0000769993-19-000001.txt : 20190204 0000769993-19-000001.hdr.sgml : 20190204 20190204093520 ACCESSION NUMBER: 0000769993-19-000001 CONFORMED SUBMISSION TYPE: MA/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20190103 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS & CO. LLC CENTRAL INDEX KEY: 0000769993 IRS NUMBER: 135108880 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA/A SEC ACT: 1934 Act SEC FILE NUMBER: 867-01181 FILM NUMBER: 19561853 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 & CO DATE OF NAME CHANGE: 19931102 MA/A 1 primary_doc.xml MA/A 0000769993 XXXXXXXX Yvette Kosic 212-902-7695 yvette.kosic@gs.com kevin.treanor@gs.com david.braun@gs.com nicholas.daskalas@gs.com GOLDMAN SACHS & CO. LLC 000000361 GOLDMAN, SACHS & CO. GOLDMAN, SACHS & CO. 13-5108880 866-00183-00 867-01181 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 Transfer Agent 084-01100 0000734700 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 JOHN MAURICE O'CONNELL

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. LLC 71 SOUTH WACKER DRIVE SUITE 500 CHICAGO IL 60606 1-312-655-4600 Certain books and records. Add GOLDMAN SACHS & CO. LLC 1000 LOUISIANA STREET SUITE 550 HOUSTON TX 77002 1-713-654-8400 Certain books and records. Add GOLDMAN SACHS & CO. LLC 2121 AVENUE OF THE STARS SUITE #2600 LOS ANGELES CA 90067 1-310-407-5700 Certain books and records. Add GOLDMAN SACHS & CO. LLC 555 CALIFORNIA STREET 45TH FLOOR SAN FRANCISCO CA 94104 1-415-393-7500 Certain books and records. Add GOLDMAN SACHS & CO. LLC 719 2ND AVENUE SUITE 1300 SEATTLE WA 98104 1-206-613-5500 Certain books and records. 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 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 ROTHESAY LIFE (CAYMAN) LIMITED 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 & COMPANY LLC 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 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 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 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 GS FINANCIAL SERVICES II, LLC N GS FUNDING EUROPE N GS FUNDING EUROPE I LTD. N GS FUNDING EUROPE II LTD. N 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 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 GS FUND HOLDINGS, L.L.C. N SHOELANE, L.P. N SPECIAL SITUATIONS INVESTING GROUP II, LLC N 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 GOLDMAN SACHS HOLDINGS (SINGAPORE) PTE. LTD. N BROAD STREET PRINCIPAL INVESTMENTS, L.L.C. N BROAD STREET CREDIT HOLDINGS LLC 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 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 BROAD STREET PRINCIPAL INVESTMENTS INTERNATIONAL, LTD. N ELQ INVESTORS IX LTD N MTGLQ INVESTORS, L.P. N BROAD STREET PRINCIPAL INVESTMENTS SUPERHOLDCO LLC N GSAM HOLDINGS LLC N GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL HOLDINGS L.L.C. N GOLDMAN SACHS ASSET MANAGEMENT CO., LTD N GS INVESTMENT STRATEGIES, LLC N GOLDMAN SACHS (ASIA) CORPORATE HOLDINGS L.L.C. N GOLDMAN SACHS FINANCIAL MARKETS PTY LTD N GS FUNDING EUROPE IV LIMITED N GS FUNDING EUROPE V LIMITED N GSSG HOLDINGS LLC N GSFS INVESTMENTS I CORP. N ELQ INVESTORS, LTD N GS UK FUNDING LIMITED PARTNERSHIP N BROAD STREET PRINCIPAL INVESTMENTS HOLDINGS, L.P. N GOLDMAN SACHS DO BRASIL BANCO MULTIPLO S/A N Goldman Sachs Funding LLC N Goldman Sachs Financial Markets, 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 & Co. Wertpapier GMBH N Scadbury UK Limited N ELQ Investors VIII Ltd N Titanium UK Holdco 1 Limited N Titanium Luxco 2 S.A R.L. N Goldman Sachs Holdings (Asia Pacific) Limited N Goldman Sachs (Asia) L.L.C. Y Korea Exchange M5 Goldman Sachs (Hong Kong) International Investments Limited N GS Funding Europe III Ltd. N Special Situations Investing Group III, Inc. N GS Asian Venture (Delaware) L.L.C. N Asia Investing Holdings Pte. Ltd. N Mercer investments (Singapore) PTE. Ltd. N MTGRP, L.L.C. N AIH Overseas Investments PTE. Ltd. N Asia Investment Holdings (Europe) S.A R.L. N Austreo Property Ventures Pty Ltd N Goldman Sachs Investments Holdings (Asia) Limited Y Financial Services Commission O4 GS Financial Services L.P. (DEL) N GS Strategic Investments Japan LLC N JLQ LLC N Minato Capital Holdings KK N Goldman Sachs Credit Partners (Japan), Ltd. N Pascal Topco SAS N ELQ Investors VI Ltd N GS European Strategic Investment Group (2009) Ltd N BSPI Holdings, L.L.C. N Broad Street Investments Holding (Singapore) PTE. Ltd N Broad Street Credit Investments LLC N December NY 01-03-1927 Y 0000769993 12585 1 91 91 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 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 133 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 O4 Securities and Futures Commission K3 FINANCIAL SUPERVISORY COMMISSION M5 KOREA EXCHANGE M5 KOREA MINISTRY OF STRATEGY AND FINANCE M5 DEPOSITORY & CLEARING CORPORATION F5 TAIWAN SECURITIES ASSOCIATION F5 Securities and Exchange Commission W1 Securities and Futures Bureau, Financial Supervisory Co. F5 FINANCIAL SUPERVISORY SERVICE M5 