<PAGE>
SECURITIES EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
RULE 13d-1(a) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(a)
(Amendment No. 1)
The Goldman Sachs Group, Inc.
(Name of Issuer)
Common Stock, par value $.01 per share
(Title of Class of Securities)
38141G 10 4
(CUSIP Number)
Mark M. Lubin
Sumitomo Bank Capital Markets, Inc.
277 Park Avenue
New York, New York 10172
Telephone: (212) 224-4000
(Name, Address and Telephone Number of Persons Authorized to
Receive Notices and Communications)
December 14, 1999
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition that is the subject of this Schedule 13D, and is filing
this statement because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the
following box [ ].
(Continued on following pages)
<PAGE>
- ------------------------
CUSIP NO. 38141G 10 4 13D
- ------------------------
- ------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
Sumitomo Bank Capital Markets, Inc.
- ------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
As to a group consisting of SBCM(1) and The
Sumitomo Bank, Limited (a) [x]
As to a group consisting of the Covered
Persons/(1)/ and KAA/(1)/ (b) [x]
- ------------------------------------------------------------------------------
3. SEC USE ONLY
- ------------------------------------------------------------------------------
4. SOURCE OF FUNDS
OO
- ------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL [ ]
PROCEEDINGS IS REQUIRED PURSUANT TO
ITEM 2(d) OR 2(e)
- ------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- ------------------------------------------------------------------------------
NUMBER OF SHARES 7. SOLE VOTING POWER (See Item 6)
BENEFICIALLY OWNED BY 0
EACH
REPORTING PERSON
WITH
- ------------------------------------------------------------------------------
8. SHARED VOTING POWER (See Item 6)
276,570,456 Covered Shares/(1)/ and
Uncovered Shares /(1)/ in the
aggregate /(2)/ held by Covered Persons/(1)/
21,975,421 shares/(2)/ held by KAA/(1)/
21,425,052 shares held by SBCM/(1) (4)/
- ------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER (See Item 6)
21,425,052/(4)/
- ------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER (See Item 6)
0
- ------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON
21,425,052/(3)(4)/
- ------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (11) EXCLUDES CERTAIN SHARES [x]
- ------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY
AMOUNT IN ROW (11) 4.9%/(3)(4)/
- ------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
BK
- ------------------------------------------------------------------------------
________________________________
(1) For a definition of this term, please see Item 2.
(2) Each of SBCM and The Sumitomo Bank, Limited may be deemed to be members of
a "group" with KAA and the Covered Persons. Each of SBCM and The Sumitomo
Bank, Limited disclaims beneficial ownership of shares of Common Stock held
by KAA and the Covered Persons.
(3) Excludes 276,570,456 and 21,975,421 shares of Common Stock held by the
Covered Persons and KAA, respectively, as to which each of SBCM and The
Sumitomo Bank, Limited disclaims beneficial ownership.
(4) Excludes 7,440,362 shares of Nonvoting Common Stock held by SBCM which,
although immediately convertible into Common Stock pursuant to the
Certificate of Incorporation of The Goldman Sachs Group, Inc., cannot
currently be converted by SBCM due to restrictions imposed under the Bank
Holding Company Act of 1956, as amended.
2
<PAGE>
- -------------------------
CUSIP NO. 38141G 10 4 13D
- -------------------------
- ------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
The Sumitomo Bank, Limited
- ------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
As to a group consisting of SBCM(1) and The (a) [x]
Sumitomo Bank, Limited
As to a group consisting of the
Covered Persons/(1)/ and KAA/(1)/ (b) [x]
- ------------------------------------------------------------------------------
3. SEC USE ONLY
- ------------------------------------------------------------------------------
4. SOURCE OF FUNDS
OO
- ------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL [ ]
PROCEEDINGS IS REQUIRED PURSUANT TO
ITEM 2(d) OR 2(e)
- ------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
Japan
- ------------------------------------------------------------------------------
NUMBER OF SHARES 7. SOLE VOTING POWER (See Item 6)
BENEFICIALLY OWNED BY 0
EACH
REPORTING PERSON
WITH
- ------------------------------------------------------------------------------
8. SHARED VOTING POWER (See Item 6)
276,570,456 Covered Shares/(1)/ and
Uncovered Shares /(1)/ in the
aggregate /(2)/ held by Covered Persons/(1)/
21,975,421 shares/(2)/ held by KAA/(1)/
21,425,052 shares held by SBCM/(1)(4)/
- ------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER (See Item 6)
21,425,052/(4)/
- ------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER (See Item 6)
0
- ------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON
21,425,052/(3)(4)/
- ------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (11) EXCLUDES CERTAIN SHARES [x]
- ------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY
AMOUNT IN ROW (11) 4.9%/(3)(4)/
- ------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
BK
- ------------------------------------------------------------------------------
________________________________
(1) For a definition of this term, please see Item 2.
