<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. 3)
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)
Michiko Miura
Sumitomo Bank Capital Markets, Inc.
277 Park Avenue
New York, New York 10172
Telephone: (212) 224-5000
(Name, Address and Telephone Number of Persons Authorized to
Receive Notices and Communications)
August 21, 2000
(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>
SCHEDULE 13D
----------------------------
CUSIP NO. 38141G 10 4
----------------------------
------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only).
Sumitomo Bank Capital Markets, Inc.
------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
As to a group consisting of SBCM(1) and Sumitomo(1) (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 (See Instructions)
00
------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT [_]
TO ITEMS 2(d) or 2(e)
------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
------------------------------------------------------------------------------
7 SOLE VOTING POWER (See Item 6)
NUMBER OF 0
SHARES -----------------------------------------------------------
8 SHARED VOTING POWER (See Item 6)
BENEFICIALLY
253,045,128 Covered Shares(1) and Uncovered Shares(1)
OWNED BY in the aggregate(2) held by Covered Persons(1)
10,987,710 shares(2) held by KAA(1)
16,243,610 shares held by SBCM(1)
EACH -----------------------------------------------------------
9 SOLE DISPOSITIVE POWER (See Item 6)
REPORTING
16,243,610
PERSON
-----------------------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
0
------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
16,243,610(3)
------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW(11) EXCLUDES CERTAIN SHARES
[X]
------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW(11)
3.6%(3)
------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
CO
------------------------------------------------------------------------------
------------
(1) For a definition of this term, please see Item 2.
(2) Each of SBCM and Sumitomo may be deemed to be members of a "group" with KAA
and the Covered Persons. Each of SBCM and Sumitomo disclaims beneficial
ownership of shares of Common Stock held by KAA and the Covered Persons.
(3) Excludes 253,045,128 and 10,987,710 shares of Common Stock held by the
Covered Persons and KAA, respectively, as to which each of SBCM and
Sumitomo disclaims beneficial ownership.
2
<PAGE>
SCHEDULE 13D
----------------------------
CUSIP NO. 38141G 10 4
----------------------------
------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only).
Sumitomo Bank Limited
------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
As to a group consisting of SBCM(1) and Sumitomo(1) (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 (See Instructions)
00
------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT [_]
TO ITEMS 2(d) or 2(e)
------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Japan
------------------------------------------------------------------------------
7 SOLE VOTING POWER (See Item 6)
NUMBER OF 0
SHARES -----------------------------------------------------------
8 SHARED VOTING POWER (See Item 6)
BENEFICIALLY
253,045,128 Covered Shares(1) and Uncovered Shares(1)
OWNED BY in the aggregate(2) held by Covered Persons(1)
10,987,710 shares(2) held by KAA(1)
16,243,610 shares held by SBCM(1)
EACH -----------------------------------------------------------
9 SOLE DISPOSITIVE POWER (See Item 6)
REPORTING
16,243,610
PERSON
-----------------------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER (See Item 6)
0
------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
16,243,610(3)
------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW(11) EXCLUDES CERTAIN SHARES
[X]
------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW(11)
3.6%(3)
------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
BK
------------------------------------------------------------------------------
------------
(1) For a definition of this term, please see Item 2.
(2) Each of SBCM and Sumitomo may be deemed to be members of a "group" with KAA
and the Covered Persons. Each of SBCM and Sumitomo disclaims beneficial
ownership of shares of Common Stock held by KAA and the Covered Persons.
(3) Excludes 253,045,128 and 10,987,710 shares of Common Stock held by the
Covered Persons and KAA, respectively, as to which each of SBCM and
Sumitomo disclaims beneficial ownership.
3
<PAGE>
This Amendment No. 3 to Schedule 13D amends and restates in its entirety
such Schedule 13D. This Amendment No. 3 is being filed because on August 21,
2000, SBCM (as defined below) converted all 7,440,362 of its shares of Nonvoting
Common Stock, par value $.01 per share (the "Nonvoting Common Stock"), of GS,
Inc. (as defined below) into an equal number of shares of Common Stock (as
defined below).