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 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 A0 British Columbia Securities Commission A1 Ontario Securities Commission A6 Quebec, Financial Markets Authority A8 Add Investment Adviser Commodity pool operator Commodity trading advisor Sponsor or syndicator of limited partnerships GOLDMAN SACHS ASSET MANAGEMENT, L.P. GOLDMAN SACHS ASSET MANAGEMENT, L.P. N Y Y Alberta Securities Commission A0 British Columbia Securities Commission A1 Manitoba Securities Commission A2 Ontario Securities Commission A6 Financial and Consumer Affairs Authority of Saskatchewan A9 Securities and Exchange Board of India K7 Central Bank of Ireland L2 Service NL (Newfoundland and Labrador) A4 Autorite des marches financiers A8 Prince Edward Island Office of the Superintendent of Securities A7 New Brunswick Securities Commission A3 Financial Services Regulation Division Z4 Nova Scotia Securities Commission A5 New Brunswick Securities Commission A3 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 Alberta Securities Commission A0 British Columbia Securities Commission A1 Manitoba Securities Commission A2 New Brunswick Securities Commission A3 Nova Scotia Securities Commission A5 Ontario Securities Commission A6 German Federal Financial Supervisory Agency 2M The National Commission for Companies and the Stock Exchange L6 The Netherlands Authority for the Financial Markets P7 AUTORITE MARCHE FINANCIERS - QUEBEC A8 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 Financial and Consumer Affairs Authority of Saskatchewan A9 Prudential Regulation Authority X0 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 Banking/Thrift institution GOLDMAN SACHS AG GOLDMAN SACHS AG N Y Y German Federal Financial Supervisory Agency 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 ANBIMA D5 BACEN D5 CVM D5 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 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 Chi-X C3 Australian Transaction Reports and Analysis Centre (AUSTRAC) 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 THE GOLDMAN SACHS TRUST COMPANY OF DELAWARE THE 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 Securities and Exchange Board of India K7 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 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 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 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 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 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 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 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 ADVISORS V, L.L.C. GS MEZZANINE ADVISORS V, 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 ADVISORS, L.L.C. GOLDMAN SACHS REAL ESTATE ADVISORS, L.L.C. 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 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 GSCP EXPRO ADVISORS OFFSHORE, INC. GSCP EXPRO ADVISORS OFFSHORE, INC. 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 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 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 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 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 LLC J. ARON & COMPANY LLC 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 Add Sponsor or syndicator of limited partnerships TE CAPITAL TK TE CAPITAL TK 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 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 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 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 GS RENEWABLE HOLDINGS GK GS RENEWABLE HOLDINGS GK 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 Investment Company Sponsor or syndicator of limited partnerships GSAM STABLE VALUE, LLC GSAM STABLE VALUE, LLC N Y Y National Futures Association P7 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 Y China Securities Regulatory Commission F4 Add Investment Adviser Sponsor or syndicator of limited partnerships GSAM SERVICES PRIVATE LIMITED GSAM SERVICES 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 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 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 BACEN D5 CVM D5 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 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 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 Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS (RUSSIA) GOLDMAN SACHS (RUSSIA) N Y Y Financial Conduct Authority X0 Add 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, L.P. GOLDMAN SACHS MANAGEMENT PARTNERS, L.P. 