(2) Each of SBCM and The Sumitomo Bank, Limited may be deemed to be members of
a "group" with KAA and the Covered Persons. Each of SBCM and The Sumitomo
Bank, Limited disclaims beneficial ownership of shares of Common Stock held
by KAA and the Covered Persons.
(3) Excludes 276,570,456 and 21,975,421 shares of Common Stock held by the
Covered Persons and KAA, respectively, as to which each of SBCM and The
Sumitomo Bank, Limited disclaims beneficial ownership.
(4) Excludes 7,440,362 shares of Nonvoting Common Stock held by SBCM which,
although immediately convertible into Common Stock pursuant to the
Certificate of Incorporation of The Goldman Sachs Group, Inc., cannot
currently be converted by SBCM due to restrictions imposed under the Bank
Holding Company Act of 1956, as amended.
3
<PAGE>
This Amendment No. 1 to Schedule 13D amends and restates in its entirety such
Schedule 13D. This Amendment No. 1 is being filed because, according to
Amendment No. 1 to Schedule 13D filed by the Covered Persons (as defined in Item
2) on December 17, 1999, the Covered Persons' beneficial ownership of Common
Stock has decreased by one percent or more of the Common Stock outstanding.
Item 1. Security and Issuer
- ---------------------------
This statement relates to the Common Stock, par value $.01 per share (the
"Common Stock"), of The Goldman Sachs Group, Inc., a Delaware corporation
(together with its subsidiaries and affiliates, "GS Inc."). The address of the
principal executive offices of GS Inc. is 85 Broad Street, New York, New York
10004.
Item 2. Identity and Background
- -------------------------------
(a), (b), (c), (f) This Schedule 13D is being filed by Sumitomo Bank
Capital Markets, Inc. ("SBCM"), a Delaware corporation and a wholly owned
subsidiary of The Sumitomo Bank, Limited, a corporation organized under the laws
of Japan ("Sumitomo"). Sumitomo Bank Capital Markets, Inc. is a New York-based
subsidiary of The Sumitomo Bank, Limited. It is engaged in various forms of
commercial finance and is a participant in the market for interest rate and
other forms of derivatives. The Sumitomo Bank, Limited is a commercial bank
headquartered in Osaka and Tokyo, Japan. Directly or through subsidiaries and
other affiliates, it engages in a wide variety of wholesale and retail banking
activities in Japan, as well as in other parts of Asia, the Americas and Europe.
The address of SBCM's principal business and office is 277 Park Avenue, New
York, New York 10172. The address of Sumitomo's principal business and office
is 3-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo, 100-0005, Japan. The name,
citizenship, business address and present principal occupation or employment of
each of the directors and executive officers of SBCM and Sumitomo is set forth
in Annex A to this Schedule 13D.
This Schedule contains certain information relating to (i) certain managing
directors of GS Inc. who beneficially own Common Stock subject to a
Shareholders' Agreement ("Covered Shares"), dated as of May 7, 1999, to which
these managing directors of GS Inc. are party (as amended from time to time, the
"Shareholders' Agreement" and such managing directors, the "Covered Persons")
and (ii) Kamehameha Activities Association ("KAA"), who may be deemed to be
members of a "group" with SBCM or Sumitomo. Each of SBCM and Sumitomo hereby
disclaims beneficial ownership of: (i) the Covered Shares; (ii) shares of
Common Stock which may be purchased from time to time by Covered Persons for
investment purposes which are not subject to the Shareholders' Agreement
("Uncovered Shares") or (iii) the shares of Common Stock subject to the Voting
Agreement between KAA and GS Inc. (the "KAA Shares"), referred to below (see
Item 6). All information contained in this Schedule relating to the Covered
Persons and KAA has been derived from the final prospectus, dated May 3, 1999,
made part of the Registration Statement on Form S-1 filed by GS Inc. (File No.
