactions for which no consideration was received were made by the following Covered Persons:

COVERED PERSON TRANSFER DATE NUMBER OF SHARES -------------- ------------- ---------------- Goldenberg, Jeffrey B. 12/17/04 1,000 Governali, Frank J. 12/17/04 475 Kennedy, Kevin W. 12/17/04 16,000 King Jr., Robert C. 12/17/04 10,000 Kingston, Timothy M. 12/17/04 2,500 Mount, Gregory T. 12/17/04 335 Nora Johnson, Suzanne 12/17/04 1,425 Pace, Robert J. 12/17/04 6,000 Paulson Jr, Henry M. 12/17/04 19,300 Porges, Ellen R. 12/17/04 145 Quinn, Kevin A. 12/17/04 140 Ross, Ivan 12/17/04 95 Schwartz, Harvey M. 12/17/04 15,588 Tebbe, Greg W. 12/17/04 1,525 Trott, Byron D. 12/17/04 5,000 Woodruff, Jon A. 12/17/04 100 Uniacke, Kaysie P. 12/18/04 240 Winkelried, Jon 12/18/04 9,600 Connor, Frank T. 12/20/04 800

33

COVERED PERSON TRANSFER DATE NUMBER OF SHARES -------------- ------------- ---------------- McNiff, Audrey A. 12/20/04 285 Nora Johnson, Suzanne 12/20/04 2,850 Rominger, Eileen P. 12/20/04 170 Smith, Michael M. 12/20/04 500 Troy, Michael A. 12/20/04 1,173 Donohoe, Suzanne O. 12/21/04 195 Greenwald, David J. 12/21/04 80 Ho, Maykin 12/21/04 917 Kapnick, Scott B. 12/21/04 4,800 Kraus, Peter S. 12/21/04 11,490 Ryan, Michael D. 12/21/04 35,000 Schwartz, Harvey M. 12/21/04 2,380 Henle, David L. 12/22/04 19,230 Smith, Sarah E. 12/22/04 228 McNiff, Audrey A. 12/23/04 500 Ross, Ivan 12/23/04 33 Nora Johnson, Suzanne 12/27/04 950 Wilson III, Kendrick R. 12/27/04 15,000 Tudor III, Robert B. 12/29/04 2,000 Wietschner, C. Howard 12/29/04 600 Kapnick, Scott B. 12/30/04 23,770 Walker, George H. 12/30/04 96 Avanessians, Armen A. 12/31/04 4,378 Christie, Robert J. 12/31/04 335 Katzman, James C. 12/31/04 540 Blankfein, Lloyd C. 1/3/05 15,000 O'Neill, Terence J. 1/6/05 2,700 Jacob III, William L. 1/10/05 138 Aberg, Peter C. 1/12/05 300 Bernstein, Stuart N. 1/13/05 335 Rafter, John J. 1/21/05 75 Conrad, Linnea K. 3/18/05 160

34 ANNEX F ITEM 6. DESCRIPTION OF POSITIONS IN DERIVATIVE INSTRUMENTS OF COVERED PERSONS OR REPORTING ENTITIES. The following Covered Persons or Reporting Entities have written American-style standardized call options or purchased American-Style standardized put options on Voting Shares with the following terms:

CALL WRITTEN OR PUT NUMBER OF STRIKE COVERED PERSON PURCHASED SHARES PRICE MATURITY DATE TRANSACTION DATE -------------- ------------ --------- ------ ------------- ---------------- Aberg, Peter C Call Written 7,500 $110 07/16/05 1/21/05 Calcano, Lawrence V Call Written 10,000 115 01/21/06 1/21/05 Calcano, Lawrence V Call Written 15,000 110 01/21/06 1/21/05 Carr, Michael J Call Written 20,000 95 04/16/05 11/03/04 Corrigan, E Gerald Call Written 85,000 100 01/21/06 1/3/05 Corrigan, E Gerald Put Purchased 125,000 90 01/21/06 4/03/04 Corrigan, E Gerald Call Written 40,000 120 01/21/06 1/03/05 Gerhard, Peter C Call Written 50,000 115 01/21/06 3/18/05 Kimmelman, Douglas W Call Written 50,000 100 04/16/05 1/21/05 HJS2 Limited Call Written 20,000 105 04/16/05 1/13/05 HJS2 Limited Call Written 20,000 110 04/16/05 1/13/05 Tercek, Mark R Call Written 50,000 115 07/16/05 1/21/05 Willetts, Susan A Call Written 15,000 95 04/16/05 1/03/04

Estate planning entities (which are not Reporting Entities) established by the following Covered Persons have written American-style standardized call options or purchased American-Style standardized put options on Other Shares with the following terms:

CALL WRITTEN OR PUT NUMBER OF STRIKE COVERED PERSON PURCHASED SHARES PRICE MATURITY DATE TRANSACTION DATE -------------- ------------ --------- ------ ------------- ---------------- Andrew M. Gordon Call Written 15,000 $100 4/16/05 11/03/04 Andrew M. Gordon Call Written 15,000 105 4/16/05 11/03/04 Andrew M. Gordon Call Written 1,500 100 4/16/05 11/03/04 Andrew M. Gordon Call Written 1,500 105 4/16/05 11/03/04 Woodruff, Jon A Call Written 3,000 100 4/16/05 10/05/04

35 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: March 28, 2005 By: /s/ Kenneth L. Josselyn ----------------------------- Name: Kenneth L. Josselyn Title: Attorney-in-Fact 36 EXHIBIT INDEX

Exhibit Description ------- ----------- A. 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)). B. 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)). C. 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)). D. 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)). E. 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)). F. 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)). G. 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)). H. 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.). I. 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.). J. 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)). K. Supplemental Registration Rights Instrument, dated as of December 19, 2003 (incorporated by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No. 333-110371) filed by The Goldman Sachs Group, Inc.). L. Amended and Restated Shareholders' Agreement, effective as of the close of business on June 22, 2004 (incorporated by reference to Exhibit M to Amendment No. 54 to the Initial Schedule 13D, filed June 22, 2004 (File No. 005-56295)).