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 ustralian Transaction Reports and Analysis Centre (AUSTRAC) C3 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 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 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 Broker-dealer municipal securities dealer or government securities broker or dealer GOLDMAN SACHS FUTURES PTE LTD GOLDMAN SACHS FUTURES PTE LTD N Y Y Monetary Authority of Singapore U0 Singapore Exchange Securities Trading Limited SGX-ST U0 Singapore Exchange Derivatives Limited SGX-DT 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 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 Y China Securities Regulatory Commission F4 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 Add Sponsor or syndicator of limited partnerships AWH ARCHON GEN-PAR, L.L.C. AWH ARCHON GEN-PAR, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships BROAD STREET INFRASTRUCTURE ADVISORS III, L.L.C. BROAD STREET INFRASTRUCTURE ADVISORS III, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships BROAD STREET SENIOR CREDIT PARTNERS ADVISOR, L.L.C. BROAD STREET SENIOR CREDIT PARTNERS ADVISOR, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships BROAD STREET SENIOR CREDIT PARTNERS OFFSHORE ADVISOR, LTD. BROAD STREET SENIOR CREDIT PARTNERS OFFSHORE ADVISOR, 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 (ASIA) SECURITIES LIMITED GOLDMAN SACHS (ASIA) SECURITIES LIMITED N Y Y China Securities Regulatory Commission F4 Hong Kong Securities & Futures Commission K3 Add Investment Adviser GOLDMAN SACHS (MALAYSIA) S.DN. B.H.D. GOLDMAN SACHS (MALAYSIA) S.D.N. B.H.D. N Y Y Securities Commission Malaysia N8 Add Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS MB SERVICES LIMITED GOLDMAN SACHS MB SERVICES LIMITED N Y Y Financial Conduct Authority X0 Add Investment Company GOLDMAN SACHS ETF TRUST GOLDMAN SACHS ETF TRUST N Y N Add Investment Company GOLDMAN SACHS TRUST - GOLDMAN SACHS MLP ENERGY INFRASTRUCTURE FUND GOLDMAN SACHS TRUST - GOLDMAN SACHS MLP ENERGY INFRASTRUCTURE FUND N Y N Add Investment Company GOLDMAN SACHS MLP AND ENERGY RENAISSANCE FUND GOLDMAN SACHS MLP AND ENERGY RENAISSANCE FUND N Y N Add Investment Company GOLDMAN SACHS BDC, INC. GOLDMAN SACHS BDC, INC. N Y N Add Sponsor or syndicator of limited partnerships GS FUND HOLDINGS, L.L.C. GS FUND HOLDINGS, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GS MEZZANINE PARTNERS VI SPONSOR, L.L.C. GS MEZZANINE PARTNERS VI SPONSOR, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships GSAM GEN-PAR, L.L.C. GSAM GEN-PAR, L.L.C. N Y N Add Sponsor or syndicator of limited partnerships WHITEHALL SPECIAL GEN-PAR 2005, LLC WHITEHALL SPECIAL GEN-PAR 2005, LLC N Y N Add Investment Adviser HONEST ADVISORS, LLC HONEST DOLLAR N Y N Add Investment Adviser GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED N Y Y Securities and Futures Commission BFK567 K3 Australian Securities and Investments Commission C3 Monetary Authority of Singapore U0 Financial Supervisory Commission / Financial Supervisory Service M5 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Sponsor or syndicator of limited partnerships GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. N Y Y Monetary Authority of Singapore CMS1004671 U0 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 Financial Services Commission in Mauritius O4 Securities and Exchange Board of India K7 Category 1 Global Business Licence (by Financial Services Commission) O4 Foreign Institutional Investor (by Securities and Exchange Board of India) K7 Investment Adviser (by Financial Services Commission) K7 Add Investment Company Goldman Sachs Private Middle Market Credit LLC Goldman Sachs Private Middle Market Credit LLC N Y N Add Investment Company Goldman Sachs Middle Market Lending Corp. Goldman Sachs Middle Market Lending Corp. N Y N Add Investment Company Goldman Sachs Private Markets Fund 2018 LLC Goldman Sachs Private Markets Fund 2018 LLC N Y N Add Investment Company Goldman Sachs Private Markets Fund 2018 (A) LLC Goldman Sachs Private Markets Fund 2018 (A) LLC N Y N Add Investment Company Goldman Sachs Private Markets Fund 2018 (B) LLC Goldman Sachs Private Markets Fund 2018 (B) LLC N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer SIMON MARKETS LLC SIMON MARKETS LLC N Y N N N Y N N N N N N N N N N GOLDMAN SACHS GROUP INC 0000886982 Schedule A Item 1.I Location of Books and Records: In addition to the five locations listed in Item 1(1), the applicant may maintain certain books and records at the following locations: 222 South Main Street Salt Lake City, UT 84101 111 South Main Street Salt Lake City, UT 84111 3414 Peachtree Street, N.E. Atlanta, GA 30326 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 Y Y Y N N N Y THE GOLDMAN SACHS GROUP, INC. Y 13-4019460 CLASS A MEMBER 04-28-2017 E Y GREGORY KENNETH PALM CHIEF LEGAL OFFICER 11-18-2011 NA N 002312079 BRIAN J LEE CHIEF FINANCIAL OFFICER 03-27-2013 NA N 006143609 DAVID MICHAEL SOLOMON CHIEF EXECUTIVE OFFICER, MANAGER 04-28-2017 NA Y 001616414 RAMON MARTIN CHAVEZ MANAGER 04-28-2017 NA Y 003054530 KAREN PATTON SEYMOUR CHIEF LEGAL OFFICER 03-08-2018 NA N 006909905 JOHN MAURICE O'CONNELL CHIEF COMPLIANCE OFFICER 11-15-2018 NA N 001335506 LAURENCE NMN STEIN MANAGER 01-01-2018 NA N 005300390 Amend THE GOLDMAN SACHS GROUP, INC. Y 13-4019460 CLASS A MEMBER 04-28-2017 E Y Amend GREGORY KENNETH PALM CHIEF