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
-3-
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
-4-
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
-5-
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
-6-
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.
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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
-20-
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
-23-
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
-24-
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)).