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 New York-based
wholly owned subsidiary of The Sumitomo Bank, Limited, a corporation organized
under the laws of Japan ("Sumitomo"). SBCM is engaged in various forms of
commercial finance and is a participant in the market for interest rate and
other forms of derivatives. Sumitomo 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 filings of GS Inc. with the Securities and Exchange
Commission, including, but not limited to, the prospectus (the "Prospectus")
dated August 1, 2000, made part of the Registration Statement on Form S-3 filed
by GS Inc. (File No. 333-40810) and Amendment No. 6 to Schedule 13D filed by the
Covered Persons on August 8, 2000. 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
---------------------------------------------------------
21,425,052 shares of Common Stock and 7,440,362 shares of Nonvoting Common
Stock were 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. From the
time of the acquisition through the settlement of the offering described in
Annex C hereto on August 7, 2000, although the 7,440,362 shares of Nonvoting
Common Stock were immediately convertible into Common Stock pursuant to GS,
Inc.'s Certificate of Incorporation, these shares were not deemed beneficially
owned by SBCM because such shares could not be converted due to restrictions
imposed under the Bank Holding Company Act of 1956, as amended. Effective upon
the settlement of the offering described in Annex C hereto on August 7, 2000,
the restrictions imposed under the Bank Holding Company Act of 1956, as amended,
no longer applied to SBCM and thus, the 7,440,362 shares of Common Stock
issuable upon conversion of the 7,440,362 shares of Nonvoting Common Stock were
deemed beneficially owned by SBCM. On August 21, 2000, SBCM converted all
7,440,362 of its shares of Nonvoting Common Stock into an equal number of shares
of Common Stock.
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. On August 7, 2000, pursuant to the Prospectus, SBCM sold 12,621,804
shares of Common Stock at $99.75 per share in an underwritten public offering
and received $1,224,314,988 in proceeds (after an underwriting discount and
before offering expenses). 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
--------------------------------------------
5
<PAGE>
(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.
(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. 6 to the Schedule 13D filed by the Covered Persons on
August 8, 2000 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
6
<PAGE>
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 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.
UNDERWRITING AGREEMENT
On August 1, 2000, in connection with the sale by SBCM of shares of Common
Stock in a registered underwritten public offering, SBCM entered into three
Underwriting Agreements with the underwriters listed therein (the
"Underwriters"). Under the Underwriting Agreements, SBCM agreed to sell an
aggregate of 12,621,804 shares of Common Stock to the Underwriters, at $97.00
per share, for settlement on August 7, 2000. The shares were subsequently sold
to the public at $99.75 per share. Pursuant to the Underwriting Agreements, GS
Inc. has agreed to pay all of the fees and expenses relating to the offering by
SBCM, other than (i) fees and expenses of SBCM's counsel, (ii) any agency fees
and commissions or underwriting commissions or discounts, or (iii) any transfer
taxes incurred by SBCM in connection with its sale. In addition, pursuant to
the Underwriting Agreements, SBCM has agreed to indemnify the Underwriters
against certain liabilities, including those arising under the Securities Act of
1933, as amended. This summary of the Underwriting Agreements is qualified in
its entirety by reference to the Underwriting Agreements which are filed as
Exhibits to this Schedule.
On August 7, 2000, the transaction was settled and SBCM received
$1,224,314,988 in proceeds (after an underwriting discount and before its
expenses).
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>
B. Underwriting Agreement (U.S. Version), dated as of August 1,
2000 (incorporated by reference to Exhibit T to Amendment
No. 5 to the Schedule 13D of The Goldman Sachs Group, Inc.
(File No. 005-56295) filed August 2, 2000).
C. Underwriting Agreement (International Version), dated as of
August 1, 2000 (incorporated by reference to Exhibit U to
Amendment No. 5 to the Schedule 13D of The Goldman Sachs
Group, Inc. (File No. 005-56295) filed August 2, 2000).
D. Underwriting Agreement (Asia/Pacific Version), dated as of
August 1, 2000 (incorporated by reference to Exhibit V to
Amendment No. 5 to the Schedule 13D of The Goldman Sachs
Group, Inc. (File No. 005-56295) filed August 2, 2000).