LEGAL OFFICER 11-18-2011 NA N 002312079 Add BRIAN J LEE CHIEF FINANCIAL OFFICER 03-27-2013 NA N 006143609 Amend DAVID MICHAEL SOLOMON MANAGER 04-28-2017 NA Y 001616414 Add RAMON MARTIN CHAVEZ MANAGER 04-28-2017 NA Y 003054530 Add KAREN PATTON SEYMOUR CHIEF LEGAL OFFICER 03-08-2018 NA N 006909905 Add JOHN MAURICE O'CONNELL CHIEF COMPLIANCE OFFICER 11-15-2018 NA N 001335506 Add LAURENCE NMN STEIN MANAGER 01-01-2018 NA N 005300390 Add JOHN EDWARD WALDRON CHIEF EXECUTIVE OFFICER, MANAGER 12-20-2018 NA Y 002569337 1 9-B2 MARK ALEXANDER SOMERS N 005549614 MARK ALEXANDER SOMERS 005549614 1406896 1 9-B1 9-B2 MTGLQ INVESTORS, L.P. N GOLDMAN, SACHS & CO. 000000361 1529131 3 9-A2 Goldman Sachs International N Goldman Sachs & Co. LLC 000000361 2010546 Goldman Sachs (Asia) L.L.C. N Goldman Sachs & Co. LLC 000000361 2010546 Goldman Sachs (Singapore) Pte. N Goldman Sachs & Co. 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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-D2 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-C2 9-C4 9-C5 U.S. SECURITIES AND EXCHANGE COMMISSION 3-16665 100 F STREET, NE WASHINGTON DC 20549 WITHOUT ADMITTING OR DENYING THE VIOLATIONS, THE FIRM CONSENTED TO THE ENTRY OF AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTIONS 15(B) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER ON JUNE 30, 2015 BY THE SEC PURSUANT TO WHICH THE FIRM: (I) SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 15(C)(3) OF THE EXCHANGE ACT AND RULE 15C3-5 THEREUNDER; (II) IS CENSURED; AND (III) PAID A TOTAL CIVIL MONEY PENALTY OF $7 MILLION ON JUNE 30, 2015. 06-30-2015 U.S. SECURITIES AND EXCHANGE COMMISSION Cease and Desist Censure CivilAdminPenaltyFine Options THE U.S. SECURITIES AND EXCHANGE COMMISSION (THE "SEC") HAS ALLEGED THAT GOLDMAN, SACHS & CO. (THE "FIRM") DID NOT HAVE A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO MANAGE THE FINANCIAL, REGULATORY, AND OTHER RISKS OF MARKET ACCESS IN RELATION TO ITS LISTED EQUITY OPTIONS BUSINESS, WHICH CONTRIBUTED TO THE ENTRY OF ERRONEOUS ELECTRONIC OPTIONS ORDERS ON MULTIPLE OPTIONS EXCHANGES ON AUGUST 20, 2013. THE SEC ALLEGED THAT THE FIRM WILLFULLY VIOLATED SECTION 15(C)(3) OF THE EXCHANGE ACT AND RULE 15C3-5 THEREUNDER IN RELATION TO ITS CONTROLS AND SUPERVISORY PROCEDURES ADDRESSING (I) THE ENTRY OF ORDERS THAT EXCEED APPROPRIATE PRE-SET CREDIT OR CAPITAL THRESHOLDS; (II) THE ENTRY OF ERRONEOUS ORDERS THAT EXCEED APPROPRIATE PRICE OR SIZE PARAMETERS OR THAT INDICATE DUPLICATIVE ORDERS; AND (III) THE MANAGEMENT OF SOFTWARE CHANGES THAT IMPACT ORDER FLOW. 06-30-2015 Order N Y Cease and Desist Censure CivilAdminPenaltyFine 7000000.00 7000000.00 06-30-2015 7000000.00 9-C2 9-C4 9-C5 U.S. SECURITIES AND EXCHANGE COMMISSION 3-16619 100 F STREET, NE WASHINGTON DC 20549 WITHOUT ADMITTING OR DENYING THE VIOLATIONS, THE FIRM CONSENTED TO THE ENTRY OF AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933 AND SECTION 15(B) OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER ON JUNE 18, 2015 BY THE SEC PURSUANT TO WHICH THE FIRM: (I) SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933; (II) PAID A CIVIL MONEY PENALTY IN THE AMOUNT OF $500,000 ON JUNE 25, 2015; AND (III) SHALL COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE ORDER. 06-18-2015 U.S. SECURITIES AND EXCHANGE COMMISSION Cease and Desist CivilAdminPenaltyFine Undertaking Debt - Municipal THE U.S. SECURITIES AND EXCHANGE COMMISSION (THE "SEC") HAS ALLEGED THAT GOLDMAN, SACHS & CO. (THE "FIRM") CONDUCTED INADEQUATE DUE DILIGENCE IN CERTAIN OFFERINGS AND, AS A RESULT, FAILED TO FORM A REASONABLE BASIS FOR BELIEVING THE TRUTHFULNESS OF CERTAIN MATERIAL REPRESENTATIONS IN OFFICIAL STATEMENTS ISSUED IN CONNECTION WITH THOSE OFFERINGS. THIS RESULTED IN THE FIRM OFFERING AND SELLING MUNICIPAL SECURITIES ON THE BASIS OF MATERIALLY MISLEADING DISCLOSURE DOCUMENTS. THE SEC ALLEGED THAT THE FIRM WILLFULLY VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933. THE VIOLATIONS DISCUSSED IN THE ORDER WERE SELF-REPORTED BY THE FIRM TO THE SEC PURSUANT TO THE DIVISION OF ENFORCEMENT'S MUNICIPALITIES CONTINUING DISCLOSURE COOPERATION INITIATIVE. 06-18-2015 Order Y Y Cease and Desist CivilAdminPenaltyFine Undertaking Other THE ORDER ALSO REQUIRES THE FIRM TO RETAIN AN INDEPENDENT CONSULTANT TO CONDUCT A REVIEW OF THE FIRM'S POLICIES AND PROCEDURES AS THEY RELATE TO MUNICIPAL SECURITIES UNDERWRITING DUE DILIGENCE AND REQUIRES THE FIRM TO ADOPT THE INDEPENDENT CONSULTANT'S RECOMMENDATIONS (UNLESS THE SEC FINDS A RECOMMENDATION UNDULY BURDENSOME, IMPRACTICAL, OR INAPPROPRIATE, IN WHICH CASE THE FIRM SHALL NOT BE REQUIRED TO ABIDE BY, ADOPT, OR IMPLEMENT THAT RECOMMENDATION). 500000.00 500000.00 06-25-2015 500000.00 9-E2 FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. 