0001193125-14-318819.txt : 20140822 0001193125-14-318819.hdr.sgml : 20140822 20140822170059 ACCESSION NUMBER: 0001193125-14-318819 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140822 DATE AS OF CHANGE: 20140822 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: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-56295 FILM NUMBER: 141060995 BUSINESS ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 FORMER COMPANY: FORMER CONFORMED NAME: GOLDMAN SACHS GROUP INC/ DATE OF NAME CHANGE: 20010104 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: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 FORMER COMPANY: FORMER CONFORMED NAME: GOLDMAN SACHS GROUP INC/ DATE OF NAME CHANGE: 20010104 SC 13D/A 1 d779855dsc13da.txt AMENDMENT NO. 87 TO SCHEDULE 13D ================================================================================ SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 File No. 005-56295 ----------------- SCHEDULE 13D/A (Rule 13d-101) Amendment No. 87 ----------------- 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. 200 West Street New York, New York 10282 Telephone: (212) 902-1000 (Name, Address and Telephone Number of Persons Authorized to Receive Notices and Communications) August 13, 2014 (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 Persons1 As to a group consisting of persons other than Covered Persons (a) [X] (b) [X] ------------------------------------------------------------------------------- 3. SEC USE ONLY ------------------------------------------------------------------------------- 4. SOURCE OF FUNDS: OO and PF (Applies to each person listed on Appendix A.) ------------------------------------------------------------------------------- 5. CHECK 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 SHARES person listed on Appendix A.) BENEFICIALLY 21,158,952 Voting Shares2 held by Covered Persons OWNED BY 10,245 Shared Ownership Shares held by Covered Persons3 EACH 15,125,491 Sixty Day Shares held by Covered Persons4 REPORTING 2,368,933 Other Shares held by Covered Persons 5 PERSON 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 38,663,621 ------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [_] ------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.52% ------------------------------------------------------------------------------- 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) 235,136 shares of Common Stock held by 17 private charitable foundations established by 17 Covered Persons; (ii) 2,130,712 shares of Common Stock held by certain family members of Covered Persons and by certain estate planning entities established by Covered Persons; and (iii) 3,085 shares of Common Stock held by the trust underlying The Goldman Sachs 401(k) 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 or any family member of a Covered Person. -2- Appendix A
ITEM 6 Citizenship (United States unless ITEM 1 otherwise Names of Reporting Persons indicated) -------------------------- -------------- Paul R. Aaron Charles F. Adams Nick S. Advani UK Mark E. Agne Gregory A. Agran Raanan A. Agus William D. Anderson, Jr. Dalinc Ariburnu UK/Turkey Philip S. Armstrong UK Armen A. Avanessians Dean C. Backer Charles Baillie Vivek J. Bantwal Steven K. Barg Scott B. Barringer Steven M. Barry Stacy Bash-Polley Gareth W. Bater UK Jonathan A. Beinner Heather Bellini Tracey E. Benford Philip R. Berlinski Belgium/ USA Frances R. Bermanzohn Stuart N. Bernstein Robert A. Berry UK Avanish R. Bhavsar Lloyd C. Blankfein Vivek Bohra Stefan R. Bollinger Switzerland Brian W. Bolster Johannes M. Boomaars The Netherlands Robert D. Boroujerdi Jill A. Borst Sally A. Boyle UK Christoph M. Brand Germany Michael J. Brandmeyer Jason H. Brauth Anne F. Brennan Samuel S. Britton Craig W. Broderick Torrey J. Browder Steven M. Bunson Mary D. Byron Richard M. Campbell-Breeden UK Philippe L. Camu Belgium Valentino D. Carlotti Anthony H. Carpet Michael J. Carr Stuart A. Cash UK Donald J. Casturo Sonjoy Chatterjee India R. Martin Chavez Alex S. Chi Andrew A. Chisholm Canada David Chou UK Thalia Chryssikou Greece Kent A. Clark Canada Abby Joseph Cohen Alan M. Cohen Gary D. Cohn Christopher A. Cole Colin Coleman South Africa Denis P. Coleman III William J. Conley, Jr. Thomas G. Connolly Ireland/ USA Karen R. Cook UK Edith W. Cooper Kenneth W. Coquillette Richard N. Cormack UK Thomas W. Cornacchia E. Gerald Corrigan James V. Covello Jeffrey R. Currie John P. Curtin, Jr. Michael D. Daffey Australia John F. Daly John S. Daly Ireland Anne Marie B. Darling David H. Dase Francois-Xavier de Mallmann France/ Switzerland Daniel L. Dees Mark F. Dehnert James Del Favero Australia Massimo Della Ragione Italy Olaf Diaz-Pintado Spain Alexander C. Dibelius Germany Joseph P. DiSabato Michele I. Docharty Thomas M. Dowling Robert Drake-Brockman UK Donald J. Duet Alessandro Dusi Italy Michael L. Dweck Gordon E. Dyal Isabelle Ealet France Kenneth M. Eberts III David P. Eisman Jason H. Ekaireb UK
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ITEM 6 Citizenship (United States unless ITEM 1 otherwise Names of Reporting Persons indicated) -------------------------- -------------- Charalampos Eliades Greece Kathleen G. Elsesser Edward A. Emerson Argentina/UK Peter C. Enns Canada James P. Esposito Michael P. Esposito Antonio F. Esteves Portugal Carl Faker France/ Lebanon Elizabeth C. Fascitelli Douglas L. Feagin Stephan J. Feldgoise Patrick J. Fels Benjamin W. Ferguson Wolfgang Fink Germany Samuel W. Finkelstein Peter E. Finn David A. Fishman Elisabeth Fontenelli Colleen A. Foster Sheara J. Fredman Matthew T. Fremont-Smith Christopher G. French UK Richard A. Friedman Jacques Gabillon France Timur F. Galen Sean J. Gallagher Ramani Ganesh India Gonzalo R. Garcia Chile James R. Garman UK Francesco U. Garzarelli Italy Matthew R. Gibson Gary T. Giglio Michelle Gill Nick V. Giovanni Justin G. Gmelich Richard J. Gnodde Ireland/ South Africa Jeffrey B. Goldenberg Andrew M. Gordon Michael J. Graziano Bradley J. Gross UK/USA Peter Gross Celeste A. Guth Anthony Gutman UK/USA Elizabeth M. Hammack Jan Hatzius Germany Keith L. Hayes UK Michael L. Hensch Martin Hintze Germany Kenneth L. Hirsch Kenneth W. Hitchner