8
<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 Citizen- Business Present Criminal Beneficial
ship Address Employment Convictions or Ownership of the
Violations of common stock of
Federal or State The Goldman
Securities Laws Sachs Group, Inc.
within the last
Five Years
---------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Toshio Japan 3-2, Marunouchi Chairman of the None/None None
Morikawa 1-chome, Board, The
Chiyoda-ku, Sumitomo Bank, Ltd.
Tokyo 100-
0005, Japan
---------------------------------------------------------------------------------------------------------------
Yoshifumi Japan 3-2, Marunouchi President and Chief None/None None
Nishikawa 1-chome, Executive Officer,
Chiyoda-ku, The Sumitomo Bank,
Tokyo 100- Ltd.
0005, Japan
---------------------------------------------------------------------------------------------------------------
Youhei Japan 3-2, Marunouchi Deputy President and None/None None
Shiraga 1-chome, Executive Officer,
Chiyoda-ku, The Sumitomo Bank,
Tokyo 100- Ltd.
0005, Japan
---------------------------------------------------------------------------------------------------------------
Akio Japan 3-2, Marunouchi Deputy President and None/None None
Asuke 1-chome, Executive Officer,
Chiyoda-ku, The Sumitomo Bank,
Tokyo 100- Ltd.
0005, Japan
---------------------------------------------------------------------------------------------------------------
Shunichi Japan 3-2, Marunouchi Senior Managing None/None None
Okuyama 1-chome, Director and
Chiyoda-ku, Executive Officer,
Tokyo 100- The Sumitomo Bank,
0005, Japan Ltd.
---------------------------------------------------------------------------------------------------------------
</TABLE>
9
<PAGE>
<TABLE>
<CAPTION>
---------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Tatsuo Japan 3-2, Marunouchi Senior Managing None/None None
Kubota 1-chome, Director and
Chiyoda-ku, Executive Officer,
Tokyo 100- The Sumitomo Bank,
0005, Japan Ltd.
---------------------------------------------------------------------------------------------------------------
Michiyoshi Japan 3-2, Marunouchi Senior Managing None/None None
Kuriyama 1-chome, Director and
Chiyoda-ku, Executive Officer,
Tokyo 100- The Sumitomo Bank,
0005, Japan Ltd.
---------------------------------------------------------------------------------------------------------------
Takeharu Japan 3-2, Marunouchi Senior Managing None/None None
Nagata 1-chome, Director and
Chiyoda-ku, Executive Officer,
Tokyo 100- The Sumitomo Bank,
0005, Japan Ltd.
---------------------------------------------------------------------------------------------------------------
Tadashi Japan 3-2, Marunouchi Managing Director None/None None
Inoue 1-chome, and Executive
Chiyoda-ku, Officer, The
Tokyo 100- Sumitomo Bank, Ltd.
0005, Japan
---------------------------------------------------------------------------------------------------------------
Masayuki Japan 3-2, Marunouchi Committee Secretary None/None None
Oku 1-chome, General, Integration
Chiyoda-ku, Strategy Committee,
Tokyo 100- The Sumitomo Bank,
0005, Japan Ltd.
Managing Director
and Executive
Officer, The
Sumitomo Bank, Ltd.
---------------------------------------------------------------------------------------------------------------
Takayuki Japan Temple Court, Head of Europe None/None None
Tsukuda 11 Queen Division, The
Victoria Street, Sumitomo Bank, Ltd.
London EC4N
4TA, U.K. Managing Director
and Executive
Officer, The
Sumitomo Bank, Ltd.
---------------------------------------------------------------------------------------------------------------
</TABLE>
10
<PAGE>
<TABLE>
<CAPTION>
---------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Ryuzo Japan 277 Park Ave., Head of the Americas None/None None
Kodama New York City, Division, The
New York, NY Sumitomo Bank, Ltd.
10172 USA
Director, Sumitomo
Bank Capital
Markets, Inc.
Managing Director
and Executive
Officer, The
Sumitomo Bank, Ltd.
---------------------------------------------------------------------------------------------------------------
Kenjiro Japan 3-2, Marunouchi Head of Tokyo None/None None
Noda 1-chome, Corporate and
Chiyoda-ku, Institutional Banking
Tokyo 100- Division, The
0005, Japan Sumitomo Bank, Ltd.