2013037909601 9509 KEY WEST AVENUE ROCKVILLE MD 20850 WITHOUT ADMITTING OR DENYING THE ALLEGATIONS OR FINDINGS, THE FIRM CONSENTED TO A CENSURE, FINE AND UNDERTAKING AND ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) WHICH WAS ACCEPTED BY FINRA ON JUNE 3, 2015, AND ON JULY 9, 2015, THE FIRM SUBMITTED A WIRE IN PAYMENT OF THE FINE IN THE AMOUNT OF $185,000. IN THE UNDERTAKING, THE FIRM CONSENTED TO PROVIDE THREE REPORTS, WRITTEN AND ORAL, TO FINRA ON DATES THAT ARE NO MORE THAN 3 MONTHS, 6 MONTHS, AND 12 MONTHS AFTER THE DATE OF THE NOTICE OF ACCEPTANCE OF THE AWC, REGARDING THE EFFECTIVENESS OF THE FIRM'S WRITTEN SUPERVISORY PROCEDURES WITH RESPECT TO TIMELY SUBMISSION OF ACCURATE REPORTS TO TRACE. 06-03-2015 FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. Censure CivilAdminPenaltyFine Undertaking Debt - Corporate AGENCY DEBT AND SECURITIZED PRODUCTS FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. ("FINRA") DEPARTMENT OF MARKET REGULATION ALLEGED THAT: (I) GOLDMAN, SACHS & CO. ("GSCO") FAILED TO TIMELY REPORT TO THE TRADE REPORTING AND COMPLIANCE ENGINE ("TRACE"), CERTAIN TRANSACTIONS IN (A) TRACE-ELIGIBLE CORPORATE DEBT SECURITIES, DURING THE PERIOD OF APRIL 1, 2013 THROUGH JUNE 30, 2013 IN ALLEGED VIOLATION OF FINRA RULES 6730(A) AND 2010; AND (B) SECURITIZED PRODUCTS AND AGENCY DEBT SECURITIES, DURING THE PERIOD OF JANUARY 1, 2014 THROUGH MARCH 31, 2014, EACH IN ALLEGED VIOLATION OF FINRA RULE 6730(A), AND WITH REGARD TO THE TRACE-ELIGIBLE SECURITIZED PRODUCTS, IN ALLEGED VIOLATION OF FINRA RULE 2010; AND (II) GSCO'S WRITTEN SUPERVISORY PROCEDURES FAILED TO PROVIDE FOR THE MINIMUM REQUIREMENTS FOR TIMELY SUBMISSION OF ACCURATE REPORTS TO TRACE, IN ALLEGED VIOLATION OF FINRA RULE 2010 AND NASD RULE 3010. 06-03-2015 Acceptance Waiver & Consent (AWC) N Y Censure CivilAdminPenaltyFine Undertaking 185000.00 185000.00 07-09-2015 185000.00 1 9-D2 Goldman Sachs Saudi Arabia N Capital Market Authority of the Kingdom of Saudi Arabia 161/4/2015 CMA Head Office - King Fahad Road Riyadh T0 11642 GSSA agreed to the payment of a financial penalty to the CMA in the amount of 10,000 Saudi Arabian Riyals (SAR), which was paid by submission of a wire on July 5, 2015. While the actual payment was made in Saudi Arabian Riyals, using the foreign exchange spot rate of SAR1:USD0.2666347 as of July 6, 2015, the equivalent U.S. Dollar value on July 5, 2015 was US$2,666.35, which amount is reflected in Item 12.B. above. The CMA's decision stipulated the need for GSSA to discuss the matter of the violation at the next meeting of the Board of Directors of GSSA and to notify the CMA of the Board's response in this regard. 06-17-2015 Capital Market Authority of the Kingdom of Saudi Arabia CivilAdminPenaltyFine No Product In a letter dated June 17, 2015 to Goldman Sachs Saudi Arabia ("GSSA") from the Kingdom of Saudi Arabia Capital Market Authority (the "CMA"), the CMA informed GSSA of a CMA decision alleging that GSSA was late in notifying the CMA of the resignation of GSSA's chief executive officer, in alleged violation of Article 15 Paragraph A of the CMA Licensees Regulations. 06-17-2015 Decision N Y CivilAdminPenaltyFine Other The CMA's decision stipulated the need for GSSA to discuss the matter of the violation at the next meeting of the Board of Directors of GSSA and to notify the CMA of the Board's response in this regard. 2666.35 2666.35 07-05-2015 2666.35 9-E2 Chicago Board Options Exchange, Incorporated 15-0005 / 20150442706 400 South LaSalle Street Chicago IL 60605 Without admitting or denying the rule violations, allegations or findings, the Firm submitted an offer of settlement to the Committee. On July 16, 2015, the Committee issued a decision accepting the offer of settlement, and on July 30, 2015, the Firm submitted a wire in payment of the fine in the amount of $15,000. 02-26-2015 Chicago Board Options Exchange, Incorporated Censure CivilAdminPenaltyFine No Product Chicago Board Options Exchange, Incorporated ("CBOE") Business Conduct Committee (the "Committee") alleged that Goldman, Sachs & Co. (the "Firm") failed to appropriately register with the CBOE: (i) on various dates between on or about November 5, 2011 through on or about October 10, 2014, five (5) Associated Persons as a Proprietary Trader (PT), and (ii) by November 5, 2011, its Chief Compliance Officer as a Proprietary Trader Compliance Officer (CT), each in alleged violation of CBOE Rule 3.6A. 07-16-2015 Consent Y Censure CivilAdminPenaltyFine 15000.00 15000.00 07-30-2015 15000.00 9-E2 C2 Options Exchange, Incorporated C2 15-0001 / 20150442481 400 South LaSalle Street Chicago IL 60605 Without admitting or denying the rule violations, allegations or findings, the Firm submitted an offer of settlement to the Committee. On July 16, 2015, the Committee issued a decision accepting the offer of settlement, and on July 30, 2015, the Firm submitted a wire in payment of the fine in the amount of $2,500. 02-26-2015 C2 Options Exchange, Incorporated Censure CivilAdminPenaltyFine No Product C2 Options Exchange, Incorporated ("C2") Business Conduct Committee (the "Committee") alleged that, from on or about March 27, 2013 through on or about July 11, 2014, Goldman, Sachs & Co. (the "Firm") failed to appropriately register its Financial and Operations Principal as a Financial and Operations Principal (FN) with C2, in alleged violation of C2 Rule 3.4. 