Todd Hohman Simon N. Holden UK Dane E. Holmes Ning Hong China Ericka T. Horan Shin Horie Japan Russell W. Horwitz James P. Houghton UK Ronald Hua Taiwan/ USA Paul J. Huchro Ming Yunn Stephanie Hui UK/Hong Kong Hidehiro Imatsu Japan Timothy J. Ingrassia William L. Jacob III Christian W. Johnston Australia Andrew J. Jonas Adrian M. Jones Ireland Eric S. Jordan Roy R. Joseph Guyana Pierre-Emmanuel Y. Juillard France Andrew J. Kaiser Vijay M. Karnani India James C. Katzman Alan S. Kava Christopher Keogh John J. Kim Robert C. King, Jr. Hideki Kinuhata Japan Shigeki Kiritani Japan Marie Louise Kirk Denmark Michael E. Koester Lee Guan Kelvin Koh Singapore J. Christopher A. Kojima Canada/ USA Adam M. Korn David J. Kostin Jorg H. Kukies Germany Eric S. Lane Andre Laport Ribeiro Brazil Hugh J. Lawson Scott L. Lebovitz Brian J. Lee George C. Lee Ronald Lee David A. Lehman Tim Leissner Brazil/ Germany Todd W. Leland Laurent Lellouche France
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ITEM 6 Citizenship (United States unless ITEM 1 otherwise Names of Reporting Persons indicated) -------------------------- -------------- Gregg R. Lemkau Deborah R. Leone Eugene H. Leouzon France John R. Levene UK Brian T. Levine Jack Levy Gwen R. Libstag Ryan D. Limaye Luca M. Lombardi Italy Victor M. Lopez-Balboa David B. Ludwig Peter J. Lyon Paula B. Madoff John A. Mahoney Puneet Malhi UK Raghav Maliah India Matthew F. Mallgrave John V. Mallory David M. Marcinek Alison J. Mass Robert A. Mass Kathy M. Matsui Joseph S. Mauro Alastair J.C. Maxwell UK John J. McCabe Matthew B. McClure UK Dermot W. McDonogh Ireland Charles M. McGarraugh John J. McGuire, Jr. John W. McMahon James A. McNamara Richard P. McNeil Jamaica Sanjeev K. Mehra Avinash Mehrotra Jonathan M. Meltzer Bruce H. Mendelsohn Xavier C. Menguy France Anthony J. Miller Australia Michael J. Millette Milton R. Millman III Christopher Milner UK Christina P. Minnis Kayhan Mirza Canada Peeyush Misra India Bryan P. Mix Masanori Mochida Japan Timothy H. Moe Ireland Philip J. Moffitt Australia Atosa Moini Iran Ricardo Mora J. Ronald Morgan III Simon P. Morris UK Thomas C. Morrow Sharmin Mossavar-Rahmani UK Takashi Murata Japan Arjun N. Murti Alice Jane Murphy Marc O. Nachmann Ezra Nahum France/ USA Amol S. Naik India/ USA Jyothsna Natauri Una M. Neary Jeffrey P. Nedelman Gavin G. O'Connor Gregory G. Olafson Canada Brett A. Olsher UK/USA Timothy J. O'Neill Lisa Opoku Peter C. Oppenheimer UK Nigel M. O'Sullivan UK Gerald B. Ouderkirk III Craig W. Packer Gregory K. Palm Konstantinos N. Pantazopoulos Greece James R. Paradise UK Paul Gray Parker Francesco Pascuzzi Italy Anthony W. Pasquariello Sheila H. Patel Nirubhan Pathmanabhan UK Jonathan Mark Penkin UK/ South Africa David B. Philip Richard Phillips Australia Stephen R. Pierce Hugh R. Pill UK Michelle H. Pinggera UK Kenneth A. Pontarelli Ellen R. Porges Dmitri Potishko Australia Dina Powell Gilberto Pozzi Italy Lorin P. Radtke John J. Rafter Ireland Sumit Rajpal Richard N. Ramsden UK Sara E. Recktenwald Andrew K. Rennie Australia/ UK James H. Reynolds France
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ITEM 6 Citizenship (United States unless ITEM 1 otherwise Names of Reporting Persons indicated) -------------------------- -------------- Sean D. Rice Kate D. Richdale UK Michael J. Richman Francois J. Rigou France Stuart Riley UK Michael Rimland Lora J. Robertson Elizabeth E. Robinson Scott M. Rofey John F. W. Rogers Scott A. Romanoff Johannes Rombouts Netherlands Michael E. Ronen Germany/ Israel Simon A. Rothery Australia Jami Rubin Peter C. Russell Paul M. Russo Ankur A. Sahu India Guy E. Saidenberg France Pablo J. Salame Ecuador Julian Salisbury UK Yann Samuelides France Luke A. Sarsfield III Marcus Schenck Germany Susan J. Scher Stephen M. Scherr Clare R. Scherrer Joshua S. Schiffrin Jeffrey W. Schroeder Harvey M. Schwartz Mark Schwartz David A. Schwimmer Stephen B. Scobie UK John A. Sebastian Peter A. Seccia Peter D. Selman UK Gaurav Seth India John C. Shaffer Rebecca M. Shaghalian Konstantin A. Shakhnovich Heather K. Shemilt Canada Michael S. Sherwood UK Michael H. Siegel Suhail A. Sikhtian Gavin Simms UK Michael L. Simpson Marshall Smith Michael Smith Australia Sarah E. Smith UK David M. Solomon Mark R. Sorrell UK Theodore T. Sotir Christoph W. Stanger Austria Esta E. Stecher Laurence Stein South Africa/USA Carl Stern John D. Storey Australia Steven H. Strongin Joseph Struzziery III Ram K. Sundaram India Damian E. Sutcliffe UK J. Richard Suth Robert J. Sweeney Michael S. Swell Michael J. Swenson Gene T. Sykes Patrick Tassin de Nonneville France Megan M. Taylor Teresa Teague Thomas D. Teles Pawan Tewari Ryan J. Thall Klaus B. Toft Denmark Frederick Towfigh Donald J. Truesdale Kenro Tsutsumi Japan Richard J. Tufft UK Eiji Ueda Japan Toshihiko Umetani Japan Jonathan R. Vanica Ashok Varadhan John J. Vaske Christoph Vedral Germany Andrea Vella Italy Philip J. Venables UK/USA Simone Verri Italy Jeffrey L. Verschleiser Robin A. Vince UK/USA Andrea A. Vittorelli Italy Alejandro Vollbrechthausen Mexico John E. Waldron Paul Walker Alasdair J. Warren UK Simon R. Watson UK Toby C. Watson UK John S. Weinberg Martin M. Werner Mexico Matthew Westerman UK
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ITEM 6 Citizenship (United States unless ITEM 1 otherwise Names of Reporting Persons indicated) -------------------------- -------------- Elisha Wiesel David D. Wildermuth John S. Willian Andrew F. Wilson New Zealand Dominic A. Wilson UK Steve Windsor UK Martin Wiwen-Nilsson Sweden Andrew E. Wolff Kent J. Wosepka Denise A. Wyllie UK Yoshihiko Yano Japan Shinichi Yokote Japan W. Thomas York, Jr. Wassim G. Younan Lebanon/UK Paul M. Young Paolo Zannoni Italy Xing Zhang China Han Song Zhu China
-7- 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 Campbell-Breeden 2004 Settlement Trust UK Richard M. Campbell-Breeden Drayton 2004 Settlement Trust UK Karen R. Cook French 2004 Settlement Trust UK Christopher G. French RJG Holding Company Corporation Cayman Islands Richard J. Gnodde Sherwood 2004 Settlement Trust UK Michael S. Sherwood Westerman 2004 Settlement Trust UK Matthew Westerman