333-74449) or from Amendment No. 1 to Schedule 13D filed by the Covered Persons
on December 17, 1999. The Covered Persons and KAA each have filed a Schedule
13D with respect to the shares of Common Stock and other equity securities of GS
Inc. which they beneficially own; the reader is referred to such filings and any
amendments thereto for more recent and complete information relating to the
Covered Persons and KAA.
4
<PAGE>
(d), (e) Except as described in Annex A or Annex B, during the last
five years, none of SBCM or Sumitomo or, to the best knowledge of SBCM or
Sumitomo, any of their respective executive officers or directors, has been
convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors), nor has any of them been a party to a civil proceeding of a
judicial or administrative body of competent jurisdiction and as a result of
such proceeding was or is subject to a judgment, decree or financial order
enjoining future violations of, or prohibiting activities subject to, federal or
state securities laws or finding any violation of such laws.
Item 3. Source and Amount of Funds or Other Consideration
- ---------------------------------------------------------
The Common Stock has been acquired by SBCM and Sumitomo in exchange for
their interests in The Goldman Sachs Group L.P. ("Group L.P.") and certain of
its affiliates.
Item 4. Purpose of Transactions
- -------------------------------
SBCM acquired the Common Stock reported hereunder in connection with the
succession of GS Inc. to the business of Group L.P. and GS Inc.'s initial public
offering. Except as described in Item 6, none of SBCM or Sumitomo or their
respective executive officers or directors has any plans or proposals which
relate to or would result in their acquisition of additional Common Stock or any
of the other events described in Item 4(a) through 4(j).
Each of SBCM and Sumitomo and their respective executive officers and
directors is expected to evaluate on an ongoing basis GS Inc.'s financial
condition and prospects and their interests in and with respect to GS Inc.
Accordingly, each of SBCM and Sumitomo and their respective executive officers
and directors may change their plans and intentions at any time and from time to
time. In particular, each of SBCM and Sumitomo and their respective executive
officers and directors may at any time and from time to time acquire or dispose
of shares of Common Stock. Pursuant to restrictions imposed under the Bank
Holding Company Act of 1956, as amended, SBCM and Sumitomo cannot currently
acquire Common Stock if such acquisition would cause them to own more than 4.9%
of the Common Stock.
Item 5. Interest in Securities of the Issuer
- --------------------------------------------
(a) Rows (11) and (13) of the cover pages to this Schedule (including the
footnotes thereto) and Annex A are hereby incorporated by reference. Each of
SBCM and Sumitomo hereby disclaims beneficial ownership of any shares of Common
Stock held by any Covered Person or of the KAA Shares.
(b) Rows (7) through (10) of the cover pages to this Schedule (including
the footnotes thereto) and Annex A set forth the percentage range of Common
Stock as to which there is sole power to vote or direct the vote or to dispose
or direct the disposition, and the number of shares of Common Stock as to which
there is shared power to vote or direct the vote or to dispose or direct the
disposition. The power to vote the Common Stock subject to the Voting Agreement
between SBCM, Sumitomo and GS Inc. referred to below (see Item 6) (the "SBCM
Shares") is shared with the Covered Persons, as described below in response to
Item 6. Each of SBCM and Sumitomo hereby disclaims beneficial ownership of any
shares of Common Stock held by any Covered Person or of the KAA Shares.
5
<PAGE>
(c) Except as described in Annex C, neither SBCM or Sumitomo, or to the
best knowledge of SBCM or Sumitomo, any of their respective executive officers
or directors, has effected any transactions in Common Stock during the past 60
days. Amendment No. 1 to the Schedule 13D filed by the Covered Persons on
December 17, 1999 reports certain transactions in the Common Stock effected by
the Covered Persons during the 60 days preceding the filing of such Amendment;
the reader is referred to such filing for information relating to such
transactions.