07-16-2015 Consent Y Censure CivilAdminPenaltyFine 2500.00 2500.00 07-30-2015 2500.00 1 9-E2 Goldman Sachs International N ICE Clear Credit LLC 2015-404b-021 353 N. Clark Street Suite 3100 Chicago IL 60654 ICC made a summary assessment against GSI in the amount of $127,000, which amount will be direct debited in the next ICC monthly clearing fee invoice. 07-08-2015 ICE Clear Credit LLC CivilAdminPenaltyFine Derivative(s) ICE Clear Credit LLC ("ICC") alleged that during the month of June 2015, Goldman Sachs International ("GSI") failed to submit certain single name end of day prices and certain index prices in accordance with ICC Rules and Procedures, in alleged violation of ICC Rule 404(b). 07-14-2015 Consent Y CivilAdminPenaltyFine 127000.00 127000.00 ICC made a summary assessment against GSI in the amount of $127,000, which amount will be direct debited in the next ICC monthly clearing fee invoice. 127000.00 9-E2 ICE Clear Credit LLC 2015-404b-020 353 N. Clark Street Suite 3100 Chicago IL 60654 ICC made a summary assessment against the Firm in the amount of $19,000, which amount will be direct debited in the next ICC monthly clearing fee invoice. 07-08-2015 ICE Clear Credit LLC CivilAdminPenaltyFine Derivative(s) ICE Clear Credit LLC ("ICC") alleged that during the month of June 2015, Goldman, Sachs & Co. (the "Firm") failed to submit certain index prices in accordance with ICC Rules and Procedures, in alleged violation of ICC Rule 404(b). 07-14-2015 Consent Y CivilAdminPenaltyFine 19000.00 19000.00 ICC made a summary assessment against the Firm in the amount of $19,000, which amount will be direct debited in the next ICC monthly clearing fee invoice. 19000.00 1 9-E2 Goldman Sachs Execution & Clearing, L.P. Y 008-00526 Commodity Exchange COMEX 14-9777-BC One North End Avenue New York NY 10282 Without admitting or denying the rule violations, allegations or findings, GSEC submitted a settlement offer to the Panel. On July 16, 2015, the Panel accepted the settlement offer and issued a decision effective on July 20, 2015. On July 27, 2015, GSEC submitted a wire in payment of the fine in the amount of $110,000. 07-20-2015 Commodity Exchange CivilAdminPenaltyFine Futures - Commodity Options A panel of the Commodity Exchange ("COMEX") Business Conduct Committee (the "Panel") accepted a negotiated settlement offer made by Goldman Sachs Execution & Clearing, L.P. ("GSEC") which concerned allegations that two GSEC customers with different beneficial ownership requested that GSEC process the purchase and sale of their gold futures and options book, and that on February 27, 2013, GSEC processed their transaction as a transfer of the relevant futures and options contracts between their accounts at GSEC without obtaining the approval of COMEX, in alleged violation of COMEX Rule 853.A. 07-20-2015 Consent Y CivilAdminPenaltyFine 110000.00 110000.00 07-27-2015 110000.00 1 9-D2 Goldman Sachs International N Government Debt Management Agency Private Company Limited by Shares None H-1027 Budapest Csalogany utca K5 9-11 The AKK imposed a fine on GSI in the amount of HUF$500,000, which was paid by submission of a wire on August 13, 2015. While the actual payment was made in Hungarian Forints, using the foreign exchange spot rate of HUF$0.0035898:USD$1 as of August 13, 2015, the equivalent U.S. Dollar value on August 13, 2015 was USD$1794.90, which amount is reflected in Item 12.B. above. 07-20-2015 Government Debt Management Agency Private Company Limited by Shares CivilAdminPenaltyFine Debt - Government Government Debt Management Agency Private Company Limited by Shares ("AKK") alleged that during the month of June 2015, Goldman Sachs International ("GSI") failed to meet primary dealer quoting obligations in accordance with the Agency Contract between GSI and AKK and the relevant market making rules. 07-20-2015 Decision Y CivilAdminPenaltyFine 1794.90 1794.90 08-13-2015 1794.90 1 9-D2 Goldman Sachs do Brasil Banco Multiplo S.A. N ANBIMA - Brazilian Financial and Capital Markets Association 005/2015 Av. das Nacoes Unidas, 8501 21st Floor Sao Paulo - SP D5 05425-070 Without admitting or denying the rule violation, ANBIMA and GSBR entered into a settlement agreement on July 22, 2015, in which GSBR agreed to: (i) ensure full compliance with all provisions of the ANBIMA's Code of Funds, specifically with respect to matters relating to the PAI; (ii) adopt additional internal controls relating to governance and management of the Fund and conduct related training with submission to ANBIMA of a list of attendees of the training once completed; (iii) refrain from preparation of any material for distribution, solicitation, advertisement or any other material intended to solicit new shareholders for the Fund; and (iv) refrain from using the Fund's performance track record in the marketing material of any other fund managed by GSBR for a period of twelve (12) months. In addition, GSBR agreed to make a financial payment to ANBIMA in the amount of five hundred thousand Reais (BRL$500,000.00), which amount was paid by GSBR on August 3, 2015. While the actual payment was made in Brazilian Reais, using the most recently published Federal Reserve foreign exchange rate of BRL$3.4487:USD$1 as of August 3, 2015, the equivalent U.S. Dollar value on August 3, 2015 was USD$144,982.17, which amount is reflected in Item 12.B. above. 