Managing Director
and Executive
Officer, The
Sumitomo Bank, Ltd.
---------------------------------------------------------------------------------------------------------------
Tadashi Japan 3-2, Marunouchi Head of Corporate None/None None
Hirota 1-chome, and Institutional
Chiyoda-ku, Banking Division,
Tokyo 100- The Sumitomo Bank,
0005, Japan Ltd.
Managing Director
and Executive
Officer, The
Sumitomo Bank, Ltd.
---------------------------------------------------------------------------------------------------------------
Mutsuhiko Japan 3-2, Marunouchi General Manager, None/None None
Matsumoto 1-chome, Planning Dept.,
Chiyoda-ku, Consumer Banking
Tokyo 100-0005 Group, Sumitomo Bank
Japan Ltd.
Managing Director and
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
</TABLE>
11
<PAGE>
<TABLE>
<CAPTION>
---------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Tetsuro Japan 3-2, Marunouchi Independent Director, None/None None
Kawakami 1-chome, The Sumitomo Bank,
Chiyoda-ku, Ltd.
Tokyo 100-
0005, Japan Chairman, Sumitomo
Electric Industries,
Ltd.
---------------------------------------------------------------------------------------------------------------
Toshiomi Japan 3-2, Marunouchi Independent Director, None/None None
Uragami 1-chome, The Sumitomo Bank,
Chiyoda-ku, Ltd.
Tokyo 100-
0005, Japan Chairman, Sumitomo
Life Insurance
Company
---------------------------------------------------------------------------------------------------------------
Yoshiaki Japan 3-2, Marunouchi Independent Director, None/None None
Yamauchi 1-chome, The Sumitomo Bank,
Chiyoda-ku, Ltd.
Tokyo 100-
0005, Japan
---------------------------------------------------------------------------------------------------------------
Koji Ishida Japan 3-2, Marunouchi General Manager, None/None None
1-chome, Corporate Planning
Chiyoda-ku, Dept., The Sumitomo
Tokyo 100- Bank, Ltd.
0005, Japan
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
Koichi Japan 3-2, Marunouchi Head of Tokyo None/None None
Tsukihara 1-chome, Corporate Banking
Chiyoda-ku, Division-II, The
Tokyo 100- Sumitomo Bank, Ltd.
0005, Japan
Head of Tokyo
Corporate Banking
Division-III, The
Sumitomo Bank, Ltd.
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
</TABLE>
12
<PAGE>
<TABLE>
<CAPTION>
---------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Masahide Japan 3-2, Marunouchi General Manager, None/None None
Hirasawa 1-chome, General Affairs
Chiyoda-ku, Dept., The Sumitomo
Tokyo 100- Bank, Ltd.
0005, Japan
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
Keumaru Japan 3-2, Marunouchi Head of Osaka None/None None
Ogura 1-chome, Corporate Banking
Chiyoda-ku, Division-I, The
Tokyo 100- Sumitomo Bank, Ltd.
0005, Japan
Head of Kyoto
Corporate Banking
Division, The
Sumitomo Bank, Ltd.
Head of Kobe
Corporate Banking
Division, The
Sumitomo Bank, Ltd.
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
Kiyoshi Japan 3-2, Marunouchi General Manager, None/None None
Shibuya 1-chome, Credit Dept.-III, The
Chiyoda-ku, Sumitomo Bank, Ltd.
Tokyo 100-
0005, Japan Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
Shinpei Japan 3-2, Marunouchi Head of Osaka None/None None
Nihei 1-chome, Corporate Banking
Chiyoda-ku, Division-II, The
Tokyo 100- Sumitomo Bank, Ltd.
0005, Japan
Head of Osaka
Corporate Banking
Division-III, The
Sumitomo Bank, Ltd.
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
</TABLE>
13
<PAGE>
<TABLE>
<CAPTION>
---------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Yasuyuki Japan 3-2, Marunouchi Head of Tokai None/None None
Kimoto 1-chome, Corporate Banking
Chiyoda-ku, Division, The
Tokyo 100- Sumitomo Bank, Ltd.