(d), (e) Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to
- --------------------------------------------------------------------------------
Securities of the Issuer
- ------------------------
SBCM VOTING AGREEMENT
SBCM and Sumitomo have entered into a voting agreement with GS Inc., dated
April 30, 1999 (the "SBCM Voting Agreement"), in which they have agreed to vote
their shares of Common Stock and all other voting securities of GS Inc. in the
same manner as a majority of the shares of Common Stock held by the managing
directors of GS Inc. are voted for so long as they hold voting securities of GS
Inc. It is expected that for so long as the Shareholders' Agreement remains in
effect, the SBCM Voting Agreement will result in the shares of Common Stock
owned by SBCM being voted in the same manner as the Covered Shares. The Covered
Persons and KAA are not parties to the SBCM Voting Agreement, and the SBCM
Voting Agreement is not enforceable by the Covered Persons or KAA, will continue
to exist independent of the existence of the Shareholders' Agreement and the KAA
Voting Agreement and may be amended, waived or canceled by GS Inc. without any
consent or approval of the Covered Persons or KAA. The SBCM Voting Agreement is
incorporated by reference as an exhibit to this Schedule 13D and the foregoing
summary is qualified in its entirety by reference thereto.
Each of SBCM and Sumitomo hereby disclaims beneficial ownership of the
Covered Shares.
SHAREHOLDERS' AGREEMENT
GS Inc. has disclosed that the Covered Persons are party to the
Shareholders' Agreement. The Covered Shares subject to the Shareholders'
Agreement are subject to certain voting restrictions and restrictions on
transfer of ownership by the Covered Persons, as more fully set forth in the
Shareholders' Agreement.
Each of SBCM and Sumitomo hereby disclaims beneficial ownership of the
Covered Shares.
KAA VOTING AGREEMENT
GS Inc. has disclosed that KAA has entered into a voting agreement with GS
Inc., dated April 30, 1999 (the "KAA Voting Agreement"), in which they have
agreed to vote their shares of Common Stock and all other voting securities of
GS Inc. in the same manner as a majority of the
6
<PAGE>
shares of Common Stock held by the managing directors of GS Inc. are voted for
so long as they hold voting securities of GS Inc.
Each of SBCM and Sumitomo hereby disclaims beneficial ownership of the KAA
Shares.
Item 7. Material to be Filed as Exhibits
- -----------------------------------------
Exhibit Description
- ------- -----------
A. Voting Agreement, dated as of April 30, 1999, by and among
The Goldman Sachs Group, Inc., The Sumitomo Bank, Limited
and Sumitomo Bank Capital Markets, Inc. (incorporated by
reference to Exhibit 10.38 to the registration statement on
Form S-1 (File No. 333-74449) filed by The Goldman Sachs
Group, Inc.).
7
<PAGE>
ANNEX A
Information required as to Executive Officers and Directors of SBCM and
Sumitomo, respectively.
Directors and Executive Officers of The Sumitomo Bank, Limited
<TABLE>
<CAPTION>
Name Citizenship Business Address Present Employment Criminal Beneficial
Convictions or Ownership of
Violations of the common
Federal or State stock of The
Securities Laws Goldman Sachs
within the last Group, Inc.
Five Years
- -----------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Toshio Japan 3-2, Marunouchi Chairman of the Board, None/None None
Morikawa 1-chome, Chiyoda-ku, The Sumitomo Bank, Ltd.
Tokyo 100-0005, Japan
- -----------------------------------------------------------------------------------------------------------------------------
Yoshifumi Japan 3-2, Marunouchi President and Chief None/None None
Nishikawa 1-chome, Chiyoda-ku, Executive Officer, The
Tokyo 100-0005, Japan Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Kensuke Japan 3-2, Marunouchi Deputy President and None/None None
Hotta 1-chome, Chiyoda-ku, Executive Officer, The
Tokyo 100-0005, Japan Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Youhei Japan 3-2, Marunouchi Deputy President and None/None None
Shiraga 1-chome, Chiyoda-ku, Executive Officer, The
Tokyo 100-0005, Japan Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Akio Asuke Japan 3-2, Marunouchi Senior Managing None/None None
1-chome, Chiyoda-ku, Director and Executive
Tokyo 100-0005, Japan Officer, The Sumitomo
Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Kensuke Japan 3-2, Marunouchi Senior Managing None/None None
Uchida 1-chome, Chiyoda-ku, Director and Executive
Tokyo 100-0005, Japan Officer, The Sumitomo
Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Kunikatsu Japan 3-2, Marunouchi Senior Managing None/None None
Yamamoto 1-chome, Chiyoda-ku, Director and Executive
Tokyo 100-0005, Japan Officer, The Sumitomo
Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
</TABLE>
8
<PAGE>
<TABLE>
<CAPTION>
- -----------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Shunichi Japan 6-5, Kitahama Senior Managing None/None None
Okuyama 4-chome, Chuo-ku, Director and Executive
Osaka 541-0041, Japan Officer, The Sumitomo
Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Tatsuo Japan 3-2, Marunouchi Senior Managing None/None None
Kubota 1-chome, Chiyoda-ku, Director and Executive
Tokyo 100-0005, Japan Officer, The Sumitomo
Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Michiyoshi Japan 3-2, Marunouchi Head of Tokyo Corporate None/None None
Kuriyama 1-chome, Chiyoda-ku, and Institutional
Tokyo 100-0005, Japan Banking Division, The
Sumitomo Bank, Ltd.