07-22-2015 ANBIMA - Brazilian Financial and Capital Markets Association CivilAdminPenaltyFine Undertaking No Product Brazilian Financial and Capital Markets Association ("ANBIMA") filed a Proceeding for Investigation of Irregularities ("PAI") to investigate whether Goldman Sachs do Brasil Banco Multiplo S.A. ("GSBR") may have violated Article 27, Paragraph 3, V of the ANBIMA Code of Regulation and Best Practices to Investment Funds (Codigo ANBIMA de Regulacao e Melhores Praticas para Fundos de Investimento, "ANBIMA's Code of Funds") in connection with GSBR's tax treatment of payments of interest on capital in connection with stock lending trades involving a Brazilian investment fund managed by GSBR (the "Fund"). 07-22-2015 Settled Y CivilAdminPenaltyFine Undertaking 144982.17 144982.17 08-03-2015 144982.17 1 9-E2 Goldman Sachs Execution & Clearing, L.P. Y 008-00526 Financial Industry Regulatory Authority, Inc. 2013037867101 1735 K Street Washington DC 20006 Without admitting or denying the allegations or findings, GSEC consented to a censure, a fine, and an undertaking requiring GSEC to address the OATS and TRF reporting deficiencies described above to ensure that GSEC has implemented procedures that are reasonably designed to achieve compliance with the rules and regulations cited, and entered into a Letter of Acceptance, Waiver and Consent (AWC) which was accepted by FINRA on July 24, 2015, and on August 12, 2015, GSEC submitted a wire in payment of the fine in the amount of $1,800,000. 07-24-2015 Financial Industry Regulatory Authority, Inc. Censure CivilAdminPenaltyFine Undertaking Other Unspecified Securities Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Market Regulation alleged that: (A) Goldman Sachs Execution & Clearing, L.P. ("GSEC") (i) between July 14, 2006 and July 30, 2013, failed to transmit to the Order Audit Trail System ("OATS") certain Reportable Order Events ("ROEs") under GSEC's "SGMA" Market Participant Identifier ("MPID") for its Alternative Trading System ("ATS"), in alleged violation of NASD Rule 6955 (for conduct that occurred prior to December 15, 2008) and FINRA Rule 7450 (for conduct that occurred on and after December 15, 2008); (ii) between July 14, 2006 and March 9, 2015, transmitted to OATS certain inaccurate and/or incomplete required ROE data elements, in alleged violation of NASD Rule 6954 (for conduct that occurred prior to December 15, 2008) and FINRA Rule 7440 (for conduct that occurred on and after December 15, 2008); (iii) between April 7, 2014 and February 13, 2015, transmitted to OATS certain ROEs under GSEC's SGMA MPID that failed to report order event timestamps in milliseconds when GSEC's ATS captured time in milliseconds, in alleged violation of FINRA Rule 7450; (iv) between November 10, 2014 and February 13, 2015, submitted certain trade reports to the FINRA/NYSE Trade Reporting Facility ("TRF") under the SGMA MPID that failed to report execution timestamps in milliseconds, in alleged violation of FINRA Rule 6380B(c)(5); (v) during all the above-referenced review periods, failed to have adequate supervisory procedures reasonably designed to achieve compliance with NASD Rules 6954 and 6955 and FINRA Rules 7440, 7450 and 6380B(c)(5) in connection with the deficiencies described; and (B) the conduct described above constituted violations of NASD Rule 3010 (for conduct that occurred prior to December 1, 2014), FINRA Rule 3110 (for conduct that occurred on and after December 1, 2014), NASD Rule 2110 (for conduct that occurred prior to December 15, 2008) and FINRA Rule 2010 (for conduct that occurred on and after December 15, 2008). 07-24-2015 Acceptance Waiver & Consent (AWC) Y Censure CivilAdminPenaltyFine Undertaking 1800000.00 1800000.00 08-12-2015 1800000.00 1 9-D2 Goldman Sachs International N Goldman, Sachs & Co. 000000361 1818621 1 9-E2 J. Aron & Company N Goldman, Sachs & Co. 000000361 1818622 9-E2 ICE Clear Credit LLC 2015-404b-039 353 N. Clark Street Suite 3100 Chicago IL 60654 ICC made a summary assessment against the Firm in the amount of $1,000, which amount is direct debited in the next ICC monthly clearing fee invoice. 10-06-2015 ICE Clear Credit LLC CivilAdminPenaltyFine Derivative(s) ICE Clear Credit, LLC ("ICC") alleged that during the month of September 2015, Goldman, Sachs & Co. (the "Firm") failed to submit one (1) index end of day price in accordance with ICC Rules and Procedures, in alleged violation of ICC Rule 404(b). 10-19-2015 Consent Y CivilAdminPenaltyFine 1000.00 1000.00 ICC made a summary assessment against the Firm in the amount of $1,000, which amount is direct debited in the next ICC monthly clearing fee invoice. 