0000769993-15-000628.txt : 20150605 0000769993-15-000628.hdr.sgml : 20150605 20150605192037 ACCESSION NUMBER: 0000769993-15-000628 CONFORMED SUBMISSION TYPE: MA/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150506 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS & CO CENTRAL INDEX KEY: 0000769993 IRS NUMBER: 135108880 STATE OF INCORPORATION: NY FISCAL YEAR END: 1127 FILING VALUES: FORM TYPE: MA/A SEC ACT: 1934 Act SEC FILE NUMBER: 867-01181 FILM NUMBER: 15917128 BUSINESS ADDRESS: STREET 1: 200 WEST STREET STREET 2: C/O GOLDMAN SACHS & CO CITY: NEW YORK STATE: NY ZIP: 10282 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 MA/A 1 primary_doc.xml MA/A 0000769993 XXXXXXXX Yvette Kosic 212-902-7695 yvette.kosic@gs.com kimberly.williams@gs.com kevin.treanor@gs.com GOLDMAN SACHS & CO 000000361 13-5108880 866-00183-00 008-00129 000000361 801-16048 000000361 000000361 AL AK AZ AR CA CO CT DE DC FL GA GU HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA PR RI SC SD TN TX UT VT VI VA WA WV WI National Futures Association 0002014 Depository Trust & Clearing Corporation FOR8UP27PHTHYVLBNG30 IRS FACTA DTLCMF.00000.SP.840 200 WEST STREET NEW YORK NY 10282 2129021000 Add 71 SOUTH WACKER DRIVE SUITE 500 CHICAGO IL 60606 1-312-655-4600 Add 1000 LOUISIANA STREET SUITE 550 HOUSTON TX 77002 1-713-654-8400 Add 2121 AVENUE OF THE STARS SUITE # 2600 LOS ANGELES CA 90067 1-310-407-5700 Add 555 CALIFORNIA STREET 45TH FLOOR SAN FRANCISCO CA 94104 1-415-393-7500 Add 719 2ND AVENUE SUITE 1300 SEATTLE WA 98104 1-206-613-5500 N 200 WEST STREET NEW YORK NY 10282 www.gs.com Add https://www.360.gs.com ASAHI MAZIWA POMPEY

200 WEST STREET NEW YORK NY 10282

212-902-1000 YVETTE NMN KOSIC

30 HUDSON STREET JERSEY CITY NJ 07302

212-902-1000 Add GOLDMAN, SACHS & CO. 71 SOUTH WACKER DRIVE SUITE 500 CHICAGO IL 60606 1-312-655-4600 Certain books and records. Add GOLDMAN, SACHS & CO. 1000 LOUISIANA STREET SUITE 550 HOUSTON TX 77002 1-713-654-8400 Certain books and records. Add GOLDMAN, SACHS & CO. 2121 AVENUE OF THE STARS SUITE #2600 LOS ANGELES CA 90067 1-310-407-5700 Certain books and records. Add GOLDMAN, SACHS & CO. 555 CALIFORNIA STREET 45TH FLOOR SAN FRANCISCO CA 94104 1-415-393-7500 Certain books and records. Add GOLDMAN, SACHS & CO. 719 2ND AVENUE SUITE 1300 SEATTLE WA 98104 1-206-613-5500 Certain books and records. Add ALBERTA SECURITIES COMMISSION 1580 Z4 Add AUTORITE DES MARCHES FINANCIERS (QUEBEC) 1580 Z4 Add BRITISH COLUMBIA SECURITIES COMMISSION 1580 Z4 Add MANITOBA SECURITIES COMMISSION 1580 Z4 Add NEW BRUNSWICK SECURITIES COMMISSION 1580 Z4 Add NOVA SCOTIA SECURITIES COMMISSION 1580 Z4 Add ONTARIO SECURITIES COMMISSION 1580 Z4 Add PRINCE EDWARD ISLAND OFFICE OF SUPERINTENDENT OF SECURITIES 1580 Z4 Add SASKATCHEWAN FINANCIAL SERVICES COMMISSION 1580 Z4 Add SERVICE NL, NEWFOUNDLAND AND LABRADOR 1580 Z4 Add YUKON TERRITORY OFFICE OF SUPERINTENDENT OF SECURITIES 1580 Z4 Add CHINA SECURITIES REGULATORY COMMISSION QF2003NAS005 F4 Add THE CENTRAL BANK OF REPUBLIC OF CHINA (TAIWAN) F24010002 F4 Add SECURITIES AND FUTURES BUREAU, FINANCIAL SUPERVISORY COMMISSION, EXECUTIVE YUAN (TAIWAN) F24010002 F4 Add SECURITIES AND EXCHANGE BOARD OF INDIA NUSFA022094 K7 Add SUPERINTENDENCIA FINANCIERA DE COLOMBIA F8 Add SWISS FEDERAL BANKING COMMISSION V8 Add DUBAI FINANCIAL SERVICES AUTHORITY F000532 C0 Add AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION N/A C3 Add MONETARY AUTHORITY OF SINGAPORE U0 THE GOLDMAN SACHS GROUP, INC. Y Federal Reserve Board; Federal Deposit Insurance Corporation; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K THE GOLDMAN, SACHS & CO., L.L.C. Y Securities and Exchange Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K GOLDMAN SACHS (UK) L.L.C. N GOLDMAN SACHS GROUP UK LIMITED N GOLDMAN SACHS GROUP HOLDINGS (U.K.) LIMITED N GOLDMAN SACHS INTERNATIONAL BANK Y Financial Conduct Authority; Prudential Regulation Authority; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K X0 GOLDMAN SACHS INTERNATIONAL Y Financial Conduct Authority; Prudential Regulation Authority; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K X0 GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL Y Financial Conduct Authority; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K X0 FORRES LLC N FORRES INVESTMENTS LIMITED N KPL FINANCE LIMITED N ROTHESAY LIFE (CAYMAN) LIMITED N GOLDMAN SACHS GLOBAL HOLDINGS L.L.C. N GS ASIAN VENTURE (DELAWARE) L.L.C. N GS HONY HOLDINGS I LTD. N GS (ASIA) L.P. N GOLDMAN SACHS (JAPAN) LTD. N GOLDMAN SACHS JAPAN CO., LTD. Y Financial Services Agency; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K M0 J. ARON HOLDINGS, L.P. N J. ARON & COMPANY Y Commodity Futures Trading Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K GOLDMAN SACHS ASSET MANAGEMENT, L.P. Y Securities and Exchange Commission; Commodity Futures Trading Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K GOLDMAN SACHS HEDGE FUND STRATEGIES LLC Y Securities and Exchange Commission; Commodity Futures Trading Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K GOLDMAN SACHS (CAYMAN) HOLDING COMPANY N GOLDMAN SACHS (ASIA) CORPORATE HOLDINGS L.P. N GOLDMAN SACHS HOLDINGS (HONG KONG) LIMITED N GOLDMAN SACHS (ASIA) FINANCE Y Financial Services Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K O4 GOLDMAN SACHS (ASIA) L.L.C. Y China Securities Regulatory Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K F4 J. ARON & COMPANY (SINGAPORE) PTE Y Commodity Futures Trading Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K 0473108; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K GS HOLDINGS (DELAWARE) L.L.C. II N GS LENDING PARTNERS HOLDINGS LLC N GOLDMAN SACHS LENDING PARTNERS LLC N GOLDMAN SACHS BANK USA Y Commodity Futures Trading Commission; Consumer Financial Protection Bureau; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K GOLDMAN SACHS MORTGAGE COMPANY Y Housing and Urban Development; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K GOLDMAN SACHS EXECUTION & CLEARING, L.P. Y Commodity Futures Trading Commission; Financial Industry Regulatory Authority; Securities and Exchange Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1. Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K GS FINANCIAL SERVICES II, LLC N GS FUNDING EUROPE N GS FUNDING EUROPE I LTD. N GS FUNDING EUROPE II LTD. N GS INVESTMENT STRATEGIES, LLC Y Securities and Exchange Commission; Commodity Futures Trading Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K MLQ INVESTORS, L.P. N AR HOLDINGS GK N SH WHITE FLOWER N GK FRANGIPANI N GS PIA HOLDINGS GK N CRANE HOLDINGS LTD. Y Kanto Financial Bureau; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K M0 ELQ HOLDINGS (DEL) LLC N ELQ HOLDINGS (UK) LTD N ELQ INVESTORS II LTD N GOLDMAN SACHS SPECIALTY LENDING HOLDINGS, INC. N GOLDMAN SACHS HOLDINGS ANZ PTY LIMITED N GS HLDGS ANZ II PTY LTD N GOLDMAN SACHS AUSTRALIA GROUP HOLDINGS PTY LTD Y Australian Securities & Investments Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K C3 GOLDMAN SACHS AUSTRALIA CAPITAL MARKETS LIMITED Y Australian Securities & Investments Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K C3 GOLDMAN SACHS AUSTRALIA PTY LTD Y Australian Securities & Investments Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K C3 GOLDMAN SACHS FINANCIAL MARKETS PTY LTD Y Commodity Futures Trading Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K GS FUND HOLDINGS, L.L.C. N SHOELANE, L.P. N GS FINANCIAL SERVICES L.P. (DEL) N JLQ LLC Y Tokyo Metropolitan