Managing Director and
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Takeharu Japan 3-2, Marunouchi Managing Director and None/None None
Nagata 1-chome, Chiyoda-ku, Executive Officer, The
Tokyo 100-0005, Japan Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Michihiro Japan 6-5, Kitahama Managing Director and None/None None
Matsuda 4-chome, Chuo-ku, Executive Officer, The
Osaka 541-0041, Japan Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Tadashi Japan 6-5, Kitahama Head of Corporate and None/None None
Inoue 4-chome, Chuo-ku, Institutional Banking
Osaka 541-0041, Japan Division, The Sumitomo
Bank, Ltd.
Managing Director and
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Masayuki Oku Japan 3-2, Marunouchi Committee Secretary None/None None
1-chome, Chiyoda-ku, General, Integration
Tokyo 100-0005, Japan Strategy Committee, The
Sumitomo Bank, Ltd.
Managing Director and
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
</TABLE>
9
<PAGE>
<TABLE>
<CAPTION>
- -----------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Takayuki Japan Temple Court, 11 Head of Europe None/None None
Tsukuda Queen Victoria Division, The Sumitomo
Street, London EC4N Bank, Ltd.
4TA, U.K. Managing Director and
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Tetsuro Japan 5-33, Kitahama Independent Director, None/None None
Kawakami 4-chome, Chuo-ku, The Sumitomo Bank, Ltd.
Osaka 541-0041, Japan Chairman, Sumitomo
Electric Industries,
Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Toshiomi Japan 2-5, Nakanoshima Independent Director, None/None None
Uragami 2-chome, Kita-ku, The Sumitomo Bank, Ltd.
Osaka 530-8220 Japan Chairman, Sumitomo Life
Insurance Company
- -----------------------------------------------------------------------------------------------------------------------------
Yoshiaki Japan 3-2, Marunouchi Independent Director, None/None None
Yamauchi 1-chome, Chiyoda-ku, The Sumitomo Bank, Ltd.
Tokyo 100-0005, Japan
- -----------------------------------------------------------------------------------------------------------------------------
Kenjiro Noda Japan 7-9, Nihonbashi Head of Tokyo Corporate None/None None
2-chome, Chuo-ku, Banking Division-II,
Tokyo 103-0027 Japan The Sumitomo Bank, Ltd.
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Tadashi Japan 604 Manjuya-machi, Head of Kyoto Corporate None/None None
Hirota Karasuma-sanjo-sagaru Banking Division, The
Nakagyo-ku, Kyoto Sumitomo Bank, Ltd.
604-8161 Japan Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Mutsuhiko Japan 3-2, Marunouchi General manager, None/None None
Matsumoto 1-chome, Chiyoda-ku, Planning Dept.,
Tokyo 100-0005 Japan Consumer Banking Group
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
</TABLE>
10
<PAGE>
<TABLE>
<CAPTION>
- -----------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Sounosuke Japan 5-7, Head of Tokyo Corporate None/None None
Kera Nihonbashi-Odenmacho, Sumitomo Bank, Ltd.
Chuoku, Tokyo Executive Officer, The
103-0011 Japan Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Ryuzo Kodama Japan 277 Park Ave., New Head of The Americas None/None None
York City, New York, Division, The Sumitomo
NY 10172 USA Bank, Ltd.,
Director, Sumitomo Bank
Capital Markets, Inc.