1000.00 1 9-E2 Goldman Sachs International N ICE Clear Credit LLC 2015-404b-038 353 N. Clark Street Suite 3100 Chicago, IL 60654 ICC made a summary assessment against GSI in the amount of $7,000, which amount is direct debited in the next ICC monthly clearing fee invoice. 10-06-2015 ICE Clear Credit LLC CivilAdminPenaltyFine Derivative(s) ICE Clear Credit, LLC ("ICC") alleged that during the month of September 2015, Goldman Sachs International ("GSI") failed to submit seven (7) index end of day prices in accordance with ICC Rules and Procedures, in alleged violation of ICC Rule 404(b). 10-19-2015 Consent Y CivilAdminPenaltyFine 7000.00 7000.00 ICC made a summary assessment against GSI in the amount of $7,000, which amount is direct debited in the next ICC monthly clearing fee invoice. 7000.00 1 9-D2 9-D4 9-D5 Goldman, Sachs & Co. 000000361 1846017 The Goldman Sachs Group, Inc. N Goldman, Sachs & Co. 000000361 1846017 1 9-D2 The Goldman Sachs Group, Inc. N Goldman, Sachs & Co. 000000361 1856467 1 9-D2 Goldman Sachs International N Goldman, Sachs & Co. 000000361 1818621 9-E2 Goldman, Sachs & Co. 000000361 1859639 9-C2 9-C4 9-C5 Goldman, Sachs & Co. 000000361 1862186 1 9-D2 Goldman Sachs (Asia) L.L.C. N Goldman, Sachs & Co. 000000361 1868848 1 9-E2 Goldman Sachs Execution & Clearing, L.P. Y 008-00526 Goldman Sachs Execution & Clearing, L.P. 000003466 1873218 9-E2 ICE Futures U.S., Inc. 2015-106 55 E 52nd St. New York NY 10055 The Summary Fine, in the amount of $2,000, was paid by submission of a wire on March 31, 2016. 03-17-2016 ICE Futures U.S., Inc. CivilAdminPenaltyFine No Product ICE Futures U.S., Inc. ("IFUS") Market Regulation Department issued a Summary Fine, dated March 17, 2016, to Goldman, Sachs & Co. (the "Firm"), stating that the Firm may have violated IFUS Rule 6.10 by failing to ensure that the proper Customer Type Indicator (CTI) code was affixed to certain orders entered between May and August 2015. 03-17-2016 Decision Y CivilAdminPenaltyFine 2000.00 2000.00 03-31-2016 2000.00 9-E2 Goldman, Sachs & Co. 000000361 1875181 9-E2 Goldman, Sachs & Co. 000000361 1875601 9-E2 Goldman, Sachs & Co. 000000361 1882468 1 9-D2 Goldman Sachs Saudi Arabia N Goldman, Sachs & Co. 000000361 1886053 9-E2 Goldman, Sachs & Co. 000000361 1891791 1 9-D4 9-D5 Goldman, Sachs & Co. 000000361 1897440 The Goldman Sachs Group, Inc. N Goldman, Sachs & Co. 000000361 1897440 1 9-D2 Goldman Sachs Execution & Clearing, L.P. Y 008-00526 Goldman Sachs Execution & Clearing, L.P. 000003466 1901548 1 9-E2 Goldman Sachs Asset Management, L.P. Y 801-37591 Goldman, Sachs & Co. 000000361 1907118 9-C2 9-C4 9-C5 Goldman, Sachs & Co. 000000361 1915199 1 9-E2 Goldman Sachs Execution & Clearing, L.P. Y 008-00526 Goldman Sachs Execution & Clearing, L.P. 000003466 1922714 9-D2 Goldman, Sachs & Co. 000000361 1929672 1 9-G Goldman Sachs International N Federal Financial Supervisory Authority of Germany (Bundesanstalt fur Finanzdienstleistungsaufsicht - "BaFin") GZ: WA 17-Wp 3120-2016/0060 Marie-Curie-Str. 24-28 Frankfurt 2M 60439 GSI is reviewing, and provided a written response to BaFin on May 30, 2017. 05-02-2017 Federal Financial Supervisory Authority of Germany (Bundesanstalt fur Finanzdienstleistungsaufsicht - "BaFin") CivilAdminPenaltyFine Equity Listed (Common & Preferred Stock) BaFin has alleged certain breaches by Goldman Sachs International ("GSI") in May 2016 of sections 21(1) and 25(1) of the German Securities TRading Act (Wertpapierhandelsgesetz - "WpHG") as a result of GSI's late submission of a shareholder voting rights notification. 05-02-2017 1 9-D4 Goldman Sachs (India) Securities Private Limited N Goldman Sachs & Co. LLC 000000361 1941617 9-E2 Goldman Sachs & Co. LLC 000000361 1941756 9-E2 Goldman Sachs & Co. LLC 000000361 1946884 9-E2 Goldman Sachs & Co. LLC 000000361 1946885 1 9-G Goldman Sachs International N Goldman Sachs & Co. LLC 000000361 1954930 9-E2 Goldman Sachs & Co. LLC 000000361 1956889 9-E2 Goldman Sachs & Co. LLC 000000361 1962381 9-E2 Goldman Sachs & Co. LLC 000000361 1961063 1 9-D4 Goldman Sachs Bank USA N Goldman Sachs & Co. LLC 000000361 1967939 2 9-D4 Goldman Sachs Bank USA N Goldman Sachs & Co. LLC 000000361 1967938 The Goldman Sachs Group, Inc. N Goldman Sachs & Co. LLC 000000361 1967938 9-E2 Goldman Sachs & Co. LLC 000000361 1976967 9-E2 Goldman Sachs & Co. LLC 000000361 1978013 1 9-D4 The Goldman Sachs Group, Inc. N Goldman Sachs & Co. LLC 000000361 1980138 2 9-D2 9-D4 The Goldman Sachs Group, Inc. N Goldman Sachs & Co. LLC 000000361 1980140 Goldman Sachs Bank USA N Goldman Sachs & Co. LLC 000000361 1980140 1 9-D2 9-D4 The Goldman Sachs Group, Inc. N Goldman Sachs & Co. LLC 000000361 1966983 1 9-G GOLDMAN SACHS INTERNATIONAL N Goldman Sachs & Co. LLC 000000361 2007759 9-H1b GOLDMAN, SACHS & CO. 000000361 1505029 9-H1b GOLDMAN, SACHS & CO. 000000361 1247737 9-H1b GOLDMAN, SACHS & CO. 000000361 1134508 John Maurice O'Connell John Maurice O'Connell Chief Compliance Officer 12-20-2018 000000361 N Y N Y N Y Y Y N Y Y Y Y N N N N Y N Y N