Government; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K M0 JUPITER INVESTMENT CO., LTD. N GS DIRECT, L.L.C. N GSIP HOLDCO A LLC N SPECIAL SITUATIONS INVESTING GROUP II, LLC N MTGRP, L.L.C. N ARCHON INTERNATIONAL, INC. N ARCHON GROUP EUROPE GMBH N GOLDMAN SACHS (ASIA) L.L.C. Y Financial Services Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K O4 GOLDMAN SACHS (ASIA) L.L.C. Y Financial Supervisory Service; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K M5 GOLDMAN SACHS (ASIA) L.L.C. Y Hong Kong Securities & Futures Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K K3 GOLDMAN SACHS (ASIA) L.L.C. Y Securities and Futures Bureau, Financial Supervisory Co; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K F5 GOLDMAN SACHS BANK USA Y New York State Department of Financial Services; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K NY GS FUNDING INVESTMENTS LIMITED N GS LIQUID TRADING PLATFORM II LIMITED N GS EMEA FUNDING LIMITED PARTNERSHIP N GOLDMAN SACHS HOLDINGS (SINGAPORE) PTE. LTD. N GOLDMAN SACHS REALTY JAPAN LTD. Y Kanto Financial Bureau; Tokyo Metropolitan Government; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K M0 BLUE DAISY CO., LTD. N ELQ INVESTORS VII LIMITED N GOLDMAN SACHS GLOBAL COMMODITIES (CANADA) HOLDINGS, LP N GOLDMAN SACHS GLOBAL COMMODITIES (CANADA) CORPORATION N ARCHON GROUP EUROPE GMBH N BROAD STREET PRINCIPAL INVESTMENTS, L.L.C. N BROAD STREET CREDIT HOLDINGS LLC N GSFS INVESTMENTS I CORP. N GS INDIA HOLDINGS L.P. N GS DIVERSIFIED FUNDING LLC N HULL TRADING ASIA LIMITED N GOLDMAN SACHS LLC Y Financial Services Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K O4 GOLDMAN SACHS VENTURE LLC Y Financial Services Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K O4 ARCHON GROUP DEUTSCHLAND GMBH N GOLDMAN SACHS PARIS INC. ET CIE Y Commodity Futures Trading Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K 0247167; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K GOLDMAN SACHS (SINGAPORE) PTE. Y Australian Securities & Investments Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K C3 GOLDMAN SACHS (SINGAPORE) PTE. Y Monetary Authority of Singapore; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K U0 GOLDMAN SACHS INVESTMENTS (MAURITIUS) I LIMITED Y Financial Services Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K O4 GOLDMAN SACHS INVESTMENTS (MAURITIUS) I LIMITED Y Securities and Exchange Board of India; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K K7 December NY 01-03-1927 Y 0000769993 13036 1 93 93 0 0 1 Municipal Entities Non-profit organizations Corporations or other businesses 0 0 0 Not Applicable Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice Guaranteed IC Advice Use Of MD Y Y Y Y Y Y Y Y Y Y Y Y Y Broker-dealer municipal securities dealer or government securities broker or dealer Investment Company Investment Adviser Swap Dealer Commodity pool operator Commodity trading advisor Futures commission merchant Banking/Thrift institution Trust Company Insurance company or agency Sponsor or syndicator of limited partnerships 238 Add Investment Adviser Commodity pool operator GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL N Y Y Alberta Securities Commission Z4 British Columbia Securities Commission Z4 Ontario Securities Commission Z4 Quebec, Financial Markets Authority Z4 China Securities Regulatory Commission F4 Financial Services Board T3 Financial Supervisory Commission / Financial Supervisory Service M5 Financial Conduct Authority X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser GOLDMAN SACHS (ASIA) L.L.C. GOLDMAN SACHS (ASIA) L.L.C. N Y Y Australian Securities and Investments Commission C3 China Securities Regulatory Commission F4 Securities and Futures Commission K3 FINANCIAL SUPERVISORY COMMISSION M5 KOREA FINANCIAL INVESTMENT ASSOCIATION M5 KOREA EXCHANGE M5 KOREA MINISTRY OF STRATEGY AND FINANCE M5 DEPOSITORY & CLEARING CORPORATION F5 GRETAI SECURITIES MARKET F5 TAIWAN SECURITIES ASSOCIATION F5 TAIWAN STOCK EXCHANGE F5 Financial Supervisory Commission / Financial Supervisory Service M5 Securities and Exchange Commission W1 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS (SINGAPORE) PTE GOLDMAN SACHS (SINGAPORE) PTE N Y Y Australian Securities and Investments Commission C3 Monetary Authority of Singapore U0 Add Investment Adviser Commodity pool operator Commodity trading advisor Sponsor or syndicator of limited partnerships GOLDMAN SACHS HEDGE FUND STRATEGIES LLC GOLDMAN SACHS HEDGE FUND STRATEGIES LLC N Y Y Alberta Securities Commission Z4 British Columbia Securities Commission Z4 Ontario Securities Commission Z4 Quebec, Financial Markets Authority Z4 Add Investment Adviser Commodity pool operator Commodity trading advisor GOLDMAN SACHS ASSET MANAGEMENT, L.P. GOLDMAN SACHS ASSET MANAGEMENT, L.P. N Y Y Alberta Securities Commission Z4 British Columbia Securities Commission Z4 Manitoba Securities Commission Z4 Ontario Securities Commission Z4 Saskatchewan Financial Services Commission Z4 FINANCIAL MARKETS AUTHORITY Z4 Securities and Exchange Board of India K7 Central Bank of Ireland L2 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Swap Dealer GOLDMAN SACHS INTERNATIONAL GOLDMAN SACHS INTERNATIONAL N Y Y Australian Securities and Investments Commission C3 Alberta Securities Commission Z4 British Columbia Securities Commission Z4 Manitoba Securities Commission Z4 New Brunswick Securities Commission Z4 Nova Scotia Securities Commission Z4 Ontario Securities Commission Z4 Saskatchewan Financial Services Commission Z4 German Federal Financial Supervisory Agency 2M National Stock Exchange Commission L6 The Netherlands Authority for the Financial Markets P7 AUTORITE MARCHE FINANCIERS - QUEBEC Z4 AGENCE FRANCE TRESOR I0 THE IRISH PANEL ON TAKEOVER AND MERGERS (ITP) L2 POLISH FINANCIAL SUPERVISORY AUTHORITY (KNF) R9 QATAR FINANCIAL CENTRE REGULATORY AUTHORITY S3 DUBAI FINANCIAL SERVICES AUTHORITY C0 THE PANEL ON TAKEOVER AND MERGERS (LTP) X0 Financial Services Board T3 National Commission of Securities Markets U3 Swedish Financial Supervisory Authority V7 Swiss Financial Market Supervisory Authority V8 Financial Conduct Authority X0 Prince Edward Island Office of Superintendent of Securities Z4 Service NL (Newfoundland and Labrador) Z4 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Swap Dealer GOLDMAN SACHS JAPAN CO., LTD. GOLDMAN SACHS JAPAN CO., LTD. N Y Y BANK OF JAPAN M0 FINANCIAL FUTURES ASSOCIATION OF JAPAN M0 KANTO FINANCIAL BUREAU M0 MINISTRY OF ECONOMY, TRADE AND INDUSTRY M0 MINISTRY OF FINANCE M0 SECURITIES AND EXCHANGE SURVEILLANCE COMMISSION M0 TOKYO METROPOLITAN GOVERNMENT M0 Deposit Insurance Corporation of Japan M0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Swap Dealer GOLDMAN SACHS FINANCIAL MARKETS PTY LTD. GOLDMAN SACHS FINANCIAL MARKETS PTY LTD. N Y Y Australian Securities and Investments Commission C3 AUSTRALIAN TRANSACTION REPORTS AND ANALYSIS CENTRE (AUSTRAC) C3 Add Insurance company or agency THE AYCO SERVICES AGENCY, L.P. THE AYCO SERVICES AGENCY, L.P. N Y N Add Insurance company or agency THE AYCO SERVICES INSURANCE AGENCY, INC. THE AYCO SERVICES INSURANCE AGENCY, INC. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS (MONACO) S.A.M. GOLDMAN SACHS (MONACO) S.A.M. N Y Y COMMISSION DE CONTROLE DES ACTIVITIES FINANCIERES O9 Add Banking/Thrift institution GOLDMAN SACHS AG GOLDMAN SACHS AG N Y Y German Federal Financial Supervisory Agency 2M DEUTSCHE BUNDESBANK 2M Add Banking/Thrift institution GOLDMAN SACHS BANK AG GOLDMAN SACHS BANK AG N Y Y SWISS BANKERS ASSOCIATION V8 SWISS FEDERAL BANKING COMMISSION V8 SWISS NATIONAL BANK V8 Add Swap Dealer Banking/Thrift institution GOLDMAN SACHS BANK USA GOLDMAN SACHS BANK USA N Y Y Financial Conduct Authority X0 Prudential Regulation Authority X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer GOLDMAN SACHS CANADA INC. GOLDMAN SACHS CANADA INC. N Y Y INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA Z4 Add Investment Adviser Commodity pool operator Commodity trading advisor Banking/Thrift institution GOLDMAN SACHS DO BRASIL BANCO MULTIPLO S.A. GOLDMAN SACHS DO BRASIL BANCO MULTIPLO S.A. N Y Y Securities and Exchange Commission D5 ANBIMA D5 BACEN D5 Add Broker-dealer municipal securities dealer or government securities broker or dealer Futures commission merchant GOLDMAN SACHS EXECUTION & CLEARING, L.P. GOLDMAN SACHS EXECUTION & CLEARING, L.P. N Y Y Alberta Securities Commission Z4 Autorite Marche Financiers - AMF A8 British Columbia Securities Commission Z4 Investment Industry Regulatory Organization of Canada Z4 Manitoba Securities Commission Z4 New Brunswick Securities Commission Z4 Nova Scotia Securities Commission Z4 Ontario Securities Commission E4 Prince Edward Island Office of Superintendent of Securities Z4 Saskatchewan Financial Services Commission Z4 Service NL (Newfoundland and Labrador) Z4 Yukon Securities Office Superintendent of Securities Z4 Add Broker-dealer municipal securities dealer or government securities broker or dealer Swap Dealer GOLDMAN SACHS FINANCIAL MARKETS, L.P. GOLDMAN SACHS FINANCIAL MARKETS, L.P. N Y N Add Investment Adviser GOLDMAN SACHS GESTION S.G.I.I.C. S.A GOLDMAN SACHS GESTION S.G.I.I.C. S.A N Y Y National Commission of Securities Markets U3 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Swap Dealer Banking/Thrift institution GOLDMAN SACHS PARIS INC. ET CIE GOLDMAN SACHS PARIS INC. ET CIE N Y Y Financial Markets Authority I0 PRUDENTIAL CONTROL AND RESOLUTION AUTHORITY (ACPR) I0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser GOLDMAN SACHS AUSTRALIA PTY LTD GOLDMAN SACHS AUSTRALIA PTY LTD N Y Y Australian Securities and Investments Commission C3 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS SAUDI ARABIA GOLDMAN SACHS SAUDI ARABIA N Y Y CAPITAL MARKET AUTHORITY OF SAUDI ARABIA T0 Add Trust Company GOLDMAN SACHS TRUST COMPANY OF DELAWARE GOLDMAN SACHS TRUST COMPANY OF DELAWARE N Y N Add Investment Adviser Commodity pool operator Commodity trading advisor Sponsor or syndicator of limited partnerships GS INVESTMENT STRATEGIES, LLC GS INVESTMENT STRATEGIES, LLC N Y Y Alberta Securities Commission Z4 British Columbia Securities Commission Z4 Ontario Securities Commission Z4 Quebec, Financial Markets Authority Z4 Add Broker-dealer municipal securities dealer or government securities broker or dealer MERCER ALLIED COMPANY, L.P. MERCER ALLIED COMPANY, L.P. N Y N Add Investment Adviser THE AYCO COMPANY,L.P. THE AYCO COMPANY,L.P. N Y N Add Trust Company THE GOLDMAN SACHS TRUST COMPANY, NATIONAL ASSOCIATION THE GOLDMAN SACHS TRUST COMPANY, NATIONAL ASSOCIATION N Y N Add Sponsor or syndicator of limited partnerships AWH GLOBAL GEN-PAR, L.L.C. AWH GLOBAL GEN-PAR, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships STONE STREET 1996, L.L.C. STONE STREET 1996, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships STONE STREET 1997 REALTY, L.L.C. STONE STREET 1997 REALTY, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships STONE STREET 1998 REALTY, L.L.C. STONE STREET 1998 REALTY, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships CARIBBEAN FUND GEN-PAR 2005, LLC CARIBBEAN FUND GEN-PAR 2005, LLC N Y N Add Sponsor or syndicator of limited partnerships GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE PARTNERS (GERMANY) GP, LLC GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE PARTNERS (GERMANY) GP, LLC N Y N Add Sponsor or syndicator of limited partnerships GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE PARTNERS (US) GP, LLC GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE PARTNERS (US) GP, LLC N Y N Add Sponsor or syndicator of limited partnerships GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE FUND GP, L.L.C. GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE FUND GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS INFRASTRUCTURE PARTNERS I EMPLOYEE FUNDS GP, L.L.C. GS INFRASTRUCTURE PARTNERS I EMPLOYEE FUNDS GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS INFRASTRUCTURE ADVISORS 2006, L.L.C. GS INFRASTRUCTURE ADVISORS 2006, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS INFRASTRUCTURE ADVISORS 2008, L.L.C. GS INFRASTRUCTURE ADVISORS 2008, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS INTERNATIONAL INFRASTRUCTURE ADVISORS 2008, LTD. GS INTERNATIONAL INFRASTRUCTURE ADVISORS 2008, LTD. N Y N Add Sponsor or syndicator of limited partnerships GS OPPORTUNITY ADVISORS, LTD. GS OPPORTUNITY ADVISORS, LTD. N Y N Add Sponsor or syndicator of limited partnerships GS OPPORTUNITY ADVISORS, L.L.C. GS OPPORTUNITY ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships OPPORTUNITY PARTNERS OFFSHORE-B CO-INVEST AIV ADVISORS, LTD. OPPORTUNITY PARTNERS OFFSHORE-B CO-INVEST AIV ADVISORS, LTD. N Y N Add Sponsor or syndicator of limited partnerships GOLDMAN, SACHS MANAGEMENT GP GMBH GOLDMAN, SACHS MANAGEMENT GP GMBH N Y N Add Sponsor or syndicator of limited partnerships GS ADVISORS 2000, L.L.C. GS ADVISORS 2000, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GSCP III MANAGING PARTNER AG & CO. KG GSCP III MANAGING PARTNER AG & CO. KG N Y N Add Sponsor or syndicator of limited partnerships GS ADVISORS III, L.L.C. GS ADVISORS III, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS ADVISORS V, L.L.C. GS ADVISORS V, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS ADVISORS V AIV, LTD. GS ADVISORS V AIV, LTD. N Y N Add Sponsor or syndicator of limited partnerships GS CAPITAL PARTNERS VI EMPLOYEE FUNDS GP, L.L.C. GS CAPITAL PARTNERS VI EMPLOYEE FUNDS GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS CAPITAL PARTNERS VI GMBH & CO. KG GS CAPITAL PARTNERS VI GMBH & CO. KG N Y N Add Sponsor or syndicator of limited partnerships GS ADVISORS VI, L.L.C. GS ADVISORS VI, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS ADVISORS VI AIV, LTD. GS ADVISORS VI AIV, LTD. N Y N Add Sponsor or syndicator of limited partnerships GS LOAN PARTNERS I EMPLOYEE FUNDS GP, L.L.C. GS LOAN PARTNERS I EMPLOYEE FUNDS GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS LOAN PARTNERS I OFFSHORE ADVISORS B, LTD. GS LOAN PARTNERS I OFFSHORE ADVISORS B, LTD. N Y N Add Sponsor or syndicator of limited partnerships GS LOAN PARTNERS I OFFSHORE ADVISORS C, LTD. GS LOAN PARTNERS I OFFSHORE ADVISORS C, LTD. N Y N Add Sponsor or syndicator of limited partnerships GS LOAN PARTNERS I ONSHORE ADVISORS, L.L.C. GS LOAN PARTNERS I ONSHORE ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS LOAN PARTNERS I ADVISORS, LTD. GS LOAN PARTNERS I ADVISORS, LTD. N Y N Add Sponsor or syndicator of limited partnerships GS MEZZANINE ADVISORS 2006, L.L.C. GS MEZZANINE ADVISORS 2006, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS MEZZANINE ADVISORS II, L.L.C. GS MEZZANINE ADVISORS II, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS MEZZANINE ADVISORS III, L.L.C. GS MEZZANINE ADVISORS III, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS MEZZANINE PARTNERS V EMPLOYEE FUNDS GP, L.L.C. GS MEZZANINE PARTNERS V EMPLOYEE FUNDS GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS MEZZANINE PARTNERS V INSTITUTIONAL FUND, L.L.C. GS MEZZANINE PARTNERS V INSTITUTIONAL FUND, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS MEZZANINE ADVISORS V, L.L.C. GS MEZZANINE ADVISORS V, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS MEZZANINE PARTNERS V OFFSHORE FUND, L.L.C. GS MEZZANINE PARTNERS V OFFSHORE FUND, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS MEZZANINE PARTNERS V ONSHORE FUND, L.L.C. GS MEZZANINE PARTNERS V ONSHORE FUND, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS REAL ESTATE MEZZANINE PARTNERS (CAYMAN) GP, L.L.C. GS REAL ESTATE MEZZANINE PARTNERS (CAYMAN) GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS REAL ESTATE MEZZANINE PARTNERS (CORPORATE) GP, L.L.C. GS REAL ESTATE MEZZANINE PARTNERS (CORPORATE) GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS REAL ESTATE MEZZANINE PARTNERS (TREATY) GP, LTD. GS REAL ESTATE MEZZANINE PARTNERS (TREATY) GP, LTD. N Y N Add Sponsor or syndicator of limited partnerships GS REAL ESTATE MEZZANINE PARTNERS (U.S.) GP, L.L.C. GS REAL ESTATE MEZZANINE PARTNERS (U.S.) GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GOLDMAN SACHS REAL ESTATE MEZZANINE PARTNERS PMD FUNDS G.P., L.L.C. GOLDMAN SACHS REAL ESTATE MEZZANINE PARTNERS PMD FUNDS G.P., L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GOLDMAN SACHS REAL ESTATE ADVISORS, L.L.C. GOLDMAN SACHS REAL ESTATE ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships W2007 FINANCE SUB, LLC W2007 FINANCE SUB, LLC N Y N Add Sponsor or syndicator of limited partnerships GSPX CARRIX LLC GSPX CARRIX LLC N Y N Add Sponsor or syndicator of limited partnerships AUGUSTA ADVISORS, L.L.C AUGUSTA ADVISORS, L.L.C N Y N Add Sponsor or syndicator of limited partnerships GS BMET OFFSHORE ADVISORS, INC. GS BMET OFFSHORE ADVISORS, INC. N Y N Add Sponsor or syndicator of limited partnerships GS BMET ADVISORS, L.L.C. GS BMET ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS CABLE ADVISORS, L.L.C. GS CABLE ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS DGC OFFSHORE ADVISORS, INC. GS DGC OFFSHORE ADVISORS, INC. N Y N Add Sponsor or syndicator of limited partnerships GS DGC ADVISORS, L.L.C. GS DGC ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS EDMC ADVISORS, L.L.C. GS EDMC ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS ISS ADVISORS, L.L.C. GS ISS ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS KMI ADVISORS, L.L.C. GS KMI ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS TXU OFFSHORE ADVISORS, INC. GS TXU OFFSHORE ADVISORS, INC. N Y N Add Sponsor or syndicator of limited partnerships GS TXU ADVISORS, L.L.C. GS TXU ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GOLDMAN SACHS YES INVESTORS ADVISORS, L.L.C GOLDMAN SACHS YES INVESTORS ADVISORS, L.L.C N Y N Add Sponsor or syndicator of limited partnerships GS LVB ADVISORS, L.L.C. GS LVB ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GSCP EXPRO ADVISORS OFFSHORE, INC. GSCP EXPRO ADVISORS OFFSHORE, INC. N Y N Add Sponsor or syndicator of limited partnerships GSCP KMI OFFSHORE ADVISORS, INC. GSCP KMI OFFSHORE ADVISORS, INC. N Y N Add Sponsor or syndicator of limited partnerships GSCP KMI ADVISORS, L.L.C. GSCP KMI ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships STONE STREET REALTY 2000, L.L.C. STONE STREET REALTY 2000, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships WH ADVISORS, L.L.C. XI WH ADVISORS, L.L.C. XI N Y N Add Sponsor or syndicator of limited partnerships WH ADVISORS, L.L.C. XIII WH ADVISORS, L.L.C. XIII N Y N Add Sponsor or syndicator of limited partnerships WH PARALLEL ADVISORS, L.L.C. XIII WH PARALLEL ADVISORS, L.L.C. XIII N Y N Add Sponsor or syndicator of limited partnerships WH ADVISORS, L.L.C. VII WH ADVISORS, L.L.C. VII N Y N Add Sponsor or syndicator of limited partnerships WH ADVISORS, L.L.C. VIII WH ADVISORS, L.L.C. VIII N Y N Add Sponsor or syndicator of limited partnerships WH ADVISORS, L.L.C. IX WH ADVISORS, L.L.C. IX N Y N Add Sponsor or syndicator of limited partnerships WH ADVISORS, L.L.C. X WH ADVISORS, L.L.C. X N Y N Add Sponsor or syndicator of limited partnerships WH PARALLEL ADVISORS, L.L.C. 2001 WH PARALLEL ADVISORS, L.L.C. 2001 N Y N Add Sponsor or syndicator of limited partnerships WH ADVISORS, L.L.C. 2001 WH ADVISORS, L.L.C. 2001 N Y N Add Sponsor or syndicator of limited partnerships WH INTERNATIONAL ADVISORS, L.L.C. 2001 WH INTERNATIONAL ADVISORS, L.L.C. 2001 N Y N Add Sponsor or syndicator of limited partnerships WH ADVISORS, L.L.C. 2005 WH ADVISORS, L.L.C. 2005 N Y N Add Sponsor or syndicator of limited partnerships WHITEHALL STREET EMPLOYEE FUNDS 2005 GP, L.L.C. WHITEHALL STREET EMPLOYEE FUNDS 2005 GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships WH INTERNATIONAL ADVISORS, L.L.C. 2005 WH INTERNATIONAL ADVISORS, L.L.C. 2005 N Y N Add Sponsor or syndicator of limited partnerships WHITEHALL STREET EMPLOYEE FUNDS 2007 GP, L.L.C. WHITEHALL STREET EMPLOYEE FUNDS 2007 GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships WH PARALLEL ADVISORS, L.L.C. 2007 WH PARALLEL ADVISORS, L.L.C. 2007 N Y N Add Sponsor or syndicator of limited partnerships WH ADVISORS, L.L.C. 2007 WH ADVISORS, L.L.C. 2007 N Y N Add Sponsor or syndicator of limited partnerships WHITEHALL STREET EMPLOYEE FUNDS 2008 GP, L.L.C. WHITEHALL STREET EMPLOYEE FUNDS 2008 GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships WH INTERNATIONAL (LUX INVESTOR) ADVISORS, L.L.C. 2008 WH INTERNATIONAL (LUX INVESTOR) ADVISORS, L.L.C. 2008 N Y N Add Sponsor or syndicator of limited partnerships WH INTERNATIONAL ADVISORS, L.L.C. 2008 WH INTERNATIONAL ADVISORS, L.L.C. 2008 N Y N Add Sponsor or syndicator of limited partnerships MBD 2011 OFFSHORE ADVISORS, INC. MBD 2011 OFFSHORE ADVISORS, INC. N Y N Add Sponsor or syndicator of limited partnerships GOLDMAN SACHS CAPITAL PARTNERS V-I GP, L.L.C. GOLDMAN SACHS CAPITAL PARTNERS V-I GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships BRIDGE STREET 2012 ADVISORS, L.L.C. BRIDGE STREET 2012 ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships BRIDGE STREET 2012 OFFSHORE ADVISORS, INC. BRIDGE STREET 2012 OFFSHORE ADVISORS, INC. N Y N Add Sponsor or syndicator of limited partnerships AWH EMPLOYEE GEN-PAR, L.L.C. AWH EMPLOYEE GEN-PAR, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GOLDMAN SACHS REAL ESTATE ADVISORS GERMANY GMBH GOLDMAN SACHS REAL ESTATE ADVISORS GERMANY GMBH N Y N Add Sponsor or syndicator of limited partnerships WHITEHALL PARALLEL GLOBAL REAL ESTATE LIMITED PARTNERSHIP 2007 WHITEHALL PARALLEL GLOBAL REAL ESTATE LIMITED PARTNERSHIP 2007 N Y N Add Sponsor or syndicator of limited partnerships BROAD STREET (BEIJING) INVESTMENT MANAGEMENT CENTRE (LIMITED PARTNERSHIP) BROAD STREET (BEIJING) INVESTMENT MANAGEMENT CENTRE (LIMITED PARTNERSHIP) N Y N Add Sponsor or syndicator of limited partnerships GS CAPITAL PARTNERS V EMPLOYEE FUNDS GP, L.L.C. GS CAPITAL PARTNERS V EMPLOYEE FUNDS GP, L.L.C. N Y N Add Investment Adviser GOLDMAN SACHS REALTY MANAGEMENT, L.P. GOLDMAN SACHS REALTY MANAGEMENT, L.P. N Y N Add Sponsor or syndicator of limited partnerships GS LUX MANAGEMENT SERVICES S.A R.L. GS LUX MANAGEMENT SERVICES S.A R.L. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Swap Dealer J. ARON & COMPANY J. ARON & COMPANY N Y N Add Sponsor or syndicator of limited partnerships WHITEHALL MANAGEMENT SERVICES B.V. WHITEHALL MANAGEMENT SERVICES B.V. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Company GOLDMAN SACHS (INDIA) SECURITIES PRIVATE LIMITED GOLDMAN SACHS (INDIA) SECURITIES PRIVATE LIMITED N Y Y Securities and Exchange Board of India K7 NATIONAL STOCK EXCHANGE OF INDIA LIMITED K7 Add Sponsor or syndicator of limited partnerships BLUE DAISY TK BLUE DAISY TK N Y N Add Sponsor or syndicator of limited partnerships CAPITAL ELEMENTS TK CAPITAL ELEMENTS TK N Y N Add Sponsor or syndicator of limited partnerships ENDEAVOR PRIVATE FUND TK ENDEAVOR PRIVATE FUND TK N Y N Add Sponsor or syndicator of limited partnerships JAPAN HOTEL ALLIANCE TK JAPAN HOTEL ALLIANCE TK N Y N Add Sponsor or syndicator of limited partnerships K.K. OKINAWA UMINOSONO K.K. OKINAWA UMINOSONO N Y N Add Sponsor or syndicator of limited partnerships KAWASAKI HOLDINGS TK KAWASAKI HOLDINGS TK N Y N Add Sponsor or syndicator of limited partnerships KEISEN KAIHATSU TK KEISEN KAIHATSU TK N Y N Add Sponsor or syndicator of limited partnerships KINMIRAI CREATE TK KINMIRAI CREATE TK N Y N Add Sponsor or syndicator of limited partnerships NORTH LAND TK NORTH LAND TK N Y N Add Sponsor or syndicator of limited partnerships TAKASU TK TAKASU TK N Y N Add Sponsor or syndicator of limited partnerships TE CAPITAL TK TE CAPITAL TK N Y N Add Sponsor or syndicator of limited partnerships GK IZUMO CAPITAL GK IZUMO CAPITAL N Y N Add Sponsor or syndicator of limited partnerships GK JUPITER INVESTMENT II GK JUPITER INVESTMENT II N Y N Add Sponsor or syndicator of limited partnerships GK MISHIMA CAPITAL GK MISHIMA CAPITAL N Y N Add Sponsor or syndicator of limited partnerships GK SHIROKAWA GK SHIROKAWA N Y N Add Sponsor or syndicator of limited partnerships GK TERAMACHI CAPITAL GK TERAMACHI CAPITAL N Y N Add Sponsor or syndicator of limited partnerships CRANE HOLDINGS LTD. CRANE HOLDINGS LTD. N Y N Add Sponsor or syndicator of limited partnerships GS TK HOLDINGS II GK GS TK HOLDINGS II GK N Y N Add Sponsor or syndicator of limited partnerships GS TK HOLDINGS IV GK GS TK HOLDINGS IV GK N Y N Add Banking/Thrift institution Sponsor or syndicator of limited partnerships THE GOLDMAN SACHS GROUP, INC. THE GOLDMAN SACHS GROUP, INC. Y N N Add Investment Adviser GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser GOLDMAN SACHS AUSTRALIA MANAGED FUNDS LIMITED GOLDMAN SACHS AUSTRALIA MANAGED FUNDS LIMITED N Y Y Australian Securities and Investments Commission C3 Add Sponsor or syndicator of limited partnerships GSAM (GMS CAYMAN GP) LTD. GSAM (GMS CAYMAN GP) LTD. N Y N Add Sponsor or syndicator of limited partnerships SHAREHOLDER - GS INVESTMENT PARTNERS (MAURITIUS) I LIMITED SHAREHOLDER - GS INVESTMENT PARTNERS (MAURITIUS) I LIMITED N Y N Add Sponsor or syndicator of limited partnerships GOLDMAN SACHS MUTLI-STRATEGY FUND PALMETTO STATE ADVSIORS, L.L.C. GOLDMAN SACHS MUTLI-STRATEGY FUND PALMETTO STATE ADVSIORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships LIBERTY HARBOR DISTRESSED CREDIT LIBERTY HARBOR DISTRESSED CREDIT N Y N Add Sponsor or syndicator of limited partnerships GOLDMAN SACHS CONVERTIBLE OPPORTUNITIES GP, LLC GOLDMAN SACHS CONVERTIBLE OPPORTUNITIES GP, LLC N Y N Add Sponsor or syndicator of limited partnerships GS JRVR OFFSHORE ADVISORS, INC. GS JRVR OFFSHORE ADVISORS, INC. N Y N Add Sponsor or syndicator of limited partnerships GS MBEYE ADVISORS, L.L.C. GS MBEYE ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS MERCHANT BANKING ACCESS 2006 ADVISORS, L.L.C. GS MERCHANT BANKING ACCESS 2006 ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS CONCENTRATED ENERGY OFFSHORE HOLDINGS ADVISORS, INC. GS CONCENTRATED ENERGY OFFSHORE HOLDINGS ADVISORS, INC. N Y N Add Sponsor or syndicator of limited partnerships GS CONCENTRATED ENERGY OFFSHORE ADVISORS, INC. GS CONCENTRATED ENERGY OFFSHORE ADVISORS, INC. N Y N Add Sponsor or syndicator of limited partnerships GS CONCENTRATED ENERGY ADVISORS, L.L.C. GS CONCENTRATED ENERGY ADVISORS, L.L.C. N Y N Add Investment Adviser GOLDMAN SACHS INVESTMENT ADVISORY KOREA CO., LTD. GOLDMAN SACHS INVESTMENT ADVISORY KOREA CO., LTD. N Y Y Financial Supervisory Commission / Financial Supervisory Service M5 Add Investment Adviser GOLDMAN SACHS (LABUAN) INVESTMENT BANK LIMITED GOLDMAN SACHS (LABUAN) INVESTMENT BANK LIMITED N Y Y LABUAN OFFSHORE FINANCIAL SERVICES AUTHORITY N8 Add Sponsor or syndicator of limited partnerships BROAD STREET ENERGY ADVISORS AIV-1, L.L.C. BROAD STREET ENERGY ADVISORS AIV-1, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships BROAD STREET ENERGY ADVISORS, L.L.C. BROAD STREET ENERGY ADVISORS, L.L.C. N Y N Add Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS BROAD STREET (BEIJING) EQUITY INVESTMENT MANAGEMENT CO., LTD. GOLDMAN SACHS BROAD STREET (BEIJING) EQUITY INVESTMENT MANAGEMENT CO., LTD. N Y N Add Sponsor or syndicator of limited partnerships KALORAMA GP, L.L.C. KALORAMA GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships SATURN FUND ADVISORS, INC. SATURN FUND ADVISORS, INC. N Y N Add Sponsor or syndicator of limited partnerships SHOELANE GP, L.L.C. SHOELANE GP, L.L.C. N Y N Add Investment Adviser GOLDMAN SACHS SERVICES LIMITED GOLDMAN SACHS SERVICES LIMITED N Y N Add Investment Adviser GOLDMAN SACHS GLOBAL SERVICES II LIMITED GOLDMAN SACHS GLOBAL SERVICES II LIMITED N Y N Add Sponsor or syndicator of limited partnerships STONE STREET 1999 REALTY, L.L.C. STONE STREET 1999 REALTY, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships BRIDGE STREET 2011 OFFSHORE ADVISORS, INC. BRIDGE STREET 2011 OFFSHORE ADVISORS, INC. N Y N Add Sponsor or syndicator of limited partnerships BRIDGE STREET 2011 ADVISORS, L.L.C. BRIDGE STREET 2011 ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS EMPLOYEE FUNDS 2000 GP, L.L.C. GS EMPLOYEE FUNDS 2000 GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships BRIDGE STREET SPECIAL OPPORTUNITIES 2000, L.L.C. BRIDGE STREET SPECIAL OPPORTUNITIES 2000, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS EMPLOYEE FUNDS 2000 OFFSHORE GP, L.L.C. GS EMPLOYEE FUNDS 2000 OFFSHORE GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GOLDMAN SACHS REAL ESTATE PARTNERS EMPLOYEE FUNDS GP, L.L.C. GOLDMAN SACHS REAL ESTATE PARTNERS EMPLOYEE FUNDS GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships MBD 2011 ADVISORS, L.L.C. MBD 2011 ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS MEZZANINE PARTNERS 2006 EMPLOYEE FUNDS GP, L.L.C. GS MEZZANINE PARTNERS 2006 EMPLOYEE FUNDS GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS MEZZANINE PARTNERS III EMPLOYEE FUNDS GP, L.L.C. GS MEZZANINE PARTNERS III EMPLOYEE FUNDS GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GUARD CONTROL PMD GP, L.L.C. GUARD CONTROL PMD GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships STONE STREET 2000, L.L.C. STONE STREET 2000, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships CIP 2011 PARTNERS OFFSHORE ADVISORS, INC. CIP 2011 PARTNERS OFFSHORE ADVISORS, INC. N Y N Add Sponsor or syndicator of limited partnerships CIP 2011 PARTNERS ADVISORS, L.L.C. CIP 2011 PARTNERS ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships WHITEHALL STREET EMPLOYEE FUNDS 2001 GP, L.L.C. WHITEHALL STREET EMPLOYEE FUNDS 2001 GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS RENEWABLE HOLDINGS GK GS RENEWABLE HOLDINGS GK N Y N Add Sponsor or syndicator of limited partnerships GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE COMPANY GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE COMPANY N Y N Add Insurance company or agency ARROW REINSURANCE COMPANY, LIMITED ARROW REINSURANCE COMPANY, LIMITED N Y Y BERMUDA MINISTRY OF FINANCE D0 Add Broker-dealer municipal