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Kazuhiko Japan 7-1, Nishishinjuku Head of Tokyo Corporate None/None None
Sugimoto 1-chome, Banking Division-IV,
Shinjuku-ku, Tokyo The Sumitomo Bank, Ltd.
160-0023 Japan Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Koji Ishida Japan 3-2, Marunouchi General Manager, None/None None
1-chome, Chiyoda-ku, Corporate Planning
Tokyo 100-0005, Japan Department, The
Sumitomo Bank, Ltd.
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Koichi Japan 8-3, Shinbashi Head of Tokyo Corporate None/None None
Tsukihara 1-chome, Minato-ku, Banking Division-III,
Tokyo 105-0004 Japan The Sumitomo Bank, Ltd.
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Masahide Japan 3-2, Marunouchi General Manager, None/None None
Hirasawa 1-chome, Chiyoda-ku, General Affairs Dept.,
Tokyo 100-0005, Japan The Sumitomo Bank, Ltd.
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
</TABLE>
11
<PAGE>
<TABLE>
<CAPTION>
- -----------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Keumaru Japan 10-19, Minamisenba Head of Osaka Corporate None/None None
Ogura 3-chome, Chuo-ku Banking Division-I, The
Osaka 542-0081, Japan Sumitomo Bank, Ltd.
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Kiyoshi Japan 3-2, Marunouchi General Manager, Credit None/None None
Shibuya 1-chome, Chiyoda-ku, Dept.-III, The Sumitomo
Tokyo 100-0005, Japan Bank, Ltd.
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Shinpei Japan 13-13, Umeda 1-chome Head of Osaka Corporate None/None None
Nihei Kita-ku Osaka Banking Division-II,
530-0001, Japan The Sumitomo Bank, Ltd.
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Yasuyuki Japan 8-13, Sakae 2-chome, Head of Tokai Corporate None/None None
Kimoto Naka-ku, Nagoya Banking Division, The
460-0008, Japan Sumitomo Bank, Ltd.
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Kenjiro Japan 3-2, Marunouchi General Manager, None/None None
Nakano 1-chome, Chiyoda-ku, Business Planning
Tokyo 100-0005, Japan Dept., Capital Markets
Group, The Sumitomo
Bank, Ltd.
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Hiroshi Japan 3-2, Marunouchi General Manager, None/None None
Nishikawa 1-chome, Chiyoda-ku, Private Banking
Tokyo 100-0005, Japan Division., Consumer
Banking Group, The
Sumitomo Bank, Ltd.
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
</TABLE>
12
<PAGE>
<TABLE>
<CAPTION>
- -----------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Yasufumi Japan 3-2, Marunouchi General Manager, None/None None
Kitamoto 1-chome, Chiyoda-ku, Credit Policy Dept.,
Tokyo 100-0005, Japan The Sumitomo Bank,
Ltd.
Executive Officer, The
Sumitomo Bank,
Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Koichi Maeda Japan 3-2, Marunouchi General Manager, None/None None
1-chome, Chiyoda-ku, Credit Dept.-II
Tokyo 100-0005, Japan The Sumitomo Bank,
Ltd.
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Osamu Yamada Japan 1-60, Nanba, General Manager, Head None/None None
5-chome, Chuo-ku, of Osaka Corporate
Osaka-shi, Osaka Banking Division-III,
542-0076 Japan The Sumitomo Bank, Ltd.
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Shigenobu Japan 3-2, Marunouchi General Manager, None/None None
Aikyo 1-chome, Chiyoda-ku, Planning Dept.,
Tokyo 100-0005, Japan Corporate Banking
Group, The Sumitomo
Bank, Ltd.
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
Shuntaro Japan 3-2, Marunouchi General Manager, None/None None
Higashi 1-chome, Chiyoda-ku, International Planning
Tokyo 100-0005, Japan Dept., The Sumitomo
Bank, Ltd.
Executive Officer, The
Sumitomo Bank, Ltd.
- -----------------------------------------------------------------------------------------------------------------------------
</TABLE>
13
<PAGE>
Directors and Officers of Sumitomo Bank Capital Markets, Inc.