0005, Japan
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
Kenjiro Japan 3-2, Marunouchi General Manager, None/None None
Nakano 1-chome, Business Planning
Chiyoda-ku, Dept., Capital
Tokyo 100- Markets Group, The
0005, Japan Sumitomo Bank, Ltd.
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
Hiroshi Japan 3-2, Marunouchi General Manager, None/None None
Nishikawa 1-chome, Private Banking
Chiyoda-ku, Division, Consumer
Tokyo 100- Banking Group, The
0005, Japan Sumitomo Bank, Ltd.
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
Yasufumi Japan 3-2, Marunouchi General Manager, None/None None
Kitamoto 1-chome, Credit Policy Dept.,
Chiyoda-ku, The Sumitomo Bank,
Tokyo 100- Ltd.
0005, Japan
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
Koichi Japan 3-2, Marunouchi General Manager, None/None None
Maeda 1-chome, Credit Dept.-II,
Chiyoda-ku, The Sumitomo Bank,
Tokyo 100- Ltd.
0005, Japan
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
</TABLE>
14
<PAGE>
<TABLE>
<CAPTION>
---------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Shigenobu Japan 3-2, Marunouchi General Manager, None/None None
Aikyo 1-chome, Planning Dept.,
Chiyoda-ku, Corporate Banking
Tokyo 100- Group, The
0005, Japan Sumitomo Bank, Ltd.
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
Shuntaro Japan 3-2, Marunouchi General Manager, None/None None
Higashi 1-chome, International
Chiyoda-ku, Planning Dept., The
Tokyo 100- Sumitomo Bank, Ltd.
0005, Japan
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
Yasuo Japan 3-2, Marunouchi Head of Tokyo None/None None
Ichikawa 1-chome, Corporate Banking
Chiyoda-ku, Division-I, The
Tokyo 100- Sumitomo Bank, Ltd.
0005, Japan
Head of Kanagawa
Corporate Banking
Division, The
Sumitomo Bank, Ltd.
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
Shiro Japan 3-2, Marunouchi General Manager, None/None None
Kawajiri 1-chome, Branch Banking
Chiyoda-ku, Operations Dept.,
Tokyo 100- Consumer Banking
0005, Japan Group, The
Sumitomo Bank, Ltd.
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
</TABLE>
15
<PAGE>
<TABLE>
<CAPTION>
---------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Akira Japan 3-2, Marunouchi Head of Tokyo None/None None
Kurose 1-chome, Corporate Banking
Chiyoda-ku, Division-IV, The
Tokyo 100- Sumitomo Bank, Ltd.
0005, Japan
Head of Tokyo
Corporate Banking
Division-V, The
Sumitomo Bank, Ltd.
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
Kengo Japan 3-2, Marunouchi General Manager, None/None None
Miyauchi 1-chome, Credit Supervision
Chiyoda-ku, Dept.-I, The
Tokyo 100- Sumitomo Bank, Ltd.
0005, Japan
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
Hiroaki Japan 3-2, Marunouchi General Manager, None/None None
Shukuzawa 1-chome, Treasury Dept.-II,
Chiyoda-ku, The Sumitomo Bank,
Tokyo 100- Ltd.
0005, Japan
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
Akira Japan 3-2, Marunouchi General Manager, None/None None
Matsumoto 1-chome, Credit Supervision
Chiyoda-ku, Dept.-II, The
Tokyo 100- Sumitomo Bank, Ltd.
0005, Japan
Executive Officer,
The Sumitomo Bank,
Ltd.
---------------------------------------------------------------------------------------------------------------
</TABLE>
16
<PAGE>
Directors and Officers of Sumitomo Bank Capital Markets, Inc.
<TABLE>
<CAPTION>
---------------------------------------------------------------------------------------------------------------
Name Citizen- Business Present Criminal Beneficial
ship Address Employment Convictions or Ownership of the
Violations of common stock of
Federal or State The Goldman
Securities Laws Sachs Group, Inc.
within the last
Five Years
---------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Ryuzo Japan The Sumitomo Head of the Americas None/None None
Kodama Bank, Ltd., 277 Division, The
Park Ave., New Sumitomo Bank, Ltd.