securities dealer or government securities broker or dealer CATUMNAL NOMINEES PTY LTD. CATUMNAL NOMINEES PTY LTD. N Y Y Australian Securities and Investments Commission C3 Add Broker-dealer municipal securities dealer or government securities broker or dealer DEVELOPMENT SECURITIES LIMITED DEVELOPMENT SECURITIES LIMITED N Y Y NEW ZEALAND COMPANIES OFFICE Q2 Add Investment Company Sponsor or syndicator of limited partnerships GSAM STABLE VALUE, LLC GSAM STABLE VALUE, LLC N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer GOLDMAN SACHS (ASIA) FINANCE GOLDMAN SACHS (ASIA) FINANCE N Y N Add Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS (CHINA) L.L.C. GOLDMAN SACHS (CHINA) L.L.C. N Y N Add Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS ASSET MANAGEMENT (INDIA) PRIVATE LIMITED GOLDMAN SACHS ASSET MANAGEMENT (INDIA) PRIVATE LIMITED N Y Y Securities and Exchange Board of India K7 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS ASSET MANAGEMENT CO., LTD GOLDMAN SACHS ASSET MANAGEMENT CO., LTD N Y Y Financial Services Agency M0 KANTO FINANCIAL BUREAU M0 MINISTRY OF LAND, INFRASTRUCTURE, TRANSPORT AND TOURISM M0 SECURITIES AND EXCHANGE SURVEILLANCE COMMISSION M0 TOKYO METROPOLITAN GOVERNMENT M0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS AUSTRALIA (UK) LIMITED GOLDMAN SACHS AUSTRALIA (UK) LIMITED N Y Y Financial Conduct Authority X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS AUSTRALIA CAPITAL MARKETS LIMITED GOLDMAN SACHS AUSTRALIA CAPITAL MARKETS LIMITED N Y Y Australian Securities and Investments Commission C3 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser GOLDMAN SACHS AUSTRALIA FUTURES PTY LTD GOLDMAN SACHS AUSTRALIA FUTURES PTY LTD N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS IRELAND FINANCE LIMITED GOLDMAN SACHS IRELAND FINANCE LIMITED N Y Y Financial Conduct Authority X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer GOLDMAN SACHS DO BRASIL CORRETORA DE TITULOS E VALORES MOBILIARIOS S/A GOLDMAN SACHS DO BRASIL CORRETORA DE TITULOS E VALORES MOBILIARIOS S/A N Y Y Securities and Exchange Commission D5 BACEN D5 Add Broker-dealer municipal securities dealer or government securities broker or dealer GOLDMAN SACHS FUTURES (ASIA) LIMITED GOLDMAN SACHS FUTURES (ASIA) LIMITED N Y Y Securities and Futures Commission K3 Add Broker-dealer municipal securities dealer or government securities broker or dealer GOLDMAN SACHS GAO HUA SECURITIES COMPANY LIMITED GOLDMAN SACHS GAO HUA SECURITIES COMPANY LIMITED N Y Y China Securities Regulatory Commission F4 Add Broker-dealer municipal securities dealer or government securities broker or dealer GOLDMAN SACHS INVESTMENTS (MAURITIUS) I LIMITED GOLDMAN SACHS INVESTMENTS (MAURITIUS) I LIMITED N Y Y Securities and Exchange Board of India K7 Financial Services Commission O4 Add Broker-dealer municipal securities dealer or government securities broker or dealer GOLDMAN SACHS NEW ZEALAND MANAGEMENT LIMITED GOLDMAN SACHS NEW ZEALAND MANAGEMENT LIMITED N Y Y FINANCIAL MARKETS AUTHORITY Q2 NEW ZEALAND COMPANIES OFFICE Q2 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS NEW ZEALAND SECURITIES LIMITED GOLDMAN SACHS NEW ZEALAND SECURITIES LIMITED N Y Y FINANCIAL MARKETS AUTHORITY Q2 NEW ZEALAND COMPANIES OFFICE Q2 Add Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS SERVICES PRIVATE LIMITED GOLDMAN SACHS SERVICES PRIVATE LIMITED N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer IRREWARRA INVESTMENTS PTY LTD IRREWARRA INVESTMENTS PTY LTD N Y Y Australian Securities and Investments Commission C3 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Sponsor or syndicator of limited partnerships OOO GOLDMAN SACHS OOO GOLDMAN SACHS N Y Y Federal Financial Markets Service 1Z Add Broker-dealer municipal securities dealer or government securities broker or dealer MONTAGUE PLACE CUSTODY SERVICES GOLDMAN SACHS EQUITY SECURITIES (U.K.) N Y Y Financial Conduct Authority X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer OOO GOLDMAN SACHS BANK OOO GOLDMAN SACHS BANK N Y Y CENTRAL BANK OF RUSSIA 1Z Federal Financial Markets Service 1Z Add Broker-dealer municipal securities dealer or government securities broker or dealer QIAN KUN FUTURES CO., LTD. QIAN KUN FUTURES CO., LTD. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer SBI JAPANNEXT CO., LTD. SBI JAPANNEXT CO., LTD. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS (RUSSIA) GOLDMAN SACHS (RUSSIA) N Y Y Financial Conduct Authority X0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD N Y Y Australian Securities and Investments Commission C3 Add Investment Adviser GOLDMAN SACHS ISRAEL LLC GOLDMAN SACHS ISRAEL LLC N Y N Add Sponsor or syndicator of limited partnerships GOLDMAN SACHS MANAGEMENT PARTNERS GOLDMAN SACHS MANAGEMENT PARTNERS N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS NEW ZEALAND LIMITED GOLDMAN SACHS NEW ZEALAND LIMITED N Y Y FINANCIAL MARKETS AUTHORITY Q2 NEW ZEALAND COMPANIES OFFICE Q2 NEW ZEALAND COMPANIES OFFICE Q2 Add Sponsor or syndicator of limited partnerships GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE PARTNERS (GERMANY), L.P. GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE PARTNERS (GERMANY), L.P. N Y N Add Sponsor or syndicator of limited partnerships GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE SCA GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE SCA N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer GOLDMAN SACHS MEXICO, CASA DE BOLSA, S.A. DE C.V. GOLDMAN SACHS MEXICO, CASA DE BOLSA, S.A. DE C.V. N Y Y National Commission for Banking and Securities O5 BANCO DE MEXICO O5 Add Investment Adviser GOLDMAN SACHS (INDIA) CAPITAL MARKETS PRIVATE LIMITED GOLDMAN SACHS (INDIA) CAPITAL MARKETS PRIVATE LIMITED N Y Y THE RESERVE BANK OF INDIA K7 Add Investment Adviser GS DO BRASIL BANCO MULTIPLO SA GS DO BRASIL BANCO MULTIPLO SA N Y Y BACEN (CENTRAL BANK OF BRAZIL) D5 ASSOCIACAO BRASILEIRA DAS ENTIDADES DOS MERCADOS FINANCEIRO E DE CAPITAIS D5 CVM D5 Add Sponsor or syndicator of limited partnerships BRIDGE STREET OPPORTUNITY ADVISORS, L.L.C. BRIDGE STREET OPPORTUNITY ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships BROAD STREET CONTROL ADVISORS, L.L.C. BROAD STREET CONTROL ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships BROAD STREET LOAN PARTNERS 2013 ADVISORS, LTD. BROAD STREET LOAN PARTNERS 2013 ADVISORS, LTD. N Y N Add Sponsor or syndicator of limited partnerships BROAD STREET LOAN PARTNERS 2013 ONSHORE ADVISORS, L.L.C. BROAD STREET LOAN PARTNERS 2013 ONSHORE ADVISORS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships BROAD STREET REAL ESTATE CREDIT PARTNERS II GP, L.L.C. BROAD STREET REAL ESTATE CREDIT PARTNERS II GP, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships BROAD STREET REAL ESTATE CREDIT PARTNERS II OFFSHORE MASTER FUND, L.P. BROAD STREET REAL ESTATE CREDIT PARTNERS II OFFSHORE MASTER FUND, L.P. N Y N Add Sponsor or syndicator of limited partnerships BROAD STREET REAL ESTATE CREDIT PARTNERS II, L.P. BROAD STREET REAL ESTATE CREDIT PARTNERS II, L.P. N Y N Add Sponsor or syndicator of limited partnerships BSRECP II OFFSHORE US INVESTMENT HOLDING, LTD BSRECP II OFFSHORE US INVESTMENT HOLDING, LTD N Y N Add Sponsor or syndicator of limited partnerships BSRECP II OFFSHORE US ORIGINATION HOLDING REIT, L.L.C BSRECP II OFFSHORE US ORIGINATION HOLDING REIT, L.L.C N Y N Add Sponsor or syndicator of limited partnerships CO-INVEST FUND ADVISORS, INC. CO-INVEST FUND ADVISORS, INC. N Y N Add Sponsor or syndicator of limited partnerships MBD ADVISORS, L.L.C. MBD ADVISORS, L.L.C. N Y N Add Investment Adviser Sponsor or syndicator of limited partnerships GS INVESTMENT STRATEGIES CANADA INC. GS INVESTMENT STRATEGIES CANADA INC. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer GOLDMAN SACHS FUTURES PTE LTD GOLDMAN SACHS FUTURES PTE LTD N Y Y SINGAPORE EXCHANGE SECURITIES TRADING LIMITED U0 Monetary Authority of Singapore U0 Add Investment Company GOLDMAN SACHS TRUST GOLDMAN SACHS TRUST N Y N Add Investment Company GOLDMAN SACHS VARIABLE INSURANCE TRUST GOLDMAN SACHS VARIABLE INSURANCE TRUST N Y N Add Investment Company GOLDMAN SACHS TRUST II GOLDMAN SACHS TRUST II N Y N Add Swap Dealer J. ARON & COMPANY (SINGAPORE) PTE. J. ARON & COMPANY (SINGAPORE) PTE. N Y N Add Swap Dealer GOLDMAN SACHS MITSUI MARINE DERIVATIVE PRODUCTS, L.P. GOLDMAN SACHS MITSUI MARINE DERIVATIVE PRODUCTS, L.P. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser BEIJING GAO HUA SECURITIES COMPANY LIMITED BEIJING GAO HUA SECURITIES COMPANY LIMITED N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Banking/Thrift institution GOLDMAN SACHS INTERNATIONAL BANK GOLDMAN SACHS INTERNATIONAL BANK N Y Y Financial Conduct Authority (FCA) X0 Prudential Regulation Authority (PRA) (Bank of England) X0 Bank of Korea M5 China Banking Regulatory Commission F4 Financial Services Commission M5 Financial Supervisory Service M5 Ministry of Strategy and Finance M5 N N Y N N N N N N N N N N GOLDMAN SACHS GROUP INC 0000886982 Schedule A Item 1.K: Business Affiliates of the Applicant The applicant is an operating subsidiary of The Goldman Sachs Group, Inc. ("GS Group"), which is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The number of the affiliates of the applicant is extensive, and due to the breadth of their global operations, the firm is including in response to Item 1.K. the direct owners of the applicant and the significant subsidiaries of the parent company of the applicant, GS Group, as provided in the most recent Form 10-K of GS Group ("Specified Affiliates"). Certain Specified Affiliates are registered or licensed to trade or advise in securities or derivatives, and/or are members of a securities or derivatives exchange, SRO or similar organization, and/or rely on exemptions from such registrations, licenses or exemptions. Although we have listed the primary regulators where applicable in response to Item 1.K(2), it is impractical to list all federal, state or foreign registrations of such affiliates, since this may change from time to time in the ordinary course of business. Item 4.F: Information About Applicant's Business; Clients The applicant has identified one client in Item 4.F. However, there are instances during the year where the applicant is not engaged as a municipal advisor but may be involved in municipal advisory activity with respect to non-municipal issuers or obligated persons. Item 7.A(3): Participation or Interest of Applicant, or of Associated Persons of Applicant, in Municipal Advisory Client or Solicitee Transactions; Proprietary Interest in Municipal Advisory Client or Solicitee Transactions Although the applicant has responded affirmatively to Item 7.A.(3), it has not and does not intend to enter into derivatives contracts with the one municipal entity client with whom the applicant is engaged as a municipal advisor. N N Y Y Y Y N Y Y Y Y N Y Y Y Y N N N N Y Y N N N Y THE GOLDMAN SACHS GROUP, INC. Y 13-4019460 LIMITED PARTNER 05-07-1999 E Y THE GOLDMAN, SACHS & CO., LLC Y 13-3920082 GENERAL PARTNER 11-30-1996 NA Y Add THE GOLDMAN SACHS GROUP, INC. Y 13-4019460 LIMITED PARTNER 05-07-1999 E Y Add THE GOLDMAN, SACHS & CO., LLC Y 13-3920082 GENERAL PARTNER 11-30-1996 NA Y 1 9-B2 MARK ALEXANDER SOMERS N 005549614 MARK ALEXANDER SOMERS 005549614 1406896 1 9-B1 9-B2 MTGLQ INVESTORS, L.P. 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N GOLDMAN, SACHS & CO. 000000361 1581311 1 9-E2 GOLDMAN SACHS BANK USA N GOLDMAN, SACHS & CO. 000000361 1581311 1 9-E2 GOLDMAN SACHS INTERNATIONAL N GOLDMAN, SACHS & CO. 000000361 1712383 9-E2 GOLDMAN, SACHS & CO. 000000361 1712382 9-E2 GOLDMAN, SACHS & CO. 000000361 1712381 9-E2 GOLDMAN, SACHS & CO. 000000361 1710211 9-E2 GOLDMAN, SACHS & CO. 000000361 1707555 9-E2 Goldman, Sachs & Co. 000000361 1714036 9-G Goldman, Sachs & Co. 000000361 1716262 9-E2 Goldman, Sachs & Co. 000000361 1717554 9-D2 Goldman, Sachs & Co. 000000361 1724299 9-E2 Goldman, Sachs & Co. 000000361 1726158 9-E2 Goldman, Sachs & Co. 000000361 1729719 9-E2 Goldman, Sachs & Co. 000000361 1734104 9-E2 Goldman, Sachs & Co. 000000361 1734105 9-E2 Goldman, Sachs & Co. 000000361 1734107 9-E2 Goldman, Sachs & Co. 000000361 1734108 9-E2 Goldman, Sachs & Co. 000000361 1734110 1 9-E2 Goldman Sachs International N Goldman Sachs International 000000361 1734112 1 9-D2 Goldman Sachs International N Goldman Sachs International 000000361 1734114 1 9-E2 Goldman Sachs Execution & Clearing, L.P. Y 008-00256 Goldman Sachs Execution & Clearing, L.P. 000003466 1711713 1 9-E2 Goldman Sachs Execution & Clearing, L.P. Y 008-00526 Goldman Sachs Execution & Clearing, L.P. 000003466 1723322 1 9-E2 Goldman Sachs Execution & Clearing, L.P. Y 008-00526 Goldman Sachs Execution & Clearing, L.P. 000003466 1734087 1 9-E2 Goldman Sachs Execution & Clearing, L.P. Y 008-00526 Goldman Sachs Execution & Clearing, L.P. 000003466 1734088 1 9-E2 Goldman Sachs Execution & Clearing, L.P. Y 008-00526 Goldman Sachs Execution & Clearing, L.P. 000003466 1734089 9-E2 ICE Futures U.S., Inc. 2013-016/028 55 East 52nd Street 40th Floor New York NY 10955 The Summary Fine, in the amount of $15,000, was paid by submission of a wire on November 28, 2014. 11-19-2014 ICE Futures U.S., Inc. CivilAdminPenaltyFine Derivative(s) ICE Futures U.S., Inc. ("IFUS") Compliance Department issued a Notice of Summary Fine, dated November 19, 2014, to Goldman, Sachs & Co. (the "Firm"), stating that: (i) on February 11, 2013 and March 11, 2013, the Firm failed to enter certain Crossing Orders ("CO") for certain opposing orders submitted simultaneously by a common account manager on behalf of accounts with separate beneficial owners; and (ii) specifically, on each date, the Firm entered certain opposing orders without the use of IFUS CO functionality, resulting in certain futures spreads transacting against one another, in violation of IFUS Rule 4.02(i)(2). 11-19-2014 Decision Y CivilAdminPenaltyFine 15000.00 15000.00 11-28-2014 15000.00 9-D2 Bourse de Montreal Inc. 12-011-DISC 800 Victoria Square Montreal, QC Z4 H4Z 1A9 On November 25, 2014, the Disciplinary Committee of the Bourse (the "Committee") informed the Firm of the Committee's approval of an offer of settlement (the "Offer of Settlement") negotiated between the staff of the Regulatory Division of the Bourse and the Firm. The Committee approved the Offer of Settlement on November 14, 2014. In the Offer of Settlement, the Firm agreed to the payment of a fine in the amount of CAD$65,000, as well as an additional amount of CAD$6,500 for costs, which amount was paid by submission of a wire on December 18, 2014. While the actual payment was made in Canadian dollars, using the most recently published Federal Reserve foreign exchange rate of CAD$1.1538:USD$1 as of December 12, 2014, the equivalent US Dollar value on December 12, 2014 was USD$61,969.15, which amount is reflected in Item 12.B. above. As indicated in the Committee's approval of the Offer of Settlement, upon learning of certain unapproved access to the electronic trading system of the Bourse, the Firm took corrective measures, and the Bourse noted that the problem was corrected. 