<TABLE>
<CAPTION>
Name Citizenship Business Address Present Employment Criminal Beneficial
Convictions or Ownership of
Violations of the common
Federal or State stock of The
Securities Laws Goldman Sachs
within the last Group, Inc.
5 years
- ----------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Ryuzo Japan The Sumitomo Head of the Americas None/None None
Kodama Bank, Ltd., 277 Division, The Sumitomo
Park Ave., New Bank, Limited
York City, New Director, The Sumitomo
York, USA Bank, Ltd.
Sumitomo Bank Capital
Markets, Inc.
- ----------------------------------------------------------------------------------------------------------------
Yoshio Japan The Sumitomo General Manager, Planning None/None None
Itaya Bank, Ltd., 277 Department, Americas
Park Ave., New Division, The Sumitomo
York City, New Bank, Limited
York, USA Director, Sumitomo Bank
Capital Markets, Inc.
- ----------------------------------------------------------------------------------------------------------------
Natsuo Japan Sumitomo Bank President, Sumitomo Bank None/None None
Okada Securities Inc., Securities, Inc.,
277 Park Ave., President, Sumitomo Bank
New York City, Capital Markets, Inc.
New York, USA Director, Sumitomo Bank
Capital Markets, Inc.
- ----------------------------------------------------------------------------------------------------------------
Kenichi Japan Sumitomo Bank Managing Director, None/None None
Morooka Capital Markets, Sumitomo Bank Capital
Inc., 277 Park Markets, Inc.
Ave., New York Director, Sumitomo Bank
City, New York, Capital Markets, Inc.
USA
- ----------------------------------------------------------------------------------------------------------------
Naoyuki Japan The Sumitomo President Sumitomo Bank None/None None
Kawamoto Bank, Ltd., Capital Markets, Ltd.
Temple Court, 11 Director, Sumitomo Bank
Queen Victoria Capital Markets, Inc.
Street, London
EC4N 4TA, U.K.
- ----------------------------------------------------------------------------------------------------------------
</TABLE>
14
<PAGE>
<TABLE>
<CAPTION>
- ----------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Joe Brennan USA Sumitomo Bank Managing Director, None/None None
Capital Markets, Sumitomo Bank Capital
Inc., 277 Park Markets, Inc.
Ave., New York Director, Sumitomo Bank
City, New York, Capital Markets, Inc.
USA
- ----------------------------------------------------------------------------------------------------------------
Norah USA Sumitomo Bank Chairman, Sumitomo Bank None/None None
Hughes Securities, Inc., Securities, Inc.
77 Park Ave., New Director, Sumitomo Bank
York City, New Capital Markets, Inc.
York, USA
- ----------------------------------------------------------------------------------------------------------------
Bill Ginn USA Sumitomo Bank President, Sumitomo Bank None/None None
Leasing and Leasing and Finance Inc.
Finance Inc., 277 Director, Sumitomo Bank
Park Ave., New Capital Markets, Inc.
York City, New
York, USA
- ----------------------------------------------------------------------------------------------------------------
</TABLE>
15
<PAGE>
ANNEX B
Information required as to proceedings described in Items 2(d) and 2(e)
None.
16
<PAGE>
ANNEX C
Item 5(c). Description of all transactions in the Common Stock effected during
the last 60 days by SBCM or Sumitomo, or, to the best knowledge of SBCM or
Sumitomo, their respective executive officers and directors.
None.
17
<PAGE>
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Dated: December 20, 1999
SUMITOMO BANK CAPITAL MARKETS, INC.
By: /s/ Natsuo Okada
-----------------------------------------
Name: Natsuo Okada
Title: President, Sumitomo Bank Capital
Markets, Inc.
THE SUMITOMO BANK, LIMITED
By: /s/ Ryuzo Kodama
-----------------------------------------
Name: Ryuzo Kodama
Title: Director and Head of the Americas
Division
18
<PAGE>
EXHIBIT INDEX
Exhibit Description
- ------- -----------
A. Voting Agreement, dated as of April 30, 1999, by and among
The Goldman Sachs Group, Inc., The Sumitomo Bank, Limited
and Sumitomo Bank Capital Markets, Inc. (incorporated by
reference to Exhibit 10.38 to the registration statement on
Form S-1 (File No. 333-74449) filed by The Goldman Sachs
Group, Inc.).
19