York City, New
York, USA Managing Director and
Executive Officer, The
Sumitomo Bank, Ltd.
Director, Sumitomo
Bank Capital Markets,
Inc.
---------------------------------------------------------------------------------------------------------------
Yoshio Japan The Sumitomo General Manager, None/None None
Itaya Bank, Ltd., 277 Planning Department,
Park Ave., New Americas Division, The
York City, New Sumitomo Bank, Ltd.
York, USA
Director, Sumitomo
Bank Capital Markets,
Inc.
----------------------------------------------------------------------------------------------------------------------------
Natsuo Japan Sumitomo Bank President, Sumitomo None/None None
Okada Securities Inc., Bank Securities, Inc.;
277 Park Ave., President, Sumitomo
New York City, Bank Capital Markets,
New York, USA Inc.
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
City, New York, Director, Sumitomo
USA Bank Capital Markets,
Inc.
----------------------------------------------------------------------------------------------------------------------------
</TABLE>
17
<PAGE>
<TABLE>
<CAPTION>
----------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Naoyuki Japan The Sumitomo President, SBCM None/None None
Kawamoto Bank, Ltd., Limited
Temple Court, 11
Queen Victoria Director, Sumitomo
Street, London Bank Capital Markets,
EC4N 4TA, U.K. Inc.
----------------------------------------------------------------------------------------------------------------------------
Joseph L. USA Sumitomo Bank Managing Director, None/None None
Brennan Capital Markets, Sumitomo Bank Capital
Inc., 277 Park Markets, Inc.
Ave., New York
City, New York, Director, Sumitomo
USA Bank Capital Markets,
Inc.
----------------------------------------------------------------------------------------------------------------------------
Norah O. USA Sumitomo Bank Chairman, Sumitomo None/None None
Hughes Securities, Inc., Bank Securities, Inc.
77 Park Ave., New
York City, New Director, Sumitomo
York, USA Bank Capital Markets,
Inc.
----------------------------------------------------------------------------------------------------------------------------
William M. USA Sumitomo Bank Chairman and Chief None/None None
Ginn Leasing and Executive Officer,
Finance Inc., 277 Sumitomo Bank
Park Ave., New Leasing and Finance,
York City, New Inc.
York, USA
Director, Sumitomo
Bank Capital Markets,
Inc.
----------------------------------------------------------------------------------------------------------------------------
</TABLE>
18
<PAGE>
ANNEX B
Information required as to proceedings described in Items 2(d) and 2(e)
None.
19
<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.
On August 7, 2000, pursuant to the Prospectus, SBCM sold 12,621,804 shares
of Common Stock at $99.75 per share in an underwritten public offering and
received $1,224,314,988 in proceeds (after an underwriting discount and before
its expenses).
On August 21, 2000, SBCM converted all 7,440,362 of its shares of Nonvoting
Common Stock for an equal number of shares of Common Stock.
20
<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: August 22, 2000
SUMITOMO BANK CAPITAL MARKETS, INC.
By: /s/ Natsuo Okada
-----------------------------------------
Name: Natsuo Okada
Title: President
THE SUMITOMO BANK, LIMITED
By: /s/ Ryuzo Kodama
------------------------------------------
Name: Ryuzo Kodama
Title: Managing Director and Head of the
Americas Division
21
<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.).
B. Underwriting Agreement (U.S. Version), dated as of August 1,
2000 (incorporated by reference to Exhibit T to Amendment
No. 5 to the Schedule 13D of The Goldman Sachs Group, Inc.
(File No. 005-56295) filed August 2, 2000).
C. Underwriting Agreement (International Version), dated as of
August 1, 2000 (incorporated by reference to Exhibit U to
Amendment No. 5 to the Schedule 13D of The Goldman Sachs
Group, Inc. (File No. 005-56295) filed August 2, 2000).
D. Underwriting Agreement (Asia/Pacific Version), dated as of
August 1, 2000 (incorporated by reference to Exhibit V to
Amendment No. 5 to the Schedule 13D of The Goldman Sachs
Group, Inc. (File No. 005-56295) filed August 2, 2000).
22