-8- This Amendment No. 87 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. 87 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 200 West Street, New York, New York 10282. 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 an Amended and Restated Shareholders' Agreement, originally dated as of May 7, 1999 and amended and restated effective as of January 22, 2010 (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 current or former Participating Managing Director (as defined in Item 6 below) of GS Inc. or one of its affiliates. GS Inc. is a global investment banking, securities and investment management firm. The business address of each Covered Person for purposes of this Schedule is 200 West Street, New York, New York 10282. 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; and (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. (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 "Acquisition Covered Persons") of Hull and Associates, L.L.C. ("Hull") and Goldman Sachs & Partners Australia Group Holdings Pty Ltd ("GS&PA") acquired certain shares of Common Stock in exchange for their interests in Hull and GS&PA, respectively; 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 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. -9- 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 GS&PA, 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 60 days preceding August 13, 2014. (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 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. References to the "board of directors" are to the board of directors of GS 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 -10- described below under "Information Regarding the Shareholders' Committee" (the "Participating Managing Directors"). The "Voting Shares" include all of the shares of Common Stock of which a Covered Person (or, in approved cases, his or her spouse or domestic partner) is the sole beneficial owner (excluding shares of Common Stock held by the trust underlying The Goldman Sachs 401(k) Plan). 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 and other approved estate planning vehicles 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); provided, that with respect to 2009 year-end equity awards granted in accordance with the equity deferral table approved by the board of directors or its Compensation Committee, such number shall equal 30% of the Covered Shares relating thereto (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. Shares beneficially owned by a Covered Person through a Reporting Entity or certain other approved estate planning vehicles established by Covered Persons or, as applicable, by the Covered Person's spouse or domestic partner are generally 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, exercises a stock option (not including, in each case, awards in connection with GS Inc.'s initial public offering) or receives an award of restricted stock. The calculation of Covered Shares will include the gross number of shares underlying such restricted stock units or stock options or the gross number of shares of restricted stock, in each case 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. The Shareholders' Committee has the power to determine, and has determined from time to time in particular situations, whether restricted stock or shares of Common Stock delivered pursuant to restricted stock units or stock options are deemed "Covered Shares." WAIVERS The Shareholders' Committee has the power to waive, and has waived, the Transfer Restrictions from time to time to permit Covered Persons to transfer Common Stock in particular situations (such as transfers to family members, partnerships or trusts), but not generally. The Shareholders' Committee also has the power to waive the Transfer Restriction 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; and transfer Common Stock held in employee benefit plans. Taking into account the Shareholders' Committee's waivers and determinations regarding Covered Shares to date, 7,163,315 shares of Common Stock are subject to the Transfer Restrictions as of August 13, 2014. 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. -11- VOTING Prior to any vote of the shareholders of GS Inc., the Shareholders' Agreement requires a separate, preliminary vote of substantially 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. Effective August 13, 2014, an aggregate of 1,299,121 shares of Common Stock held by Covered Persons through a retirement trust ceased to be subject to the voting requirements of the Shareholders' Agreement; the Covered Persons do not otherwise have voting or investment control over these shares, and accordingly they are no longer deemed beneficially owned by the Covered Persons for purposes of this Schedule 13D. 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, Lloyd C. Blankfein, Gary D. Cohn and Harvey M. Schwartz are the members of the Shareholders' Committee. EMPLOYEE BENEFIT PLAN TRANSFER RESTRICTIONS Shares of Common Stock delivered to Covered Persons pursuant to certain GS Inc. employee compensation plans and arrangements are subject to restrictions on transfer. These restrictions lapse at various times depending on the terms of the grant or award. 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 -12- into a Supplemental Registration Rights Instrument, dated as of June 19, 2000 (the "EMD Supplement"), which supplements the Registration Rights Instrument, dated as of December 10, 1999 (the "Registration Rights Instrument"). 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. DERIVATIVE INSTRUMENTS Certain 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. 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)). C. 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)). D. 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)). 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. 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)). H. Amended and Restated Shareholders' Agreement, effective as of January 22, 2010 (incorporated by reference to Exhibit 10.6 to GS Inc.'s Annual Report on Form 10-K for the fiscal year ended December 31, 2009 (File No. 001-14965)).