07-16-2014 Bourse de Montreal Inc. CivilAdminPenaltyFine No Product In an Originating Notice to Goldman, Sachs & Co. (the "Firm") dated June 18, 2013, The Bourse de Montreal Inc. (the "Bourse") alleged that, during the period from December 1, 2005 to June 30, 2012, the Firm provided certain personnel access to the electronic trading system of the Bourse without having obtained the prior approval of the Bourse, in alleged contravention of section A) of Article 6366 of the Rules of the Bourse. 11-25-2014 Decision N Y CivilAdminPenaltyFine 62969.15 62969.15 12-18-2014 61969.15 9-E2 Chicago Board Options Exchange, Incorporated 14-0047 61 Broadway New York NY 10006 Without admitting or denying the allegations or findings, the Firm consented to a censure and fine and entered into a Letter of Consent which was approved by the CBOE Business Conduct Committee on December 1, 2014, and on December 9, 2014, the Firm submitted a wire in payment of the fine in the amount of $20,000. 12-01-2014 Chicago Board Options Exchange, Incorporated Censure CivilAdminPenaltyFine Options The Chicago Board Options Exchange, Incorporated ("CBOE") alleged that, during the approximate period from in or about January 2009 through in or about February 2011, Goldman, Sachs & Co. (the "Firm") failed: (i) on certain occasions, to grant priority to the highest bid and/or lowest offer when such bid or offer was available, and to use due diligence to execute certain orders at the best prices available, in alleged violation of CBOE Rules 6.45A, 6.45B and 6.73; and (ii) to assure compliance with such rules, in alleged violation of CBOE Rule 4.2. 12-01-2014 Consent Y Censure CivilAdminPenaltyFine 20000.00 20000.00 12-09-2014 20000.00 1 9-E2 J. Aron & Company N ICE Futures U.S., Inc. 2013-155 55 East 52nd Street 41st Floor New York NY 10055 WITHOUT ADMITTING OR DENYING ANY VIOLATION OF IFUS RULES, J. ARON ENTERED INTO A SETTLEMENT AGREEMENT, WHICH WAS APPROVED BY THE BCC, IN WHICH J. ARON: (I) AGREED TO CEASE AND DESIST FROM FUTURE VIOLATIONS OF IFUS RULE 6.20(B); AND (II) CONSENTED TO A MONETARY PAYMENT OF $82,064 IN THE AGGREGATE, CONSISTING OF A FINE IN THE AMOUNT OF $20,000, AND DISGORGEMENT OF PROFITS IN THE AMOUNT OF $62,064, BOTH OF WHICH WERE PAID BY SUBMISSION OF A WIRE ON NOVEMBER 26, 2014. 11-24-2014 J. ARON & COMPANY Disgorgement Cease and Desist CivilAdminPenaltyFine Derivative(s) ICE FUTURES U.S., INC. ("IFUS") BUSINESS CONDUCT COMMITTEE ("BCC") DETERMINED THAT J. ARON & COMPANY ("J. ARON") MAY HAVE, IN ONE (1) INSTANCE, EXCEEDED THE SPOT MONTH SPECULATIVE POSITION LIMIT ESTABLISHED BY IFUS IN AN ENERGY FUTURES CONTRACT DURING CONTRACT EXPIRATION, IN ALLEGED VIOLATION OF IFUS RULE 6.20(B). 11-24-2014 Consent N Y CivilAdminPenaltyFine 20000.00 20000.00 11-26-2014 20000.00 9-E2 Financial Industry Regulatory Authority, Inc. 2011030683301 15200 Omega Drive 3rd Floor Rockville MD 20850-3241 Without admitting or denying the allegations or findings, the Firm consented to a censure and fine and entered into a Letter of Acceptance, Waiver and Consent (AWC) which was accepted by FINRA on December 10, 2014, and on December 18, 2014, the Firm submitted a wire in payment of a fine in the amount of $5,000,000. 12-10-2014 Financial Industry Regulatory Authority, Inc. Censure CivilAdminPenaltyFine Other Initial Public Offering Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Enforcement alleged that in connection with efforts by Goldman, Sachs & Co. (the "Firm") and other broker-dealers to participate in a company's planned initial public offering (IPO), the Firm: (a) allowed a research analyst to participate in the solicitation of certain investment banking business; (b) offered favorable research coverage to induce the receipt of investment banking business; and (c) failed to adopt and implement policies and procedures reasonably designed to prevent violations of Rule NASD Rule 2711, in alleged violation of NASD Rules 2711(c)(4), 2711(e), and 2711(i), respectively, and each in alleged violation of FINRA Rule 2010. 12-10-2014 Acceptance Waiver & Consent (AWC) Y Censure CivilAdminPenaltyFine 5000000.00 5000000.00 12-18-2014 5000000.00 1 9-E2 Goldman Sachs Execution & Clearing, L.P. Y 008-00526 Goldman Sachs Execution & Clearing, L.P. 000003466 1739197 1 9-E2 Financial Industry Regulatory Authority, Inc. 2012031743301 9509 Key West Avenue Rockville MD 20850 Without admitting or denying the allegations or findings, the Firm consented to a censure and fine and entered into a Letter of Acceptance, Waiver and Consent (AWC) which was accepted by FINRA on December 23, 2014, and on January 9, 2015, the Firm submitted a wire in payment of a fine in the amount of $18,750. 12-23-2014 Financial Industry Regulatory Authority, Inc. Censure CivilAdminPenaltyFine No Product Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Market Regulation alleged that during the period of August 2003 through December 2011, Goldman, Sachs & Co. (the "Firm") failed to: (i) have adequate procedures, including written supervisory procedures, reasonably designed to identify material changes in access and management of certain accounts that were granted an exemption from aggregating options positions by the Intermarket Surveillance Group (ISG) in order to assure that proper notice was given to certain options exchanges (the "Exchanges"); and (ii) provide notice to the Exchanges of any such changes, in alleged violation of NASD Rules 3010 and 2110 (for conduct prior to December 15, 2008) and FINRA Rule 2010 (for conduct on and after December 15, 2008). 12-23-2014 Acceptance Waiver & Consent (AWC) N Y Censure CivilAdminPenaltyFine 18750.00 18750.00 01-09-2015 18750.00 Goldman Sachs Execution & Clearing, L.P. Y 008-00526 Financial Industry Regulatory Authority, Inc. 2012031743301 9509 Key West Avenue Rockville MD 20850 Without admitting or denying the allegations or findings, GSEC consented to a censure and fine and entered into a Letter of Acceptance, Waiver and Consent (AWC) which was accepted by FINRA on December 23, 2014, and on January 9, 2015, GSEC submitted a wire in payment of a fine in the amount of $18,750. 12-23-2014 Financial Industry Regulatory Authority, Inc. Censure CivilAdminPenaltyFine No Product Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Market Regulation alleged that during the period of August 2003 through December 2011, Goldman Sachs Execution & Clearing, LP. ("GSEC") failed to: (i) have adequate procedures, including written supervisory procedures, reasonably designed to identify material changes in access and management of certain accounts that were granted an exemption from aggregating options positions by the Intermarket Surveillance Group (ISG) in order to assure that proper notice was given to certain options exchanges (the "Exchanges"); and (ii) provide notice to the Exchanges of any such changes, in alleged violation of NASD Rules 3010 and 2110 (for conduct prior to December 15, 2008) and FINRA Rule 2010 (for conduct on and after December 15, 2008). 12-23-2014 Acceptance Waiver & Consent (AWC) N Y Censure CivilAdminPenaltyFine 18750.00 18750.00 01-09-2015 18750.00 9-H1b GOLDMAN, SACHS & CO. 000000361 1505029 9-H1b GOLDMAN, SACHS & CO. 000000361 1247737 9-H1b GOLDMAN, SACHS & CO. 000000361 1134508 Asahi Pompey Asahi Pompey Chief Compliance Officer 05-04-2015 000000361 N N N N N Y Y Y N Y Y Y Y N N N N Y N Y N