-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TeWfiTfBjD+F+AcSE0MQfiL/UTH+bDMzdNFYYFH90ssTlWxMWbBtpb0/8FU/4vTn /X7minNOnxciGyTBLYVilw== 0000769993-02-000556.txt : 20021217 0000769993-02-000556.hdr.sgml : 20021217 20021217150924 ACCESSION NUMBER: 0000769993-02-000556 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021213 FILED AS OF DATE: 20021217 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: SMITH SARAH G CENTRAL INDEX KEY: 0001090335 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O GOLDMAN SACHS GROUP INC STREET 2: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 MAIL ADDRESS: STREET 1: C/O GOLDMAN SACHS GROUP INC STREET 2: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC/ CENTRAL INDEX KEY: 0000886982 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 134019460 STATE OF INCORPORATION: DE FISCAL YEAR END: 1129 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14965 FILM NUMBER: 02860103 BUSINESS ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 4 1 smith420021213ro.txt FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person* Smith, Sarah E. - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Goldman, Sachs & Co. 85 Broad Street - -------------------------------------------------------------------------------- (Street) New York, New York 10004 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol The Goldman Sachs Group, Inc. (GS) ================================================================================ 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) ================================================================================ 4. Statement for Month/Day/Year December 13, 2002 ================================================================================ 5. If Amendment, Date of Original (Month/Day/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ X ] Officer (give title below) [ ] Other (specify below) Vice President - Principal Accounting Officer -------------------------------------------------- ================================================================================ 7. Individual or Joint/Group Filing (Check Applicable Line) [ X ] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person ================================================================================
==================================================================================================================================== Table I -- Non-Derivative Securities Acquired, Disposed of, | or Beneficially Owned | ==================================================================================================================================== | | | | |5. |6. | | | | | | 4. |Amount of |Owner- | | | | | | Securities Acquired (A) or |Securities |ship | | | |2A. |3. | Disposed of (D) |Beneficially |Form: |7. | |2. |Deemed |Transaction| (Instr. 3, 4 and 5) |Owned |Direct |Nature of | |Transaction |Execution |Code | -------------------------------|Following |(D) or |Indirect | 1. |Date |Date, if |(Instr. 8) | | (A) | |Reported |Indirect |Beneficial| Title of Security |(Month/Day/ |any(Month/|-----------| Amount | or | Price |Transactions |(I) |Ownership | (Instr. 3) |Year) |Day/Year) | Code | V | | (D) | |(Instr. 3 & 4)|(Instr.4)|(Instr. 4)| - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | | | | | | ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). FORM 4 (continued)
==================================================================================================================================== Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned | (e.g., puts, calls, warrants, options, convertible securities) | ==================================================================================================================================== | | | | | | | | |9. |10. | | |2. | | | | | | | |Number |Owner-| | |Con- | | | | | | | |of |ship | | |ver- | |3A. | | | | | |Deriv- |of | | |sion | |De- | |5. | |7. | |ative |Deriv-|11. | |or | |emed| |Number of | |Title and Amount | |Secur- |ative |Nature| |Exer- | |Exe-| |Derivative |6. |of Underlying |8. |ities |Secur-|of | |cise | |cu- |4. |Securities |Date |Securities |Price |Bene- |ity: |In- | |Price |3. |tion|Trans-|Acquired (A)|Exercisable and |(Instr. 3 and 4) |of |ficially |Direct|direct| |of |Trans- |Date|action|or Disposed |Expiration Date |-----------------------|Deriv- |Owned |(D) or|Bene- | 1. |Der- |action |if |Code |of (D) |(Month/Day/Year) | |Amount |ative |Following|In- |ficial| Title of |iva- |Date |any,|(Instr|(Instr. 3, |-----------------| |or |Secur- |Reported |direct|Owner-| Derivative |tive |(Month/ |(MM/|8) |4 and 5) |Date |Expira- | |Number |ity |Trans- |(I) |ship | Security |Secu- |Day/ |DD/ |------|------------|Exer- |tion | |of |(Instr. |action(s)|(Instr|(Instr| (Instr. 3) |rity |Year) |YY) |Code|V| (A) | (D) |cisable |Date |Title |Shares |5) |(Instr.4)|4) |4) | - -----------------------------------------------------------------------------------------------------------------------------------| Restricted | | | | | | | | | | | | | | | | Stock Units | (1) |12/13/02| | A | | 1,369| | (1) | (1) | Common Stock| 1,369 | | 1,369 | D | | - -----------------------------------------------------------------------------------------------------------------------------------| Nonqualified | | | | | | | | | | | | | | | | Stock options | | | | | | | | | | | | | | | | (right to buy) |$78.87|12/13/02| | A | | 4,107| | (2) |11/30/12| Common Stock| 4,107 | | 4,107 | D | | ====================================================================================================================================
Explanation of Responses: (1): These Restricted Stock Units vested 25% immediately upon grant, with the remaining 75% vesting on November 25, 2005, and the shares of Common Stock underlying these Restricted Stock Units will generally be deliverable, without the payment of any consideration, in January 2006. (2): These Stock Options vested 25% immediately upon grant, with the remaining 75% vesting on November 25, 2005. These Stock Options become exercisable in January 2006 and expire on November 30, 2012. By: /s/ Roger S. Begelman December 17, 2002 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date Attorney-in-fact ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedures. Alternatively, this Form is permitted to be submitted to the Commission in electronic format at the option of the reporting person pursuant to Rule 101(b)(4) of Regulation S-T. -----END PRIVACY-ENHANCED MESSAGE-----