-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 Laws within the The Goldman Name Citizenship Business Address Present Employment Last Five Years Sachs Group, Inc. ---- ----------- -------------------- ------------------- ---------------- ---------------------- Steven M. Bunson USA 200 West Street Managing Director, None Less than 1% of the New York, NY The Goldman Sachs outstanding shares of 10282 Group, Inc. Common Stock. Michael H. UK 26 New Street, Partner, None None Richardson St. Helier, Jersey, Bedell Cristin JE4 3RA Anthony J. Dessain UK 26 New Street, Partner, None None 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. Certain Covered Persons are parties to sales plans intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended, pursuant to which such Covered Persons may in the future sell up to 3,624 Covered Shares and exercise up to 182,800 Options in the aggregate. -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 15,125,491 shares of Common Stock are deliverable to Covered Persons upon the exercise of stock options that have vested and are exercisable. This share amount includes the gross number of shares of Common Stock underlying these options, and these shares 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 August 13, 2014. Upon 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 the 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 July 17, 2014, July 28, 2014 and July 31, 2014, an aggregate of 182,199, 18,315 and 2,915 shares of Common Stock, respectively, were delivered to Covered Persons pursuant to the terms of restricted stock units and 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 or by delivery to counterparties upon settlement of derivative transactions:
Price Per Share Covered Person Trade Date Number of Shares (in $) -------------- -------------- ---------------- --------------- Michael J. Brandmeyer................... July 16, 2014 585 170.2344 Christopher A. Cole*.................... July 16, 2014 1,000 170.6680 Denis P. Coleman III.................... July 16, 2014 12,605 170.0343 Thomas W. Cornacchia.................... July 16, 2014 5,000 170.5785 John F. Daly............................ July 16, 2014 1,324 170.1947 David P. Eisman......................... July 16, 2014 2,019 170.6770 Samuel W. Finkelstein................... July 16, 2014 161 170.2762 James R. Garman......................... July 16, 2014 1,596 170.2890 Gary T. Giglio.......................... July 16, 2014 601 169.2600 Jeffrey B. Goldenberg................... July 16, 2014 2,555 170.5675 Peter Gross............................. July 16, 2014 3,178 170.1061 Paul J. Huchro.......................... July 16, 2014 205 169.2600 Andre Laport Ribeiro.................... July 16, 2014 2,488 170.0000 Scott L. Lebovitz....................... July 16, 2014 1,324 170.5700 Amol S. Naik............................ July 16, 2014 3,500 170.4804 Jonathan M. Penkin...................... July 16, 2014 3,194 169.2600 Lora J. Robertson....................... July 16, 2014 139 169.2600 Pablo J. Salame......................... July 16, 2014 10,000 170.7585 Pablo J. Salame......................... July 16, 2014 10,000 170.7609 Suhail A. Sikhtian...................... July 16, 2014 5,835 170.8778 John D. Storey.......................... July 16, 2014 407 170.5790 Martin M. Werner........................ July 16, 2014 4,197 170.0000 David D. Wildermuth..................... July 16, 2014 500 170.1060 Philip R. Berlinski..................... July 17, 2014 1,879 170.0000 Philip R. Berlinski..................... July 17, 2014 1,879 171.0000 Sally A. Boyle.......................... July 17, 2014 1,799 171.0000 Denis P. Coleman III.................... July 17, 2014 5,553 170.0000 Karen R. Cook........................... July 17, 2014 5,171 170.0658 Jason H. Ekaireb........................ July 17, 2014 5,649 170.5532 Samuel W. Finkelstein................... July 17, 2014 7,486 169.5719 Hidehiro Imatsu......................... July 17, 2014 7,602 170.0000 Jorg H. Kukies.......................... July 17, 2014 1,864 171.3048 Brian T. Levine......................... July 17, 2014 4,646 170.3149 James A. McNamara....................... July 17, 2014 119 169.9900 Bryan P. Mix............................ July 17, 2014 3,515 170.9043 Atosa Moini............................. July 17, 2014 500 170.4120 Peter C. Oppenheimer.................... July 17, 2014 1,157 171.3185 Nirubhan Pathmanabhan................... July 17, 2014 3,307 170.2915
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Price Per Share Covered Person Trade Date Number of Shares (in $) -------------- -------------- ---------------- --------------- Gilberto Pozzi.......................... July 17, 2014 1,309 169.9900 Lora J. Robertson....................... July 17, 2014 2,777 169.9900 Scott M. Rofey.......................... July 17, 2014 100 170.3100 Scott M. Rofey.......................... July 17, 2014 100 170.3400 Scott M. Rofey.......................... July 17, 2014 300 170.3700 Pablo J. Salame......................... July 17, 2014 3,229 170.0027 Pablo J. Salame*........................ July 17, 2014 3,263 170.0027 Pablo J. Salame*........................ July 17, 2014 1,235 170.0027 Pablo J. Salame*........................ July 17, 2014 1,235 170.0027 Suhail A. Sikhtian...................... July 17, 2014 5,835 171.2121 John D. Storey.......................... July 17, 2014 3,362 170.8177 Patrick Tassin de Nonneville............ July 17, 2014 1,864 169.9900 Simone Verri............................ July 17, 2014 2,475 169.4145 Robin A. Vince.......................... July 17, 2014 3,832 171.2004 Robin A. Vince.......................... July 17, 2014 925 171.4771 Denise A. Wyllie........................ July 17, 2014 2,627 169.9900 Jason H. Brauth......................... July 18, 2014 1,900 160.0000 Antonio F.Esteves....................... July 18, 2014 2,315 170.5517 Todd Hohman............................. July 18, 2014 2,900 160.0000 Ricardo Mora............................ July 18, 2014 5,000 165.0000 Peter C. Oppenheimer.................... July 18, 2014 1,000 170.9898 Kenneth A. Pontarelli................... July 18, 2014 1,000 165.0000 Marshall Smith.......................... July 18, 2014 1,000 171.2100 Dominic A. Wilson....................... July 18, 2014 1,047 171.2963 David H. Dase........................... July 21, 2014 238 171.0600 Gregg R. Lemkau......................... July 21, 2014 5,465 171.8113 Gwen R. Libstag*........................ July 21, 2014 1,000 172.0154 Atosa Moini............................. July 21, 2014 500 172.0000 Michael Smith........................... July 21, 2014 1,000 170.2500 Christopher A. Cole..................... July 22, 2014 2,000 173.0000 Christopher A. Cole..................... July 22, 2014 3,000 175.0000 Kenneth W. Coquillette.................. July 22, 2014 2,005 174.8320 David H. Dase........................... July 22, 2014 150 174.9300 David H. Dase........................... July 22, 2014 100 175.2600 David H. Dase........................... July 22, 2014 102 175.2700 David H. Dase........................... July 22, 2014 100 175.2900 David H. Dase........................... July 22, 2014 200 175.3000 David H. Dase........................... July 22, 2014 200 175.3100 Thomas M. Dowling....................... July 22, 2014 1,520 174.5097 Peter E. Finn........................... July 22, 2014 301 175.0268 Sheara J. Fredman....................... July 22, 2014 291 175.2569 Gwen R. Libstag......................... July 22, 2014 3,900 174.5132 Puneet Malhi............................ July 22, 2014 6,577 175.1323 Alastair J. C. Maxwell.................. July 22, 2014 4,077 173.4087 Matthew B. McClure...................... July 22, 2014 1,127 173.0866 Michael J. Millette..................... July 22, 2014 3,430 174.2130 Christopher Milner...................... July 22, 2014 4,487 175.0000 Atosa Moini............................. July 22, 2014 500 173.0000 Una M. Neary............................ July 22, 2014 2,000 174.6225 Peter C. Oppenheimer.................... July 22, 2014 1,000 175.0000 Scott M. Rofey.......................... July 22, 2014 1,000 173.4136 Harvey M. Schwartz...................... July 22, 2014 9,936 175.0000 Marshall Smith.......................... July 22, 2014 2,000 174.3610
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Price Per Share Covered Person Trade Date Number of Shares (in $) -------------- -------------- ---------------- --------------- Andrew E. Wolff......................... July 22, 2014 1,500 173.8631 Andrew E. Wolff......................... July 22, 2014 500 174.5200 W. Thomas York, Jr...................... July 22, 2014 3,000 175.0885 Mark E. Agne............................ July 23, 2014 9,253 176.4844 David Chou.............................. July 23, 2014 4,000 176.0000 Lee Guan Kelvin Koh..................... July 23, 2014 5,751 174.8700 Gwen R. Libstag*........................ July 22, 2014 4,500 175.0595 Gwen R. Libstag*........................ July 22, 2014 1,400 174.0068 Gwen R. Libstag*........................ July 22, 2014 1,000 174.0210 Gwen R. Libstag*........................ July 23, 2014 1,000 176.5020 Gwen R. Libstag*........................ July 23, 2014 2,000 176.7590 Gwen R. Libstag*........................ July 23, 2014 1,200 176.5017 Gwen R. Libstag*........................ July 23, 2014 2,200 177.0000 Atosa Moini............................. July 23, 2014 214 176.0000 Francois J. Rigou....................... July 23, 2014 3,000 176.5331 Scott M. Rofey.......................... July 23, 2014 750 176.5313 Marshall Smith.......................... July 23, 2014 1,000 176.7110 Gene T. Sykes*.......................... July 23, 2014 5,000 176.9220 Andrew E. Wolff......................... July 23, 2014 500 175.2500 Andrew E. Wolff......................... July 23, 2014 1,000 176.5000 Scott B. Barringer...................... July 24, 2014 2,000 176.0814 Isabelle Ealet.......................... July 24, 2014 1,000 176.1930 Isabelle Ealet.......................... July 24, 2014 1,000 176.5000 Roy R. Joseph........................... July 24, 2014 1,167 176.0817 Laurent Lellouche....................... July 24, 2014 2,252 176.9519 John V. Mallory......................... July 24, 2014 1,966 176.0312 Bruce H. Mendelsohn..................... July 24, 2014 1,065 176.8000 Bruce H. Mendelsohn*.................... July 24, 2014 100 176.8000 Stephen R. Pierce....................... July 24, 2014 10,927 176.7414 Theodore T. Sotir....................... July 24, 2014 5,868 175.9476 Theodore T. Sotir*...................... July 24, 2014 304 175.9476 Torrey J. Browder....................... July 25, 2014 270 175.4900 Torrey J. Browder....................... July 25, 2014 100 175.5000 Richard J. Gnodde....................... July 25, 2014 7,106 176.0213 Brett A. Olsher......................... July 25, 2014 1,425 174.9068 Brett A. Olsher......................... July 25, 2014 1,371 174.9484 Joshua S. Schiffrin..................... July 25, 2014 9,295 175.3381 Heather K. Shemilt...................... July 25, 2014 2,172 175.4708 David D. Wildermuth..................... July 25, 2014 500 175.4500 Colin Coleman........................... July 28, 2014 1,267 175.0284 Thomas W. Cornacchia.................... July 28, 2014 2,242 175.6229 Jorg H. Kukies.......................... July 28, 2014 2,249 175.0000 Christopher Milner...................... July 28, 2014 3,179 176.0000 Lora J. Robertson....................... July 28, 2014 164 175.0300 Michael S. Sherwood..................... July 28, 2014 18,315 175.6475 Steve Windsor........................... July 28, 2014 5,257 175.4471 James P. Esposito....................... July 29, 2014 6,608 176.3228 Laurent Lellouche....................... July 29, 2014 3,700 176.0150 Brian T. Levine......................... July 29, 2014 903 176.9562 Stephen R. Pierce....................... July 29, 2014 3,863 176.7935 Sheila H. Patel......................... July 30, 2014 866 175.7270 Stephen R. Pierce....................... July 30, 2014 2,575 176.6813 Stuart Riley............................ July 30, 2014 2,250 175.7005
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Price Per Share Covered Person Trade Date Number of Shares (in $) -------------- ---------------- ---------------- --------------- Christopher G. French................... July 31, 2014 779 174.8900 Brett A. Olsher......................... July 31, 2014 1,839 174.8900 Simon R. Watson......................... July 31, 2014 691 173.9386 Denise A. Wyllie........................ July 31, 2014 3,593 174.5814 Isabelle Ealet.......................... August 4, 2014 2,000 171.0000 Kate G. Richdale........................ August 4, 2014 3,000 170.6300 Massimo Della Ragione................... August 5, 2014 1,000 171.3000 Robert A. Mass.......................... August 5, 2014 5,681 171.1551 Isabelle Ealet.......................... August 6, 2014 1,392 170.0000 Isabelle Ealet.......................... August 6, 2014 1,000 170.0172 Isabelle Ealet.......................... August 6, 2014 1,000 170.1370 Isabelle Ealet.......................... August 6, 2014 1,000 170.4444 Isabelle Ealet.......................... August 6, 2014 1,000 170.4660 Eugene H. Leouzon....................... August 8, 2014 2,000 170.3000 Michael Smith........................... August 8, 2014 500 170.0000 Nick S. Advani.......................... August 11, 2014 18,535 172.9890 Nirubhan Pathmanabhan................... August 11, 2014 614 172.7500 Andrew E. Wolff......................... August 11, 2014 1,000 172.7782 Christopher A. Cole*.................... August 12, 2014 2,000 172.5000 Isabelle Ealet.......................... August 12, 2014 1,000 172.0115 Isabelle Ealet.......................... August 12, 2014 1,000 172.1790 Isabelle Ealet.......................... August 12, 2014 1,000 172.5000 Isabelle Ealet.......................... August 12, 2014 1,000 172.6270 Shigeki Kiritani........................ August 12, 2014 9,684 171.5600
* This transaction was conducted through an estate planning entity and relates to Other Shares. The following purchases of Voting Shares were made by the following Covered Persons through one or more subsidiaries of GS Inc. for cash on the New York Stock Exchange:
Price Per Share Covered Person Trade Date Number of Shares (in $) -------------- -------------- ---------------- --------------- Kenneth A. Pontarelli................... July 23, 2014 13,449 176.5218
The following charitable contributions and other transfers of shares in transactions for which no consideration was received were made by the following Covered Person:
Acquisition or Covered Person Transfer Date Number of Shares Disposition -------------- --------------- ---------------- -------------- Lee Guan Kelvin Koh......... July 7, 2014 5,751 Acquisition Stuart N. Bernstein......... July 16, 2014 59 Disposition E. Gerald Corrigan.......... July 16, 2014 2,100 Disposition Timothy J. Ingrassia........ July 18, 2014 292 Disposition Kenneth W. Coquilette....... July 22, 2014 1,444 Disposition Una M. Neary................ July 22, 2014 144 Disposition Kenneth A. Pontarelli....... July 23, 2014 570 Disposition Robert A. Berry............. July 28, 2014 1,424 Disposition Anthony H. Carpet........... August 4, 2014 100 Disposition
The following cashless exercises of stock options were effected by the following Covered Persons, with the indicated number of underlying shares withheld by the Company to satisfy the exercise price and, in certain cases, -22- applicable taxes, and the indicated number of underlying shares sold through Fidelity Brokerage Services LLC for cash on the New York Stock Exchange:
Strike Number of Sales Number of Number of Price Shares Price Shares Covered Person Date of Exercise Options (in $) Withheld (in $) Sold -------------- ---------------- --------- ------- --------- --------- --------- Eric S. Lane.................. July 16, 2014 25,000 78.78 19,099 170.4696 5,901 Peter C. Oppenheimer.......... July 16, 2014 2,000 78.78 1,434 170.4696 566 Lora J. Robertson............. July 16, 2014 17,681 78.78 13,100 170.4696 4,581 Scott A. Romanoff............. July 16, 2014 6,415 78.78 4,901 170.4696 1,514 Paul M. Russo................. July 16, 2014 10,000 78.78 7,640 170.4696 2,360 Susan J. Scher................ July 16, 2014 18,845 78.78 14,397 170.4696 4,448 Clare R. Scherrer............. July 16, 2014 15,000 78.78 10,384 170.4696 4,616 Denise A. Wyllie.............. July 16, 2014 12,010 78.78 8,610 170.4696 3,400 Steven M. Barry............... July 17, 2014 5,000 78.78 3,698 170.3724 1,302 Stuart N. Bernstein........... July 17, 2014 3,000 78.78 2,221 170.3724 779 Francois-Xavier de Mallmann... July 17, 2014 55,952 78.78 40,003 170.3724 15,949 James R. Garman............... July 17, 2014 4,169 78.78 2,981 170.3724 1,188 Peter Gross................... July 17, 2014 51,000 78.78 37,716 170.3724 13,284 Eric S. Lane.................. July 17, 2014 25,000 78.78 19,060 170.3724 5,940 Brian J. Lee.................. July 17, 2014 9,000 78.78 6,657 170.3724 2,343 J. Ronald Morgan III.......... July 17, 2014 10,990 78.78 8,129 170.3724 2,861 Jeffrey P. Nedelman........... July 17, 2014 10,000 78.78 7,624 170.3724 2,376 Timothy J. O'Neill............ July 17, 2014 24,984 78.78 18,476 170.3724 6,508 Peter C. Oppenheimer.......... July 17, 2014 3,000 78.78 2,145 170.3724 855 John J. Rafter................ July 17, 2014 22,757 78.78 16,270 170.3724 6,487 Michael J. Richman............ July 17, 2014 8,300 78.78 6,139 170.3724 2,161 Paul M. Russo................. July 17, 2014 10,000 78.78 7,624 170.3724 2,376 Suhail A. Sikhtian............ July 17, 2014 22,360 78.78 16,013 170.3724 6,347 Robin A. Vince................ July 17, 2014 5,000 78.78 3,698 170.3724 1,302 Han Song Zhu*................. July 17, 2014 11,634 78.78 11,634 170.4700 0 Steven M. Barry............... July 18, 2014 5,000 78.78 3,700 171.0077 1,300 Douglas L. Feagin............. July 18, 2014 10,000 78.78 7,233 171.0077 2,767 Matthew T. Fremont-Smith...... July 18, 2014 9,750 78.78 6,588 171.0077 3,162 Gary T. Giglio................ July 18, 2014 6,744 78.78 4,991 171.0077 1,753 Michael J. Graziano........... July 18, 2014 11,778 78.78 8,716 171.0077 3,062 Gregg R. Lemkau............... July 18, 2014 20,000 78.78 14,466 171.0077 5,534 John A. Mahoney............... July 18, 2014 20,000 78.78 15,256 171.0077 4,744 Peter C. Oppenheimer.......... July 18, 2014 3,000 78.78 2,147 171.0077 853 Paul M. Russo................. July 18, 2014 10,000 78.78 7,628 171.0077 2,372 Matthew C. Westerman.......... July 18, 2014 40,000 78.78 28,617 171.0077 11,383 Christopher A. Cole........... July 21, 2014 5,000 78.78 3,692 171.2801 1,308 Christopher A. Cole........... July 21, 2014 2,500 131.64 0 172.0000 2,500 J. Ronald Morgan III.......... July 21, 2014 10,500 78.78 7,752 171.2801 2,748 Michael J. Richman............ July 21, 2014 8,285 78.78 6,117 171.2801 2,168 Paul M. Russo................. July 21, 2014 5,000 78.78 3,806 171.2801 1,194 Frederick Towfigh............. July 21, 2014 1,778 78.78 919 171.2801 859 Philip S. Armstrong........... July 22, 2014 8,000 78.78 6,088 174.3820 1,912 Steven M. Barry............... July 22, 2014 5,000 78.78 3,690 174.3820 1,310 Frances R. Bermanzohn......... July 22, 2014 41,934 78.78 31,908 174.3820 10,026 Stuart N. Bernstein........... July 22, 2014 3,000 78.78 2,216 174.3820 784 Christopher A. Cole........... July 22, 2014 2,500 131.64 0 175.0000 2,500 Christopher A. Cole........... July 22, 2014 2,080 131.64 0 175.2519 2,080 Carl Faker.................... July 22, 2014 10,000 78.78 7,132 174.3820 2,868
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Strike Number of Sales Number of Number of Price Shares Price Shares Covered Person Date of Exercise Options (in $) Withheld (in $) Sold -------------- ---------------- --------- ------ --------- --------- --------- Gary T. Giglio................ July 22, 2014 6,745 78.78 4,978 174.3820 1,767 Michael J. Graziano........... July 22, 2014 11,778 78.78 8,691 174.3820 3,087 Peter Gross................... July 22, 2014 25,000 78.78 18,448 174.3820 6,552 Celeste A. Guth............... July 22, 2014 7,887 78.78 6,002 174.3820 1,885 Eric S. Lane.................. July 22, 2014 25,000 78.78 19,024 174.3820 5,976 George C. Lee II.............. July 22, 2014 24,618 78.78 18,226 174.3820 6,392 Deborah R. Leone.............. July 22, 2014 4,146 78.78 3,155 174.3820 991 John A. Mahoney............... July 22, 2014 16,380 78.78 12,464 174.3820 3,916 J. Ronald Morgan III.......... July 22, 2014 10,500 78.78 7,748 174.3820 2,752 David B. Philip............... July 22, 2014 50,000 78.78 38,046 174.3820 11,954 Elizabeth E. Robinson......... July 22, 2014 20,000 78.78 15,218 174.3820 4,782 David M. Solomon.............. July 22, 2014 25,000 78.78 19,023 174.3820 5,977 Michael J. Swenson............ July 22, 2014 20,000 78.78 15,218 174.3820 4,782 Frederick Towfigh............. July 22, 2014 1,778 78.78 882 174.3820 896 Dominic A. Wilson............. July 22, 2014 11,689 78.78 8,894 174.3820 2,795 Dean C. Backer................ July 23, 2014 10,875 78.78 8,234 176.4740 2,641 Steven M. Barry............... July 23, 2014 5,000 78.78 3,669 176.4740 1,331 Christopher A. Cole........... July 23, 2014 2,500 78.78 1,835 176.4740 665 Justin G. Gmelich............. July 23, 2014 40,000 78.78 29,349 176.4740 10,651 Michael J. Graziano........... July 23, 2014 11,779 78.78 8,644 176.4740 3,135 Peter Gross................... July 23, 2014 47,267 78.78 34,680 176.4740 12,587 Eric S. Lane.................. July 23, 2014 25,000 78.78 18,927 176.4740 6,073 Brian J. Lee.................. July 23, 2014 9,000 78.78 6,604 176.4740 2,396 Gwen R. Libstag............... July 23, 2014 5,243 78.78 3,970 176.4740 1,273 Paula B. Madoff............... July 23, 2014 5,000 78.78 3,786 176.4740 1,214 Michael J. Millette........... July 23, 2014 15,000 78.78 11,006 176.4740 3,994 Timothy H. Moe................ July 23, 2014 10,000 78.78 5,655 176.4740 4,345 Jeffrey P. Nedelman........... July 23, 2014 10,000 78.78 7,571 176.4740 2,429 Timothy J. O'Neill............ July 23, 2014 49,967 78.78 36,661 176.4740 13,306 Peter C. Oppenheimer.......... July 23, 2014 2,000 78.78 1,418 176.4740 582 Kenneth A. Pontarelli......... July 23, 2014 55,364 78.78 41,915 176.4740 13,449 Lorin P. Radtke............... July 23, 2014 30,000 78.78 20,424 176.4740 9,576 John J. Rafter................ July 23, 2014 34,135 78.78 24,188 176.4740 9,947 Scott A. Romanoff............. July 23, 2014 6,415 78.78 4,857 176.4740 1,558 Harvey M. Schwartz............ July 23, 2014 91,285 78.78 69,109 176.4761 22,176 Michael J. Swenson............ July 23, 2014 13,119 78.78 9,932 176.4740 3,187 Frederick Towfigh............. July 23, 2014 1,778 78.78 860 176.4740 918 Jeffrey L. Verschleiser....... July 23, 2014 32,500 78.78 24,605 176.4740 7,895 Robin A. Vince................ July 23, 2014 4,868 78.78 3,572 176.4740 1,296 Steven M. Barry............... July 24, 2014 5,000 78.78 3,658 176.4072 1,342 Craig W. Broderick............ July 24, 2014 31,460 78.78 23,013 176.4072 8,447 Christopher A. Cole........... July 24, 2014 2,500 78.78 1,829 176.4072 671 Michael J. Graziano........... July 24, 2014 11,778 78.78 8,616 176.4072 3,162 Eric S. Lane.................. July 24, 2014 25,000 78.78 18,876 176.4072 6,124 Deborah R. Leone.............. July 24, 2014 4,146 78.78 3,131 176.4072 1,015 Gwen R. Libstag............... July 24, 2014 5,243 78.78 3,959 176.4072 1,284 Puneet Malhi.................. July 24, 2014 25,000 78.78 17,654 176.4072 7,346 David M. Marcinek............. July 24, 2014 11,330 78.78 8,556 176.4072 2,774 Timothy J. O'Neill............ July 24, 2014 49,967 78.78 36,550 176.4072 13,417 Paul M. Russo................. July 24, 2014 15,000 78.78 11,326 176.4072 3,674 Esta E. Stecher............... July 24, 2014 104,868 78.78 79,180 176.4072 25,688 Frederick Towfigh............. July 24, 2014 1,778 78.78 853 176.4072 925
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Strike Number of Sales Number of Number of Price Shares Price Shares Covered Person Date of Exercise Options (in $) Withheld (in $) Sold -------------- ---------------- --------- ------ --------- --------- --------- Jeffrey L. Verschleiser....... July 24, 2014 32,500 78.78 24,539 176.4072 7,961 Robin A. Vince................ July 24, 2014 5,000 78.78 3,658 176.4072 1,342 Dean C. Backer................ July 25, 2014 10,000 78.78 7,557 175.3255 2,443 Steven M. Barry............... July 25, 2014 5,000 78.78 3,661 175.3255 1,339 Craig W. Broderick............ July 25, 2014 31,460 78.78 23,034 175.3255 8,426 William J. Conley Jr.......... July 25, 2014 15,000 78.78 10,983 175.3255 4,017 Timur F. Galen................ July 25, 2014 10,611 78.78 8,020 175.3255 2,591 Gwen R. Libstag............... July 25, 2014 5,243 78.78 3,962 175.3255 1,281 John J. Rafter................ July 25, 2014 34,135 78.78 24,130 175.3255 10,005 Stephen M. Scherr............. July 25, 2014 34,175 78.78 25,825 175.3255 8,350 Frederick Towfigh............. July 25, 2014 1,778 78.78 894 175.3255 884 Puneet Malhi.................. July 28, 2014 5,295 78.78 3,750 175.6238 1,545 Craig Packer.................. July 28, 2014 4,400 78.78 3,227 175.6238 1,173 Steven M. Barry............... July 29, 2014 5,000 78.78 3,663 176.1552 1,337 Thomas G. Connolly............ July 29, 2014 12,682 78.78 9,291 176.1552 3,391 Kenneth W. Hitchner........... July 29, 2014 104,868 78.78 76,821 176.1552 28,047 Gwen R. Libstag............... July 29, 2014 5,243 78.78 3,964 176.1552 1,279 Stephen M. Scherr............. July 29, 2014 34,175 78.78 25,837 176.1552 8,338 Michael J. Swenson............ July 29, 2014 12,500 78.78 9,451 176.1552 3,049 Paul R. Aaron................. July 30, 2014 2,236 78.78 1,692 176.0272 544 Steven M. Barry............... July 30, 2014 5,000 78.78 3,666 176.0272 1,334 Christopher G. French......... July 30, 2014 69,912 78.78 49,489 176.0272 20,423 Gwen R. Libstag............... July 30, 2014 5,243 78.78 3,967 176.0272 1,276 Paula B. Madoff............... July 30, 2014 5,000 78.78 3,783 176.0272 1,217 Heather K. Shemilt............ July 30, 2014 10,000 78.78 7,565 176.0272 2,435 Eiji Ueda..................... July 30, 2014 13,868 78.78 7,785 176.0272 6,083 Alasdair J. Warren............ July 30, 2014 6,609 78.78 2,967 176.0272 3,642 Steven M. Barry............... July 31, 2014 5,000 78.78 3,664 174.0654 1,336 Gwen R. Libstag............... July 31, 2014 5,243 78.78 3,965 174.0654 1,278 Lorin P. Radtke............... July 31, 2014 15,000 78.78 10,196 174.0654 4,804 Robin A. Vince................ July 31, 2014 5,000 78.78 3,664 174.0654 1,336 Steven M. Barry............... August 1, 2014 5,000 78.78 3,683 170.8011 1,317 William L. Jacob III.......... August 6, 2014 2,500 78.78 1,910 169.8363 590 Peter A. Seccia............... August 7, 2014 21,000 78.78 16,029 169.5731 4,971 E Gerald Corrigan............. August 12, 2014 10,000 78.78 7,370 172.2150 2,630 Puneet Malhi.................. August 12, 2014 22,855 78.78 16,276 172.2150 6,579 Paul M. Russo................. August 12, 2014 10,000 78.78 7,601 172.2150 2,399 Michael J. Swenson............ August 12, 2014 12,500 78.78 9,501 172.2150 2,999 Matthew C. Westerman.......... August 12, 2014 40,685 78.78 28,973 172.2150 11,712
* This transaction was cash settled, and did not involve the sale of stock. -25- 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 or purchased American-style standardized call options or put options on Voting Shares. The following sets forth the terms of options that were in place on August 13, 2014:
Instrument and Number of Strike Price Covered Person Position Shares (in $) Maturity Date -------------- -------------- --------- ------------ ----------------- Michelle Gill............ Call Written 8,700 180 October 18, 2014 Ming Yunn Stephanie Hui*. Call Written 8,000 175 October 18, 2014 Gwen Libstag............. Call Written 11,700 175 October 18, 2014 Gwen Libstag............. Call Written 5,300 180 October 18, 2014 Gwen Libstag*............ Call Written 9,100 170 October 18, 2014 Gwen Libstag*............ Call Written 3,800 175 October 18, 2014 Gwen Libstag*............ Call Written 5,800 180 October 18, 2014 Gwen Libstag............. Call Written 4,200 170 October 18, 2014 Raghav Maliah............ Call Written 8,500 175 October 18, 2014 Gene T. Sykes*........... Call Written 10,000 185 October 18, 2014 Philip Venables.......... Call Written 2,000 175 October 18, 2014 Jason Brauth............. Call Written 2,100 160 January 17, 2015 John Daly................ Call Written 5,000 170 January 17, 2015 Michael Graziano......... Call Written 2,200 180 January 17, 2015 Bradley Gross............ Call Written 2,000 185 January 17, 2015 Ming Yunn Stephanie Hui*. Call Written 10,000 185 January 17, 2015 Sanjeev K. Mehra......... Call Written 3,800 185 January 17, 2015 Scott Romanoff........... Call Written 800 165 January 17, 2015 Guy Saidenberg........... Call Written 10,000 175 January 17, 2015 Guy Saidenberg........... Call Written 15,000 180 January 17, 2015
* This transaction was conducted through an estate planning entity and relates to Other Shares. -26- 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: August 22, 2014 By: /s/ Beverly L. O'Toole ------------------------------ Name: Beverly L. O'Toole Title: Attorney-in-Fact -27- 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. 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)). C. 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)). D. 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)). 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. 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)). H. Amended and Restated Shareholders' Agreement, effective as of January 22, 2010 (incorporated by reference to Exhibit 10.6 to GS Inc.'s Annual Report on Form 10-K for the fiscal year ended December 31, 2009 (File No. 001-14965)).